ASCE STANDARD ASCE/SEI 41-06

American Society of Civil Engineers

Seisntic Rehabilitation .
of Existing Buildings
This document uses both the International System of Units (SI)
and customary units.

ASCE Structural EnglnHrlngln•tltut•

ollheAmforocanSoclillyoiCMI~•

Published by the A m e l'ica n Society of Civil Enginee1·s

- • mi..: rehabilitation of existing buildings.
p. cm.
""ASCE standard ASCE/SEI 41-06."
lncludes bibliographical rcferences and index.
ISBN-13: 978-0-7844-0884-1
ISBN-lO: 0-7844-0884-X
l. Buildings-Repair and reconstruction-Standards. 2. Earth-
quake resistanl design-Standards. 3. Buildings-Earthquake
e ffccts. l. American Society of Civil Engineers.

TH420.S43 2007
693.8'52-dc22
2007009080

Published by American Society of Civil Engineers

1801 Alexander Bell Drive
Res ton , Virginia 20191
www.pubs.asce.org

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ISBN 13: 978-0-7844-0884-1
ISBN 10: 0-7844-0884-X
Manufactured in the United States of America.

15 14 13 12 11 10
 STANDARDS
In 2003, the Board of Direction approved the revision to ASCE 21-98 Automated People Mover Standards-Part 2
the ASCE Rules for Standards Commitlees to govern the ASCE 21-00 Automated People Mover Standards-Part 3
writing and maintenance of standards developed by the SEIIASCE 23-97 Specitication for Structural Steel
Society. All such standards are developed by a consensus Beams with Web Openíngs
standards process managed by the Society's Codes and ASCE/SEI 24-05 Flood Resistan! Desígn and Conslruction
Standards Committee (CSC). The consensus process ASCE/SEI 25-06 Earthquake-Actuated Automatic Gas
includes balloting by a balanced standards commillee Shutoff Devíces
made up of Society members and nonmembers, balloting ASCE 26-97 Standard Practice for Desígn of Buried
by the membership of the Society as a whole, and ballot- Precast Concrete Box Sectíons
ing by the public. AJI standards are updated or reaffirmed ASCE 27-00 Standard Practice for Direct Design of
by the same process at intervals not exceeding five years. Precast Concrete Pipe for Jacking in Trenchless
The following standards have been issued: Constructíon
ASCE 28-00 Standard Practíce for Dírect Design of
ANSIJASCE 1-82 N-725 Guideline for Design and Precast Concrete Box Sections for Jackíng in
Analysis of Nuclear Safety Related Emth Structures Trenchless Construction
ASCEIEWRI 2-06 Measurement of Oxygen Transfer in ASCE/SEJ/SFPE 29-05 Standard Calculation Methods
Clean Water for Structural Fíre Protectíon
ANSIJASCE 3-91 Standard for the Structural Design of SEIIASCE 30-00 Guídeline for Conditíon Assessment of
Composite Slabs and ANSIJASCE 9-91 Standard the Building Envelope
Practice for the Construction and Inspection of SEI/ASCE 31-03 Seísmic Evaluatíon of Existíng
Composite Slabs Buildings
ASCE 4-98 Seismic Analysis of Safety-Related Nuclear SEI/ASCE 32-01 Design and Construction ofFrost-
Structures Protected Shallow Foundations
Building Code Requirements for Masonry Structures EWRII ASCE 33-01 Comprehensive Transboundary
(ACI 530-02/ASCE 5-02/TMS 402-02) and lnternational Water Quality Management Agreement
Specifications for Masonry Structures (ACI 530.1- EWRI/ASCE 34-01 Standard Guidelines for Artificial
02/ ASCE 6-02/TMS 602-02) Recharge of Ground Water
ASCE/SEI 7-05 Mínimum Design Loads for Buildings EWRI/ASCE 35-01 Guidelines for Quality Assurance of
and Other Structures Installed Fine-Pore Aeration Equipment
SEIJASCE 8-02 Standard Specification for the Design of CI/ASCE 36-01 Standard Construction Guidelines for
Cold-Formed Stainless Steel Structural Members Microtunneling
ANSI/ ASCE 9-91 listed with ASCE 3-91 SEJ/ASCE 37-02 Design Loads on Structures During
ASCE 10-97 Design of Latticed Steel Transmission Construction
Structures CI/ASCE 38-02 Standard Guideline for the Collection
SEIIASCE 11-99 Guideline for Structural Condition and Depictíon of Existing Subsurface Utílity Data
Assessment of Existing Buildings EWRI/ASCE 39-03 Standard Practice for the Design and
ASCE/EWRI 12-05 Guideline for the Design of Urban Operation of Haíl Suppression Projects
Subsurface Drainage ASCE/EWRI40-03 Regulated Riparian Model Water
ASCEIEWRI 13-05 Standard Guidelines for Installation Code
of Urban Subsurface Drainage ASCE/SEI 41-06 Seismic Rehabilitation of Existing
ASCE/EWRI 14-05 Standard Guidelines for Operation Buildíngs
and Maintenance of Urban Subsurface Drainage ASCE/EWRI 42-04 Standard Practice for the Design and
ASCE 15-98 Standard Practice for Direct Design of Operation of Precipitation Enhancement Projects
Buried Precast Concrete Pipe Using Standard ASCE/SEI 43-05 Seismic Design Criteria for Structures,
Installations (SIDO) Systems, and Components in Nuclear Facilities
ASCE 16-95 Standard for Load Resistance Factor Design ASCE/EWRI 44-05 Standard Practice for the Desígn and
(LRFD) of Engineered Wood Construction Operation of Supercooled Fog Dispersa! Projects
ASCE 17-96 Air-Supported Structures ASCE/EWRI 45-05 Standard Guidelines for the Design
ASCE 18-96 Standard Guidelines for In-Process Oxygen of Urban Stormwater Systems
Transfer Testing ASCE/EWRI 46-05 Standard Guidelines for the
ASCE 19-96 Structural Applications of Steel Cables for Installation of Urban Stormwater Systems
Buildings ASCE/EWRI 47-05 Standard Guidelínes for the Opera-
ASCE 20-96 Standard Guidelines for the Design and tion and Maintenance of Urban Stormwater Systems
Installation of Pi le Foundations ASCE/SEI 48-05 Design of Steel Transmission Pole
AN S 11ASCE/T&DI 2 1-05 Automated People Mover Structures
Standards-Part 1 iií
 FOREWORD
In 2003, the Board of Direction approved the The material presented in this Standard has been
revi ion to the ASCE Rules for Standards Committees prepared in accordance with recognized engineering
Lo govern the writing and maintenance of standards principies. This Standard should not be used without
de\ eloped by the Society. All su eh standards are tirst securing competen! advice with respect to its suit-
de\eloped by a consensus standards process managed ability for any given application. The publication of
b) Lhe Society's Codes and Standards Committee the material contained herein is not intended as a rep-
C C). The consensus process includes balloting resentation or warranty on rhe part of the American
b) a balanced standards committee made up of Sociery of Civil Engineers, or of any other person
iety members and nonmembers, balloting by the named herein, that thi s information is suitable for
membership of the Society as a whole, and ballot- any general or particular use or promises freedom
mg by the public. All standards are updated or from infi'ingement of any patent or patents. Anyone
reaffirmed by the same process at intervals not making use of this information assumes all liability
e:.>. ·eedi ng tive years. from such use.

V
 ACKNOWLEDGMENTS
The Structural Engineering lnstitute (SEl) of Guide/ines jor the Seismic Rehabilitation of Buildings,
the American Society of Civil Engineers (ASCE) developed for FEMA by the Applied Technology
acknowledges the devoted etforts of the membership Council (ATC). ASCE acknowledges and is grateful
ofthe Seismic Rehabilitation of Existing Buildings for the over ten years of support provided by FEMA
Standards Committee of the Codes and Activities to the development of a new generation rehabilitation
Division of SE!. This group comprises individuals standard, and particularly for their support during
from many backgrounds, including consulting engi- this final step, the development of this consensus
neering, research, construction industry, education, standard.
government, design, and prívate practice. This standard was prepared through the consensus
Balloting for this standard began with FEMA 356, standards process in compliance with the procedures
Prestandard and Commentary for the Seismic established by the ASCE Codes and Standards
Rehabi/itation ojBuildings, prepared by ASCE for Committee and accredited by the American National
the Federal Emergency Management Agency (FEMA). Standards lnstitute (ANSI). Those individuals who
FEMA 356 was developed from FEMA 273, NEHRP served on the standards committee are:

Bechara Elias Abboud, Ph.D., P.E., M.ASCE Peter H. Lam, P.E.

, 1ichael D. Blakely, P.E., M.ASCE Patrick J. Lama, P.E., M.ASCE
Allen R. Bone Jim Eugene Lapping, P.E., M.ASCE
David Ciare Breiholz, P.E., F.ASCE Darrell J. Lawver, P.E., M.ASCE
James Brown, P.E., L.S., F.ASCE Feng-Bao Lin, M.ASCE
Thomas Marvin Bykonen, P.E., M.ASCE Philip Line, M.ASCE
Hashu H. Chandwaney, P.E., F.ASCE David E. Linton, P.E., M.ASCE
Chang Chen, Ph.D., P.E., M .ASCE Roy F. Lobo, P.E., M.ASCE
' evin C. K. Cheung V, Ph.D., P.E., M .ASCE Terry R . Lundeen, P.E., S.E.
James Hamilton Collins, M.ASCE Charles R. Magadini, P.E., L.S., F.ASCE
. '. Gene Corley, Ph.D., P.E., Hon .M.ASCE Ayaz H. Malik, P.E., M.ASCE
~ -lajed A. Dabdoub, P.E . Rusk Masih, Ph.D ., P.E., Aff.M.ASCE
. lax Falamaki Vicki Vanee May, P.E., A.M.ASCE
.tark W. Fantozzi, P.E., M.ASCE Bruce Herman McCracken, P.E., M.ASCE
ans Gesund, Ph .D., P.E., F.ASCE Richard McConnell, Ph.D. , P.E., M.ASCE
ader Ghafoori, Ph.D., P.E., M.ASCE James B. McDermott, P.E.
atye ndra K. Ghosh, M.ASCE Mike Mehrain, Ph.D., P.E., S.E., M.ASCE
- ergio Gonzalez-Karg, P.E. , F.ASCE Martha Merriam
Phillip Gould, P.E., F.ASCE Thomas Harold Miller, P.E. , M.ASCE
. lelvyn Green, P.E., F.ASCE Andy Hess Milligan, P.E., M.ASCE
.tax A. Gregersen, P.E., S. E. Andrew Douglass Mitchell , P.E., M.ASCE
D. Kirk Harman, P.E., S.E., M.ASCE Myles A. Murray, P.E., M.ASCE
Juhn R. Hayes, Jr. , PhD, PE, M.ASCE Joseph F. Neussendorfer, Aff.M.ASCE
Jon A. Heintz, P.E., M.ASCE Glen John Pappas, Ph.D., M .ASCE
Richa rd L. Hess, P.E., F.ASCE James C. Parker, P.E., M.ASCE
Darrick Bryan Hom, P.E., M .ASCE Celina Ugarte Penalba, M.ASCE
en- Kan Hsiao, Ph.D., P.E., S.E., M.ASCE Mark Allan Pickett, Ph.D., P.E., M.ASCE
Tom Chi-Tong Hui, P.E., M.ASCE Chris Donald Poland, M.ASCE
Roy J. Hunt, P.E., M.ASCE Daniel E. Pradel, Ph.D., P.E., F.ASCE
.. tohammad lqbal , Ph.D ., P.E., F.ASCE Denis C. Pu, P.E.
Robert C. Jackson, P.E., M.ASCE R. C. Richardson, A.M.ASCE
. en-Chen Jau, Ph.D., A.M.ASCE Timothy Edward Roecker, M.ASCE
Iartin W. Johnson, P.E., M.ASCE Charles W. Roeder, Ph.D., P.E., M .ASCE
J hn C. Kariotis, P.E. , M.ASCE Abdulreza A. Sadjadi, P.E., M.ASCE
Brian Edward Kehoe, S.E., F.ASCE Ashvin A. Shah, P.E., F.ASCE

vii
Richard Lee Silva, P.E., M.ASCE Frederick Michael Turner, S.E., M.ASCE
Thomas David Skaggs, P.E., M.ASCE Michael T. Valley, P.E., M.ASCE
Glenn R. Smith, Jr., Ph.D., P.E., M.ASCE lvan P. Vamos
Peter W. Somers Gary S. Varum, S.E.
Charles A. Spitz Thomas George Williamson, P.E. , F.ASCE
Eric Christian Stovner, P.E., M.ASCE Lyle L. Wilson, F.ASCE
Donald R. Strand, P.E., F.ASCE Lisa A . Wipplinger, P.E., M.ASCE
Peter Tian, P.E., A.M.ASCE Tom Chuan Xia, P.E. , M.ASCE
Eugene Trahern, P.E. Wade Wesley Younie, P.E., M.ASCE
 CONTENTS
Standards . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 111
Foreword . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . v
Acknowledgtnents . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . v1

1.0 REHABILITATION REQUIREMENTS ........ . ..... .. .. .. ......... .. .. . .... .

1.1 SCOPE .......................................................... .
1.2 DESIGN BASIS .... ...... .. ..... . ..... . ... ... .... . ..... . ....... . .. . 3
1.3 SEISMIC REHABILITATION PROCESS ..... .. ............... ......... . 4
1.3. 1 Initial Considerations . . ........ ..... ...... ..... ... . .. ... ...... . 6
1.3.2 Selection of Rehabilitation Objective ............................. . 6
1.3.3 As-Built Information ......................................... . 7
1.3.4 Rehabilitation Method . .. .............. ........... . ......... .. . 7
1.3.5 Rehabilitation Measures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
1.3.6 Veritication of Rehabilitation Design . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
1.4 REHABILITATION OBJECTIVES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
1.4.1 Basic Safety Objective . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
1.4.2 Enhanced Rehabilitation Objectives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
1.4.3 Limited Rehabilitation Objectives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
1.5 TARGET BUILDING PERFORMANCE LEVELS . ....... . ..... .. . ·. . . . . . . 9
1.5. 1 Structural Performance Levels and Ranges . . . . . . . . . . . . . . . . . . . . . . . . . 11
1.5.2 Nonstructural Performance Levels . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
1.5.3 Designation of Target Building Performance Levels . . . . . . . . . . . . . . . . . . 19
1.6 SEISMIC HAZARD . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21
1.6.1 General Procedure for Hazard Due to Ground Shaking . . . . . . . . . . . . . . . 22
1.6.2 Site-Specific Procedure for Hazard Due to Ground Shaking . . . . . . . . . . . . 27
1.6.3 Leve! of Seismicity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28
2.0 SCOPE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28
2.1 SCOPE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28
2.2 AS-BUILT INFORMATION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29
2.2.1 Building Conliguration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29
2.2.2 Component Properties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30
2.2.3 Site and Foundation Information . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30
2.2.4 Adjacent Buildings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30
2.2.5 Primary and Secondary Components . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31
2.2.6 Data Collection Requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31
2.3 REHABILITATION METHODS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33
2.3. 1 Simplitied Rehabilitation Method . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33
2.3.2 Systematic Rehabilitation Method . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33
2.4 ANALYSIS PROCEDURES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34
2.4.1 Linear Procedures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35
2.4.2 Nonlinear Procedures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37
2.4.3 Alternative Rational Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38
2.4.4 Acceptance Criteria . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38
2.5 REHABILITATlON STRATEGIES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42

IX
 2.6 GENERAL DESIGN REQUIREMENTS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44
2.6.1 Multidircctional Seismic EITects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44
2.6.2 P-6. Effects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44
2.6.3 Horizontal Torsion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44
2.6.4 Overturning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44
2.6.5 Continuity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45
2.6.6 Diaphragn1s . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45
2.6.7 Walls . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46
2.6.8 Nonsu·uctural Components . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47
2.6.9 Structures Sharing Common Elements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47
2.6.10 Building Separation ........................................... 47
2.6.11 Vertical Seismic EtTects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48
2.7 CONSTRUCTION QUAUTY ASSURANCE . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48
2.7.1 Construction Quality Assurance Plan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48
2.7.2 Construction Quality Assurance Requirements . . . . . . . . . . . . . . . . . . . . . . 49
2.7.3 Responsibilities of the Authority Having Jurisdiction . . . . . . . . . . . . . . . . . 49
2.8 ALTERNATIVE MODELING PARAMETERS AND
ACCEPTANCE CRITERIA . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50
2.8.1 Experimental Setup . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50
2.8.2 Data Reduction and Reporting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50
2.8.3 Design Parameters and Acceptance Criteria . . . . . . . . . . . . . . . . . . . . . . . . 51
3.0 ANALYSIS PROCEDURES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53
3.1 SCOPE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53
3.2 GENERAL ANALYSIS REQUIREMENTS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54
3.2.1 Analysis Procedure Selection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54
3.2.2 Mathematical Modeling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54
3.2.3 Contiguration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57
3.2.4 Diaphragms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57
3.2.5 P-6. Effects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 58
3.2.6 Soii-Structure Interaction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 58
3.2.7 Multidirectiona\ Seismic Effects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59
3.2.8 Component Gravity Loads for Load Combinations . . . . . . . . . . . . . . . . . . . 59
3.2.9 Veritication or Design Assumptions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59
3.2.1 O Overturning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 60
3.3 ANALYSIS PROCEDURES .......................................... 61
3.3.1 Linear Static Procedure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 61
3.3.2 Linear Dynamic Procedure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 66
3.3.3 Nonlinear Static Procedure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 67
3.3.4 Nonlinear Dynamic Procedure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 72

3.4 ACCEPTANCE CRITERIA . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 73

3.4.1General Requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 73
3.4.2Linear Procedures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 73
3.4.3Nonlinear Procedures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 75
4.0 FOUNDATJONS AND GEOLOGIC SITE HAZARDS . . . . . . . . . . . . . . . . . . . . . . . . . . . 75
4.1 SCOPE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 75

4.2 SITE CHARACTERIZATION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 76

4.2.1 Foundation Information . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 76
4.2.2 Seismic Geologic Site Hazards . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 77

X
 4.3 MITIGATION OF SEISMIC-GEOLOGIC SITE HAZARDS . . . . . . . . . . . . . . . . . 81
4.4 FOUNOATION STRENGTH ANO STIFFNESS . . . . . . . . . . . . . . . . . . . . . . . . . . 83
4.4. 1 Expected Capacities of Foundations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 83
4.4.2 Load- Oeformation Characteristics for Foundations . . . . . . . . . . . . . . . . . . 86
4.4.3 Foundation Acceptance Criteria . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 95
4.5 KINEMATIC INTERACTION ANO FOUNOATION OAMPING SOIL-
STRUCTURE INTERACTION EFFECTS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 96
4.5.1 Kinematic Interaction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 97
4.5.2 Foundation Oamping Soii-Structure Interaction Effects . . . . . . . . . . . . . . . 98
4.6 SEISMIC EARTH PRESSURE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 99
4.7 FOUNOATION REHABILITATION .................................... lOO
5.0 STEEL ...... . ............. .. ... ...................... .. ...... ..... .... . 101
5.1 SCOPE ............. .. ... ...... ....... .. . ... . ........... ... .. ..... 101
5.2 MATERIAL PROPERTIES ANO CONDITION ASSESSMENT .. ... ...... .. 101
5.2.1 General ....... . ... . ... ............. . . . ... . .. ....... .. ...... . 101
5.2.2 Properties of In-Place Materials and Components ...... ... ...... ..... 102
5.2.3 Condition Assessment .... .. .. ....... .. ....... . .......... .. ..... 105
5.3 GENERAL ASSUMPTIONS ANO REQUIREMENTS .. ... . .. .... ........ . 108
5.3.1 Stiifness ... .... . . ...... ... ... .. . ... ....... .. .. . .. ...... ..... 108
5.3.2 Oesign Strengths and Acceptance Criteria .......................... 108
5.3.3 Rehabilitation Measures .. .......... .. ....... ... .... . .. ...... . . . 109
5.4 STEEL MOMENT FRAMES .. ........... . . ..... ... .............. . ... . 109
5.4.1 General . ... ....... .. .. .. . ... .................. .... ... . .. ... . 109
5.4.2 Fully Restrained Moment Frames ................................ 114
5.4.3 Partially Restrained Moment Frames .. ... ..... . ... . .. . .. .... . . ... . 126
5.5 STEEL BRACEO FRAMES . .... . . . .... .... .. .. ... .. .... .... .. .. . ... . 131
5.5.1 General .... ..... .. .. .. . . . .... .... ... ...... . . ...... ... ....... 131
5.5.2 Concentric Braced Frames .......... ... ...... .. .. . ....... .. ..... 131
5.5.3 Eccentric Braced Frames ......... .. ..... ...... ... ...... .... .... 133
5.6 STEEL PLATE SHEAR WALLS . .......... . ...... ..... ..... . .. ... . . . . . 135
5.6. 1 General ... . . . .... ... .... .. .. . . .. ... ...... ..... .... .......... 135
5.6.2 Stiffness .................................................... 135
5.6.3 Strength . . . . ........ . ........ . . .. .... ...... .. ...... .... . ... .. 135
5.6.4 Acceptance Criteria ........................................... 136
5.6.5 Rehabilitation Measures ........................................ 136
5.7 STEEL FRAMES WITH INFILLS .... . .. . ... .... .... ..... .. ....... ... . 136
5.8 DIAPHRAGMS .................................................... 137
5.8.1 Bare Metal Oeck Oiaphragms ................................... 137
5.8.2 Metal Oeck Oiaphragms with Structura1 Concrete Topping . .... ....... 138
5.8.3 Metal Oeck Oiaphragms with Nonstructural Topping ................. 140
5.8.4 Horizontal Steel Bracing (Steel Truss Oiaphragms) .. .. .. ... .... ..... 141
5.8.5 Archaic Oiaphragms ........................................... 142
5.8.6 Chord and Collector Elements ... ........ . . .. . .. . ... ...... .. . .... 143
5.9 STEEL PILE FOUNOATIONS ........................................ 144
5.9.1 General . ... ...... .... ........ . ............... . ... ... .... ... . 144
5.9.2 Stiffness . ... ..... ...... ... . ......... . .. .. ... ...... ... .. .. .. . 144

xi
 5.9.3 Strength .. . ...... . ........................................... 144
5.9.4 Acceptance Criteria ... .. . .... . . .. ........................... . . 144
5.9.5 Rehabilitation Measures ................... .. . .. ................ 144
5. 1O CAST AND WROUGHT IRON .......... . ............................. 145
5.10. 1 General ......... . ................. . . .. ........... . .......... 145
5.10.2 Stiffness .. ... . ....... ...... .............. .. .. . ... . .......... 145
5.10.3 Strcngth and Acceptance Criteria ................................. 145
6.0 CONCRETE . . .... ........ . . . .. . ............. ... ........................ 145
6.1 SCOPE ........................................................... 145
6.2 MATERIAL PROPERTIES AND CONDITION ASSESSMENT ............. 145
6.2. 1 General . ... ........ .. . .. . .. .. . ......... .... .......... .. . .. .. 145
6.2.2 Properties of In-Place Material s and Components . .... .......... ... .. 146
6.2.3 Condition Assessment . ....... .................................. 151
6.2.4 Knowledge Factor ............................................. 153
6.3 GENERAL ASSUMPTIONS AND REQUIREMENTS ............ . ........ 153
6.3. 1 Modcling and Design . ....... ..... .. ... ... .. ... .. .... ... ..... . . 153
6.3.2 Strength and Deformability ..................................... 155
6.:u Flexure and Axial Loads ....... . ................... .. . .......... 156
6.3.4 Shear and Torsion ...... ....................................... 157
6.3.5 Developme nt and Splices of Reinforcement ........................ 157
6.3.6 Connections to Existing Concrete ................................ 158
6.3.7 Rehabilitation .. . .. .. .... ... .. .. .............................. 159
6.4 CONCRETE MOMENT FRAMES ..................................... 159
6.4. 1 Types of Concrete Moment Frames .. ...... .... .... ...... .. ....... 159
6.4.2 Reinforced Concrete Beam-Column Moment Frames ....... .. ........ 160
6.4.3 Post-Tensioned Concrete Beam-Column Momcnt Framcs ............. 168
6.4.4 Slab-Column Moment Frames ................................... 169
6.5 PRECAST CONCRETE FRAMES ... .. .. .... ............. .. . ... ....... 173
6.5. 1 Types of Precast Concrete Frames ................................ 173
6.5.2 Precast Concrete Frames Expected to Resist Lateral Load . ... .... .. ... 173
6.5.3 Precast Concrete Frames Not Expected to Resist Lateral
Loads Directly ..... .. ..... . ... .. .... .. ..... .. .. . .......... . . . 174
6.6 CONCRETE FRAMES WITH INFILLS ................................. 175
6.6. 1 Types of Concrete Frames with Intill s . ... .. .. . .. .... .. .. .......... 175
6.6.2 Concrete Frames with Masonry Infill s ........... .... .... ... ....... 175
6.6.3 Concrete Frames with Concrete Inlills ............................. 178
6.7 CONCRETE SHEAR WALLS ..... . . . .... .... ...... . ....... .. ......... 180
6.7. 1 Types of Concrete Shear Wall s and Assoc iated Components ... ...... .. 180
6.7.2 Reinforced Concrete Shear Walls, Wall Segments, Coupling Beams, and
Reinforced Concrete Columns Supporting Discontinuous Shear Walls ... 183
6.8 PRECAST CONCRETE SHEAR WALLS . .... . ......................... 189
6.8.1 Types of Precast Shear Walls ... ..... . . ..... . ............... . . ... 189
6.8.2 Precast Concrete Shear Walls and Wall Segments ... ........ .. .. ..... 190
6.9 CONCRETE-BRACED FRAMES . .. . ... .. ..... . . ........ ....... . .. ... . 193
6.9.1 Types of Concrete-Braced Frames ................................ 193
6.9.2 General Considerations .... . .. ... ............................... 193

xii
 6.9.3 Stiffness .................................................... 193
6.9.4 Strength ........................... .......... .. ... .. .. ....... 194
6.9.5 Acceptance Criteria ............. ... ... ...... ........ ... ... .. . . 194
6.9.6 Rehat.ilitation Measures ... . . . .. . ........... . . . .............. ... 194
6.10 CAST-IN-PLACE CONCRETE OIAPHRAGMS .......................... 194
6.1 0 . 1 Components of Concrete Diaphragms ............................ 194
6.1 0.2 Analysis, Modeling, and Acceptance Criteria ...................... 195
6.1 0.3 Rehabilitation Meas ures ................... .. ............. . .... 195
6.11 PRECAST CONCRETE DIAPHRAGMS ............... . ................ 196
6.11.1 Components of Precast Concrete Oiaphragms . .. ................... 196
6.11.2 Analysis, Modeling, and Acceptance Criteria ...................... 196
6.11.3 Rehabilitation Measures ....................................... 196
6.12 CONCRETE FOUNDATION COMPONENTS .. ...... ...... .... ... .... .. 197
6.12.1 Types ol· Concrete Foundations .................. . .............. 197
6.12.2 Analysis of Existing Foundations ................................ 197
6.12.3 Evaluation of Existing Condition ................................ 198
6.12.4 Rehabilitation Measures ......................... . .. .. ......... 198
7.0 MASONRY .................. ... .............. .... ..... . ....... .. ...... . 199
7.1 SCOPE ..... . ............... . ................ ....... .............. 199
7.2 MATER[AL PROPERTIES ANO CONDlTION ASSESSMENT ... . .. . ...... 199
7.2. 1 General ..................................................... 199
7 .2.2 Properties of In-Place Matcrials .................................. 200
7.2.3 Condition Assessment ... . ...................... .... . ..... .... . . 204
7.2.4 Knowledge Factor . ...... ... . .................. .. .............. 207
7.3 MASONRY WALLS ............................ . ................... 207
7.3 .1 Types ofMasonry Walls . ......... . ................. . . .......... 208
7.3.2 Unreinforced Masonry Walls and Wall Piers In-Piane ................. 211
7.3 .3 Unreinforced Masonry Walls Out-of-Plane ......................... 213
7.3.4 Rei nforced Masonry Walls and Wall Piers In-Piane ........... .. .. . .. 214
7.3.5 Reinforced Masonry Walls Out-of-Piane ........................... 216
7.4 MASONRY INFJLLS . ............................. . ................. 218
7.4. 1 Types of Masonry Infills ........................................ 218
7.4.2 Masonry lnfills ln-Plane ................. ....... .... .... ....... . 219
7.4.3 Masonry lnlills Out-of-Piane .................................... 222
7.5 ANCHORAGE TO MASONRY WALLS ........................ . ....... 224
7.5.1 Types of Anchors .. .................. ... .. . ...... . . . ...... . .. . 224
7.5.2 Analysis of Anchors ............... . .. ... ...................... 224
7.6 MASONRY FOUNOATION ELEMENTS ... .. .......... . ............. .. 225
7 .6. 1 Types of Masonry Foundations .............. ... ................. 225
7.6.2 Analysis of Existing Foundations ................................. 225
7.6.3 Rehabilitation Measures ........................................ 225
8.0 WOOD ANO LlGHT METAL FRAMING .. . ................................. 225
8.1 SCOPE ........................................................... 225
8.2 MATERIAL PROPERTIES AND CONDITION ASSESSMENT ...... . ....... 226
8.2.1 General ..................................................... 226

xiii
 8.2.2 Properties of In-Place Materials and Components ............... 237 o ••• o

8.2.3 Condition Assess ment ..... o 232

•••••••••••••••••••••• o •••••• ••• ••• •

8.2.4 Knowledge Factor .............. . .............................. 234

8.3 GENERAL ASSUMPTIONS ANO REQUIREM ENTS ............ ... ...... 234
8.3.1 StitTness . o ••••• • ••• • • •• ••• • •••••• ••••••••••••••••••••••••••• 234
8.3.2 Strength and Acceptance Criteria ... .. .. . ............ . .... . ....... 234
8.3.3 Connection Requirements ........... . ................ .... .. . .... 235
8.3.4 Rehabilitation Measures ... . ..... o •••••• o •••••••••••••••••• • o •• • 235
8.3.5 Components Supporting Discontinuous Shear Walls ....... . .......... 236
8.4 WOOD ANO LIGHT FRAME SHEAR WALLS ............... . . ....... .. 236
8.4.1
General ........................... ... 236 o •••• •••• •• •• o •• • o •••••

8.4.2
Types of Wood Frame Shear Wall s ..... .. . ...... ...... . .... . . .. .. 237
8.4.3
Types of Light Gage Metal Frame Shear Walls ..... . ................ 240
Single-Layer Hori zontal Lumbcr Sheathing or Siding Shear Wall s .... .. 240
8.4.4
8.4.5
Diagonal Lumber Sheathing Shear Wall s ............. . .. . ... .. ... .. 241
8.4.6
Vertical Wood Siding Shear Wall s ..... .................... . ...... 243
8.4.7
Wood Siding over Hori zontal Sheathing Shear Wall s ...... . .... 246 o •••••

8.4.8
Wood Siding over Diagonal Sheathing ................ .. 246 o •• o ••••••

8.4.9
Wood Structural Panel Sheathing ..... ... .. 246 o •••••••••••• o ••• o •••• •

8.4.1 O
Stucco on Studs, Sheathing, or Fiberboard ......... .. . ........ .. . . . 247
8.4.11
Gypsum Plaster on Wood Lath ......................... . . .. ..... . 248
8.4.12
Gypsum Plaster on Gypsum Lath ..... . 248 o •••••••• • ••• • •••••••••••••

8.4.13
Gypsum Wallboard .............. .. . 249 o •••• • •••••••••••••••••• • ••

8.4.14
Gypsum Sheathing . ...... . . ....... . 249 o •••••••••••••••• • ••••• • •• •

Plaster on Metal Lath ... .. .. . ... .................... ........... 249

8.4.15
8.4.16
Hori zontal Lumber Sheathing with Cut-In Braces or Diagonal Block ing . . 250
8.4.17
Fiberboard or Particleboard Sheathing ............................. 250
8.4.18
Light Gage Metal Frame Shear Wall s . . ..... ....... 251 o •••••••••••• ••

8.5 WOOD DIAPHRAGMS . .... ...... .. ...... o ••••••• o ••••••• ••• • • o ••••• 251
8.5.1 General ..................... o •••••••••••• o ••• o ••• o • • •••••••• 25 1
8.5.2 Typcs of Wood Diaphragms .......... ... . ... . . ..... . ............ 251
8.5.3 Single Straight Sheathing ........ . . .... ...... o •••••••••••••••••• 254
8.5.4 Double Straight Sheathing . . o •••••• • o • •••• •• •••••••••••••••••••• 255
8.5.5 Single Diagonal Sheathing ...................................... 255
8.5.6 Diagonal Sheathing with Straight Sheathing or Flooring Abovc ......... 256
8.5.7 Double Diago nal Sheathing . ... . ..... o •• o ••••••••••••••••••••••• 256
8.5.8 Wood Structural Panel Sheathing .... .. ..... .. ... ................. 257
8.5.9 Wood Structural Panel Overlays on Straight or Diagonal Sheathing ..... 258
8.5.10 Wood Structural Panel Overlays on Existing Wood Structural Panel
Sheathing .. ...... . o • ••• • •• •• ••••• • •••••••••••••••••••••••••• 259
8.5.11 Braced Horizontal Diaphragms . . ............ o ••••••• ••••• ••••••• 259
8.6 WOOD FOUNDATlONS .. .. ................... ............ . ......... 259
8.6.1
Types o f Wood Foundations .... . ... .. ........................... 259
8.6.2
Analysis, Strength, and Acceptance Criteria of Wood Foundations ...... 259
8.6.3
Rehabilitation Measures ............. .. .. . ............. .. .. ..... 260
8.7 OTHER WOOD ELEMENTS ANO COMPONENTS .. .. ....... o • •• • • •• ••• 260
8.7.1 General .... ...... .. ...... . ...... ..... . ... o •••••••• •• •••••••• 260
9.0 SEISMIC ISOLATION ANO ENERGY DISSIPATJON .................... . . .... 261
9.1 SCOPE ....... .. ...... .... ... ... .... ........... o •••• ••• o •• •• •••••• 261

xiv
 9.2 SEISMIC ISOLATION SYSTEMS ..... . ....... .. .......... ..... ....... 263
9.2. 1 General Requirements . ........................ ...... ... ... .... 263
9.2.2 Mechanical Properties and Modeling of Seismic Isolation Systems ...... 263
9.2.3 General Criteria for Seismic Isolation Design ... . ...... . . ........... 271
9.2.4 Linear Procedures ............................................. 273
9.2.5 Nonlinear Procedures ......... .. .. . ......... . ............ .. .... 274
9.2.6 Nonstructural Components ...................................... 275
9.2.7 Detailed System Requiremenls ................................... 275
9.2.8 Design Review ............................................... 277
9.2.9 Isolation System Testing and Design Properties ..................... 277
9.3 PASSIVE ENERGY DISSIPATION SYSTEMS .. ... .. . ... ................ 279
9.3.1 General Requirements ............ . .................. ... ...... . 279
9.3.2 Implementation of Energy Dissipation Devices ...... ...... .... . ..... 280
9.3.3 Modeling of Energy Dissipation Devices ........................... 281
9.3.4 Linear Procedures ............................................. 282
9.3.5 Nonlinear Procedures .. ... ........................... ...... .... 285
9.3.6 Detailed Systems Requirements . ...... .. ......................... 286
9.3.7 Design Review . . .. .. ....... ... .. ............................. 287
9.3.8 Required Tests of Energy Dissipation Devices ...................... 287
9.4 OTHER RESPONSE CONTROL SYSTEMS ............................. 289
10.0 SIMPLIFIED REHABILITATION ........................................... 290
10.1 SCOPE .................... . .... ...... ..... .. ... ... .. . .......... .. 290
10.2 PROCEDURE ............................... ..... ....... ... .. . ..... 290
10.2.1 Procedure for Reduced Rehabilitation ............................ 290
10.2.2 Procedure for Partial Rehabilitation .............................. 294
10.3 CORRECTION OF DEFICIENCES .................................... 297
11.0 ARCHITECTURAL, MECHANICAL, ANO ELECTRICAL COMPONENTS . .. ..... 313
11.1 SCOPE ........................................................... 313
11.2 PROCEDURE .... ... ...... .... ...... .. . ... .. .. .. .. ... .. ........... . 314
11.2.1 Condition Assessment ...... . ...... .. ........ .. ................ 314
11.2.2 Sample Size .... .. ........................ . ............... .. 315
11.3 HISTORICAL AND COMPONENT EVALUATION CONSIDERATIONS .. . .. 315
11.3.1 Historical Information ........................................ 315
11.3.2 Component Evaluation .................................... ... . 320
11.4 REHABILITATION ... . ............................................. 321
11.5 STRUCTURAL-NONSTRUCTURAL INTERACTION .................... 322
11.5.1 Response Modification .............. . .... . ........ . ........... 322
11.5.2 Base Isolation . ........ ............. ... ...... ...... .. ........ 322
11.6 CLASSIFICATION OF ACCELERATION-SENSITIVE AND DEFORMATION-
SENSITNE COMPONENTS ......................................... 322
11.7 EVALUATJON PROCEDURES .................. . ..................... 323
11.7.1 Analytical Procedure ........................................ . 323
11.7.2 Prescriptive Procedure .......... .... ........ .. ........ . ..... .. 324
11.7.3 Force Analysis: Default Equations .................. .. ........... 324

XV
 11.7.4 Force Analysis: General Equations .............................. 324
11.7.5 Deformation Analysis ......................................... 328
11.7.6 Other Procedures . .. . . ... .. ................................. . 329
1 1.8 REHABILITATION APPROACHES ..... ............................... 329
11.9 ARCHITECTURAL COMPONENTS: DEFINITION, BEHAVIOR, ANO
ACCEPTANCE CRITERIA .............. .... ..... ...... ...... ....... . 331
11.9. 1 Exterior Wall Components ..................................... 331
11.9.2 Partitions ................................................... 335
11.9.3 Interior Veneers .............................................. 336
11.9.4 Ceilings ................................................. . . . 337
1 1.9 .5 Parapc~andAppendages ... .... .. .............. .. ............. 338
11.9.6 Canopies and Marquees ..... .. . .. ...... ... .... .... .. ... . . .. ... 339
11.9.7 Chimneys and Stacks ......................................... 339
11.9.8 Stairs and Stair Enclosures ... .................................. 340
11.10 MECHANICAL, ELECTRICAL, ANO PLUMBING COMPONENTS:
OEFINITION, BEHAYIOR, ANO ACCEPTANCE CRITERIA ............... 340
1 1.1 0.1 Mechanical Equipment ...... .. . .. . ......... ................ ... 340
1 1.1 0.2 Storage Vessels and Water Heaters ............................... 342
11.10.3 Pressure Piping ... .............. .... ...................... ... 343
11 . 10.4 Fire Suppression Piping ......... ..... ......................... 343
11.1 0.5 Fluid Piping other than Fire Suppression .......................... 344
11. 10.6 O uel work .......................................... .. ...... 345
11.10.7 Electrical and Communications Equipment ........................ 346
11.10.8 Electrical and Communications Distribution Components ............ 347
11.10.9 Light Fixtures ............................................... 347
11 . 11 FURNISHINGS ANO INTERIOR EQUIPMENT; OEFTNITION, BEHAVIOR,
ANO ACCEPTANCE CRITERIA ...................................... 348
1 1. 1 1.1 Storage Racks ............................................... 348
1 1.1 1.2 Bookcases .................................................. 348
1 1.1 1.3 Computer Access Floors ....................................... 349
1 1. 1 1.4 Hazardous Materials Storage .... ..................... . ......... 349
1 1.11.5 Computer and Communication Racks ............................ 350
1 1. 11.6 Elevators ................................................... 351
11.11 .7 Conveyors .................................................. 351

Appendix
APPENOIX A ................... .. ........................................... 352
SYMBOLS .. . ... .. ...................... .. ............. ... ................... 356
ACRONYMS ................................................................. ·367

DEFINITIONS ................................................................ 368

REFERENCES ..... . ........ ....... ................. .. . ..... .......... ... ..... 376
COMMENTARY REFERENCES ....... . .... ...... ............................ ... 377
INDEX .... . ............ ... ... . ... .. .. . . . .... ..... ..................... .... . . 387

The Structural Engineering Institule (SEI) of the American Society of Civil Engineers is commitled
to providing accurate, up-to-date information to its readers. To that end, SEI maintains a listing of
errata at http://www.sei nst itute.org/publ ications/errata.cfm.

xvi
Seismic Rehabilitation of Existing Buildings

1.0 REHABILITATION REQUIREMENTS the desired levels when subjected to the design earth-
quakes. However, compliance with this standard does
1.1 SCOPE not guarantee such performance; rather, it represents
the current standard of practice in designing to attain
This standard for the Seismic Rehabilitation of Lhis performance. The practice of earthquake engineer-
Existing Buildings, reterred to herein as "this stan- ing is rapidly evolving, and both our underslanding of
Jard," specilies nationally applicable provisions for the the behavior of buildings subjected to strong earth-
ismic rehabilitation of buildings. Seismic rehabilita- quakes and our ability to predicl this behavior are
tion is defined as improving the seismic performance advancing. In the future, new knowledge and technol-
of structural and/or nonstructural components of a ogy will improve the reliabilily of accomplishing these
bui lding by correcting deticiencies identified in a seis- goals.
míe evaluation. Seismic evaluation is detined as an The procedures contained in this standard are
pproved process or methodology of evaluating defi- specifically applicable to the rehabilitation of existing
' ienc ies in a building, which preventthe building from buildings and, in general, are more appropriate for thal
ch ieving a selected Rehabilitation Objective. Seismic purpose than are new building codes. New building
eva luation using ASCE 31 (ASCE 2002), the proce- codes are primarily intended to regulate the design and
dures and criteria of this standard, or other procedures construction of new buildings; as such, Lhey include
and criteria approved by the authority having jurisdic- many provisions thal encourage or require the develop-
tio n is permitted. ment of designs with tealures importan! for good seismic
Seismic rehabilitation of existing buildings shall performance, including regular configuration, structural
o mply with requirements of this standard for select- continuity, ductile detailing, and materials of appropri-
mg a Rehabilitation Objective and conducting the seis- ate qualily. Many existing buildings were designed and
míe rehabilitation process to achieve the selected constructed without these features and contain charac-
Rehabilitation Objective. This standard does not pre- teristics such as unfavorable contiguration and poor
lude a building from being rehabilitated by other pro- delailing that preclude application of building code pro-
ed ures approved by the authority having jurisdiction. visions for their seismic rehabilitation.
Symbols, acronyms, delinitions, and reterences Although it is intended to be used as a follow-up
used throughout this standard are cited separately in to a previous seismic evaluation , this standard can also
ections Jocated at the end of thi s standard. be used as an evaluation too) to ascertain compliance
with a selected rehabilitation objective. An ASCE 31,
Tier 3 evaluation is an example of this use. It should
Cl.l SCOPE be noted, however, that an evaluation using Lhis stan-
dard may be more slringenl than other evaluation
Th is standard is intended lo serve as a nationally methodologies because the provisions have been cali-
applicable tool for design professionals, code ofticials, brated for use in design . Hi storically, criteria for evalu-
and building owners undertaking the seismic rehabili- ation have been set lower than those for design to
tation of existing buildings. In jurisdictionally man- minimize the need to strengthen buildings that would
da ted seismic rehabilitation programs, the code olficial otherwise have only modest deficiencies.
erves as the authority having jurisdiction. In volun- The expertise of the design professional in earth-
tary seismic rehabilitation programs, the building quake engineering is an important prerequisite for the
owner, or the owner's designated agent, serves as the appropriate use of this standard in assisting a building
authority having jurisdiction. owner to select voluntary seismic criteria or to design
This standard consists of two parts: Provisions, and analyze seismic rehabilitation projects, whether
which contain the technical requirements, and voluntary or required . The analytical work required by
Commentary, intended to explain the provisions. this standard must be performed under the responsible
Commentary for a given seclion is located immediately charge of a licensed professional engineer; however,
following the seclion and is identified by the same sec- Lhat does not preclude a design professional without a
tion number preceded by the letter C. prolessional engineering license, but with responsible
lt is expected that most buildings rehabilitated in charge, from leading a seismic rehabilitation project.
accordance with this standard would perform within For example, an architecl wilh responsible charge can
SEI :\11 C REHABILITATION OF EXISTING BUILDINGS

lead a sei smic rehabilitation projcct conducted in rehabilitation objecti\'es which must be met by builcl-
accordance with the simplilied rehabilitation describcd ings that have either been targcted by the jurisdiction
in Chapter 1O. for manclated seismic rehabilitation or-by reason of
This standard is intended to be generally applica- owner-initiated acti vities, such as major structural
ble to seismic rehabilitation of all buildings-regardless modilications-have come undcr the jurisdiction's
of importance, occupancy, historie status, or other rehabilitation ordinance. Since codes for ncw buildings
classilications of use. However, application of these have chapters that brielly adclress existing buildings,
provisions should be coordinated with other require- care must be takcn in coordinating and referencing the
ments that may be in eiTcct, such as ordinances gov- adoption of this standard to avoid ambiguity and con-
erning historie structures or hospital construction. In fusion with other ordinances and cocles.
addition to the direct e!Tects of ground shaking, this Since almost all structural seismic rehabilitation
standard also addresses the eiTects of local geologic work requires a building permit, the code ol'licial will
site hazards such as liquefaction. become an importan! part of the process. For voluntary
This standard is arranged such that there are four rehabilitation efforts, the building owner and thc code
analysis procedures that can be used, including the orticial need to come to agreement about the intended
Linear Static Procedure, Linear Dynamic Procedure, rehabilitation objective. The codc oflicial will verify
Nonlinear Static Procedure, and Nonlinear Dynamic that the owncr's stated objective is met in the design
Procedure. The linear analysis procedures are intended and construction phases of thc work. For jurisdiction-
to provide a conservative estímate of building response ally required rehabilitation eiTorts, whether caused by
and performance in an earthquake, though they are not passive or active programs (see Appendix A), the code
always accurate. Since the actual response or buildings orticial will veri fy that the requirecl objective is me t.
to earthquakes is not typically linear, the nonlinear Because the approaches ancl technology of this stan-
analysis procedures should provide a more accurate dard are not yet in the mainstream of dcsign and con-
representation of building response and performance. struction practices of the United States, it is imperative
ln recognition of the improved representation of build- that the code oflicial either develop the expertise in
ing behavior when nonlinear analysis is conducted, the this methodology or utilizc a pcer review typc of
nonlinear procedures have less-conservative limits on process to verify the appropriate application of this
permissible building response than do linear proce- standard. A jurisdiction must al so remain flexible ancl
dures. Buildings that are found to be seismically dell- open to other analyses and evaluations, which provide
cient based on linear analysis may comply with this a reasonable assurance of meeting the appropriate
standard if a nonlinear analysis is performed. rehabilitation objective.
Therefore, performing a nonlinear analysis can mini- In acldition to tcchniqucs for increasing the
mize or eliminate unnecessary seismic rehabilitation strength and ductility of systems, this standard pro-
and potentially lower construction costs. vides techniques for reducing seismic demand, such as
This standard applies to the seismic rehabilitation the introduction or isolation or damping devices.
of both the overall structural system of a building and Design of new builclings and cvaluation of components
its nonstructural components, including ceilings, parti- for gravity and wind rarees in the absence or earth-
tions, mechanical, electrical, and plumbing systems. quake demands are beyond thc scopc of this standard.
With careful extrapolation, the procedures of this This standard does not explicitly address the
standard may also be applied to many nonbuilding determina! ion of whether or nota rehabilitation project
structures such as pipe racks, steel storage racks, struc- should be undcrtaken for a particular building.
tural towers for tanks and vessels, piers, wharves, and Guidance on the use of this standard in voluntary or
electrical power generating facilities. However, the directed risk-mitigation programs is providcd in
applicability of these procedures has not been fully Appendix A. Determining wherc these provisions
examined for every type of structure-particularly should be requircd is beyond the scope of this stan-
those that have generally been covered by specialized dard. Once the decision to rehabilitate a building has
codes or standards, such as bridges and nuclear power been made, this standard can be referenced for
plants. detailed engineering guidance on how to conducta
Jurisdictions will adopt this standard as an ordi- seismic rehabilitation analysis and design.
nance that only applies to the seismic rehabilitation of Featured in this standard are descriptions of dam-
existing buildings or adopt this standard by reference age states in relation to specilic performance levels.
as part of a comprehensive code addressing all aspects Thcse descriptions are intencled lo aid the authority
of rehabilitating existing buildings. In adopting this having jurisdiction, design professionals, and owners
standard, the jurisdiction will select one or more in selecting appropriate performance levels for

2
 ASCE/SEI 41-06

rehabilitation design. They are not intended to be used commentary of this standard. For this reason, section
for condition assessment of earthquake-damaged numbers in this standard remain essentially the same
buildings. Although there may be similarities between as in FEMA 356.
lhese damage descriptions and those used for FEMA 356 was based on FEMA 273 (FEMA
postearthquake damage assessment, many factors enter 1997), which was developed by a large team of spe-
ínto the processes of assessing seismic performance. cialists in earthquake engineering and seismic rehabili-
. ·o single parameter in this standard should be cited as tation. The most advanced analytical techniques con-
delining either a performance leve! or the safety or sidered practica] for production use have been incor-
u~efulness of an earthquake-damaged building. porated. The acceptance criteria have been specified
Techniques for repair of earthquake-damaged using actual laboratory test results, where available,
bu ildings are not included in this standard, but are ref- supplemented by the engineering judgment of various
erenced in the commentary pertaining to Chapters 5 developmentteams . Certain buildings damaged in the
y lhrough 8 where such guidelines exist. Any combina- 1994 Northridge earthquake and a limited number of
úo n of repaired components, undamaged existing designs using codes for new buildings have been
'Omponents, and new components can be modeled checked using the procedures of FEMA 273. A com-
u~i ng this standard, and each checked against perfor- prehensive program of case studies was undertaken by
ma nce leve) acceptance criteria. If the mechanical FEMA in 1998 to test more thoroughly the various
properties of repaired components are known, accept- analysis techniques and acceptability criteria. The
ance criteria for use with this standard can be either results of this study are reponed in FEMA 343, Case
deduced by comparison with other similar components Studies: An Assessment ofthe NEHRP Cuidelinesfor
or derived . the Seismic Rehabilitation of Buildings. The results of
the FEMA 343 case studies have been incorporated in
the provisions of this standard, where possible.
1.2 DESIGN BASIS Similarly, information from FEMA 350 (FEMA 2000),
FEMA 351 (FEMA 2000), and other reports published
The selection of a seismic Rehabilitation Objective and by the SAC Joint Venture project, formed as a result of
the performance-based design of rehabilitation meas- the Northridge steel moment frame damage, has been
ures to achieve the selected Rehabilitation Objective incorporated where applicable. Engineering judgment
~h a ll be in accordance with the rehabilitation process should be exercised in determining the applicability of
e
~pecified in Section 1.3. The use of alternative per- various analysis techniques and material acceptance
for mance-based criteria and procedures approved by criteria in each situation.
the authority having jurisdiction shall be permitted. The commentary to this standard contains spe-
citic references to many other documents. In addition,
as this standard is related generically to the following
C1.2 DESIGN BASIS publications.
~ts
Provisions of this standard for seismic rehabilitation l. FEMA 450,2003 NEHRP Recommended
are based on a performance-based design methodology Provisions for Seismic Regulations for New
tha t differs from seismic design procedures for the Buildings and Other Structures, also referred to
ect design of new buildings currently specified in national herein as Lhe 2003 NEHRP Recommended
building codes and standards. Provisions (FEMA 2004).
The framework in which these requirements are 2. FEMA 237, Development of Cuidelines for Seis míe
pecitied is purposefully broad so that Rehabilitation Rehabilitation of Buildings, Pitase 1: Issues
Objectives can accommodate buildings of different ldentification and Resolution (FEMA 1992), which
types, address a variety of performance levels, and underwent an American Society of Civil Engineers
S
re tlect the variation of seismic hazards across the (ASCE) consensus approval process and provided
Un ited States and U.S . territories . policy direction for this standard.
The provisions and commentary of this standard 3. Applied Technology Council (ATC), ATC-28-2,
are based primarily on the FEMA 356 Prestandard Proceedings of the Workshop to Resolve Seismic
m- (FEMA 2000) with limited materialtaken from the Rehabilitation Sub-lssues (ATC 1993) provided
FEMA 274 (FEMA 1997) Commentary. This standard recommendations to the writers of this standard
is intended to supersede FEMA 356, but FEMA 274 on more detailed sub-issues.
rs remains a valid explanation for the provisions in this 4. FEMA 172, NEHRP Handbook ofTechniquesfor
standard unless indicated otherwise in the relevan! the Seismic Rehabilitation ofExisting Buildings

3
SEISMIC REHABILITATION OF EXISTING BUILDINGS

(FEMA 1992), originally produced by URS/Biume 9. ATC 40, Seismic Evaluatíon and Retrofit of Concrete
and Associates and revicwed by the Building Seismic Buildings (ATe 1996), incorporales performance
Safety eouncil (BSSC), contains construction tech- levels almost idcntical lO those shown in Table e 1-8
niques tor implementing engineering solutions Lo and cmploys "pushover" non linear analysis tech-
Lhe seismic deticiencies of existing buildings. niques. The capacity spectrum method for determin-
5. FEMA 178, NEHRP Handbookfor the Seismic ing the displacement demand is treated in detail.
Evaluarían of Existíng Buíldíngs (FEMA 1992), This document covers only concrete buildings.
which was originally developed by ATe and under-
wenl the consensus approval process of the BSSe,
covered the subject of evaluating existing buildings 1.3 SEISMIC REHABILITATION PROCESS
Lo determine if they are seismically deticient in
Lerms of life safety. This documenl has been Seismic rehabilitation of an existing building shall be
updated by FEMA and ASeE, and is now ASeE 31, conducted in accordance with thc process outlinecl in
Seísmíc Evaluarían of Existíng Bui ldings (ASeE Sections 1.3.1 through 1.3 .6.
2002), which underwenl an ASeE consensus
approval process. (The model building Lypes and
other information from ASeE 31 are used or C1.3 SEISMIC REHABILITATION PROCESS
referred Lo extensively in this standard in
ehapler 10.) The steps are presented in this section in the order in
6. FEMA 156 and 157, Typical Costs for Seismic which they would typically be followed in the rehabili-
Rehabi/itation of Exísting Buildíngs, Second tation process. However, the criteria for performing
Edition (FEMA 1995), reports stalistical analysis of these steps are presented in a somewhat different order
the costs of rehabilitation of more than 2,000 build- to facilitate presenta! ion of the concepts.
ings based on construction costs or detailed studies. Figure el-1 depicts the rehabilitation process
Several ditlerent seismic zones and performance spcc itied in thi s standard and shows spccilic chap-
levels are included in the data. Since the data were tcr references in parenthcses at points where input
dcveloped in 1994, none of the data is based on from this standard is to be obtained. Although
buildings rehabilitated specitically in accordance Fig. e 1-1 is written for voluntary rehabilitations,
with the FEMA 273 Guidelines document. it can also be used as a guide for manclatory
Performance levels detined in Lhis standard are not rehabilitations.
intended Lo be significantly ditTerenl from parallel This standard requires the sclection of a Rchabili-
level s used previously, and costs still should be tation Objcctive for a building that has been pn::viously
reasonably representative. idcntilied as needing seismic rehabilitation.
7. FEMA 275, Planning for Seísmic Rehabilitation: Prior to embarking on a rchabilitation program , an
Socíetal/ssues (FEMA 1998), discusses societal evaluation should be performed lo determine whether
and implementation issues associated with rehabili- the building, in its existing condition, has the desired
lation and describes several case histories. seism ic performance capability. ASCE 31 contains an
8. FEMA 276, Guidelines for the Seismic Rehabilita- evaluation methodology that may be used for this pur-
tion of Buildings: Example Applications (FEMA pose. 11 should be noted , however, thal a building may
1999), intended as a companion document to meel cenain performance objectives using the method-
FEMA 273 and FEMA 274, describes examples ology of ASeE 31, but may not meet those samc per-
of buildings that have been seismically rehabilitated formance objectives when an evaluation is performed
in various seismic regions and for diiTerent using the proccdures of this standard. This is largely
Rehabilitation Objectives. eosts of the work are because ASeE 31 is speci lically in tended to accept
given and references made to FEMA 156 and 157. somewhat greater levels of damage within each per-
Bccause this document is based on previous case formance level than permiued by this standard, which
histories, none of the examples was rehabilitated is consisten! with the historie practice of cvaluating
specitically in accordance with this standard . existing buildings for slightly lower criteria than thosc
However, performance levels detined in this stan- used for dcsign of new buildings. ASeE 31 quantilies
dard are not intended Lo be signilicantly different this di!Tcrcnce with the use of a 0.75 factor on
from parallel levels usecl previously, and the case dcmands when using this standard in a Tier 3 evalua-
studies are therefore considered representative. tion. This essemially lowers thc reliability of achieving

4
 ASCE/SEI 41-06

lhe selected performance level from about 90% to 1.3.1 Initial Considerations
ut 60%. This practice minimizes the need to reha- The design professional shall review initial con-
ílitate structures with relatively modest deticiencies siderations with the authority having jurisdiction to
relative to the desired performance leve!. determine any restrictions that exist on the design of

1
Prior Seismic Evaluation

u 1 1

..
Review lnitial Considerations (Section 1.3.1)
Structural characteristics (Chapter 2)

.. Site seismic hazards (Chapters 1 and 4)

1
lnterest in reducing seismic risk
y ..
Results from prior seismic evaluations (Section 1.2)
Occupancy (not considerad in this standard)
Historie status (Appendix A)

..
Economic considerations {Section C 1.3.6.2)
Societat issues: (Appendix A)
Local jurisdictional requirements (not included in this standard)

"-../
12 ..
Select Rehabilitation Objective (Section 1.3.2)
Target Building Pertormance level (Section 1.5)
Seismic Hazard (Section 1.6)

li- "'-..7
er
l 3
Obtain As-Built lnformation (Chapter 2) (Section 1.3.3)
1
'(7
14
Select Rehabilitation Method (Section 1.3.4)
1
V V V
4A Simplified Rehabilitation (Chapters 2, 10 4B
..
Systematic Rehabilitation (Chapters 2 through 9 and 11) 4C Other Choices

.. ..
and 11) Consider deficiencias (not in this standard)

.
ldentify building model type
Consider deficiencias
Select full or partial rehabilitation
..
Select rehabilitation strategy (Chapter 2)
Select analysis procedure (Chapters 2 and 3)
Consider general requirements (Chapter 2)
Reduce occupancy
Demolish

(Note: Simplified Rehabilitation shall be used

for Limitad Objectives only.)
li-
'IY ~ v
an
5A Pertorm Rehabilitation Design (Section

.
1.3.5)
5B
..
Perlorm Rehabilitation Design (Section 1.3.5)
Develop mathematical modal (Chapters 3 through 9 lar stiffness and strength

!1'
Determine and design rehabilitation
measures to meet applicable
ASCE 31 requirements
.Perform force and deformation response evaluation (Chapters 2 through 9 and 11)
Size elements, components, and connections (Chapters 2, 4 through 9, and 11)

d
111
ur-
ay --v v
od-
6A
.
Verify Rehabilitation Design (Section 1.3.6)
Reevaluate building to assure that
6B
..
Verily Rehabilitation Design (Section 1.3.6)
Apply component acceptance criteria (Chapters 2 through 9 and 11)
:r-
~d .
rehabilitation measures remove all
deficiencias without creating new ones
Review for economic acceptability
. Review lor conformance with requirements al Chapter 2
Review for economic acceptability

ich
v
6.1A Redesign Unacceptable
0
6.2A Prepare Construction
v
6.18 Redesign Unacceptable
v
6.28 Prepare Construction
Rehabilitation Oocuments ol Acceptable Rehabilitation Oocuments al Acceptable

ose .
(Section 1.3.6.1)
Return to 4A to reconsider
Rehabilitation

.
(Section 1.3.6.2) .
(Section 1.3.6.1)
Return to 48 to revise .
Rehabilitation (Section 1.3.6.2)
Develop construction

ics
Rehabilitation Objective or
to SAto revise correctiva
measures
Develop construction

..
documents
Begin rehabilitation
analysis and design orto
2 to reconsider
Rehabilitation Objective
..
documents
8egin rehabilitation
Exercise quality control
Exercise quality control

la-
ving FIGURE Cl-1. Rehabilitation Process.

5
SEISMIC REHABILITATION OF EXISTI G BUILDINGS

rehabilitation measures. Initial considerations shall can be provided , and nonhistoric buildings can be
include structural characteristics of the building, seis- demolished and replaced. Thc risks posed by non-
míe hazards including geologic sitc hazards known to structural components and contents can be reduced .
be present at the si te, results of prior seismic evalua- Seismic site hazards other than shaking can be
tions, building use and occupancy requirements, his- mitigated.
torie status, economic considerations, societal issues, Most ot'ten, however, when all alternatives are
and local jurisdictional requirements . considered, the options of modifying the building to
reduce the risk of damage should be studied. Such cor-
C1.3.1 Initial Considerations rective measures include stitTening or strengthening
The process of building rehabilitation will be sim- the structure, adding local componcnts to eliminate
plilied and made more efticient if information that sig- irregularities or tie the structure togcther, reducing the
nificantly affects the rehabilitation design is obtained demand on the structure through the use of seismic
and considered prior to beginning the process. isolation or energy dissipation devices, and reducing
Rehabilitation requirements mandated by local juris- the height or mass of the structure. Rehabilitation
dictions would be particularly important to determine strategies are di sc ussed in Chapter 2.
in the initial stages of a project.
The building owner should be aware of the range 1.3.2 Selection of Rehabilitation Objective
of costs and impacts of rehabilitation, including both A seismic Rchabilitation Objective shall
the variation associated with different Rehabilitation be selected for the building in accordance with
Objectivcs and the potential additional costs often Section 1.4.
associated with seismic rehabilitation, such as other
life safety upgrades, hazardous material removal , work C1.3.2 Selection of Rehabilitation Objective
associated with the Americans with Disabilities Act, The concepts and terminology of performance-
and nonseismic building remodeling. Also to be con- based design are new and should be carefully studied
sidcred are potential federal tax incentives for the and discussed with building owners before use . The
rehabilitation of historie buildings and for some other terminology used for target Building Performance
older nonresidential buildings. Lcvcls is intended to represent goals of design. The
Seismic hazards other than ground shaking may actual ground motion will seldom be comparable to
exist at the building site. The risk and possible extent that specitied in the Rehabilitation Objective, so in
of damage from gcologic si te hazards identified in most events, designs targcted at various damage states
Section 4.2.2 should be considered before undertaking may only determine relative performance. Ewn given
a rehabilitation aimed solely at reducing damage due a ground motion similar to that specitied in the
to shaking. In some cases it may be feasible to miti- Rehabilitation Objective and used in design , variations
gate the site hazard or rehabilitate the building and from stated performance objectives should be expected
still meel the selected performance leve!. In other and compliance with this standard should not be con-
cases, the risk due to site hazards may be so extreme sidered a guarantee of performance. Variations in
and dirticult to control that rehabilitation is neither actual performance could be associated with unknown
cost-clTective nor feasible. geometry and memher sizes in existing buildings,
The use of the building must be considered in deterioration of materials, incomplcte si te data, varia-
weighing the signilicance of potential temporary or tion of ground motion that can occur within a small
pennanent disruptions associated with various risk- area, and incomplete knowledgc and simplilications
mitigation schemes. Other limitations on modifications related to modeling and analysis. Information on the
to the building due to historie or aesthctic features expectcd reliability of achicving various target
must also be understood. The historie status of every Building Performance Levels when the requirements
building at least 50 years old should be determined are followed can be found in Chaptcr 2 of FEMA 274 1
(see Appendix A, Section A.6, Considerations for (FEMA 1997).
Historie Buildings). This determination should be The determin ation of the Rehabilitation Ohjcctive
made early as it could influence the choices of rehabil- dit'fers depending on whether the rehabilitation is R
itation approaches and techniques. mandated or voluntary. For a voluntary building reha-
There are many ways to reduce seismic risk, bilitation, the building owner shall selecta seismic
whcther the risk is to property, life safety, or post- rehabilitation for the building as specified in Sec-
earthquake use of the building. The occupancy of vul- tion 1.4. In a mandated rehahilitation project, the
nerable buildings can be reduced, redundant facilities rehabilitation objective i either stipulated directly by

6
 ASCE/SEI 41-06

local code or ordinance or the code ofticial is provided 1.3.6.2 Construction Documents
\\ ith guidelines for negotiating the rehabilitation lf the design of rehabilitation measures meets the
objective. acceptance criteria for the sele<.:ted Rehabilitation
Objective, and the decision is made to proceed with
the rehabilitation, construction documents shall be pre-
1.3.3 As-Built Information
pared and shall indude requirements for construction
Available as-built information for the building
quality assurance in accordance with Se<.:tion 2.7.
~a l! be obtained and a site visit shall be conducted as
pecitied in Section 2.2.
Cl.3.6.2 Construction Documents
At this stage, a cost estímate can be made to review
1.3.4 Rehabilitation Method
the economic acceptability of the design. Cost estimating
An applicable rehabilitation method shall be
or reviewing economic acceptability of the rehabilitation
de termined in accordance with Section 2.3.
design is not included in this standard, but is an essential
pan of the rehabilitation process shown in Fig. C 1-1.
Cl.3.4 Rehabilitation Method Construction costs are discussed in FEMA 276,
Rehabilitation can consist of the Simplified Example Applications (FEMA 1999), and FEMA 156
Rehabilitation Method or the Systematic and 157, Typical Costs for Seismic Rehabilitation of
Rehabilitation Method. These methods are defined in Buildings (FEMA 1995).
ec tion 2.3 and further explained in the associated If the design proves uneconomical or otherwise
ommentary of that section. not feasible, further retinement may be considered in
analysis, a differem rehabilitation scheme may be
1.3.5 Rehabilitation Measures designed ora dift'erent Rehabilitation Objective may
Rehabilitation measures shall be designed using be considered.
the applicable rehabilitation method . A successful rehabilitation project requires a good
set of construction documents with a quality assurance
program to ensure that the design is implemented prop-
1.3.6 Verification of Rehabilitation Design erly. Section 2.7 specities provisions for a quality assur-
The design of rehabilitation measures shall be ance program during the construction or implementation
veritied lo meet the requirements of this standard of the rehabilitation design. Other aspects of the imple-
;s through an analysis of the building, including the mentation process, including details of the preparation
n rehabilitation measures. The analysis shall be con- of construction documents, obtaining a building pennit,
istent with the procedures for the applicable rehabili- selection of a contractor, details of historie preservation
ns tation method specitied in Section 2.3. A separate techniques for panicular kinds of materials, and financ-
ed analytical evaluation shall be performed for each ing are not covered in this standard.
1-
combination of building performance and seismic
hazard specified in the selected Rehabilitation
Objective. 1.4 REHABILITATION OBJECTIVES

C1.3.6 Verification of Rehabilitation Design A seismic Rehabilitation Objective shall consist of one
At this stage, a cost estímate can be made using or more rehabilitation goals. Each goal shall consist
a conceptual or schematic design to verify economic of a target Building Performance Leve! detined in
acceptability. Section 1.5 and an Earthquake Hazard Leve! defined
in Section 1.6. Goals shall be selected considering
basic, enhanced, or limited objectives as defined in
1.3.6.1 Unacceptab/e Rehabilitation Sections 1.4.1 through 1.4.3.
If the design of rehabilitation measures fails to
\ve comply with the acceptance criteria for the selected
Rehabilitation Objective, the rehabilitation measures C1.4 REHABILITATION OBJECTIVES
a- shall be redesigned oran alternative rehabilitation
strategy with a different Rehabilitation Objective shall Recommendations regarding the selection of a
be implemented. This process shall be repeated until Rehabilitation Objective for any building are beyond
the design is in compliance with the acceptance crite- the scope of this standard. FEMA 274 (FEMA 1997)
y ria for the selected Rehabilitation Objective. discusses issues to consider when combining various

7
SEISMIC REHABILITATION OF EXISTING BUILDINGS

performance and seismic hazard levels. It should be Table Cl-1. Rehabilitation Objectives
noted that not all combinations constitute reasonable
or cost-effective Rehabilitation Objectives. This stan- Target Building
dard is writtcn under the premise that greater flexibil- Performance Lcvels
ity is required in seismic rehabilitation than in the
dcsign of new buildings. However, given that tlexibil-
ity, once a Rehabilitation Objective is selected, this
standard provides internally consistent procedurcs with
the necessary specificity to perform a rehabilitation
analysis and design .
Building performance can be described qualita-
tivcly in terms or the safety afforded building occupants
during and afler the event; the cost and feasibility of
restoring the building to its pre-earthquake condition; 50%/50 year a b e d
thc length or time the building is removed ti·om service
20%/50 ycar e f g h
to ciTect repairs; and economic, architectural, or historie
impacts on the larger community. These performance BSE-1
(- 10%/50 year i k
characteristics are directly relatcd Lo the extent or dam-
age that would be sustained by the building. BSE-2
In this standard, the extent of damage to a building (- 2%/50 ycar) m n o p
is categorized as a Building Performance Leve!. A 'Each cell in the above matrix represcnts a discretc Rehabilitation
broad range of targct Building Performance Levels may Objective.
2Thc Rehabilitmion Objectives in the matrix above may be used to
be sclected when dctermining Rehabilitation Objectives.
represelll the three specific Rehabilita! ion Objectives defined in
Probabilistic Earthquake Hazard Levels frequently
Sections 1.4.1 , 1.4.2, and 1.4.3, as follows:
used in this standard and their corresponding mean Basic Safety Objective ( BSO) k and p
return pcriods (the average number of years between Enhanced Objcctivcs k and m, n, oro
events of similar severity) are as follows: p and i or j
k and p and a, b, e, or f
Earthquake Having Mean Return m, n, oro alone
Probability of Exceedance Period (years) Limited Objectives k alone
p alone
50%/50 year 72 e, d, g, h, or 1 alone
20%/50 year 225
10%/50 year 474
2%/50 year 2,475

These mean return periods are typically rounded C1.4.1 Basic Safety Objective (BSO)
to 75, 225, 500, and 2,500 years, respectively. The BSO is intended to approximate the earth-
The Rehabilitation Objective selected as a basis quake risk to life safety traditionally considered
for design will determine, to a great extent, the cost acceptable in the United States. Buildings meeting
and feasibility of any rehabilitation project, as well as the BSO are expectcd to expcrience littlc damage
the benetit to be obtained in terms of improved safety, from relatively frequent, modcrate earthquakes, but
reduction in property damage, and interruption or use significantly more damage and potential economic
in the event of future earthquakes. Table C 1-1 indi- loss from the most severe and infrequent earthquakes
cates the range of Rehabilitation Objectives that may that could allect them . The leve! of damage and
be used in this standard. potential economic loss expcrienced by buildings
rchabilitatecl to the BSO may be greater than that
1.4.1 Basic Safety Objective cxpectecl in properly designccl and constructcd new
The Basic Safety Objective (BSO) is a Rehabili- buildings.
tation Objective that achieves the dual rehabilitation
goals of Life Safety Building Performance Leve! (3-C) 1.4.2 Enhanced Rehabilitation Objectives
for the BSE-1 Earthquake Hazard Leve! and Collapse Rehabilitation that providcs building performance
Prcvention Building Performance Leve! (5-E) for the exceccling that of the BSO is Lermecl an Enhanced
BSE-2 Earthquake Hazard Leve!. Objective. Enhanced Rehabilitation Objcctives shall

8
 ASCE/SEI 41-06

hieved using one or both of the following two seismic hazard or lower target Building Performance
Leve! than the BSO, is termed Reduced Rehabilita-
tion Objective. Reduced Rehabilitation shall be
13_ de igning for target Building Performance
designed tor one or more of the following objectives:
L eh that exceed those of the BSO at the BSE- 1
~· d leve!, the BSE-2 hazard leve!, or both. l. Life Safety Building Performance Leve! (3-C) for
desig ning for the target Building Performance earthquake demands that are equal to the BSE-1, or
el ' of the BSO using an Earthquake Hazard Collapse Prevention Building Performance Leve!
el that exceeds either the BSE-l or BSE-2 haz- (5-E) for earthquake demands that are equal to the
BSE-2, but not both;
2. Life Safety Building Performance Leve! (3-C) for
.U Enhanced Rehabilitation Objectives earthquake demands that are less severe (more
Enhanced Rehabilitation Objectives can be probable) than the BSE-1;
oed by designing for higher target Building 3. Collapse Prevention Building Performance Leve!
ormance Levels (method 1) or by designing using (5-E) tor earthquake demands that are less severe
_ r Earthquake Hazard Levels (method 2), ora (more probable) than the BSE-2; or
inmion of these methods. 4 . Building Performance Levels 4-C, 4-D, 4-E, 5-C,
5-D, 5-E, 6-C, or 6-D for BSE-1 or less severe
..3 Limited Rehabilitation Objectives (more probable) earthquake demands .
Reha bilitation that provides building performance
tlun that of the BSO is termed a Limited
uve. Limited Rehabilitation Objectives shall be C1.4.3.1 Reduced Rehabilitation Objective
.ed using Reduced Rehabilitation specitied in Rehabilitation tor the Life Safety Building
n 1.4.3. 1 or Partial Rehabilitation specified in Performance Leve! at the BSE-1 is a commonly used
· n 1.4.3.2, and shall comply with the following reduced rehabilitation objective.

1.4.3.2 Partial Rehabilitation Objective

The rehabilitation measures shall not result in a Rehabilitation that addresses a portion of the
redu ·tion in the performance leve! of the existing building without rehabilitating the complete lateral-
ilding; force-resisting system is termed Panial Rehabilitation .
_ The rehabilitation measures shall not create a new
1ructural irregularity or make an existing struclural
C1.4.3.2 Partial Rehabilitation Objective
rrregularity more severe;
A Partial Rehabilitation should be designed and
The rehabilitation measures shall no! result in an
constructed considering future completion of a
n.:rease in the seismic forces to any componen!
Rehabilitation Objective intended to improve the per-
at is deficient in capacity to resist such torces;
formance of the en tire structure.
and
.\JI new or rehabilitated structural components
hall be detailed and connected to the existing
1.5 TARGET BUILDING PERFORMANCE
tructure in compliance with the requirements of
LEVELS
thi ~ standard.
A target Building Performance Leve! shall consist
of a combination of a Structural Performance Leve!
:s l.-U Limited Rehabilitation Objectives selected from the levels specitied in Section 1.5.1 and
Reduction in pertormance should not necessarily a Nonstructural Performance Leve! selected from the
meas ured based strictly on a single componen! but, levels specified in Section 1.5.2. The target Building
r....ther, on the overall building performance. A partial Performance Leve! shall be designated alphanumeri-
r li mited rehabilitation could increase forces on some cally in accordance with Section 1.5.3.
ncritica l components without a reduction in the
\eral! performance of the building.
Cl.S TARGET BUILDING PERFORMANCE
ICe 1..1.3. 1 Reduced Rehabilita/ion Objective LEVELS
Rehabilitation that addresses the entire building Building performance is a combination of the
truc tural and nonstructural systems, but uses a lower performance of both structural and nonstructural

9
SEISMIC REHABILITATION OF EXISTING BUILDINGS

components. Table e 1-2 describes the approximate damage states identilied as target Building
limiting levels of structural and non structural damage Performance Level s in this standard have been
that may be expected of buildings rehabilitated Lo the selected because they havc rcadily identiliable conse-
levels detined in this standard. On average, the quences associatcd with the postearthquake di spos i-
expected damage would be less. For comparative pur- tion of the building that are mcaningful to the
poses, the estimated performance of a new building building community. These include the ability lo
subjected to the BSE-1 leve! of shaking is indicated. resume normal functions within the building, the
Performance descriptions in Tablee 1-2 are estimates advisability of postearthquake occupancy, and the
rather than precise predictions, and variation among risk to life safe ty.
buildings of the same target Building Performance Due to inherent uncertainties in prcdiction of
Level must be expectcd . ground motion and analytical prediction of building
Building performance in this standard is performance, some variation in actual performan ce
expressed in terms of target Building Performance should be expected. eompliance with this standard
Levels. These target Building Performance Level s are should not be considcred a guarantee of performance.
di screte damage states selected from among the inli- Information on Lhe rcliability of achieving various
nite spectrum of poss iblc damage states that buildings performance level s can be found in ehapter 2 of
could expericnce during an earthquake. The particul ar FEMA 274 (FEMA 1997).

Table el-2. Damage Control and Building Performance Levels

Target Building Performance Levels

Collapse lmmed iate
Prevention Life Safety Occupancy Operational
Level (5-E) Leve! (3-C) Leve! ( 1-B) Leve! ( 1-A)
Overall Damage Severe Modera te Li ght Very Light
General Little residual stiffness Some residual strength No permanent drift. No permanent drift.
and strength, but load- and stiiTness lefl in all Structure substantiall y Structure substantially
bearing eolumns and stories. Gravity- retains original retains original
walls function . Large load-bearing elements strength and st iffness. strength and stiiTness.
permanent drifts. Some funetion. No out-of- Minor cracking of Minor cracki ng of
exits blocked. lnfill s plane failure of wall s facades, partitions, and facacles , panitions, and
and unbraced parapets or tipping of parapets. cei lings as well as ceilings as wcll as
failed or at incipi ent Some permanent drift. structural elements. structural elemcnts. All
failure. Building is Damage to partitions. Elevators can be systems importantto
near eollapse. Building may be restarted. Fi re protec- normal operation are
beyond eeonomieal tion operable. functional.
repair.
Nonstructural Extensive damage. Falling hazarcls miti- Equipment ancl con- Negligible clamage
components gated but many arch i- tenis are gencrall y occurs. Power and
tectural, mechanical , secure, hut may not ot her utilities are avai l-
and electrical systems operate due lo mechan- able, possibly from
are damaged . ical failure or lack of stanclby sources.
utilities.
Comparison with Signillcantly more Somewhat more dam- Less damagc and lower Much lcss clamage ancl
performance intcnded clamage ancl greater age and slightly higher risk. lower ri sk.
for buildings designed risk. risk.
under the NEHRP
Provisions, for the
Design Earthquake

10
 ASCEISEI 41-06

1.5.1 Structural Performance Levels and Ranges The expected postearthquake state of the buildings
The Structural Performance Leve! of a building described in these tables is for comparative purposes
all be selected from four discrete Structural and should not be used in the postearthquake safety
Performance Levels and two intermediare Structural evaluation process.
Performance Ranges defined in this section.
The discrete Structural Performance Levels are 1.5.1.11mmediate Occupancy Structural
Im mediate Occupancy (S-1 ), Life Safety (S-3), Performance Leve/ (S-1)
Collapse Prevention (S-5), and Not Considered (S-6). Structural Performance Leve! S-1, Immediate
De ign procedures and acceptance criteria correspon- Occupancy, shall be defined as the postearthquake
mg to these Structural Performance Levels shall be as damage state in which a structure remains safe to
~c ified in Chapters 4 through 9 or Chapter 10. occupy, essentially retains its pre-earthquake design
The inrermediate Structural Performance Ranges strength and stiffness, and is in compliance with the
are the Damage Control Range (S-2) and the acceptance criteria specified in this standard for this
Lm1 ited Safety Range (S-4). Acceptance criteria for Structural Performance Leve!.
~rformance within the Damage Control Structural
Performance Range shall be obtained by interpolating Cl.5.l.llmmediate Occupancy Structural
_ tween the acceptance criteria provided for rhe Performance Leve/ (S-1)
Immediate Occupancy and Life Safety Structural Structural Performance Leve! S-1, Immediate
Performance Levels. Acceptance criteria for perfor- Occupancy, means the postearthquake damage state in
mance within the Limited Safety Structural Performance which only very limited structural damage has
Ra nge shall be obtained by interpolating between the occurred. The basic vertical- and lateral-force-resisting
·ceptance criteria provided for the Life Safety and systems of the building retain nearly all of their pre-
Collapse Prevention Structural Performance Levels. earthquake strength and stiffness. The risk of life-
threatening injury as a result of structural damage is
C1.5.1 Structural Performance Levels and Ranges very low, and although some minor structural repairs
A wide range of structural performance require- may be appropriate, these would generally not be
ments could be desired by individual building owners. required prior to reoccupancy.
The four Structural Performance Levels defined in this
tandard have been selected to correlate with the most 1.5.1.2 Damage Control Structural Performance
y
·ommonly specified structural performance require- Range (S-2)
ments. The two Structural Performance Ranges permit Structural Performance Range S-2, Damage
users with other requirements to customize their build- Control, shall be defined as the continuous range of
~d
mg Rehabilitation Objectives. damage states between the Life Safety Structural
Table C l-3 relates these Structural Performance Performance Leve! (S-3) and the Immediate
\11 Levels to the limiting damage states for common Occupancy Structural Performance Leve! (S-1 ).
\ertical elements of lateral-force-resisting systems.
Tab le C 1-4 relates these Structural Performance Levels C/.5.1.2 Damage Control Structural Performance
10 the limiting damage states for common horizontal Range (S-2)
e lements of building lareral-force-resisring systems. Design for the Damage Control Structural
Later sections of this standard specify design parame- Performance Range may be desirable to minimize
ters (such as m-facrors, componen! capacities, and repair time and operation interruption, as a partial
til- inelastic deformation capacities) specilied as limiting means of protecting valuable equipment and con-
values for attaining these Structural Performance tenis or to preserve importan! historie features when
Levels for a known earthquake demand. the cost of design for immediate occupancy is
The drift values given in Table C 1-3 are typical excessive.
nd values provided to illustrate the overall structural
response associated with various Structural Perfor- 1.5.1.3 Life Safety Structural Performance Leve/ (S-3)
mance Levels. They are not provided in these tables as Structural Performance Level S-3, Life Safety,
drift limit requirements for this standard, and do not shall be defined as the postearthquake damage state in
supersede componen! or element deformation limits which a structure has damaged components but retains
that are specified in Chapters 4 through 9, and 11. a margin against onset of partial or total collapse, and

11
 Table Cl-3. Structural Performance Levels and Damage 1.1.3 _ Vertical Elements

Structural Performance Levels

Collapse Prevention Life Safety lmmediate
Elements Type (S-5) (S-3) Occupancy (S-1)

Concrete Frames Primary Exrensive cracking and hinge Extensive damage to beams. Minor hairline cracking. Limited
fonnation in ductile elemcnts. Spalling of cover and shear yielding possible ata few loca-
Limited cracking and/or splice cracking ( < 1/8-in. width) for tions. No crushing (strains
failure in some nonductile ductilc columns. Minor spalling below 0.003).
columns. Severe damage in in nonductile columns. Joint
short columns. cracks < 1/8 in. wide.
Secondary Extensive spalling in columns Extensive cracking and hinge Minor spalling in a few places in
(limited sh01tening) and beams. formation in ductile·elements. ductile columns and beams.
Severe joint damage. Some rein- Limited cracking and/or splice Flexura) cracking in be::uns and
forcing buckled. failure in some nonductile columns. Shear cracking in
columns. Severe damage in joints < 1/ 16-in. width.
short columns.

Drift 4% u·ansient 2% transient; 1% transient ;

or pennanent. 1% permanent. negligible pennanent.
Steel Momem Frames Primary Extensive distottion of beams Hinges form. Local buckling Minor local yielding ata few
and column panels. Many frac- of so me beam elements. Severe places. No fractures. Minor
tures at moment connections, joint distortion; isolated moment buckling or observable perma-
but shear connections remain connection fractures, but shear nent dis1011ion of members.
intact. connections remain intact. A
few elements may experience
pattial fracture.

Secondary Same as primar y. Extensive distonion of beams Same as primary.

and column panels. Many frac-
tures at moment connections,
but shear connections remain
intact.

Drift 5% transient 2.5 % transient; 0.7 % transient.;

or permanent. 1% permanent. negligible permanent.
Braced Steel Frames Primm·y Extensive yielding and buckling Many braces yield or buckle but Minor yielding or buckling of
of braces. Many braces and their do not totally fail. Many con- braces.
connections may fail. ncctions may fail.

Secondary Same as primary. Same as primary. Same as primary.

Drift 2% transient 1.5% transient; 0.5 % transient;

or permanent. 0.5% permanent. negligible pennanent.
Concrete Walls Primary Major tlexural and shear cracks Some boundary element stress, Minor hairline cracking of
and voids . Sliding at joints. including limited buckling of walls, < 1/ 16 in. wide.
Extensive crushing and buck- reinforcement. Some sliding at Coupling beams experience
ling of reinforcement. Failure joints. Damage around open- cracking < 1/8- in. width.
around openings. Severe bound- ings. Some crushing and Jlex-
ary element damage. Coupling ural cracking. Coupling beams:
beams shattered and vittually extensive shear and tlexural
disintegrated. cracks; some crushing, but
concrete generally remains in
place.
Secondary Panels shattered and virtu- Major tlexural and shear Minor hairline cracking of
ally disintegrated . cracks. Sliding at joints. walls. Some evidence of
Extensive crushing. Failure sliding at construction joints.
around openings. Severe Coupling beams experience
boundary element damage. cracks < 1/ 8-in. width.
Coupling beams shattered Minor spalling.
and virtually disintegrated.
Drift 2% transient 1% transient ; 0.5% transient;
or permanent. 0.5 % permanenl. negligibll! permanent.

12
 Structural Performance Levels
Collapse Prevention Life Safety lmmediate
Elements Type (S-5) (S-3) Occupancy (S-1)

ed l nreinforced Primary Extensive cracking and crush- Extensive cracking and some
Minor (< 1/8-in. width) crack-
w:.onry lnfill Walls ing; ponions of face course crushing but wall remains in
ing of masonry intills and
shed. place. No falling units. Exten-
veneers. Minor spalling in
si ve crushing and spalling of
veneers at a few corner
veneers at corners of openings.
openings.
Secondary Extensive crushing and shatter- Same as primary. Same as primary.
, in ing; some walls dislodge.

d Drift 0.6% transient 0.5 % transient; 0.1 % transient;

or permanent. 0.3% permanent. negligible permanent.
nn:inforced Primary Extensive cracking; face course Extensive cracking. Noticeable
Minor (< 1/ 8-in. width) crack-
- la,onry (Noninfill) and veneer may peel off. in-plane offsets of masonry and
ing of veneers. Minor spalling in
. alls Noticeable in-plane and out -of- minor out-of-plane offsets.
veneers at a few corner open -
plane offsets.
ings. No observable out-of-plane
offsets.
Secondary Nonbearing panels dislodge. Same as primary. Same as primary.
Drift 1% transient 0.6% transient; 0.3 % transient;
or pennanent. 0.6% permanent. 0.3 % permanent.

ei nforced Masonry Primary Crushing; extensive cracking.

Extensive cracking (< 1/4 in.) Minor (< 1/ 8-in. width) crack-
· 'alls Damage around openings and at
distributed throughout wall. ing. No out-of-plane oft'sets.
corners. Some fallen units.
Some isolated crushing.
Secondary Panels shattered and villually Crushing; extensive cracking; Same as primar y.
disintegrated. damage around openings and at
corners; some fallen units.
Drift 1.5% transient 0.6% transient; 0.2% transient;
or permanent. 0.6% permanent. 0.2% pennanent.
~'ood Stud Walls Primary Connections loose. Nails par- Moderate loosening of connec- Distributed minor hairline crack-
of tially withdrawn. Some splitting tions and minor splitting of ing of gypsum and plaster
of members and panels. Veneers members. veneers.
dislodged.
Secondary Sheathing sheared off. Let-in Connections loose. Nails par- Same as primary.
braces fractured and buckled. tially withdrawn. Some splitting
Framing split and fractured. of members and panels.
Drift 3% transient 2% transient; 1% u·ansient;
or pennanent. 1% permanent. 0.25 % permanent.
Precast Concrete Primary Some connection failures but no Local crushing and spalling at Minor working at connections;
Connections elements dislodged. connections, but no gross failure cracks < 1/ 16-in. width at
of connections. connections.
Secondary Same as primary. So me connection failures but no Minor crushing and spalling at
elements dislodged. connections.

Foundations General Major settlement and tihing. Total settlements < 6 in. and dif- Minor settlement and negligible
ferential settlements < 1/ 2 in. tilting.
in 30ft.
of
'Damage states indicated in this table are provided to allow an understanding of the severity of damage that may be sustained by various structural elements where
present in su·uctures meeting the definitions of the Structural Performance Le veis. These damage states are not intended for use in postea11hquake evaluation of damage
li nts. or for judging the safety of, or required leve) of repair lo, a structure following an eanhquake.
nce 2 Drift values, differemial seulements, crack widths, and similar quantities indicated in these tables are not intended to be used as acceptance criteria for evaluating the

acceptability of a rehabilitation design in accordance with the analysis procedures provided in this standard; rather, they are indicative of the range of drift thattypical
SO'uctures containing the indicated structural elements may undergo when responding within the various Su·uctural Performance Levels. Drift control of a rehabilitated
structure may often be governed by the requirements to protect nonstructural components. Acceptable levels of foundation seulement or movement are highly depend-
en! on the construction of the superstructure. The values indicated are intended lO be qualitative descriptions of the approximate behavior of structures meeting the
indicated levels.
' For limiting damage to frame elements of infilled frames, refer 10 the rows for concrete or steel frames.

13
SEISMIC REHABILITATION OF EXISTI G BUILDINGS

Table Cl-4. Structural Performance Levels and Damage 1•2 -Horizontal Elements
Structural Performance Levels

Collapse Prevention Life Safety lmmcdiatc Occupancy

Element (S-5) (S-3) (S-I)

Metal Deck Large distortion with buckling Some localized failure of Connections between deck units
Diaphragms of some units and tearing welded connections of deck to and framing intact. Minor
of many welds and seam framing and between panels. distortions.
attachments. Minor local buckling of deck.
Wood Diaphragms Large permanent distortion with Some splitting at connections. No observable loosening or
partía! withdrawal of nails and Loosening of sheathing. withdrawal of fasteners. No
extensive splitting of elements. Observable withdrawal of fas- splitting of sheathing or
teners. Splitting of framing and framing.
sheathing.

Concrete Extensive crushing and observ- Extensive cracking(< 1/4-in. Distributed hairline cracking.
Diaphragms able offset across many cracks. width). Local crushing and Some minor cracks of larger
spalling. size (< 1/8-in. width).
Precast Diaphragms Connections between units fail. Extensive cracking(< 1/4-in. Some minor cracking along
Units shirt relative to each width). Local crushing and joints.
other. Crushing and spalling spalling.
at joints.
1Damage stales indicated in lhis lable are provided lo allow an understanding of the severity of damage lhat may be sustained by various structural

elcments where prcsent in structures meeting lhe definitions of the Structural Performance Le veis. These damage stales are nol in tended for use in
posteanhquake evaluation of damage or for judging the safety of, or required leve! of repair to, a structure following an eanhquake.
2 Drifl values, differential settlements, crack widlhs, and similar quantities indicated in these tables are not intcnded ro be uscd as acceptance crite-

ria for evaluating the acceptability of a rehabilitation design in accordance with the analysis procedures provided in this standard; rather, they are
indicative of lhe range of driflthat typical structures containing the indicated structural elements may undergo when rcsponding wilhin the various
Slructural Performance Le veis. Drift control of a rehabilitaled structure may orten be governed by lhe requiremenls lo protect nonstruclural com-
ponents. Acceplablt: levels of foundalion settlement or movement are highly dependenl on lhe conslruclion of thc superslructure. The values indi-
cated are in tended to be qualitalive descriplions of the approximate behavior of structures meeting the indicated levels.
Concrete Diaphragms

is in compliance with the acceptance criteria specitied structural repairs or install temporary bracing prior
in this standard for this Structural Performance to rcoccupancy.
Leve l.
1.5.1.4 Limited Safety Slructural Pe1jormance
CJ.5.1.3 Life Safety Structural Performance Range (S-4)
Leve/ (S-3) Struclural Performance Range S-4, Limited
Structural Performance Level S-3, Life Safety, Safely, shall be defined as the conlinuous range of
means the postearthquake damage state in which sig- damage states between the Li fe Safety Structural
nificant damage to Lhe structure has occurred but some Performance Level (S-3) and the Collapse Prevention
margin against either partial or total structural collapse Structural Performance Level (S-5).
remains. Some structural elements and components
are severely damaged but this has not resulted in large 1.5.1.5 Co/lapse Prevention Structural Performance
falling debris hazards, either inside or outside the Leve/ (S-5)
building. Injuries may occur during the earthquake; Structural Performance Leve] S-5, Collapse
however, the overall risk of life-threatening injury as a Prevention, shall be defined as Lhe postearthquake (
resulL of su·uctural damage is expected to be low. It damage state in which a structure has damaged com- L
should be possible to repair the structure; however, ponents and conlinues to support gravity loads but L
for economic reasons this may not be practical. retains no margin against collapse, and is in compli- r
Although the damaged structure is not an imminent ance with the acceptance criteria spccilied in this stan-
collapse risk, it would be prudent to implement dard for this Structural Performance Level.

14
 ASCE/SEI 41-06

CJ.S.l.S Collapse Prevention Structural Performance Occupant contents and furnishings (such as inventory
Leve/ (S-5) and computers) are included in these tables for some
Structural Performance Level S-5, Collapse levels but generally are not covered with specitic
Prevention, means the postearthquake damage state in requirements.
\ hich the building is on the verge of partial or total
.::ollapse. Substantial damage to the structure has 1.5.2.1 Operational Nonstructural Performance
·cmTed, potentially including significant degrada- Leve/ (N-A)
uo n in the stiffness and strength of the lateral-force- Nonstructural Performance Level N-A,
•esisting system, large permanent lateral deformation Operational, shall be defined as the postearthquake
f the structure, and-to a more limited extent-degra- damage state in which the nonstructural components
dation in vertical-load-carrying capacity. However, all are able to support the pre-earthquake functions pres-
igniticant components of the gravity-load-resisting ent in the building.
ys tem must continue to carry their gravity loads.
ignificant ri sk of injury dueto falling hazards from CJ.5.2.1 Operational Nonstructural Performance
tructural debris may exist. The structure may not be Leve/ (N-A)
technically practical to repair and is not safe for reoc- Al this level, most nonstructural systems required
upancy, as aftershock activity could induce collapse. for normal use of the building-including lighting,
plumbing, HVAC, and computer systems-are func-
1.5.1.6 Structural Performance Not tional, although minor cleanup and repair of some
Considered (S-6) items may be required . This Nonstructural Perfor-
A building rehabilitation that does not address mance Level requires considerations beyond those
the performance of the structure shall be classified that are normally within the sote province of the
pi
i.1:> Structural Performance Not Considered (S-6). structural engineer. In addition lo assuring that non-
In
structural components are properly mounted and
e- CJ.5.1.6 Structural Performance Not braced within the structure, it is often necessary to
e Considered (S-6) provide emergency standby utilities. It also may be
IUS
Some owners may desire to address certain non- necessary lo perform rigorous qualification testing
~
tructural vulnerabilities in a rehabilitation program- of the ability of key electrical and mechanical
i-
fo r example, bracing parapets or anchoring hazardous equipment items to function during or after strong
materials storage containers-without addressing the shaking.
performance of the structure itself. Such rehabilitation Specific design procedures and acceptance criteria
programs are somctimes attractive because they can for this Nonstructural Performance Level are not
pennit a significan! reduction in seismic risk at rela- included in this standard. Although the state of the art
tively low cost. for commercial construction does not provide a com-
plete set of references to be used for the seismic
1.5.2 Nonstructuml Performance Levels qualification and checking of nonstruclurai compo-
The Nonstructural Performance Level of a build- nents, the user is referred to the following documents
ing shall be selected from five discrete Nonstructural that m ay be use fui in seismically quali fying mechani-
Performance Levels, consisting of Operational (N-A), cal and electrical equipment for Operational
Immed iate Occupancy (N-B), Life Safety (N-C), Performance.
Hazards Reduced (N-D), and Not Considered (N-E).
Des ign procedures and acceptance criteria ror rehabili- l. AC-156. Acceptance Criteria for Seismic Qualifica-
ta tion of nonstructural components shall be as speci- tion Testing of Nonstructural Components (ICBO
tied in Chapter 1O or 1 l . 2000).
2. DOE/EH-545. Seismic Evaluation Procedure for
Cl.5.2 Nonstructural Performance Levels Equipment in U. S. Department of Energy Facilities
Nonstructural Performance Levels other than Not (lJ .S. Deparlment of Energy 1997).
Considered (N-E) are summarized in Tables C 1-5 3. IEEE 693. IEEE Recommended Practice for
through Cl-7. Nonstructural components addressed in Seismic Design of Substations (IEEE 1997).
this standard include architectural components such as 4. CERL Technical Report 97/58. The CERL
partitions, exterior cladding, and ceilings; and mechan- Equipment Fragility and Protection, Experimental
an- ical and electrical components, including HVAC sys- Dejinition of Equipment Vulnerability to Transient
tems, plumbing, tire suppression systems, and lighting . Support Motions (CERL 1997).

15
--

SEISMIC REHABILITATION OF EXISTI G BUILDINGS

Table Cl-5. Nonstructural Performance Levels and Damage 1 -Architectural Components

Nonslruclural Performance Levels

Hazards lmmediate
ReducecP Life Safety Occupancy Operati onal
Componen! (N-D) (N-C) (N-B) (N-A)

Cladding Severe distortion in connec- Scvere distortion in connec- Connections yield; minor Connections yield; minor
tions. Dislributed cracking, tions. Distributed cracking, cracks (< 1/ 16-in. width) cracks (< 1/ 16-in. width) or
bending, crushing, and bending, crushing, and or bending in cladding. bcnding in cladding.
spalling of cladding compo- spalling of cladding compo-
nents. Some fracturing of nenls . Some fracturing of
cladding, but panels do not cladding, but panels do not
fall in areas of public fall.
assembly.

Gl azing General shattered glass and Extensive cracked glass; lit- Some cracked panes; none Some cracked panes; nonc
distorted frames in unoccu- tle broken glass. broken. broken.
pied arcas. Extensive
cracked glass; liule broken
glass in occupied arcas.
Pm1iLion s Dis1ribu1ed damage; some Distributed damage; some Cracking lo aboul Cracking to aboul
severe cracking, crushing, severe cracking, crushing, 1/ 16-in . widlh al op.:nings. 1/ 16-in. width at opcnin gs.
and racking in some arcas. and racking in some arcas. Minor crushing and crack- Minor crushing and cracking
ing at corners at corners.

Ceilings Extcnsive damage. Dropped Extcnsive damagc. Dropped Minor damage. So me sus- Generally ncgligible dam-
suspended ceiling liles. suspended ceiling ti les. pemkd ceiling lilcs dis- age. lsolaled suspended
Modcralc cracking in hard Moderate cracking in hard rupted. A fcw panel s panel dislocalions, or cracks
ceilings. ceilings. dropped . Minor cracking in in hard ceilings.
hard ceilings.

Parap.:t s and Extensive damage; some Exlensive damage; some Minor damage. Minor damagc.
Ornamelllation falling in unoccupied areas. falling in unoccupied arcas.

Canopies and Moderale damage. Moderate damage . Minor damage. Minor damage.
M arquees

Chinmeys and Exlcnsive damage. No col- Extcnsive damage. No col- Minor cracking. Negligible damagc.
Stacks lapse. lapse.

S1airs ancl Fire Extensive racking. Loss of Some racking and cracking Mi nor dan1age. Negligible damage.
Escapes use. of slabs. Usable .

Doors Distribuled damage. Many Distributed damage . Somc Minor damagc. Doors M inor damagc. Doors oper-
racked and jammed doors. racked and jammed doors. operable. able.

1
Damage states indi cnted in thi s cable are provided to allow an unders tanding of the severity of damagc.:: that may be suswi ned by various nonstru ctural components
meeting the Nonstructural Performance Levcls defined in thi s standard. Tht: se damage states are nm intc.:nded for use in postearthquakt! evaluation of damage or for
judging the safely or required leve ! of rcpair following an earthquake.
2For the Hazards Reduced Pcrfonnance Leve!, high-hazard nonstru ctural components evaluated or rehabilitated to the Lil'e Saft!t)' criteria will have Hazards Reduced
performance identi callo that cxpectcd for the Life Safety Performance Leve l.

16
 ASCE/SEI 41-06

Table Cl-6. Nonstructural Performance Levels and Damage 1-Mechanical, Electrical, and
Plumbing Systems/Components

Nonstructural Performance Levels

Hazards Reduced' Life Safety lmmediate Occupancy Operalional

System/Component (N-O) (N-C) (N-B) (N-A)

Elevators Elevators out of service; Elevators out of service; Elevators operable; can be Elevators operate.
or counterweights off rails. counterwt!ights do not dis- started when power avail-
lodge. able.
HVAC Equipment Most units do not operate; Units shifl on suppmts, Units are secure and most Units are secure and oper-
many slide or overturn; rupluring attach.:d ducting, operate if power and ate. Emergency power and
some suspended units fall. piping, and conduit, but do other required utilities other utilities providt!d, if
not fall. are available. required.

Manufacturing Units slide and overturn; Units slide, but do not Units secure, and most Units secure and operable;
Equipment utilities disconnected. ovettum; utilities not avail- operable if power and util- power and utilities avail-
Heavy units require recon- able; some realignment ities available. able.
nection and realignment. required to operate.
Sensitive equipment may
not be functional.

;. Ducts Ducts break loase of Ducts break loose from Minor damage at joints, Negligible damage.
tng equipment and louvers; equipment and louvers; but ducts remain
some supports fail; some some suppotts fail; some serviceable.
ducts fall. ducts fall.

Piping Some lines rupture. Some Minor damage at joints, Minor leaks develop ata Negligible damage.
ks suppons fail. Some piping with some leakage. Some few joints.
fa lis. suppons damaged, but sys-
tems remain suspended.

Fire Sprinkler Systems Some sprinkler heads dam- Some sprinkler heads dam- Minor leakage ata few Negligible damage.
aged by collapsing ceil- aged by swaying ceilings. heads or pipe joints.
ings. Leaks develop at Leaks develop at some System remains
couplings. Some branch couplings. operable.
lines fail.
Fire Alann Systems Ceiling mounted sensors Ceiling mounted sensors System is functional. System is functional.
damaged. May not func- damaged. May not func-
tion . tion .

Emergency Lighting Some lights fall. Power Some lights fall. Power System is functional. System is functional.
er- may not be available. may be available from
emergency generator.
Electrical Distribution Units slide and/or overturn, Units shift on suppmts and Units are secure and gen- Units are functional.
Equipment rupturing attached conduit. may not operate. erally operable. Emergency power is pro-
Uninterruptable Power Generators provided for Emergency generators vi ded, as needed.
So urce systems fai l. Diesel emergency power start; statt, but may not be ade-
generators do not start. utility service lost. quate to service all power
requirements.

Light Fixlures Many broken light Many broken light fix- Minar damage. Some pen- Negligible damage.
fixtures . Falling hazards tures. Falling hazards gen- dant lights broken.
generally avoided in heav- erally avoided in heavier
ier fixtures (> 20 lb) in fi xtures (> 20 lb).
areas of public assembly.
Plumbing Some fixtures broken; Some fixtures broken, Fixtures and lines service- System is functional. On-
lines brokt!n; mains dis- lines broken; mains dis- able; however, utility serv- site water supply provided,
rupted al source. rupted al source. ice may not be available. if required.

1
Damage states indicated in this tableare provided 10 allow an understanding of the severity of damage that may be sustained by various nonstructural components
meeting the Nonstructural Performance Le veis detined in this standard. ·n,ese damage states are not intended for use in postearthquake evaluation of damage or for
judging the safety or required level of repair following an earthquake.
'For the Hazards Reduced Performance Leve), high-hazard nonstructural components evaluated or rehabilitated 10 the Life Safety criteria will ha ve Hazards Reduced
performance idemical to that expected for the Lite Safety Performance Level.

17
SEISMIC REHABILITATION OF EXISTJ G BUILDINGS

Table Cl-7. Nonstructural Performance Levels and Damage 1-Contents

Nonstructural Performance Levels

2
Hazards Reduced Life Safety lmmediate Occupancy Operational
Contents (N-D) (N-C) (N-B) (N-A)

Computer Systems Units roll and overturn, Units shift and may dis- Units secure and remain Units undamaged and
disconnect cables. connect cables, but do connected. Power may operable; power
Raised access floors not overturn. Power not not be available to oper- available.
collapse. Power not available. ate, and minar interna!
available. damage may occur.
Desktop Equipment Some equipment slides Some equipment slides Some equipment slides Equipment secured to
off desks. off desks. off desks. desks and operable.
File Cabinets Cabinets overturn and Cabinets overturn and Drawers slide open, but Drawers slide open, but
spill contents. spill contents. cabinets do not tip. cabinets do not ti p.
Book Shelves Shelves overturn and Books slide off shelves. Books slide on shelves. Books remai n on
spi 11 contents. shelves.
Hazardous Minar damage; occa- Minar damage; occa- Negligible damage; Negligible damage;
Materials sional materials spilled; sional materials spilled; materials contained. materials contained.
gaseous materials gaseous mate1ials
contained. contained.
Art Objects Objects damaged by Objects damaged by Some objects may be Objects undamaged.
falling, water, dust. falling, water, dust. damaged by falling.

'Damage states indicated in this tableare provided to allow an understanding of the severity of damage that may be sustained by various nonstruc-
tural components meeting the Nonstructural Performance Levels dellned in this standard. These damage states are not intended for use in
postearthquake evaluation of damage or for judging the safety or required leve! of repair following an earthquake.
2For the Hazards Reduced Performance Leve! , high-hazard nonstructural components evaluated or rehabilitated to the Life Safety criteria will have

Hazards Reduced performance identicalto that expected for the Lite Sal'ety Performance Leve!.

Where equipment and systems are required to be ing is structurally safe, occupants could safely remain
seismically qualified to achieve operational perfor- in the building, although normal use may be impaircd
mance, it is recommended that the seismic qualifica- and some cleanup and inspection may be required. In
tion procedures, testing, evaluation, and documenta- general, components of mechanical and electrical sys-
tion be peer reviewed. The peer review can follow the tems in the building are structurally secured and
procedures found in Sections 9.2.8 and 9.3.7 for should be able to function if necessary utility scrvice
Design Reviews except Lhal items to be reviewed are is available. However, some components may experi-
nonstructural components and systems. ence misalignments or interna( damage and be nonop-
erable. Power, water, natural gas, communications
1.5.2.2 lmmediate Occupancy Nonstructural fines, and other utilities required for normal building
Pelformance Leve/ (N-B) use may not be available. The risk of life-threatening
Nonstructural Performance Leve( N-B, Immediate injury due lo nonstructural damage is very low.
Occupancy, shall be delined as the postearthquake
damage state in which nonstructural components are 1.5.2.3 Life Safety Nonstructural Performance
damaged bul building access and lite safety systems- Leve/ (N-C)
including doors, stairways, elevators, emergency Nonstructural Performance Level N-C, Life
llighting, fire alanns, and tire suppression systems- Safety, shall be dclincd as the postearthquake damage
generally remain available and operable, provided state in which nonstructural components are damagcd
thal power is available. but the damage is notlife-threatening.

CJ.5.2.2 Immediate Occupancy Nonstructural C1.5.2.3 Life Safety Nonstructural Performance

Performance Leve/ (N-B) Leve/ (N-C)
Minor window breakage and slight damage could Nonstructural Performance Level C, Life Safety,
occur to some components. Presuming that the build- is the postearthquake damage state in which poten-

18
 ASCE/SEL41-06

ly ~ ignificant and costly damage has occurred to Safety Performance for the most-hazardous, highest-
:-tructural components but they have not b~com~ risk subset of the nonstructural components in the
lodged and fallen, threatening life safety either building.
1de or outside the building. Egress routes within the
1ld ing are not extensively blocked but may be 1.5.2.5 Nonstructural Performance Not
1paired by lightweight debris. HYAC, plumbing, ano Considered (N-E)
- e ~uppression systems may have been damaged, A building rehabilitation that does not address
~ ulting in local tlooding as well as loss of function. nonstructural components shall b~ classitied as
tho ugh injuries may occur during the earthquake Nonstructural Performance Not Considered (N-E).
m the failure of nonstructural components, overall,
risk of life-threatening injury is very low. CL.5.2.5 Nonstructural Performance Not
e:,toration of the nonstructural components m ay take Considered (N-E)
~ tensive effort. In some cases, the decision to rehabilitate the
structure may be made without addressing the vulnera-
J. -.2.4 Hazards Reduced Nonstructural Performance bilities of nonstructural components. It may be desir-
Leve/ (N-D) able todo this when rehabilitation must be perfonned
Nonstructural Performance Leve! N-D, Hazards without interruption of building operation. In some
eJuced, shall be detined as the postearthquake dam- cases, it is possible to perform all or most of the struc-
-=e state in which nonstructural components are dam- tural rehabilitation from outside occupied building
-=ed and could potentially create falling hazards, but areas. Extensive disruption of normal operation may
gh-hazard nonsu·uctural components identified in be required to perform nonstructural rehabilitation .
Chapter 11, Table 11-1, are secured to preven! fall ing Also, since many of the most severe hazards to life
nto areas of public assembly. Preservation of egress, safety occur as a result of structural vulnerabilities,
otection of tire suppression systems, and similar some municipalities may wish to adopt rehabilitation
e- ordinances that require structural rehabilitation only.
·e-safety issues are not addressed in this
_·onstructural Performance Leve!.
ve 1.5.3 Designation of Target Building Performance
Cl.5.2.4 Hazards Reduced Nonstructural Levels
Performance Leve/ (N-D) A target Building Performance Leve! shall be des-
Nonstructural Performance Leve! D, Hazards ignated alphanumerically with a numeral representing
. educed, represents a postearthquake damage state in the Structural Performance Leve! and a letter repre-
hich extensive damage has occurred to nonstructural senting the Nonstructural Performance Leve! (such as
~ mponents, but large or heavy items that pose a high 1- B or 3-C). If a Structural Performance Leve! other
)-
~ k of falling hazard toa Iarge number of people- than Immediate Occupancy (S-I), Life Safety (S-3),
uch as parapets, cladding panels, heavy plaster ceil- Collapse Prevention (S-5), or Not Considered (S-6) is
ngs, or storage racks-are prevented from falling. The selected, the numerical designation shall represen!
azards associated with exterior components along the Structural Performance Range for Damage Con-
¡- ~ rtions of the exterior of the building that are avail-
ble for public occupancy have been reduced.
u·ol (S-2) or Limited Safety (S-4).

Although isolated serious injury could occur from Cl.S.3 Designation of Target Building Performance
falling debris, failures that could injure large numbers Le veis
of persons-either inside or outside the structure- Severa! common target Building Performance
ho uld be avoided. Levels described in this Section are shown in Fig. Cl-2.
Nonstructural components that are small, light- Many combinations are possible as structural perfor-
weight, or close to the ground may fall but should not mance can be selected at any leve! in the two Struc-
cause serious injury. Larger nonstructural components tural Performance Ranges. Table Cl-8 indicates the
ge m areas that are less likely to be populated may also possible combinations of target Building Performance
d fa ll. Levels and provides names for those most likely to be
The intent of the Hazards Reduced Performance selected as the basis for design.
Leve! is to address significan! nonstructural hazards
without needing to rehabilitate all of the nonstructural 1.5.3.1 Operational Building Performance Level (1-A)
components in a building. When using this perform- To attain the Operational Building Performance
¡y. ance leve!, it will generally be appropriate to consider Leve! (l-A), the structural components of the building
Hazards Reduced Performance as equivalent to Life shall meet the requirements of Section 1.5.1.1 for the

19
SEISMIC REHABILITATION OF EXISTING BUILDINGS

Immediate Occupancy Structural Performance Leve! higher performance

less loss
(S-I) and the nonstructural components shall meet the
requirements of Section 1.5.2 . 1 for the Operational Expected Post -Earthquake
Dama ge S tate
Nonstructural Performance Leve! (N-A).
Operational (1-A)
Backup utility services maintain
C1.5.3.1 Operational Building Pe1jormance Leve/ (1-A) fu nchons: very littl e damage.
(S-1 & N-A)
Buildings meeting this target Building
Performance Leve! are expected to sustain minimal or
no damage to their structural and nonstructural compo- lmmediate Occupancy (1-B)
nents. The building is suitable for its normal occu- The building remains sale to
occupy; any repairs are minor.

T
pancy and use, although possibly in a slightly (S-1 & N-B)

impaired mode, with power, water, and other required

utilities provided from emergency sources, and possi- Lite Satety (3-C)
Structure remains stable and
bly with some nonessential systems not functioning. has significan! reserve
Buildings meeting this target Building Performance capacity; hazardous
nonstructural damage is
Level posean extremely low risk to life safety. controlled. (S-3 & N-C)

Under very low levcls of earlhquake ground

motion , most buildings should be able lo mee! or Collapse Prevention (5-E)
The building remains standing,
exceed this target Building Performance Level. but only barely; any other
damage or loss is acceptable.
Typically, however, it will not be economically practi- (S-5 & N-E)
ca! to design for this target Building Performance
lower performance
Leve) for severe ground shaking, except for buildings more loss

that house essential services. FIGURE Cl-2. Target Building Performance Levels
and Ranges.
1.5.3.2 Immediate Occupancy Building Performance
Level (1-B)
To attain the Immediate Occupancy Building C1.5.3.2 Immediate Occupancy Building
Performance Leve) (l-B), the structural components of Performance Leve[ (1-B)
the building shall meet the requirements of Sec- Buildings meeting this target Building Performance
tion 1.5.1 . 1 for the Immediate Occupancy Structural Leve) are expected to sustain minimal or no damage to
Performance Level (S-I) and the nonstructural compo- thcir structural clcmcnts and only minor damage to their
nents of the building shall meet the requiremcnts of nonstructural components. Whilc it would be safe to
Section 1.5.2.2 for the Immediate Occupancy reoccupy a building meeting this target Building
Nonstructural Performance Leve) (N-B). Performance Leve! immediately following a major

Table Cl-8. Target Building Pe..Cormance Levels and Ranges

Structural Performance Levels and Ranges

Damage Limited
Nonstructural lmmediate Control Life Safety Collapse Not
Performance Occupancy Rangc Safcty Range Prcvention Considered
Levels (S-I) (S-2) (S-3) (S-4) (S-5) (S-6)

Operational (N-A) Operational 2-A Not Not Not Not

1-A recommended recommended recommended rccommended
lmmediate Occupancy lmmediate 3-B Not Not Not
(N-B) Occupancy 1-B 2-B recommended recommended recommended
Life Safety (N-C) 1-C 2-C Life Safety 3-C 4-C 5-C 6-C
Hazards Reduced Not 2-D 3-D 4-D 5-D 6-D
(N-D) recommended
Not Considered Not Not Not 4-E Collapse Not
(N-E) recommended recommended recommcnded Prevention 5-E rehabilitation

20
 ASCEISEI 41-06

~:mhquake, nonstructural systems may not function, ing from failure of nonstructural components. However,
lher because of the lack of electrical power or interna] because the building itself does not collapse, gross loss
1age to equipment. Therefore, although .immediate of life may well be avoided. Many buildings meeting
cupancy of the building is possible, it may be nec- this level will be complete economic losses.
~ to perform some cleanup and repair and await Sometimes this leve! has been selected as the basis
res toration of utility service before the building can for mandatory seismic rehabilitation ordinances enacted
nction in a normal mode. The risk to life safety at this by municipalities, as it results in mitigation of the most
get Building Performance Leve] is very low. severe lite-satety hazards at relatively low cost.
Many building owners may wish to achieve this
.:'.el of performance when the building is subjected to
erate earthquake ground motion. In addition, some 1.6 SEISMIC HAZARD
ners may desire such performance for very importan!
ildings under severe earthquake ground shaking. This Seismic hazard due to ground shaking shall be based
el provides most of the protection obtained under the on the location of the building with respect to
'(>erational Building Performance Leve! without the causative faults , the regional and site-specific geologic
~ t of providing standby utilities and perfom1ing rigor- characteristics, and a selected Earthquake Hazard
seismic qualitication of equipment performance. Level. Assessment of seismic hazard due to earlh-
quake-induced geologic site hazards shall be per-
1.5.3.3 Life Safety Building Performance Leve[ (3-C) formed in accordance with Chapter 4.
To attain the Life Safety Building Performance Seismic hazard due to ground shaking shall be
Leve! (3-C), the structural components of the building defined as acceleration response spectra or accelera-
11 meet the requirements of Section 1.5.1.3 for the tion time-histories on either a probabilistic or deter-
Life Safety Structural Performance Leve! (S-3) and the ministic basis. Acceleration response spectra shall be
veis
onstructural components shall meet the requirements developed in accordance with either the General
f Section 1.5.2.3 for the Lite Safety Nonstructural Procedure of Section 1.6.1 or the Site-Specific
Performance Level (N-C). Procedure of Section 1.6.2. Acceleration time histories
shall be developed in accordance with Section 1.6.2.2.
CJ.5.3.3 Life Safety Building Performance Leve/ (3-C) The leve! of seismicity of the si te of the building shaJJ
Buildings meeting this level may experience exten- be determined as specitied in Section J .6.3 .
mee ive damage to structural and nonstructural components. Unless otherwise approved, the site-specitic pro-
to epairs may be required before reoccupancy of the cedure shall be used where any of the following condi-
he ir bui lding occurs, and repair may be deemed economi- tions apply:
-..ally impractical. The risk to Jite safety in buildings
:neeting this target Building Performance Leve! is Jow. l . The building is Jocated on Type E soils (as detined
This target Building Performance Leve! entails in Section 1.6. 1.4) and the mapped BSE-2 spectral
~ mewhat more damage than anticipated for new response acceleration at short periods (S5) exceeds
uildings that have been properly designed and con- 2.0;
tructed for seismic resistance when subjected to their 2. The building is located on Type F soils as defined
Jesign earthquakes. Many building owners will desire in Section 1.6. J .4.
to meet this targel Building Performance Leve] for
evere ground shaking. EXCEPTION: Where S5 determined in accor-
dance with Section 1.6.1 . 1 is less than 0.20, use of a
red
1.5.3.4 Collapse Prevention Building Performance Type E soil profile shall be permiued.
Lel ef (5-E)
1

To allain the CoJJapse Prevention Building Perfor-

:nded mance Leve! (5-E), the structural components of the Cl.6 SEISMIC HAZARD
building shall meetthe requirements of Section 1.5.1 .5
:nded for the Collapse Prevention Structural Performance Level The analysis and design procedures of this standard
(S-5). Nonstructural components are not considered. are primarily aimed at improving performance of
buildings under Joads and deformations imposed by
C1.5.3.4 Collapse Prevention Building Performance seismic shaking. However, other seismic hazards
Leve[ (5-E) could exist at the building site that could damage Lhe
Buildings meeting this target Building Performance building regardless of its ability to resist ground shak-
ation
Level may pose a signiticant hazard to life satety resuh- ing. These hazards include fault rupture, liquefaction

21
SEISMIC REHABILITAT!ON OF EXISTI G BUILDINGS

or other shaking-induced soil failures, landslides, and 3. Obtain design spectral response acceleration
inundation from off-site eiTects such as dam failure or parameters by adjusting thc mapped or modifled
tsunami . spectral response acceleration parameters for site
This standard requires hazards due Lo earthquake class effects, in accordance with Section 1.6. 1.4;
shaking to be de1ined on either a probabilistic ora 4. Ir the desired Earthquake Hazard Leve) is the Basic
deterministic basis. Probabilistic hazards are detined Safety Earthquake 2 (BSE-2), obtain spectral
in terms of the probability that more severe demands response acceleration parameters in accordance
will be experienced (probability of exceedance) in a with Section 1.6. 1. 1;
given period (often 50 years). Deterministic demands 5. Ir the desired Earthquake Hazarcl Leve! is the Basic
are delined within a leve! of contidence in terms of a Safety Earthquake 1 (BSE-1 ), obtain the spectral
specilic magnitude event on a particular major active response accelcration parameters in accordance
fault. with Section 1.6. 1.2; and
This standard defines two basic Earthquake 6. Using the design spectral response acceleration
Hazard Levels: Basic Safety Earthquake 1 (BSE-1) parameters that have been adjusted for site class
and Basic Safety Earthquake 2 (BSE-2). eiTects, develop the general response spectrum in
In addition Lo the BSE-1 and BSE-2 Earthquake accordance with Section 1.6. 1.5.
Hazard Levels, Rehabilitation Objectives may be
formed considering ground shaking due to Earthquake C1.6.1 General Procedure for Hazard Due to
Hazard Levels with any delined probability of Ground Shaking
exceedance, or based on any deterministic event on a This standard uses the latest national earthquake
specilic fault. hazard maps developed by the United States
Site-specilic procedures should be used where the Geological Survey (USGS) as part of a joint effort
Maximum Considered Earthquake (MCE) maps do not with the Building Seismic Safety Council, known as
adequately characterize the local hazard. Such condi- Projcct 97. National probabilistic maps were devel-
tions may exist at some near-fault locations. oped for ground motions with a 10% chance of
exceedance in 50 years, a 10% chance of exceedance
1.6.1 General Procedure for Hazard Due to Ground in 100 years (which can also be expressed as a 5%
Shaking chance of exceeclance in 50 years), and a 10% chance
The seismic hazard due to ground shaking shall of exceedance in 250 years (which also can be
be delined for any Earthquake Hazard Levelusing expressed as a 2 % chance of exceedance in 50 years).
approved spectral response acceleration contour maps These probabilities correspond to motions that are
of 5%-damped response spectrum ordinales for short- expccted Lo occur, on average, about once every 500,
period (0.2 sec) and long-period (1 sec) response. 1,000, and 2,500 years. In addition , local ground
The short-period spectral response acceleration motions in regions with well-delined earthquake
parameter, S5, and the long-period response accelera- sources, known as dcterministic motions, were used to
Lion parameter, S,, shall be determined as follows: develop MCE maps. Background information on thc
development of the MCE maps through Project 97 can
l. If the desired Earthquake Hazard Leve) corresponds be found in the 2003 NEHRP Provisions Commentary
Lo one of the mapped Earthquake Hazard Levels, (FEMA 2004).
obtain spectral response acceleration parameters The Rchabilitation Objcctive options fcaturccl in
directly from the maps. Values between contour this standard allow consiclcration of any ground
lines shall be interpolated in accordance with the motion that may be of intercst. However, for delining
procedure in Section 1.6.1.1; BSE-1 and BSE-2 Earthquake Hazard Levcls, and
2. lf the desired Earthquake Hazard Leve! does not for convenience in delining thc grouncl motion for
correspond Lo the mapped level s of hazard, then other Earthquake Hazard Levels , the 10%/50-year
obtain the spectral response acceleration parameters probabilistic maps and the MCE maps dcvcloped in
from the available maps and modify them to Lhe Project 97 are refcrenced in this standard . This collec-
desired hazard levcl , either by logarithmic interpo- tion of maps, referred toas the National Earthquake
lation or extrapo lation, in accordance with Sec- Hazards Reduction Program (NEHRP) design map set
tion 1.6. 1.3. It shall also be permitted Lo obtain the (Maps 1 through 32), is available from the FEMA
spectral response acceleration parameters by direct Di stribution Ccnter at 1-800-480-2520, online at
interpo lation of the seismic hazard curves where hllp://earthquake.usgs.gov/rcsearch/hazmaps/, or on a
available; CD-ROM from the USGS .

22
 ASCE/SEI 41-06

T he MCE ground motion maps were developed This standard requires earthquake shaking
. the USGS in conjunction with the Seismic Design demands to be expressed in terms of ground motion
Procedure Group (SDPG) appointed by the Building response spectra or suites of ground motion time histo-
i:,m ic Safety Council (BSSC). The effort utilized the ries, depending on the analysis procedure selected.
est seismological information to develop design Although the maps provide a ready source for this
ponse acceleration parameters with the intent of type of information, this standard may be used with
o iding a uniform margin against collapse in all approved seismic hazard data from any sow·ce, as long
:-eas of the United States. The MCE ground motion as it is expressed as a response spectrum.
C ps are based on seismic hazard maps, which are
2%/50-year earthquake ground motion hazard 1.6.1.1 BSE-2 Spectral Response Acceleration
ps for regions of the United States that have differ- Parameters
01 ground motion attenuation relationships, and The design short-period spectral response acceler-
_ deterministic ground motion maps in regions of ation parameter, Sxs• and design spectral response
gh seismicity with the appropriate ground motion acceleration parameter ata 1-sec period, Sx 1, for the
· enuation relationships for each region. The deter- BSE-2 Earthquake Hazard Leve! shall be determined
tnis tic maps are used in regions of high seismicity using values of S5 and S1 taken from approved
here frequent large earthquakes are known lo occur, Maximum Considered Earthquake (MCE) spectral
the rare earthquake ground motions corresponding response acceleration contour maps and modified for
the 2%/50-year hazard are controlled by the large si te class in accordance with Section 1.6.1.4.
ertainties in the hazard studies, which results in Parameters S5 and S1 shall be obtained by interpo-
nu ually high ground motions . These high ground lating between the values shown on the map for the
tions were judged by the Seismic Design Procedure spectral response acceleration contour lines on either
Group (SDGP) to be inappropriate for use in design. side of the si te, or by using the value shown on the
:Oe use of these different maps to develop the MCE map for the higher contour adjacent to the site.
::taps required SDGP to define guidelines for integrat-
e ng the maps into the design ground motion maps .
C/.6.1.1 BSE-2 Spectral Response Acceleration
The most rigorous guideline developed was for
Parameters
e .:ntegrating the probabilistic and the deterministic maps.
The latest MCE contour maps are contained in
To integrate the probabilistic maps and the deterministic
Maps 1 through 24 of the NEHRP design map set.
). map, a transition zone set at 150% of the leve) of the
The BSE-2 Earthquake Hazard Leve! is consistent
1994 NEHRP Provisions was used and is extensively
with MCE in FEMA 450 (FEMA 2004). In most areas
Ji cussed in the 2003 NEHRP Provisions Comrnentary.
of the United S tates, the BSE-2 Earthquake Hazard
The goal of this guideline was to not exceed the deter-
Leve! has a 2% probability of exceedance in 50 years
mi nistic ground motion in these areas of high seismicity
(2%/50-year). In regions close to known faults with
lO here earthquake faults and maximum magnitudes are
significant slip rates and characteristic earthquakes
relatively well-detined. The remaining guidelines were
with magnitudes in excess of about 6.0, the BSE-2
·an more subjective and were related to smoothing irregular
Earthquake Hazard Leve) is limited by a deterministic
ry ·ontours, joining contours in areas where closely spaced
estímate of ground motion based on 150% of the
·ontours of equal values occuJTed (particularly in areas
median attenuation of rhe shaking likely to be experi-
n where faults are known to exist, but the hazard parame-
enced as a result of such a characteristic event. Ground
ters are not well-defined), increasing the response accel-
shaking levels determined in this manner will typically
eration parameters in small areas surrounded by higher
correspond lo a probability of exceedance greater than
parameters, and so forth .
2% in 50 years.
Based on the process used to develop the MCE
maps, there are sorne locations where the mapped
acceleration response parameters in the MCE maps 1.6.1.2 BSE-1 Spectral Response Acceleration
exceed the mapped acceleration response parameters Parameters
e-
in the 2%/50-year probabilistic maps . These locations The design short-period spectral response acceler-
¡
set occur primarily in the New Madrid , Missouri area; the ation parameter, Sxs• and design spectral response
Salt Lake City, Utah area; coastal California; and the acceleration parameter ata 1-sec period, Sx 1, for the
Seaule, Washington area. This is an intended result of BSE-1 Earthquake Hazard Leve! shall be taken as the
the process and the mapped values represent the smaller of the following:
a
appropriate values as determined by SDGP. l . The values of S5 and S 1 taken from approved
1Oo/o / 50-year spectral response acceleration

23
SEISMIC REHABILITATION OF EXISTING BUILDINGS

contour rnaps and modified for site class in accor- where

dance with Section 1.6.1.4. Values between contour
In(S;) = naturallogarithm of the spectral response
1ines shall be interpolated in accordance with the
acceleration parameter ("i" = "S" for
procedure in Section 1.6.1.1; or
short-period, or "i" = 1 for 1-sec period)
2. Two-thirds of the values of the parameters for the
at the desired probability of exceedance;
BSE-2 Earthquake Hazard Leve!, determined in
ln(S; 10¡50) = natural logarithm of the spectral response
accordance with Section 1.6.1.1.
acceleration parameter ("i" = "S" for
short-period, or "i" = 1 for 1-sec period)
C1.6.1.2 BSE-1 Spectral Response Acceleration ata 10%/50-year exceedance rate;
Parameters ln(SiBsE- 2 ) = natural logarithm of the spectral response
The latest 10%/50-year contour maps are con- acceleration parameter ("i" = "S" for
tained in Maps 25 through 30 of the NEHRP design short-period, or "i" = 1 for 1-sec period)
map set. In determining BSE-1 parameters, the modifi- for the BSE-2 hazard leve!; and
cation for site class shall be made prior to application ln(PR) = naturallogarithm of the mean return
of the two-thirds factor on BSE-2 parameters. period corresponding to the exceedance
This standard has not directly adopted the concept probability of the desired Earthquake
of a design earthquake solely based on two-thirds of the Hazard Leve!.
MCE leve!, as in FEMA 450 (FEMA 2004). This
The mean return period, P R• at the desired exceed-
design earthquake would have a different probability of
ance probability shall be calculated from Eq. 1-2:
exceedance throughout the nation (depending on the
seismicity of the particular region), which would be
(Eq. 1-2)
inconsistent with the intent of this standard lo permit
design for specitic levels of performance for hazards
that have specific probabilities of exceedance. The where PEr is the probability of exceedance (expressed
BSE-1 Earthquake Hazard Level is similar, but not as a decimal) in time Y (years) for the desired
identical, to the concept of the FEMA 450 design earth- Earthquake Hazard Level.
quake. It is detined as ground shaking having a 10% Where the mapped BSE-2 short-period spectral
probability of exceedance in 50 years (10%/50-year), response acceleration parameter, S5 , is greater than or
but not exceeding values used for new buildings taken as equal to 1.5, the moditied mapped short-period spec-
two-thirds of the BSE-2 motion (i.e., two-thirds MCE). tral response acceleration parameter, S5 , and the modi-
tied mapped spectral response acceleration parameter
ata 1-sec period, S 1, for probabilities of exceedance
1.6.1.3 Adjustment of Mapped Response Acceleration between 2%/50 years and 10%/50 years shall be
Parameters for Other Probabilities of Exceedance determined from Eq. 1-3:
Acceleration response spectra for earthquake haz-
ard level corresponding to probabilities of exceedance
other than 2%/50 years and 10%/50 years shall be
S;= Sno;5o( ;R y
5
(Eq. 1-3)

determined using the procedures specitied in Sec- where S;, S; 10¡50, and PR are as detined abo ve and n
tions 1.6.1.3.1 or 1.6.1.3.2. shall be obtained from Table 1-1.
Table 1-1. Values of Exponent n for Determination
1.6.1.3. 1 Probabilities of Exceedance Between 2%/50 of Response Acceleration Parameters at
Years and JO%/ 50 Years For probabilities of Earthquake Hazard Levels between 10%/50 Years
exceedance, PEr, between 2%/50 years and 10%/ and 2%/SOYears
50 years, where the mapped BSE-2 short-period spec-
tral response acceleration parameter, S5 , is less than Values of Exponent n for
1.5, the moditied mapped short-period spectral
response acceleration parameter, S5 , and modified Region
mapped spectral response acceleration parameter at a California 0.29 0.29
1-sec period, S1 , shall be determined from Eq. 1-1: Pacific Northwest 0.56 0.67
lntermountain 0.50 0.60
ln(S;) = ln(S; 10¡50 ) + {[ln(S;BsE-2) - ln(S;w¡so)) Central U.S. 0.98 1.09
Eastern U.S. 0.93 1.05
· [0.606 ln(PR) - 3.73)}
(Eq. 1-1) Sites where mapped BSE-2 values of S, 2: 1.5.

24
 ASeEJSEI 41-06

C 1.6.1.3. 1 Probabilities of Exceedance Between 1.6.1.4 Adjustment for Site Class

2%/50 Years and 10%/50 Years Tables l-l through The design short-period spectral response acceler-
1-3 specify ti ve regions, three of which are not yet ation parameter, Sx5 , and the design spectral response
specifically detined, namely lntermountain, Central acceleration parameter at 1 sec, Sx¡, shall be obtained
U.S., and Eastern U.S. from Eqs. 1-4 and 1-5, respectively, as follows:

1.6.1.3.2 Probabilities of Exceedance Greater than (Eq. 1-4)

10%/50 Years For probabilities of exceedance greater
lhan 10%/50 years, where the mapped short-period (Eq. 1-5)
:;pectral response acceleration parameter, S5 , is less
lhan 1.5, the moditied mapped short-period spectral where Fu and Fv are site coefficients determined
response acceleration parameter, S5, and the modified respectively from Tables l-4 and 1-5, based on the
mapped spectral response acceleration parameter at a si te class and the values of the response accelera-
1-sec period, S1, shall be determined from Eq. 1-3, tion parameters S5 and S1 for the selected return
"·here the exponent n is obtained from Table 1-2. period.
For probabilities of exceedance greater than
Hl%/50 years, where the mapped short-period spectral
response acceleration parameter, S5 , is greater than or Table 1-4. Values of Fa as a Function of Site Class
c:qual to 1.5, the modified mapped short-period spec- and Mapped Short-Period Spectral Response
lral response acceleration parameter, S5 , and the modi- Acceleration Ss
fied mapped spectral response acceleration parameter
31 a 1-sec period, S 1 , shall be determined from Eq. 1-3, Mapped Spectral Acceleration at Short-Period S5 1
Si te
where the exponent n is obtained from Table 1-3. e!ass S5 ::; 0.25 Ss = 0.50 S5 = 0.75 S5 = 1.00 Ss ~ 1.25

Table 1-2. Values of Exponent n for Determination A 0.8 0.8 0.8 0.8 0.8
B 1.0 1.0 l. O 1.0 1.0
of Response Acceleration Parameters at
e 1.2 1.2 1.1 1.0 1.0
Probabilities of Exceedance Greater than
D 1.6 1.4 1.2 1.1 1.0
10%/50 Years 2.5 1.2 0.9 0.9
E 1.7
F * * * * *
Values of Exponent n for
*Site-specific geotechnical investigation and dynamic site response
Region Ss S, analyses shall be performed.
'Straight-line interpolation shall be used for intermediate values
California 0.44 0.44
of S,.
Pacitic Northwest
.llld Intermountain 0.54 0.59
Central and Eastern
) Table 1-5. Values ofF. as a Function of Site Class
I!.S. 0.77 0.80
and Mapped Spectral Response Acceleration at
Sik:s where mapped BSE-2 values of S, < 1.5. 1-Sec Period S 1

Table 1-3. Values of Exponent n for Determination Mapped Spectral Acceleration at Short-Period S 11
Si te
of Response Acceleration Parameters at e!ass S, ::; 0.1 S, = 0.2 S, = 0.3 S 1 = 0.4 S, ~ 0.50
Probabilities of Exceedance Greater than
10%/50 Years A 0.8 0.8 0.8 0.8 0.8
B 1.0 1.0 1.0 !.O 1.0
e 1.7 1.6 1.5 1.4 1.3
Values of Exponent n for
D 2.4 2.0 1.8 1.6 1.5
Region Ss s, E 3.5 3.2 2.8 2.4 2.4
F * * * * *
¡) California 0.44 0.44
7 Pacific Northwest 0.89 0.96 *Site-specific geotechnical investigation and dynamic site response
[) kermountain 0.54 0.59 analyses shall be performed.
!) Central U.S. 0.89 0.89 'Straight-line interpolation shall be used for intermediare values
E.astern U.S. 1.25 1.25 ofS1 •
5
Siles where mapped BSE-2 values of S5 2: 1.5.

25
SEISMIC REHABILITATION OF EXISTING BUILDINGS

1.6.1.4.1 Site Classes Site classes shall be defined as Where v, data are available for the site, such data
follows: shall be used lo classify the si te. If such data are not
available, N data shall be used for cohesionless soil
1. Class A: Hard rock with average shear wave veloc-
sites (sands, gravels), and s,. data for cohesive soil sites
ity, v; > 5,000 ft/sec;
(clays). For rock in profile Classes B and C, classilica-
2. Class B: Rock with 2,500 ft/sec < v; < 5,000 ft/sec; tion shall be based either on measured or estimated
values of V5 • Classification of a si te as Class A rock
3. Class C: Very dense soil and soft roe k with 1,200 ft/
shall be based on measurements of v, either for mate-
sec < v; :s ~500 ft/sec or with either standard
rial al the site itself or for rock having the same forma-
blow count N > 50 or undrained shear strength
tion adjacent lo the site; otherwise, Class B rock
s,;
> 2,000 psf;
shall be assumed. Class A or B profiles shall not be
4. Class D: Stiff soil_with 600 ft/sec < v; :s 1,200ft/ assumed lo be present if there is more than 1O ft of
sec or with 15 <N :5 50 or 1,000 psf :5 S,:< soil between the rock suli'ace and the base of the
2,000 psf; building.
5. Class E: Any profile with more than 10ft of soft
1.6.1.4.2 Default Site Class If there are insufticient
clay detined as soil with plasticity index PI > 20,
or water content w > 40%, and S,: < 500 psf or a data available to classify a soil protile as Class A, B,
soil profile with v; < 600 ft/sec; and or C, and there is no evidence of soft clay soils charac-
teristic of Class E in the vicinity of the si te, the default
6. Class F: Soils requiring site-specific evaluations: site class shall be taken as Class D. lf there is evidence
of Class E soils in the vicinity of the si te and no other
6.1. Soils vulnerable to potential failure or collapse
data supporting selection of Class A, B, C, or D, the
under seismic loading, such as liquefiable
default site class shall be taken as Class E.
soils, quick and highly sensitive clays, or col-
lapsible weakly cemented soils;
6.2 Peats and/or highly organic clays (H > 10 ft 1.6.1.5 General Response Spectrum
of peat and/or highly organic clay, where A general response spectrum shall be developed
H = thickness of soil); as specitied in Sections 1.6.1.5.1 through 1.6.1.5.3.
6.3 Very high plasticity clays (H > 25 ft with
PI> 75); or 1.6.1.5.1 General Horizontal Response Spectrum A
6.4 Very thick soft/medium-stitf clays (H > 120 ft). general horizontal response spectrum as shown in
Fig. 1-1 shall be developed using Eqs. 1-8, 1-9, and
The parameters v:;, N, and S,: are, respectively, the 1-1 O for spectral response acceleration, S,., versus
average values of the shear wave velocity, Standard structural period, T, in the horizontal direction.
Penetration Test (SPT) blow counl, and undrained
shear slrength of the upper 100 ft of soils al the si te.
These values shall be calculated from Eq. 1-6: S"= Sxs[(2_-
B 2) !.._ + 0.4]
T 1 5
(Eq. 1-8)

for O < T < T0 , and

(Eq. 1-6)
S,. = Sxsf B 1 for T0 :5 T:s T,, and (Eq. 1-9)
S,.= Sx /(B 1 1T), for T > T5 (Eq. 1-10)

where
where T5 and T0 are given by Eqs. 1-11 and 1-12:
N;= SPT blow count in soil )ayer i;
n = number of layers of similar soil materials for T5 = Sx1/Sxs (Eq. 1-11)
which data are availab1e;
T0 = 0.2T5 (Eq. 1-12)
d; = depth of layer i;
s..; = undrained shear strength in layer í;
and where
v,; = shear wave velocity of the soil in layer i; and

n
B 1 = 4/[5.6 - In (100 /3)] (Eq. 1-13)
2: d¡ = 100ft. (Eq. l-7)
i=l and /3 is the effective viscous damping ratio.

26
 ASCE/SEI 41-06

all buildings and structural systems except those meet-

Sa = Sxs [ ( ~ ·2) ~s + 0.4] ing the following crileria:
l. For structures without exterior cladding, an effec-
tive viscous damping ratio, {3, equal to 2% of criti-
ca! damping ({3 = 0.02) shall be assumed;
1
1 2. For structures with wood diaphragms and interior
1 partitions and cross walls that interconnect the
1
1 diaphragm levels at a maximum spacing of 40 ft on
1
1 1 center transverse to the direction of motion, an
-·····r··-··················t········--············.
1 1 i effective viscous damping ratio, {3, equal to 10% of
0.4Sxs 1 1 ¡ critica! damping ({3 = 0.10) shall be permitted; and
"! 1
1
1
1
¡
i 3. For structures rehabilitated using seismic isolation
l
0
1

To T8
1

1.0
¡
technology or enhanced energy dissipation technol-
ogy, an equivalen! effective viscous damping ratio,
Period, T {3, shall be calculated using the procedures speci-
FIGURE 1-1. General Horizontal Response fied in Chapter 9.
Spectrum.
1.6.2 Site-Specific Procedure for Hazard Due to
Ground Shaking
e Use of spectral response accelerations calculated Where site-specific ground shaking characteriza-
using Eq. 1-8 in the extreme short-period range tion is used as the basis of rehabilitation design, the
1T < T0 ) shall only be permitted in dynamic analysis characterization shall be developed in accordance with
procedures and only for modes other than the funda- this section.
mental mode.
1.6.2.1 Site-Specific Response Spectra
/.6.1.5.2 General Vertical Response Spectrum Where a Development of site-specific response spectra
'ertical response spectrum is required, it shall be shall be based on the geologic, seismologic, and
developed by t&king two-thirds of the spectral ordi- soil characteristics associated with the specific site
oates, at each period, obtained for the horizontal and as specitied in Sections 1.6.2.1.1 through
response spectrum or by alternative rational proce- 1.6.2.1.4.
dures approved by the code otlicial. Alternatively, it
shall be permitted to develop a site-specitic vertical C1.6.2.1 Site-Specific Respome Spectra
response spectrum in accordance with Section 1.6.2. The code otlicial should consider requiring an
independent third-party review of the site-specific
C/.6.1.5.2 General Vertical Response Spectrum spectra by an individual with expertise in the evalua-
8)
Traditionally, the vertical response spectra are taken as tion of ground motion.
two-thirds of the horizontal spectra developed for the
~ite. While this is a reasonable approximation for most 1.6.2.1.1 Damping Ratios Response spectra shall be
~tes, vertical response spectra at near-field sites developed for an effective viscous damping ratio of
-9) located wilhin a few kilometers of the zone of fault 5% of critica! damping ({3 = 0.05) and for other
rupture can have stronger vertical response spectra damping ratios appropriate to the indicated structura1
lO) Iban indicated by this approximation. Development of behavior, as detined in Section 1.6.1.5.
~ite-specitic response spectra is recommended where
'ertical response must be considered for buildings on 1.6.2.1.2 Minimum Spectral Amplitude The 5%
~eh sites. damped site-specitic spectral amplitudes in the period
11)
Other methods for scaling the horizontal spectrum range of greatest significance to the structural response
12) have been proposed by Bozorgnia et al. (1996 ). Kehoe shall not be specitied less than 70% of the spectral
and Attalla (2000) present modeling considerations amplitudes of the General Response Spectrum.
lhat should be accounted for where analyzing for verti-
.:al etlects. 1.6.2.1.3 Basis ofthe Response Spectra Probabilistic
13) site-specific spectra that represen! the BSE-1 Earth-
/.6.1.5.3 Damping Ratios A 5% damped response quake Hazard Leve! shall be mean spectra at the
~ctrum shall be used for the rehabilitation design of 10%/50-year probability of exceedance. Probabilistic

27
SEISMIC REHABILITATION OF EXISTING BUILDINGS

site-specitic spectra that represent the BSE-2 Earth- Table 1-6. Level of Seismicity Definitions
quake Hazard Level shall be mean spectra at the
2%/50-year probability of exceedance. Deterministic Level of Seismicity 1 Sxs Sx,
BSE-2 site-specitic spectra shall be taken as 150% of
Low <0.167 <0.067
the median spectra for the characteristic event on the
Moderate ;;::0.167 ;;::0.067
controlling fault.
<0.500 <0.200
High ;;::Q.SOO ;;::Q.200
1.6.2. 1.4 Site-Specific BSE-2 Spectral Response 1
The higher level of seismicity defined by Sxs or Sx1 shall govern.
Acceleration Parameters The site-specific response
acceleration parameters for the BSE-2 Earthquake
Hazard Level shall be taken as the smaller of the
following: 1.6.2.2 Acceleration Time Histories
Time history analysis shall be performed with no
l. The values of the parameters from mean probabilis-
fewer than three data sets (each containing two hori-
tic site-specitic spectra at the 2%/50-year probabil-
zontal components or, if vertical motion is to be con-
ity of exceedance; or
sidered, two horizontal components and one vertical
2. The values of the parameters from 150% of median
componen!) of ground motion time histories that shall
deterministic site-specitic spectra.
be se1ected and scaled from no fewer than thrce
recorded events. Time histories shall have magnitude,
1.6.2.1.5 Site-Specific BSE-1 Spectral Response fault distances, and source mechanisms that are con-
Acceleratíon Parameters The site-specific response sistent with those that control the design earthquake
acceleration parameters for the BSE-1 Earthquake ground motion. Where three recorded ground-motion
Hazard Level shall be taken as the smaller of the time history data sets having these characteristics are
following: not available, simulated time history data sets having
equivalent duration and spectral content shall be used
l. The values of the parameters from mean probabilis-
to make up the total number required. For each data
tic site-specific spectra at the 10%/50-year proba-
set, the square root of the sum of the squares (SRSS)
bility of exceedance; or
of the 5%-damped site-specific spectra of the scaled
2. Two-thirds of the values of the parameters
horizontal components shall be constructed. The data
determined for the BSE-2 Earthquake Hazard
sets shall be scaled such that the average value of
Leve l.
the SRSS spectra does not fall below 1.3 times the
5%-damped spectrum for the design earthquake for
1.6.2. 1.6 Site-Specific Response Acceleration periods between 0.2T and 1.5T (where T is the funda-
Parameters Where a site-specific response spectrum mental period of the building).
has been developed and other sections of this standard
require the design response acceleration parameters, 1.6.3 Level of Seismicity
Sx5 , Sx 1 , and T5 they shall be obtained using the site- The level of seismicity shall be deiined as High,
spccitic response spectrum in accordance with this Moderate, or Low as delined in Table 1-6.
section. Values of the design response acceleration The values of Sxs and Sx 1 used to determine the
parameter at short periods, Sxs• shall be taken as the Level of Seismicity shall be two-thirds of the BSE-2
response acceleration obtained from the site-specific values detined in Section 1.6.1.1.
spectrum at a period of 0.2 sec, except that it shall
not be taken as less than 90% of the peak response
acceleration at any period. In order to obtain values 2.0 GENERAL REQUIREMENTS
for the design spectral response acceleration param-
eter Sx 1, a curve of the form S" = Sx 1/ T shall be 2.1 SCOPE
graphically overlaid on the site-specific spectrum
sa
such that, at any period, the value of obtained This chapter sets forth general requirements for data
ti"om the curve is not less than 90% of that which collection, analysis procedures, methods, and strate-
would be obtained directly from the spectrum. The gies for the design of seismic rehabilitation projects.
value of T5 shall be determined in accordance with Section 2.2 specifies data collection procedures
Eq. 1-11. for obtaining required as-built information on build-

28
 ASCE/SEI 41-06

illgs. Section 2.3 outlines the Simplified and 4. Destructive and nondestructive examination and
Systematic Methods for seismic rehabilitation of testing of selected building materials and compo-
a.iklings. Section 2.4 specities limitations on selecting nents as specified in Section 2.2.6; and
.alysis procedures, and defines component behavior 5. Interviews with building owners, tenants, managers,
r,pes and corresponding acceptance criteria. the original architect and engineer, contractor(s),
Sa.~on 2.5 identities acceptable rehabilitation strate- and the local building ofllcial.
~- Section 2.6 contains general design requirements
The information required for an existing building
ú rehabilitation designs. Section 2.7 specifies con-
may also be available from a previously conducted
itiUCtion quality assurance requirements. Section 2.8
seismic evaluation of the building. Where seismic
specifies procedures for developing alternative model-
rehabilitation has been mandated according to building
iltg parameters and acceptance criteria.
construction classitication, familiarity with the build-
ing type and typical seismic deficiencies is recom-
mended. Such information is available from severa!
2.2 AS-BUILT INFORMATION
sources, including ASCE 31 (ASCE 2002). Such infor-
mation may be sufllcient for Simplified Rehabilitation.
lbe as-built information on building contiguration,
Additional as-built information may be needed for
building components, site and foundation, and adja-
Systematic Rehabilitation.
a:nt structures shall be obtained in accordance with
Where a destructive and nondestructive testing
Sections 2.2.1, 2.2.2, 2.2.3, and 2.2.4, respectively.
program is necessary to obtain as-built information,
This data shall be obtained from available drawings,
it is prudent to perform preliminary calculations on
specifications, and other documents for the existing
select key locations or parameters prior to establishing
ronstruction. The data collected shall be in suflicient
a detailed testing program. These obtain knowledge at
detail to permit classitication of components as pri-
a reasonable cost and with as little disruption as possi-
mary or secondary as specitied in Section 2.2.5 and
ble of construction features and materials properties at
sball comply with the data collection requirements of
concealed locations.
Section 2.2.6. Data collected from available docu-
If the building is a historie structure, it is al so
ments shall be supplemented and verified by on-site
important to identify the locations of historically signif-
illvestigations including nondestructive examination
ican! features and fabric, which should be thoroughly
aod testing of building materials and components as
investigated. Care should be taken in the design and
required in Section 2.2.6.
investigation process to minimize the impact of work
At least one site visit shall be made to observe
on these features. Refer to the Standards for the
cxposed conditions of building configuration, building
Treatment of Historie Properties with Guidelines for
.:omponents, site and foundation, and adjacent struc-
¡- Preserving, Rehabilitating, Restoring, and
wres (made accessible by the owner) to verify that
Reeonstrueting Historie Buildings (Secretary of the
as-built information obtained from other sources is
Interior 1995), as discussed in Appendix A. The ser-
representative of the existing conditions.
vices of a historie preservation expert may be necessary.

2.2.1 Building Configuration

C2.2 AS-BUILT INFORMATION
The as-built building configuration information
shall include data on the type and arrangement of
Existing building characteristics pertinent to seismic
existing structural components of the vertical- and
performance should be obtained from the following
lateral-force-resisting systems, and the nonstructural
sources, as appropriate:
components of the building that either affect the stiff-
l. Field observation of exposed conditions and contig- ness or strength of the structural components or affect
uration made accessible by the owner; the continuity of the structuralload path. The as-built
2. Construction documents, engineering analyses, building configuration shall be examined to identify
reports, soil borings and test logs, maintenance his- the vertical and lateral load paths.
tories, and manufacturers' literature and test data,
which may be available from the owner or the code C2.2.1 Building Configuration
ofllcial; The as-built information on building configura-
3. Reference standards and codes from the period of tion should identify the load-resisting components.
construction as cited in Chapters 5 through 8; Load-resisting components may include structural and

29
SEISMIC REHABILITATION OF EXISTING BUILDINGS

nonstructural components that participate in resisting of applicable existing foundation capacity or geologic
lateral loads, whether or not they were intended to do site hazard information available for the site shall be
so by the original designers. This information should permitted.
identify potential seismic deticiencies in load-resisting A site reconnaissance shall be performed to ob-
components, which may include discontinuities in the serve variations from existing building drawings,
load path, weak links, irregularities, and inadequate foundation modifications not shown on existing docu-
strength and deformation capacities. mentation, presence of adjacent development or grading
ASCE 31 (ASCE 2002) is one example of a seis- activities, and evidence of poor foundation performance.
míe evaluation too! that offers guidance on building
contiguration. C2.2.3 Site and Foundation Information
Sources of applicable existing site and foundation
2.2.2 Component Properties information include original design information, foun-
Sutlicient as-built information shall be collected dation capacity information included on the drawings,
on components of the building, including their geo- and previous geotechnical reports for the site or for
metric and material properties and their interconnec- other sites in the immediate vicinity.
tion with other components, to permit computation of Adjacent building development or grading activi-
their strengths and deformation capacities. To account ties that impose loads on or reduce the lateral support
for any uncertainty associated with componen! as-built of the structure can affect building performance in a
information, a knowledge factor, K, shall be used in future earthquake. Evidence of poor foundation per-
the capacity evaluation as specitied in Section 2.2.6.4. formance can include settlement of building tloor
slabs and foundations, or differential movement visible
C2.2.2 Component Properties at adjacent exterior sidewalks or other miscellaneous
Meaningful structural analysis of a building's site construction.
probable seismic behavior and reliable design of reha-
bilitation measures require good understanding of the 2.2.4 Adjacent Buildings
existing components (such as beams, columns, and Sufticient data shall be collected on the contigura-
diaphragms), their interconnection, and their material tion of adjacent structures to permit investigation of the
properties (mainly the mechanical properties, such as interaction issues identitied in Sections 2.2.4.1 through
strength, deformability, and toughness). The strength 2.2.4.3. If the necessary information on adjacent struc-
and deformation capacity of existing components tures is not available, the authority having jurisdiction
should be computed, as specified in Chapters 4 shall be informed of the potential consequences of the
through 9 and 11, based on derived material properties interactions that are not being evaluated.
and detailed component knowledge. Existing compo-
nen! action strengths must be determined for two basic 2.2.4.1 Building Pounding
purposes: to allow calculation of their ability to deliver Data shall be collected to permit investigation of
load to other components, and to allow determination the etl"ects of building pounding in accordance with
of their capacity to resist forces and deformations. Section 2.6.10, wherever a portion of an adjacent
structure is located within 4% of the height above
2.2.3 Site and Foundation lnformation grade at the location of potential impact.
Data on foundation contiguration and soil surface
and subsurface conditions at the site shall be obtained C2.2.4.1 Building Pounding
trom existing documentation, visual site reconnais- Building pounding can alter the basic response of
sance, or a program of site-specific subsurface investi- the building to ground motion and impart additional
gation in accordance with Chapter 4. A site-specitic inertialloads and energy to the building from the adja-
subsurface investigation shall be performed where cent structure. Of particular concern is the potential
Enhanced Rehabilitation Objectives are selected, or for extreme local damage to structural elements at the
where insutlicient data are available to quantify foun- zones of impact.
dation capacities or determine the presence of geologic
site hazards identified in Section 4.2.2. Where historie 2.2.4.2 Shared Element Condition
information indicates geologic site hazards have Data shall be collected on adjacent structures
occurred in the vicinity of the site, a site-specific sub- that share common vertical- or lateral-force-resisting
surface investigation shall be performed to investigate elements with the building to permit investigation in
the potential for geologic site hazards at the site. Use accordance with Section 2.6.9.

30
 ASCE/SEI 41-06

C2.2.4.2 Shared Element Condition other hazards from adjacent structures. Where
Buildings sharing common elements, such as Immediate Occupancy of the building is desired and
party walls, ha ve severa! poten tia! problems. If the ingress to the building may be impaired by such haz-
buildings attempt to move independently, one building ards, consideration should be given to providing suit-
10ay pull the shared elemenl away from the other, ably resistant access to the building. Sufticient infor-
resulring in a partía! collapse. lf the buildings behave mation should be collected on adjacent structures to
ag as an integral unit, the additional mass and inertial allow preliminary evaluation of the likelihood and
e. loads of one structure may result in extreme demands nature of hazards such as potential falling debris, tire,
oo the lateral-force-resisting system of the other. All and blast pressures. Evaluations similar to those in
~nces of shared elements should be reported to FEMA 154 (FEMA 1988) may be adequate for this
In libe building owner and the owner should be encour- purpose.
1- ~ed to inform adjacent building owners of hazards
S, lf identitied. 2.2.5 Primary and Secondary Components
Data shall be collected to classify components
21.4.3 Hazards from Adjacent Buildings as primary or secondary in accordance with Sec-
1- Data on hazards from adjacent buildings shall be tion 2.4.4.2. Data on primary and secondary com-
1 oollected to permit consideration of their potential to ponents shall be collected in sufticient detail to
damage the subject building as a result of an earth- permit modeling and analysis of such components
quake. If there is a potential for such hazards from an in accordance with the requirements of this
adjacent building, the authority having jurisdiction standard.
~le over the subject building shall be informed of the
eftect of such hazards on achieving the selected 2.2.6 Data Collection Requirements
Rehabilitation Objective. Data on the as-built condition of the structure,
components, site, and adjacent buildings shall be col-
C2.2.4.3 Hazards from Adjacent Buildings lected in sufficient detail to perform the selected
ra- Hazards from adjacent buildings such as falling analysis procedure. The extent of data collected shall
the debris, aggressive chemical leakage, fire, or explosion be consistenl with mínimum, usual, or comprehensive
gh lhat may impact building performance or the opera- levels of knowledge as specitied in Section 2.2.6.1,
e- tion of the building after an earthquake should be 2.2.6.2, or 2.2.6.3. The required leve} of knowledge
n considered and discussed with the building owner. shall be determined considering the selected
ae Consideration should be given to hardening those por- Rehabilitation Objective and analysis procedure in
tions of the building that may be impacted by debris or accordance with Table 2-1.

Table 2-1. Data Collection Requirements

Level of Knowledge
Data Minimum Usual Comprehensive
Rehabilitation
of Objective BSO or Lower BSO or Lower Enbanced Enhanced

l Analysis
Procedures LSP, LDP All All All
Jja-
Testing No Tests Usual Testing Usual Testing Comprehensive Testing
1
1he Design Drawings Design Drawings Design Drawings Construction Documents
Drawings or Equivalen! or Equi valent or Equivalent or Equivalen!
Condition
Assessment Visual Comprehensive Visual Comprehensi ve Visual Comprehensive Visual Comprehensive
From drawings From From
Material or default From default From drawings From usual From drawings From usual documents comprehensi ve
ag Propenies values values and tests tests and tests tests and tests tests
n Knowledge
Factor (K) 0.75 0.75 1.00 1.00 0.75 0.75 1.00 1.00

31
SEISMIC REHABILITATION OF EXISTING BUILDINGS

2.2.6.1 Mínimum Data Collectioll Requirements 3. In the absence of material test records and quality
As a mínimum, collection of as-built information assurance reports, material properties shall be
shall consist of the following: determined by usual materials testing in accordance
with Chapters 5 through 8;
1. Information shall be obtained from design drawings
4. Information needed on adjacent buildings, refcr-
with sutlicient information to analyze componen!
enced in Section 2.2.4, shall be gaincd through lield
demands and calculate component capacities. For
surveys and research of as-built information made
mínimum data collection, the design drawings
available by the owner of thc subject building; and
shall show, as a mínimum, the contiguration of the
5. Site and foundation information shall be collectcd
vertical- and lateral-force-resisting system and typi-
in accordance with Section 2.2.3.
cal connections with sufticient detail to carry out
linear analysis procedures. Where design drawings
2.2.6.3 Comprellensive Data Collection Requirements
are available, information shall be verified by a
Comprehensive collection of as-built information
visual condition asscssment in accordance with
shall consist of the following:
Chapters 5 through 8;
2. In the absence of sufficient information from l. lnformation shall be obtained from construction
design drawings, incomplete or nonexistent infor- documents including design drawings, specifica-
mation shall be supplemented by a comprehensive tions, material test rccords, and quality assurance
condition assessment, including destructive and reports covering original construction and subse-
nondestructive investigation in accordance with quent moditications to the structure. Where con-
Chapters 5 through 8; struction documents are available, information shall
3. In the absence of material test records and quality be veritied by a visual condition assessmcnt in
assurance reports, use of default material properties accordance with Chapters 5 through 8;
in accordance with Chapters 5 through 8 shall be 2. If construction documents are incomplete, missing
permitted; information shall be supplemented by a compre-
4. Information needed on adjacent buildings, refer- hensive condition assessment, including destructive
enced in Section 2.2.4, shall be gained through and nondestructive investigation in accordance with
field surveys and research of as-built information Chapters 5 through 8;
made available by the owner of the subject build- 3. In the absence of material test records and quality
ing; and assurance reports, material properties shall be
5. Site and foundation information shall be collected determined by comprehensive materials testing in
in accordance with Section 2.2.3. accordance with Chapters 5 through 8. The coetli-
cient of variation in material test results shall be
less than 20%;
2.2.6.2 Usual Data Collection Requirements
4. Information needed on adjacent buildings, refer-
Usual collection of as-built information shall con-
enced in Section 2.2.4, shall be gaincd through tield
sist of the following:
surveys and research of as-buill information made
l. Information shall be obtained from design drawings available by the owner of the subject building; and
with sutlicient information to analyze component 5. Site and foundation information shall be collected
demands and calculate component capacities. For in accordance with Section 2.2.3.
usual data collection, the design drawings shall
show, as a mínimum, the contiguration of the verti- C2.2.6.3 Comprelle11sive Data Collectioll
cal- and lateral-force-resisting system and typical Requireme11ts
connections with sufticient detail to carry out the Where materials testing results have a coetlicient
selected analysis procedure. Where design draw- of variation greater than 20%, additional materials
ings are available, information shall be veritied by testing can be performed until the coetlicient of varia-
a visual condition assessment in accordance with tion is less than 20% ora knowledgc factor consisten!
Chapters 5 through 8; with a lesser data collection requirement can be used.
2. In the absence of sufticient information from
design drawings, incomplete or nonexistent infor- 2.2.6.4 Knowledge Factor
mation shall be supplemented by a comprehensive
condition assessment, including destructive and 2.2.6.4.1 General To account for uncertainty in the
nondestructive investigation in accordance with collection of as-built data, a knowledge factor, K, shall
Chapters 5 through 8; be selected from Table 2-1 considering the selected

32
 ASCEISEI 41-06

Rehabilitation Objective, analysis procedure, and data 2.3.1 Simplified Rehabilitation Method
collection process. Knowledge factors shall be selected The Simplified Rehabilitation Method shall be
from Table 2-1 on an individual componen! basis as permitted for buildings that conform to one of the
determined by the level of knowledge obtained for that Model Building Types contained in Chapter 10,
component during data collection. Knowledge factors Table 10-1, and all limitations in that table with re-
shall be applied to determine component capacities as gard to building size and level of seismicity.
specified in Section 2.4.4.6. Use of the Simplified Rehabilitation Method shall
be restricted to Limited Rehabilitation Objectives con-
C2.2.6.4.1 General The K factor is used to express the sisting of the Lite Satety Building Performance Leve!
contidence with which the properties of the building (3-C) at the BSE-1 Earthquake Hazard Level, or
components are known, where calculating component Partial Rehabilitation as defined in Section 1.4.3.2.
S capacities. The value of the factor is established from The Simplitied Rehabilitation Method shall be
lhe knowledge obtained based on access to original performed in accordance with the requirements of
construction documents, or condition assessments Chapters 2, 10, and 11.
including destructive or nondestructive testing of repre-
sentative components. The values of the factor have C2.3.1 Simplified Rehabilitation Method
been established, indicating whether the level of Simplified Rehabilitation may be applied to cer-
lnowledge is "mínimum," "usual," or "comprehensive." tain buildings of regular configuration that do not
require advanced analytical procedures. The primary
1.2.6.4.2 Linear Procedures Where linear procedures intent of Simplitied Rehabilitation is to reduce seismic
11
are used, data collection consisten! with the mínimum risk efticiently, where possible and appropriate, by
leve! of knowledge shall be permitted. seeking Limited Objectives. Partial Rehabilitation
measures, which target high-risk building deficiencies
1.2.6.4.3 Nonlinear Procedures Where nonlinear pro- such as parapets and other exterior falling hazards, are
...-edures are used, data collection consistent wirh either included as Simplitied Rehabilitation techniques, but
e
lhe usual or comprehensive levels of knowledge shall their use should not be limited to buildings that con-
h
be performed. form to the limitations of Table 10-1 in Chapter 10.
The Simplified Rehabilitation Method is less com-
1.2.6.4.4 Assumed Values of Knowledge Factor lt shall plicated than the complete analytical rehabilitation
be permitted to perform an analysis in advance of the design procedures found under Systematic Rehabilita-
data collection process using an assumed value of K, tion. In many cases, Simplified Rehabilitation represents
provided the value of K is substantiated by data collec- a cost-eftective improvement in seismic performance,
lion in accordance with the requirements of Sec- and it often requires less detailed evaluation or partial
lion 2.2.6 prior to implementation of the rehabilitation analysis to qualify for a specitic performance level.
suategies.
d
If the assumed value of K is not supported by sub- 2.3.2 Systematic Rehabilitation Method
~uent data collection, the analysis shall be revised to The Systematic Rehabilitation Method shall be
ioclude a revised K consisten! with the data collected permitted for all rehabilitation designs and shall be
In accordance with the requirements of Section 2.2.6. required for rehabilitations that do not satisfy the crite-
If an analysis using an assumed value of K results ria of Section 2.3.1. The Systematic Rehabilitation
in no required rehabilitation of the structure, the value Method includes the following steps:
of K shall be substantiated by data collection in accor-
l. An analysis procedure shall be selected in accor-
dance with the requirements of Section 2.2.6 before
dance with the requirements and limitations of
lhe analysis is tinalized.
Section 2.4;
2. A preliminary rehabilitation scheme shall be devel-
oped using one or more of the rehabilitation strate-
2.3 REHABILITATION METHODS gies detined in Section 2.5; and
3. An analysis of the building, including rehabilitation
Seismic rehabilitation of the building shall be per- measures, shall be performed, and the results of the
formed to achieve the selected Rehabilitation analysis shall be evaluated in accordance with the
Objective in accordance with the requirements of the requirements of Chapters 2 through 9 and 11 to
11 Simplified Rehabilitation Method of Section 2.3.1 or verify that the rehabilitation design meets the
lhe Systematic Rehabilitation Method of Section 2.3.2. selected Rehabilitation Objective.

33
SEISMIC REHABILITATION OF EXISTING BUILDINGS

C2.3.2 Systematic Rehabilitation Method given, but definitive rules for developing ground
Systematic Rehabilitation may be applied to any motion input are not included in this standard.
building and involves thorough checking of each exist- This standard specifies acceptance criteria for
ing structural component, the design of new ones, and stitTness, strength, and ductility characteristics of
verification of acceptable overall performance repre- structural components tor three discrete structural per-
sented by expected displacements and internal torces. formance levels in Chapters 4 though 8 for use in the
The Systematic Rehabilitation Method tücuses on the Systematic Rehabilitation Method, and acceptance cri-
nonlinear behavior of structural response and employs teria for the performance of nonstructural components
procedures not previously emphasized in seismic codes. in Chapter 11 for use in Systematic and Simplitied
The Systematic Rehabilitation Method is intended Rehabilitation Methods.
to be complete and contains all requirements to reach Inherent in the concept of performance levels and
any specified performance level. Systematic ranges is the assumption that performance can be
Rehabilitation is an iterative process, similar to the measured using analytical results such as story drift
design of new buildings, in which moditications of the ratios or strength and ductility demands on individual
existing structure are assumed for the purposes of a components. To enable structural veritication at the
preliminary design and analysis, and the results of the selected performance level, the stitfness, strength, and
analysis are veritied as acceptable on a componen! ductility characteristics of many common components
basis. If either new or existing components still prove have been derived from laboratory tests and analytical
to be inadequate, the modifications are adjusted and, if studies and are presented in a standard format in
necessary, a new analysis and veritication cycle is per- Chapters 4 through 8 of this standard.
formed. A preliminary design is needed to define the This standard specities two new technologies in
extent and contiguration of corrective measures in suf- Chapter 9: seismic isolation and energy dissipation,
ticient detail to estímate the interaction of the stitfness, for use in seismic rehabilitation of buildings using the
strength, and post-yield behavior of all new, moditied, Systematic Rehabilitation Method.
or existing components to be used for lateral force lt is expected that testing of existing materials and
resistance. The designer is encouraged to include all components will continue and that additional correc-
components with signiticant lateral stiffness in a math- tive measures and products will be developed. It is
ematical model to assure detormation capability under also expected that systems and products intended to
rcalistic seismic drifts. However, just as in the design modify structural response beneticially will be
of new buildings, it may be determined that certain advanced. The format of the analysis techniques and
components will not be considered part of the lateral- acceptance criteria of this standard allows rapid incor-
force-resisting system, as long as deformation compat- poration of such technology. Section 2.8 gives specific
ibility checks are made on these components to assure requirements in this regard. It is expected that this
their adequacy. standard will have a signiticant impact on testing and
A mathematical model, developed for the prelimi- documentation of existing materials and systems as
nary design, must be constructed in connection with well as on new products.
one of the analysis procedures defined in Chapter 3.
These are the linear procedures (Linear Static
2.4 ANALYSIS PROCEDURES
Procedure and Linear Dynamic Procedure, LSP and
LDP) and the nonlinear procedures (Nonlinear Static
An analysis of the building, including rehabilitation
Procedure and Nonlinear Dynamic Procedure, NSP
measures, shall be conducted to determine the forces
and NDP). With the exception of the NDP, this stan-
and deformations induced in components of the build-
dard defines the analysis and rehabilitation design pro-
ing by ground motion corresponding to the selected
cedures sutliciently that compliance can be checked by
Earthquake Hazard Leve!, or by other seismic geologic
an authority having jurisdiction in a manner similar to
site hazards specified in Section 4.2.2.
design reviews for new buildings. Modeling assump-
The analysis procedure shall comply with one of
tions to be used in various situations are given in
the following:
Chapters 4 through 9, and in Chapter 11 for nonstruc-
tural components. Requirements for seismic demand l. Linear analysis subject to limitations specitied in
are given in Chapter l. Requirements are specified for Section 2.4.1, and complying with the Linear Static
use of the NDP; however, considerable judgment is Procedure (LSP) in accordance with Section 3.3.1,
required in its application. Criteria for applying or the Linear Dynamic Procedure (LDP) in accor-
ground motion for various analysis procedures are dance with Section 3.3.2;

34
 ASCE/SEI 41-06

2. Nonlinear analysis subject to limitations specified The determination of irregularity shall be based on the
in Section 2.4.2, and complying with the NSP configuration of the rehabilitated structure. A linear
in accordance with Section 3.3.3, or the NDP in analysis to determine irregularity shall be performed
accordance with Section 3.3.4; or by either an LSP in accordance with Section 3.3.1 or
3. Alternative rational analysis in accordance with an LDP in accordance with Section 3.3.2. The results
Section 2.4.3. of this analysis shall be used to identify the magnitude
and uniformity of distribution of inelastic demands on
The analysis results shall comply with the appli-
the primary elements and components of the lateral-
cable acceptance criteria selected in accordance with
force-resisting system.
Section 2.4.4.
The magnitude and distribution of inelastic
demands for existing and added primary elements and
C2.4 ANALYSIS PROCEDURES components shall be detined by DCRs and computed
in accordance with Eq. 2-1:
The linear procedures maintain the traditional use of a
linear stress-strain relationship, but incorporate adjust- DCR = Quv (Eq. 2-1)
ments to overall building deformations and material QcE
acceptance criteria to permit better consideration of
the probable nonlinear characteristics of seismic where
response. The Nonlinear Static Procedure (NSP), often Quv = force due to the gravity and earthquake loads
called "pushover analysis," uses simplified nonlinear calculated in accordance with Section 3.4.2;
techniques to estímate seismic structural deformations. and
The NDP, commonly known as nonlinear time history QcE = expected strength of the component or element,
analysis, requires considerable judgment and experi- calculated as specitied in Chapters 5 through 8.
ence to perform, as described in Commentary Section
C2.4.2.2 of this standard. DCRs shall be calculated for each action (such as
axial force, moment, or shear) of each primary compo-
2.4.1 Linear Procedures nent. The critica) action for the component shall be the
Linear procedures shall be permitted for buildings one with the largest DCR. The DCR for this action
which do not have an irregularity defined in Sec- shall be termed the critica! component DCR. The
tion 2.4.1.1. For buildings that ha ve one or more of the largest DCR for any element at a particular story is
irregularities defined in Section 2.4.1.1, linear proce- termed the critica) element DCR at that story. If an
dures shall not be used unless the earthquake demands element at a particular story is composed of multiple
on the building comply with the demand capacity ratio components, then the component with the largest com-
(DCR) requirements in Section 2.4.1.1. For buildings puted DCR shall define the critica) component for the
incorporating base isolation systems or supplemental element at that story.
energy dissipation systems, the additional limitations lf one or more component DCRs exceed 2.0 and
of Section 9.2.4 or Section 9.3.4 shall apply. any irregularity described in Section 2.4.1.1.1 through
Section 2.4.1.1.4 is present, then linear procedures are
C2.4.1 Linear Procedures not applicable and shall not be used.
The results of the linear procedures can be very
inaccurate where applied to buildings with highly C2.4.1.1 Method to Determine Limitations on Use of
irregular structural systems, unless the building is Linear Procedures
capable of responding to the design earthquake(s) The magnitude and distribution of inelastic
in a nearly elastic manner. The procedures of Sec- demands are indicated by demand-capacity ratios
tion 2.4.1.1 are intended to evaluate whether the build- (DCRs). Note that these DCRs are not used to deter-
ing is capable of nearly elastic response. mine the acceptability of component behavior. The
adequacy of structural components must be evaluated
2.4.1.1 Method to Determine Limitations on Use of using the procedures contained in Chapter 3 along
Linear Procedures with the acceptance criteria provided in Chapters 4
The methodology presented in this section shall through 8. DCRs are used only to determine a struc-
be used to determine the applicability of linear analy- ture's regularity. It should be noted that for complex
sis procedures based on four contigurations of irregu- structures, such as buildings with perforated shear
larity defined in Sections 2.4.1.1.1 through 2.4.1.1.4. walls, it may be easier to use one of the non linear

35
SEISMIC REHABILITATION OF EXISTING BUILDINGS

procedures than to ensure that the building has sutl'i-

cient regularity to permit use of linear procedures.
If a11 of the computed contro11ing DCRs for a
component are less than or equal to 1.0, then the com-
ponent is expected to respond elastically to the earth-
quake ground shaking being evaluated. If one or more
of the computed DCRs for a component are greater
than 1.0, then the component is expected to respond
inelastically to the earthquake ground shaking.

2.4.1.1.11n-Plane Discontinuity lrregularity An in- Lateral force-reslsting

plane discontinuity irregularity shall be considered to bay

exist in any primary elemenl of the lateral-force-resist- FIGURE 2-1. In-Piane Discontinuity in Lateral
ing system wherever a lateral-force-resisting element System.
is present in one story, but does not continue or is off-
set within the plane of the element in the story imme-
diately below. Figure 2-1 depicts such a condition.

2.4.1.1.2 Out-of-Plane Discontinuity lrregularity An

out-of-plane discontinuity irregularity shall be con-
Shear wa/1 at
sidered to exist in any primary element of the lateral- upper stories
force-resisting system where an element in one story
is offset out-of-plane relative to that element in an
adjacent story, as depicted in Fig. 2-2. Setback shear wall
at first story
2.4.1.1.3 Weak Story lrregularity A weak story irregu- FIGURE 2-2. Typical Building with Out-of-Piane
larity shall be considered to exist in any direction of Offset Irregularity.
the building if the ratio of the average shear DCR
of any story to that of an adjacent story in the same
direction exceeds 125%. The average DCR of a story
shall be calculated by Eq. 2-2: 2.4.1.2 Limitations on Use ofthe Linear Static
n Procedure
L DCR;V; Where Section 2.4.1.1 permits the use of linear
DCR = _,te___ _ (Eq. 2-2) procedures, the Linear Static Procedure shall not be
used for a building with one or more of the following
characteristics:
where l. The fundamental period of the building, T, is
DCR =average DCR for the story; greater than or equal to 3.5 times T,;
DCR; =critica! action DCR for element i of the story; 2. The ratio of the horizontal dimension at any story
V; = total calculated lateral shear force in an ele- to the corresponding dimension at an adjacent story
ment i due to earthquake response, assuming exceeds 1.4 (excluding penthouses);
that the structure remains elastic; and 3. The building has a torsional stiffness irregularity in
n = total number of elements in the story. any story. A torsional stitl'ness irregularity exists
in a story if the diaphragm above the story under
For buildings with flexible diaphragms, each line consideration is not flexible and the results of the
of framing shall be independently evaluated. analysis indicate that the drift along any side of
2.4.1.1.4 Torsional Strength lrregularity A torsional the structure is more than 150% of the average
strength irregularity shall be considered to exist in any story drift;
story if the diaphragm above the story under consider- 4. The building has a vertical stitl'ness irregularity. A
ation is not flexible and, for a given direction, the ratio vertical stitl'ness irregularity exists where the aver-
of the critica! element DCRs for primary elements on age drift in any story (except penthouses) is more
one side of the center of resistance of a story, to those than 150% of that of the story abo ve or below; and
on the other si de of the center of resistance of the 5. The building has a non-orthogonallateral-force-
story, exceeds 1.5. resisting system.

36
 ASCE/SEI 41-06

C2.4.1.2 Limitations on Use of the Linear Static C2.4.2.1 Nonlinear Static Procedure
Procedure The NSP is generally a more reliable approach to
For buildings that ha ve irregular distributions characterizing the performance of a structure than are
of mass or stiffness, irregular geometries, or non- linear procedures. However, it is not exact and cannot
orthogonal lateral-force-resisting systems, the distribu- accurately account for changes in dynamic response as
tion of demands predicted by an LDP analysis will be the structure degrades in stiffness, nor can it account
more accurate than those predicted by the LSP. Either for higher mode etfects in multi-degree of freedom
lhe response spectrum method or time history method (MDOF) systems. Where the NSP is utilized on a
may be used for evaluation of such structures. structure that has signiticant higher mode response,
the LDP is also employed to verify the adequacy
of the design. Where this approach is taken, less-
2.4.2 Nonlinear Procedures restrictive criteria are permitted for the LDP, recogniz-
Nonlinear procedures shall be permitted for any ing the signiticantly improved knowledge that is
of the rehabilitation strategies contained in Section 2.5. obtained by performing both analysis procedures.
Nonlinear procedures shall be used for analysis of The strength ratio, R, is a measure of the extent of
buildings where linear procedures are not permitted. nonlinearity, and Rmax is a measure of the system
Data collection for use with nonlinear procedures shall degradation. Structures that experience nonlinear
be in accordance with Section 2.2.6. demands exceeding Rmax have signiticant degradation
and an NDP is required to contirm the dynamic stabil-
ity of the building.
2.4.2.1 Nonlinear Static Procedure
The NSP shall be permitted for structures with all
of the following characteristics: 2.4.2.2 Nonlinear Dynamic Procedure
l. The strength ratio, R, calculated in accordance with The NDP shall be permitted for all structures.
Eq. 3-15 in Chapter 3, is less than Rmax calculated Where the NDP procedure is used, the authority hav-
in accordance with Eq. 3-16 in Chapter 3; and ing jurisdiction shall consider the requirement of
2. Higher mode effects are not signiticant, as detined review and approval by an independent third-party
in this section. engineer with experience in seismic design and nonlin-
ear procedures.
To determine if higher modes are significan!, a
modal response spectrum analysis shall be performed
for the structure using sufficient modes to produce C2.4.2.2 Nonlinear Dynamic Procedure
90% mass participation. A second response spectrum The NDP consists of nonlinear time-history analy-
analysis shall also be performed, considering only the sis, a sophisticated approach to examining the inelastic
first mode participation. Higher mode effects shall be demands produced on a structure by a specitic suite of
considered significant if the shear in any story result- ground motion time histories. As with the NSP, the
ing from the modal analysis considering modes results of the NDP can be directly compared with test
required to obtain 90% mass participation exceeds data on the behavior of representative structural com-
130% of the corresponding story shear considering ponents in order to identify the structure's probable
only the tirst mode response. performance when subjected to a specific ground
If higher mode effects are significant, the NSP motion. Potentially, the NDP can be more accurate
shall be permitted if an LDP analysis is also per- than the NSP in that it avoids sorne of the approxima-
formed to supplement the NSP. Buildings with signiti- tions made in the more simplified analysis. Time-
cant higher mode effects must meet the acceptance History Analysis automatically accounts for higher
criteria of this standard for both analysis procedures, mode effects and shifts in inertialload patterns as
except that an increase by a factor of 1.33 shall be per- structural softening occurs. In addition, for a given
mitted in the LDP acceptance criteria for deformation- earthquake record, this approach directly solves for
controlled actions (m-factors) provided in Chapters 5 the maximum global displacement demand produced
lhrough 9. A building analyzed using the NSP, with or by the earthquake on the structure, eliminating the
without a supplementary LDP evaluation, shall meet need to estímate this demand based on general
the acceptance criteria for nonlinear procedures speci- relationships.
fied in Section 3.4.3. Despite these advantages, the NDP requires con-
If R exceeds Rmax, an NDP analysis shall be siderable judgment and experience to perform. These
performed. analyses tend to be highly sensitive to small changes

37
SEISMIC REHABILlTATlON OF EXISTlNG BUlLDINGS

in assumptions with regard to either the character of 2.4.4.2 Primary and Secondary Components
the ground motion record used in the analysis, or the Components that affect the lateral sti[fness or dis­
nonlinear stitfness behavior of the elements. As an tribution of forces in a structure, or are loaded as a
example, two ground motion records enveloped by the resuIt 01' lateral deformation of the structure, shall be
same response spectrum can produce radically differ­ classilied as primary or secondary, even ir lhey are not
ent results with regard to the distribution and amount intended to be part of the lateral-force-resisting system.
of inelasticity predicted in the structure. In order to A structural component that is required to resist
apply this approach reliably to rehabilitation design, it seismic forces in order 1'or lhe slructure to achieve
is necessary to perl'orm a number of such analyses, the selected performance level shall be c1assified as
using varied assumptions. The sensitivity of the anal y­ primary.
sis resulLs lo the assumptions incorporated is the prin­ A slruclural componenl lhat is not required to
cipal reason why this method should be used only on resist seismic forces in order for the structure lo
projects where the engineer is thoroughly familiar with achieve the selecled performance level shall be permit­
nonlinear dynamic analysis techniques and limitations. ted to be classiJied as secondary.

2.4.3 Alternative Rational Analysis C2.4.4.2 Primary and Secondary Components

Use of an approved alternative analysis procedure The designation of primary and secondary compo­
that is rational and based on fundamental principIes of nents has been introduced to allow sorne flexibility in
engineering mechanics and dynamics shall be permit­ the rehabilitation analysis and design process. Primary
ted. Such alternative analyses shall not adopt the components are those that the engineer relies on to
acceplance criteria contained in this standard without resist the specified eanhquake effects. Secondary com­
1irst determining their applicability. AII projects using ponenls are those that the engineer does not rely on to
alternative rational analysis procedures shall be resist the specified earthquake effects. Typically, lhe
reviewed and approved by an independent third-party secondary designalion will be used where a compo­
engineer with experience in seismic design, nent does not add considerably or reliably to the earth­
quake resistance. In all cases, the engineer must verify
that gravity loads are sustained by the slruclural sys­
2.4.4 Acceptance Criteria
lem, regardless 01' lhe designation of primary and sec­
ondary components.
2.4.4.1 General
The secondarY'designation typically will be used
The acceptability 01' force and deformation actions
where one or more 01' lhe following cases apply:
shall be evaluated 1'or each component in accordance
with the requirements of Section 3.4. Prior to selecting l. The secondary designation may be used where a
component acceptance criteria for use in Section 3.4, nonstructural componenl does not contribute signif­
each component shall be c1assified as primary or sec­ icantly or reliably to resist earthquake effects in
ondary in accordance with Section 2.4.4.2, and each any direction. A gypsum partition is a nonstructural
action shall be c1assified as deformation-controlled component that might be designated secondary in a
(ductile) or 1'orce-controlled (nonductile) in accordance building because it does not provide significant
with Section 2.4.4.3. Component strengths, material stitfness or strength in any direclion;
properties, and component capacities shall be deter­ 2. The secondary designation may be used where a
mined in accordance with Sections 2.4.4.4, 2.4.4.5, structural component does not contribute signili­
and 2.4.4.6, respectively. Component acceptance crite­ cantly to resist earthquake etfects. A slab-column
ria not specified in this standard shall be determined interior frame is an element whose structural com­
by qualification testing in accordance with Section 2.8. ponents might be designated as secondary in a
The rehabilitated building shall be provided with building braced by much stiffer and stronger
at least one continuous load path to transfer seismic perimeter frames or shear walls. If the stronger
loads, induced by ground motion in any direction, perimeter frames or shear walls exist only in one
from the point of application of the seismic load to the direction, the components 01' the slab-column inte­
final point of resistance. All primary and secondary rior 1'rame may be designated as secondary for
components shall be capable of resisting force and that direction only. The connection at lhe base of
deformation actions within the applicable acceptance a coturnn that is norninally pinned where it con­
criteria of lhe selected performance level. nects to the foundation is a component that might

38
 ASeE/SEI 41-06

be designated as secondary because the moment ponent actions exhibiting Type l behavior shall be
resistance is low, relative lO the entire system resis­ classitied as deformation-controlled for any e/ g ratio.
lance; and The Type 2 curve depíeted in Fig. 2-3 is represen­
3. The secondary designation may be used where a tative of ductile behavior where there is an elastÍc
component, intended in the original design of lhe range (points O to 1 on the curve) and a plaslic range
building to be primary, is deformed beyond the (points I to 2) followed by loss of strength and loss of
point where it can be relied on to resist earthquake ability to support gravity loads beyond point 2.
effects. For example, il is conceivable thal coupling Primary and secondary component actions exhibiting
beams connecting wall piers will exhaust their this type of behavior shall be c1assiiied as deforma­
deformation eapacity before the entire structural lion-controlled if the plastic range is such lhat e 2: 2g;
system capacity is reached. In such cases, the olherwise, lhey shall be classitied as force-controlIed.
engineer may designate these as secondary, allow­ The Type 3 curve depicled in Fig. 2-3 is represen­
ing them to be deformed beyond their useful tative of a brittle or nonductile behavior where there is
Iimits, provided that damage to lhese secondary an elastic range (poinls Oto 1 on the curve) followed
components does not result in loss of gravity load by )oss of slrength and loss of abilíty lo support grav­
capacity. ity loads beyond point l. Primary and secondary com­
ponent actions displaying Type 3 behavior shall be
2.4.4.3 Deformatúm-Controlled and Force­ classitied as force-controlled.
Controlled Actions
Al! actions shalI be classified as either deforma­ C2.4.4.3 Deformation-Controlled and Force­
tion-controlled or force-controlled using lhe compo­ Controlled Actions
nent force versus deformalíon curves shown in Acceptance criteria for primary components
Fig.2-3. that exhibil Type 1 behavior typically are within the
The Type 1 curve depicled in Hg. 2-3 is represen­ elastíe or plastic ranges betwecn points O and 2,
lalive of duclile behavior where lhere is an elaslíe depending on the performance leve!. Acceptance crite­
range (points O lo 1 on the curve) foIlowed by a plaslíe ria for secondary components that exhibit Type 1
range (points 1 to 3) with non-negligible residual behavior can be within any of the performance
strength and ability to support gravity loads al point 3. ranges.
The plastic range ineludes a strain-hardening or Acceptance criteria foc primary and secondary
-softening range (points I to 2) and a strength­ components exhibiling Type 2 behavior will be wilhin
degraded range (points 2 to 3). Primary component lhe elastic or plaslic ranges, depending on lhe per­
actions exhibiting this behavior shall be classilied as formance leve!.
deformation-controlled ir the strain-hardening or Acceptance criteria for primary and secondary
-softening range is such that e 2: 2g; otherwise, they components exhibiling Type 3 behavior will always be
shall be c1assified as force-controlled. Secondary com- within the elastic range.

Q Q Q
2 2,3
1,2,3
.....". ····················1··············..··················.............. .....................Y""'..................... ¡~ ............••••••••••••••••.•••••••••••••••••••••••••••••••

¡i
i
!
o 9 e 9 d,e 9
Type 1 curve Type 2 curve Type 3 curve
FIGURE 2-3. Component Force Versus Deformation Curves.

39
SEISMIC REHABILITATION OF EXISTING BUILDINGS

Table C2-1 provides sorne examples of possible Q

deformation- and force-controlled actions in common Qy
framing systems. Classification of deformation- or
force-controlled actions are specified for foundation
and framing components in Chapters 4 through 8. ~b
A given component may have a combination of
1.0 C
both deformation- and force-controlIed actions. B
Classification as a deformation-controlled action
is not up to the discretion of the user. Deformation­
E Te
controlIed actions have been defined in this standard
by the designation of m-factors or nonlinear deforma­ () or A
tion capacities in Chapters 4 through 8. Where such
values are not designated and component testing justi­
(a) Deformation
fying Type I or Type 2 behavior is absent, actions are
to be taken as force-controlIed.
Figure C2-1 shows the generalized force versus Q
deformation curves used throughout this standard to Qy
specify component modeling and acceptance criteria e
for deformation-controlIed actions in any of the four
basic material types. Linear response is depicted d
between point A (unloaded component) and an effec­ C

r
tive yield point B. The slope from point B to point C
is typically a small percentage (0%-10%) of the el as­
tic slope, and is included to represent phenomena
such as strain hardening. Point C has an ordinate that
() A A
represents the strength 01' the component, and an 1.0 --, --,or __
By Ay h
(b) Deformation ratio
Table C2-1. Examples oC Possible Deformation­
Controlled and Force-Controlled Actions

Deformation­ Force-Controlled 10
Component Controlled Action Action Q)
u !p.s LS
Moment Frames
L..
.Q ¡p 1s CP
• Beams Moment (M) Shear (V)
"O
Q)
¡p ls
.~ C
• CoJumns Axial load (P), V ro B
• Joints VI E
L..
o
Shear Walls M, V P Z
Braced Frames
• Braces P Deformation or deformation ratio
• Beams P
• Columns P
• Shcar Link V p,M (e) Component or element deformation
Conncctions p, V. M2 P, V. M
aeeeptanee eriteria
FIGURE C2-l. Generalized Component Force­
Diaphragms M,V3 P, V. M
Deformation Relations for Depicting Modeling and
'Shear may be a deformation-controlled action in steel moment Acceptance Criteria.
frame construction.
'Axial, shear, and moment may be deformation-controlled actions
for cel1ain steel and wood connections.
31f the diaphragm canies lateral loads from vel1ical seismic resisting
elcments above the diaphragm level, then M and V shall be consid­
ered forcc-controlled actions.

40
 ASeE/SEI41-06

abscissa value equal to the deformation al which sig­ well as differences in workmanship and physical con­
nificant strength degradatíon begins (Iine CD). Beyond dition. See Chapters 5 through 8 for specific direction
point D, the component responds with substantially regarding the calculation of expected and lower-bound
reduced strength to point E. At deformalÍons greater strengths of components.
Iban point E, the component strength is essentially
zero. 2.4.4.5 Material Properties
The sharp transition as shown on idealized curves Expected material properties shall be based on
in Fíg. C2-1 belween poinls C and D can result in mean values of tested material properties. Lower­
compulational difficulty and an inability lo converge bound material properties shall be based on mean val­
where used as modeling input in nonlinear computer­ ues 01' tested material properties minus one standard
¡zed analysis software. In order lo avoid Ihis computa­ deviation (a").
Iional instabilily, a small slope (10 vertical to 1 hori­ Nominal material properties, or properties speci­
zontal) may be provided to the segment of these fied in construction documents, shall be taken as
curves belween points C and D. lower-bound material properties unless otherwise
For sorne components il is convenienl to prescribe specitied in Chapters 5 through 8. Corresponding
acceptance criteria in lenns of defonnation (such as O expected material properlies shall be calculated by
or á), while for olhers it is more convenient lo give multiplying lower-bound values by appropriate factors
enreria in lerms of deformation ratios. To accommo­ specified in Chapters 5 Ihrough 8 to translale from
date this, two types of idealized force versus deforma­ lower-bound lo expected values.
IÍOn curves are used in Figs. C2-1 (a) and (b). Fig­
ure C2-J(a) shows normalized force (Q/Qy) versus C2.4.4.5 Material Properties
defonnation (O or á) and the parameters a, b, and c. Where calcuJations are used lO detennine
Figure C2-I(b) shows normalized force (Q/Qy) versus expected or lower-bound strengths 01' components,
defonnation ratio (O/O" .1/.1y> or .1/n) and the param­ expected or lower-bound material properties, respec­
crers d, e, and c. Elastic stiffnesses and values ror the tively, shall be used.
parameters a, b, e, d, and e Ihat can be used for model­
íng componenls are given in Chapters 5 tbrough 8. 2.4.4.6 Component Capacities
Acceptance criteria for deformation or deformation
l3lÍos for primary components (P) and secondary com­ 2.4.4.6.1 General Detailed criteria for calculation of
ponents (S) corresponding lo the target Building individual component force and deformation capacities
Performance Levels 01' Collapse Prevention (CP), Life shall comply with the requiremenls in individual mate­
Safety (LS), and Immediate Occupancy (10) as shown rials chapters as follows:
ín Fig. C2-1(c) are given in Chapters 5 through 8.
J. Foundations--Chapter 4;
2. Components composed of steel or cast iron­
24.4.4 Expected and Lower-Bound Strength
Chapter 5;
In Fig. 2-3, Qy represents the yield strength 01' Ihe
3. Components composed of reinforced concrete­
component. Where evaluating the behavior 01' defor­
Chapter 6;
IDalion-controlled aClions, the expected strength, QCE,
4. Componenls composed of reinforced or unrein­
sball be used. QCE is defined as the mean value of
forced masonry-Chapter 7;
resistance 01' a component at the defonnation level
5. Components composed of timber, light metal studs,
auticipated for a population of simílar components,
gypsum, or plaster products--Chapter 8;
including consideration of the variability in material
6. Seismic isolation systems and energy dissipation
strength as welIs as strain hardening and plastic sec­
systems--Chapter 9; and
Iion development. Where evaluating the behavior of
7. Nonstructural (architectural, mechanical, and elec­
rorce-controlled actions, a lower-bound estimate of the
Irical) componenls--Chapter 11.
component strenglh, QCL> shall be used. QCL is defined
as the mean minus one standard deviation of tbe yield Elements and components composed of combina­
sarengthS' Qy , for a populatíon of similar components. tions of materials are covered in the chapters associ­
ated with each material.
0.4.4.4 Expected and Lower-Bound Strength
In Fig. 2-3, the strength of a component is 2.4.4.6.2 Linear Procedures If linear procedures are
affected by inherenl variability of the strength of the used, capacities for deformation-controlled actions
materials comprising the individual components as shall be defined as the product of m-factors and

41
SEiSMIC REHABILlTATlON OF EXISTING BlIlLDlNGS

expected strengths, QCE' Capacities for force­ 2.5 REHABILITATION STRATEGIES

controlled actions shall be detined as lower-bound
strenglhs, QCL, as summarized in Table 2-2. A Rehabilitation Objective shall be achieved by imple­
menting rehabilitation measures based on a strategy 01'
addressing deticiencies identified by a prior seismic
2.4.4.6.3 Nonlinear Procedures If nonJinear proce­
evalualion. Each rehabilitation measure shalI be evalu­
dures are used, component capadties for deforma­
ated in conjunction with other rehabilitation mea<;ures,
tion-controlled actions shall be taken as permissible
and the existing structure as a whole, lo assure that the
inelaslic deformation limits, and component capad­
complete rehabilitation scheme achieves the target
ties for force-controlled actions shall be taken as
Building Performance Level for the selecled Earth­
lower-bound strengths, QCL' as summarized in
quake Hazard Leve\. The effects of rehabilitation on
Table 2-3.
stitfness, strength, and deformability shall be laken
into account in an analytical model of the rehabilitated
structure. The compatibility of new and existing com­
ponents shall be checked at displacements consistent
Table 2-2. Calculation of Component Action with the demands produced by the selected Earthquake
Capacity- Linear Procedures Hazard Level and geologic site hazards present at the
site.
Defofmation- One or more of the following stralegies shalI be
Para meter Controlled Force-Controlled permitted as rehabilitation measures.
Existing Material Expected mean Lower-bound • Local moditication of components
Strength value with value (approxi­ • Removal or reduction of existing irregularities
al10wance for mately mean
• Global structural stif1'ening
strain-hardening value - la level)
• Global structural strengthening
Exisling Action K • QC/i K • QC!. • Mass reduction
Capacity • Seismic isolation, in accordance with Chaprer 9
New Materíal Expected material Specitied material • Supplemental energy dissipation, in accordance with
Strenglh strength strenglh Chaprer 9
New Action QCE QCL • Other rehabilitarion strategies approved by the
Capacily aUlhority having jurisdiction.

Table 2-3. Calculation of Component Acdon C2.5 REHABlLITATION STRATEGIES

Capacity - Nonlinear Procedures
Although not specifically required by any of lhe strare­
Deformation- gies, it is very beneticia) for the rehabililated lateral­
Parameter Con troll ed Force-Conlrolled force-resisting system to have an appropriate level of
Deformation K • Deformation ¡imit N/A
redundancy so that any localized failure 01' a few com­
Capacity ponents of lhe system wil\ nol resuIt in local collapse
(Existing or an instability. This should be,considered when
Component) developing rehabilitation designs.
Deformation Deformation limit N/A
Local Modification of Components. Sorne exist­
Capacity ing buildings have substantial strength and still'ness,
(New Component) bUl sorne of their components may not have adequate
strength, toughness, or deformation capacity 10 satisfy
Slrength N/A K' QCL
the Rehabilitation Objeclives. An appropriate strategy
Capacity
(Existing for such structures may be to perform local moditica­
Component) tions of components Ihat are inadequate while relain­
ing the basic conliguration of the building's lateral­
Strength Capacity N/A QC'L
force-resisting system. Local moditications that can
(New Component)
be considered include improvemenl of component

42
 ASeE/SEI41-06

~onnecLivity, componenL strength, component defor­ continuities may be inappropriate in the case of
mation capacity, or aH three. This strategy tends to historic buildings, and the effect of such alterations
be the most economical rehabilitation approach on important historic features should be considered
\lihere only a few of the building's components are carefully.
inadequate. Effective corrective measures for removal or
Local strenglhening allows one or more under­ reduction of irregularities, such as soft or weak stofies,
Slrength components or connections to resist the incJude the addition of braced frames or shear walls
Slrength demands predicted by the analysis without within the soft or weak story. Torsional ilTegularities
affecting the overaJl response of the structure. This can be corrected by the addition of moment frames,
.:ould indude measures such as cover plating steel braced frames, or shear walls to balance the distribu­
beams or columns, or adding wood structural panel tion of stiffness and mas s within a story. Discontin­
~athing to an existing timber diaphragm. Such meas­ uous components such as columns or walls can be
ures increase the strength of the component and allow extended through the zone of discontinuity.
il to resist more earthquake-induced force before the Partial demolition can also be an effective correc­
onset of damage. tive measure for irregularities, although this obviously
Local corrective measures that improve the defor­ has signiticant impact on the appearance and utility of
mation capacily or ductility of a component allow it to the building, and this may not be an appropriate alter­
resist large deformation levels with reduced amounts native for historic structures. Portions of the structure
of damage, without necessarily increasing the strength. mat create the irregularity, such as setback towers or
One such measure is placement of a continement side wings, can be removed. Expansion joints can be
JaCket around a reinforced concrete column to improve created to transform a single irregular building into
i.ts ability to deform without spaJling or degrading multiple regular structures; however, care must be
reinforcement splices. Another measure is reduction of taken to avoid the potential problems associated with
Ihe cross section of selected structural components to pounding.
merease their tlexibility and response displacement Global Structural Stiffening. Global stiffening
.:apaciLy. of the structure may be an effective rehabilitation strat­
Removal or Reduction of Existing egy if the results of a seismic evaluation show deti­
Irregularities. Removal or reduction of existing irreg­ ciencies attributable to excessive lateral detlection of
lLIarities may be an effective rehabilitation strategy if a the building and critical components do not have ade­
~ismic evaluation shows that the irregularities result quate ductility to resist the resulting deformations.
m me inability of the building to meet the selected Construction of new braced frames or shear walls
Structural Performance Leve!. within an existing structure are effective measures for
The results of analysis should be reviewed to adding stiffness.
Jetect existing irregularities. Stiffness, mass, and Global Structural Strengtbening. Global
strength irregularities may be detected by reviewing strengthening of the structure may be an effective
me results of a linear analysis, by examining the distri­ rehabilitation strategy if the results of a seismic evalu­
bulion of structural displacements and DCRs, or by ation show unacceptable performance attributable to a
reviewing the results of a nonlinear analysis by exam­ global deficiency in structural strength. This can be
ining the distribution of structural displacements and identified where the onset of global inelastic behavior
ioelastic deformation demands. If the distribution of occurs at levels of ground shaking that are substan­
\alues of structural displacements, DCRs, or inelastic tially less than the selected level of ground shaking, or
.kforrnation demands predicted by the analysis is large DCRs (or inelastic deformation demands) are
lIOIluniform with disproportionately high values within present throughout the structure. By providing supple­
ooe slOry relative to the adjacent story, or at one side mental strength to such a lateral-force-resisting sys­
of a building relative to the other, then an irregularity tem, it is possible to raise the threshold of ground
aists. motion at which the onset of damage occurs. Shear
Such irregularities are often, but not always, walls and braced frames are effective elements for this
caused by the presence of a discontinuity in the struc­ purpose, but they may be significantly stiffer than the
rore, such as termination of a perimeter shear wall structure to which they are added, requiring them to
aboye the first story. Simple removal of the irregularity provide nearly all of the structure's lateral resistance.
may be sufticient to reduce demands predicted by the Moment-resisting frames, being more flexible, may
aoalysis to acceptable levels. However, removal of dis­ be more compatible with existing elements in sorne

43
SEISMIC REHABILITATION OF EXISTING BUILDlNGS

struclUres; however, such flexible elemenls may not in an overall reduction in lhe displacements 01' the
become eftective in the building's response unlil exist­ structure. The most commonly used deviees dissipale
ing brinle elements have already becn damaged. energy through t'rictional, hyslerelic, or viscoelaslic
Mass Reduction. Mass reduction may be an processes. In order lo dissipate substantial cnergy, dis­
effective rehabilitation stralegy if the resulls of a seis­ sipation dcvices typically must undergo significam
mic evaluation show deficiencies aUribulable lo exces­ deformation (or stroke), which requires Lhat the sLruc­
sive building mass, global structural tlexibility, or ture experience substantiallateral displacements.
global structural weakness. Mass and slifIness control Therefore, these systems are mosl etl'ective in struc­
the amount of force and deformation induced in a tures that are relatively flexible and have sorne ine/as­
struclure by ground mOlion. Reduclions in mass can tic deformation capacity. Energy dissipaters are most
result in direct reductions in both the amounl of force commonly installed in structures as components 01'
and the deformalion demand produced by earthquakes braced rrames. Depending on the characleristics 01' the
and, therefore, can be used in lieu of structural device, either static or dynamic stitTncss is added to
strengthening and stiftening. Mass can be reduced the structure as well as energy dissipation capacity
Ihrough demolition of upper stories, replacement of (damping). In sorne cases, although the structural dis­
heavy e1adding and interior partitions, or removal 01' placemems are reduced, the forces delivcred to the
hcavy storage and equipment 10ads. structure can aetually be increased.
Seismic Isolation. Seismic isolation may be an
effeetive rehabililation strategy if the results 01' a seis­
mie evalualÍon show deticiencics altributable to exces­ 2.6 GENERAL DESIGN REQUlREMENTS
sive seismic forces or deformation demands, or if it is
desired to protect important contents and nonstructural The requirements of this section shall apply lo all
components from damage. Where a structure is seismi­ buildings for which the Syslematic Rehabilítation
cally isolated, compliant bearings are inserted belween Method is selected ror any target Building
the superstructure and its foundalions. This produces a Performance Level and any seleclcd Earlhquake
systcm (structure and isolation bearings) with a nearly Hazard Level unless specitied otherwise.
rigid body translation of the strueture aboye (he bear­
ings. Most 01' the deformation induced in the isolated 2.6.1 Multidirectional Seismic Effects
system by (he ground motion occurs within the com­ Componems shall be designed lo resist seismic
plianl bearings, which are specificalIy designed to forces acting in any horizontal direclion. Seismic
resist these concentrated displacements. MOSl bearings forces in lhe vertical direetion shaIl be considered
also have excellent energy dissipation characteristics where required by Section 2.6.1 l. Multidirectional
(damping). Together, Ihis results in greally reduced seismic etreets shall be considered in the analysis as
demands on the existing struclural and nonstructural specitied in Section 3.2.7.
components of the building and its contents. For Ihis
reason, seismic isolation is often an appropriate strat­ 2.6.2 p-~ Effects
egy lo achieve Enhanced Rehabilitation Objeclives Components 01' buildings shall be designed for
that inelude the proteclion of historic fabric, valuable P-á etl'ects, detined as the combined effects 01' gravity
contents, and equipment, or for buildings that comain loads acting in conjunction with lateral drifls due lo
important operations and funetions. This technique is seismic forees, as specitied in Seclion 3.2.5.
most eftective for relatively stiff buíldings with low
profiles and large mass. It ís less effective for Iight, 2.6.3 Horizontal Torsion
flexible struclures. Components 01' buildings shall be desígned Lo
Supplemental Energy Dissipation. Installation resíst the effects of horizontal torsion as specitied in
01' supplememal energy dissipation devices may be an Section 3.2.2.2.
effective rehabilitation strategy íf the results 01' a seis­
mie evaluation show deticiencies attributable lo exces­ 2.6.4 Overturning
sive deformations due to global struclUral tlexibility in Components 01' buildings shall be designed 10
a building. Many available technologies allow (he resíst the etIects of ovenurning at each intermediale
energy imparted to a structure by ground motion to be level as well as the base 01' Ihe slruclUre. Stabiljty
dissipaled in a comrolled manner through Ihe action 01' agaínst overlUrning shall be evaluated as specil1ed in
special devices-tluid viscous dampers (hydraulic Section 3.2.10. Eft'ects of overturning on foundations
cylinders), yielding plates, or friction pads-resulting shall be evaluated as specified in SectÍon 4.4.

44
 ASeE/SEI 41-06

2.6.5 Continuity the primary vertical elements of lhe lateral-force­

AH structural components shall be lied togetber to resisting syslem. The analytical model of the building
form a complete load path for the transfer of inertial shall account for the behavior of the diaphragms as
(orces generated by the dynamie response of portions specified in Section 3.2.4.
of the slructure to the resl of the slructure. Aetions Diaphragms and their connections to vertical ele­
resulting from the forces specified in this section shall ments providing lateral support shall comply wilh lhe
be eonsidered force-conlrolled. design requirements specitied in Seclion 5.8 for metal
diaphragms, Seclion 6.10 for concrele diaphragms,
l. Smaller portions of a structure, such as outslanding
Section 6.11 for precast concrete diaphragms, and
wings, shaIl be connected lO the structure as a
Section 8.5 for wood diaphragms.
who]e. Component connections shall be capable of
resisting, in any direction, the horizontal force cal­ 2.6.6.1 Diaphragm Chords
culated using Eq. 2-3. These connections are not Except for diaphragms evalualed as "unchorded"
required if the individual porlions of me struclure as specified in Chapler 8, a boundary componenl shall
are self-supporLing and are separated by a seismic be provided at each diaphragm edge (either al lhe
joint permitting independent movement during perimeter or al an opening) 10 resist tension or com­
dynamic response. pression resulting from lhe diaphragm moment. This
(Eq.2-3) boundary component shall be a continuous diaphragm
ehord, a conlinuous component of a wall or frame ele­
where ment, or a continuous combinalion of wall, frame, and
Fp = horizonlal force in any direction for the chord components. The boundary components shall be
design of conneclions between two portions designed lo lransfer accumulated lateral forces at lhe
of a slructure; diaphragm boundaries. At re-entrant corners in
Sxs spectral response acceleration parameter at diaphragms and at the corners of openings in
short periods for the selected Earthquake diaphragms, diaphragm chords shall be extended a dis­
Hazard Level and damping, adjusted for site tance sufficient 10 develop me accumulated diaphragm
c1ass; and boundary forces into lhe diaphragm beyond lhe comer.
W weight of the smaller portion of the structure.
2.6.6.2 Diaphragm Collectors
1. A positive connectÍon for resisting horizontal force At each vertical element, a diaphragm collector
acting paraIlel lo lhe member shall be provided for shall be provided lo transfer lo the elemenl accumu­
each beam, girder, or truss to its support. The con­ lated diaphragm forces lhat are in excess of the forces
nection shall have a minimum strenglh 01' 5% 01' transferred directly lo lhe elemenl in shear. The
the dead load and live load reactiol1. díaphragm colleclor shall be extended beyond lhe ele­
3. Wbere a sliding supporl is provided at lhe end of a menl and attached to lhe diaphragm 10 transfer the
eomponent, the bearing lenglh shall be sufticient to accumulaled forces.
accommodate lhe expected dífferential displace­
ment between the component and lhe support. 2.6.6.3 Diaphragm Ties
Díaphragms shaIl be provided with continuous
a.6.S Continuity tension lies between chords or boundaries. At a míni­
A continuous structural system wíth adequateIy mum, tíes shall be designed for axial tension as a
ÍDlerconnected elemenls ís one oi' Ihe most imporlant force-controIled action calculated using Eq. 2-4.
prerequisites for acceptable seismic performance. The
requirements of this section are similar lo parallel pro­ (Eq. 2-4)
\isions contained in FEMA 450 (FEMA 2004). where
2.6.6 Diaphragms Fp axial tensile force for lhe design of lÍes between
=
Diaphragms shall be defined as horizontal ele­ lhe diaphragm and chords or boundaries;
ments that lransfer earthquake-induced inerlial force s Sxs = speclral response acceleration parameter at short
lo vertical elements of the lateral-force-resisting sys­ periods for the selected hazard level and damp­
!ems Ihrough Ihe collective aelion of diaphragm com­ ing, adjusted for site class; and
ponents, including chords, colleclors, and lies. W = weight tributary to that portion of the
Diaphragms shall be provided al each leve] of the diaphragm extending half the distance lo each
~ructure as neeessary lo connecl building masses lo adjacent lie or diaphragm boundary.

45
SEISMIC REHABILlTATION OF EXISTING BUILDINGS

Where diaphragms of timber, gypsum, or metal force-controIled. Nonstructural walls shall be evalu­
deck construction provide lateral support 1'or walls ated using the provisions of Chapter 11.
01' masonry or concrete construction, ties shall be
designed for the wall anchorage torces specified in 2.6.7.1 Out-of-Plane Anchorage to Diaphragms
Section 2.6.7 for the area of wall tributary to the Walls shall be positively anchored lo all
diaphragm tie. diaphragms Ihat provide lateral support for the wall or
are verticalIy supported by the wall. Walls shall be
C2.6.6 Diapbragms anchored to diaphragms al horizontal dislances nol
The concept of a diaphragm chord, consisting 01' exceeding 8 ft, unless il can be demonslrated thal
an edge member provided to resist diaphragm flexural lhe wall has adequate capacily lo span horizonlally
stresses Ihrough direct axial tension or compression, is belween the supports for grealer dislances. Anchorage
no! familiar 10 many engineers. Buildings wilh solid 01' walls lo diaphragms shaIl be designed for forces
struclural walls on all sides often do not require calculated using Eq. 2-5, which shaJl be developed
diaphragm chords. However, buildings with highly in Ihe diaphragm. lf sub-diaphragms are used, each
perforaled perimeler walls do require these compo­ sub-diaphragm shall be capable of lransmitting (he
nents for proper diaphragm behavior. This section 01' shear forces due lo wall anchorage lo a conlinuous
Ihis standard requires that these components be pro­ diaphragm tie. Sub-diaphragms shall have lenglh-to­
vided where appropriale. deplh ralios noL exceeding 3: l. Where wall panel s are
A common problem in buildings Ihal nominally stiffened for out-of-plane behavior by pilasters or sim­
have robust lateral-iorce-resisting systems is a lack 01' ilar componenls, anchors shall be provided al each
adequate aUachment belween the diaphragms and the such component and the dislribution of oUl-of-plane
vertical elemenls of the laleral-force-resisling lo e1'fect forces lo wall anchors and diaphragm Lies shall con­
shear transfer. This is particularly a problem in build­ sider Lhe stit1'ening effecl and accumulaLion 01' forces
ings Ihat have discrete shear walls or frames as their at these componenLs.
vertical lateral-torce-resisting elements. This seclion
provides a reminder that it is necessary lo delaíl a for­ (Eq.2-5)
mal system of force delivery from (he diaphragm to where
the walls and frames.
Díaphragms Ihal supporl heavy perimeler walls PI' = design force ror anchorage of walls lO
have occasionally 1'aíled due lo tension induced by diaphragms;
OUI-of-plane forces generated in Ihe walls. This section X = factor fmm Table 2-4 for Ihe selecLed Structural
is intended 10 ensure thal sufficienl tensile líes are pro­ Performance Leve!. Increased values of X shall
vided across diaphragms lo prevent such failures. The be used where anchoring lo flexible diaphragms;
design torce for Ihese tensile ties, taken as OASxs times Sxs = spectral response acceleratioll parameter aL short
the weight, is an extension of provisions contained in periods for the selecled hazard level and damp­
Ihe 1994 Uniform Building eode (ICBO 1994). In Ihat ing, adjusled for site class; and
code, parts and porlions of structures are designed for W = weight of lhe wall Iribulary to the anchor.
a force calculated as eJz limes lhe weight 01' lhe
component, wilh typical values of Cp being 0.75 and Z
being the etTeclive peak ground acceleralion ror which
Ihe building is designed. The 1994 Unifonn Building
Code provisions use an allowable stress basis. This Table 2-4. Coefficient X Cor CaIculation oC Out-oC­
standard uses a slrenglh basis. Therefore, a factor of Plane Wall Forces
1.4 was applied to Ihe el' value, and a factor 01' 1/(2.5)
was applied to adjust the Z value lo an equivalenl Sxs Slructural Flexible Other
value, resulting in a coefticienl 01' 0.4. Performance Level Diaphragms Diaphragms
Collapse
2.6.7 Walls Prevention 0.9 0.3
Walls shall be evaluated for oUI-of-plane inertial Life Safety 1.2 0.4
forces as required by this section and as fm1her Immediate
Occupancy 1.8 0.6
required tor specitic struclUral systems in Chapters 5
Ihrough 8. Actions that result 1'rom application of the IYalue of X for tlexible diaphragms need not be applied to out-or­
forces specified in Ihis section shall be considered plane strength of walls in Section 2.6.7.2.

46
 ASCElSEI41-06

EXCEPTION: designed considering an analysis 01' the combined

response 01' the two buildings.
1. Fp shall not be les s than the mínimum of 400 Ib/n
or 400 Sxs (lb/ft) for concrete or masonry walls.
2.6.9.2 Separation
Buildings sharing common elements shaIl be
2.6.7.2 Out-o/-Plane Strength
completely separated by introducíng seismic joints
Wall components shall have adequate strength lO
between the structures meeting (he requirements 01'
span belween locatíons of out-of-plane support when
Section 2.6.10. Independent lateral-force-resísting sys­
subjected lo out-of-plane forces calculated usíng Eq. 2-6.
tems shall be provided for each slructure. Independenl
vertical support shall be provided on each side 01' the
(Eq.2-6)
seismic joínt, unless slide bearings are used and ade­
where quate bearing length is provided to accommodate the
expected independent lateral movement 01' each struc­
Fp oul-of-plane force per unít area for design of a
ture. 1t shalI be assumed for such purposes thal the
wall spanníng between two out-of-plane supports;
struclures move out oC phase with each other in oppo­
X = factor from Table 2-4 for lhe selected perfor­
sile directions simultaneously. The original shared ele­
mance level. Values of X for flexible
ment shall be either completely removed, or anchored
diaphragms need not be applíed to out-of-plane
to one of the structures in accordance with the applica­
strength of wall components;
ble requirements oC Seclion 2.6.5.
Sxs spectral response acceleration at short períods
for the selected hazard level and damping,
adjusted Cor síte cIass; and 2.6.10 Building Separation
W = weight of the walI per unit area.
2.6.10.1 Minimum Separation
C2.6.7.2 Out-o¡"Plane Strength Buildings shaIl be separated from adjacent struc­
Application oC these requirements Cm unrein­ tures to prevent pounding by a minimum distance Si at
forced masonry walIs and infilIs is further defined in any level i given by Eq. 2-7 unless exempted as speci­
Chapter 7. fied in Section 2.6.10.2.

U.S Nonstructural Components (Eq.2-7)

Nonslructural components, including architec­
where
rural, mechanical, and electrical components, shalI be
anchored and braced to the structure in accordance ai¡ = lateral det1ection of the building under con­
with the provisions of Chapter 11. sideration, al level i, relative to the ground,
calculated in accordance wilh the provisions
U.9 Structures Sharing Common Elements 01' this standard for lhe selected hazard level;
Buildings sharing common vertical- or lateral­ and
force-resisting e1ements shaJI be rehabilitated consid­ a =
l2 lateral det1ection 01' an adjacent building, al
mng interconnection of the two structures, or they level i, reJative to the ground, estímaled using
ibaIl be separated as specified in this section. the provisions of Ihis standard or other approved
approximale procedure. Alternatively, il shall
26.9.1 1nterconnection be permitted to assume a¡2 = (O.03)(h¡) for
Buildings sharing common elements, other than any struclure in Iieu of a more detailed analy­
foundalion elements, shalI be thoroughly tied together sis, where h¡ is the height of level i aboye
so as to behave as an integral unit. Ties between the grade.
suuctures at each level shall be designed for the Corees
specified in Section 2.6.5. Analyses of the combined The value of SI need not exceed 0.04 limes the
n:sponse of the buildings shaJl account for the ínter­ height 01' the level under consideration aboye grade al
connection oC the structures and shall evaluate the the location of potential impact.
SIl'UCtures as one integral unít.
If the shared common elements are foundation 2.6.10.2 Exceptions
dements and the superstructures meet the separation For Structural Performance Levels 01' Life Safety
requirements of Sectíon 2.6.10, the structures need not or lower, buildings adjacenl lo structures Ihat have
be lied together. Shared foundation elements shalI be diaphragms located at the same elevatÍon, and differ in

47
SEISMIC REHABILlTATlON OF EXISTING BUILDlNGS

height by less than 50% of the heighl of lhe shorler 2.7 CONSTRUCTION QUALITY
building, need nol meet lhe minimum separation dis­ ASSURANCE
tance specified in Seclion 2.6.10.1.
Where an approved analysis procedure lhal Conslruction of seismic rehabilitalion work shall be
accounts for the change in dynamic response of lhe checked for quality of conslruction and general com­
structures due lo impacl is used, the rehabílitated pliance wilh lhe intent of lhe plans and specificalions
buildings need not meel the mínimum separation dis­ of the rehabililalion designo Construction quality
lance specified in Section 2.6.10.1. Such an analysis assurance shal1 conform to lhe requiremenls of this
shall demonslrate that section and the additional testing and inspeclion
requiremenls 01' lhe building code and reference stan­
l. The structures are capable of transferring forces
dards of Chaplers 5 through 1 l.
resulling from impacl, for diaphragms located al
the same elevation; or
2. The slructures are capable of resisting aH required
vel1ical and lateral forces considering the loss of C2.7 CONSTRUCTION QUALITY
any elements or components damaged by impact ASSURANCE
of lhe structures.
The design pro1'essional responsible for lhe seismic
rehabilitalion of a specific building may tind il appro­
C2.6.10.2 Exceptions
priate to specify more stringent or more detailed
This standard permits rehabilitated buildings to
requirements. Such addilional requirements may be
experience pounding as long as lhe effects are ade­
particularly appropriate for those buildings having
quately considered by analysis methods thal accounl
Enhanced Rehabilitation Objectives.
for the transfer of momenlum and energy between lhe
slructures as they impact.
Approximale methods of accounting for these 2.7.1 Construction Quality Assurance Plan
effects can be obtained by performing nonlinear time­ A Quality Assurance Plan (QAP) shal1 be pre­
history analyses of both structures (Johnson 1992). pared by lhe design professional and approved by
Approximate elastic methods for evaluating these the authorily having jurisdiction. The QAP shall
effecls have also been developed and are presented in idenlify componenls of the work that are suhjecI to
lhe Iiterature (Kasai 1990). quality assurance procedures and idenlify special
Buildings that are likely lo experience signiticant inspection, testing, and observation requirements lo
pounding should not be considered capable of meeling confirm conslruction qualily. The QAP shall also
Enhanced Rehabilitation Objectíves. This is because inelude a process for modifying lhe rehabilitation
sígniticanl local crushíng of components is Iikely to design lo rellect unforeseen conditions discovered
occur at poinls of ímpacl. Furthermore, the very nature during construclion.
01' the impact is such that hígh-frequency shocks can
be lransmitted through lhe slructures and potenlially
C2.7.1 Construction Quality Assurance Plan
be very damaging to architectural componenls and
The qualily assurance plan (QAP) should, as a
mechanical and electrical systems. Such damage is
mínimum, inelude Ihe following:
not consistent wíth the performance expected of
buíldings designed lo Enhanced Rehabílitalion l. Required conlraclor qualíty control procedures;
Objectives. and
2. Required design professional conslruclion qualily
assurance services, inc1uding bUI nOllimited 10 lhe
2.6.11 Vertical Seismic Effects
following:
The etl"ects of lhe vertical response of a struclure
2.1 Review of required contractor submittals;
lo earlhquake ground mOlion shall be consídered for
2.2 Moniloring of required inspection reports and
lhe foHowing cases:
test resuIts;
l. Cantilever componenls of slructures; 2.3 Construction consuJtation as required by the
2. Preslressed components of slructures; and contractor on the intenl of lhe conslruclion
3. Structural components in which demands due lo documents; and
gravity loads specitied in Seclion 3.2.8 exceed 80% 2.4 Construclíon ohservation in accordance wilh
01' lhe nominal capacity of the component. Section 2.7.2.1.

48
 AseE/SEI 41-06

2.7.2 Construction Quality Assurance 2. Olher work designated for such testing by the
llequirements design professional or the authority having
jurisdiction.
1.7.2.1 Requiremellts lor the Desigll Prolessiollal
The design professional shall be responsible 1'or 2.7.2.4 Reporting and Compliance Procedures
preparing the QAP applicable to the portion of the The special inspector shall furnish copies of
",'ork for which they are in responsible charge, over­ progress reports to the owner's representative and the
seeing the implementation 01' the plan, and reviewing design professional, noting any uncorrected deticien­
~ial inspection and testing reports, cies and corrections of previously reported deticien­
The design pro1'essional shall be responsible for cies. Al! observed deticiencies shalt be brought to the
pt!rforming periodic structural observation 01' the reha­ immediate attention of the contractor for correction.
bilitation work. Structural observation shall be per­ Upon completion of construction, the special
iormed at signiticant stages of construction, and shall inspector shall submit a tinal report to the owner's rep­
ioclude visual observation of the work for substantial resentative and the design professional, indicating the
..-onformance with the construction documents and extent to which inspected work was completed in
..-ontirmation of conditions assumed during design, accordance with approved construction documents.
Slructural observation shall be performed in addition Noncompliant work shall have been corrected prior to
10 any special inspection and testing that is otherwise complelion of construction.
required for the work.
The design professional shall be responsible for C2.7.2 Construction Quality Assurance
modifying the rehabilitation design to retlect condi­ Requirements
oons discovered during construction. The special inspector should be a qualified person
who should demonstrate competence, to the satisfac­
e2.7.2.1 Requiremellts lor the Desigll Prolessional tion of the authority having jurisdiction, for inspection
Following structural observations, the design pro­ of the particular type of construction or operation
iessional should report any observed deticiencies in requiring special inspection.
tIITiling to the owner's representative, the special
inspector, the contractor, and the code ofticial. Upon 2.7.3 Responsibilities oC the Authority Having
oompletion of the work, the design professional should Jurisdiction
submit to the authority having jurisdiction a written The authority having jurisdiction shall be respon­
ilatement auesting that the site visits have been made, sible for reviewing and approving the QAP and speci­
md identifying any reported deticiencies that, to the fying minimum special inspection, testing, and report­
ba!sl of the structural construction observer's knowl­ ing requirements.
cdge, have not been resolved or rectified.
C2.7.3 Responsibilities oC the Authority Having
27.2.2 Speciallnspection Jurisdiction
The owner shall engage the services of a special The authority having jurisdiction should act to
inspector to observe construction of the following enhance and encourage the protection of the public
rehabilitation work: that is represented by such rehabilitation. These
actions should inelude those described in the following
1. Items designaled in Section A.9.3.3 of Appendix A
subsections.
of ASCE 7 (ASCE 2(05); and
., Other work designated for such special inspection
C2.7.3.1 Construction Document Submittals­
by the design professional or the authority having
Permittillg
jurisdiction.
As part of the permitting process, the authorily
having jurisdiction should require lhat construction
27.2.3 Testing
documents be submitted for a permit to construct the
The special inspector shall be responsible for veri­
proposed seismic rehabilitation measures. The docu­
fying that special test requirements, as described in the
ments should inelude a statement of the design basis
QAP, are performed by an approved testing agency for
for the rehabilitation, drawings (or adequately detailed
die following rehabilitation work:
sketches), structural/seismic calculations, and a QAP
1. Work described in Section A.9.3.4 of Appendix A as recommended by Section 2.7.1. Appropriate struc­
of ASCE 7 (ASCE 2(05); tural construction specifications are also recommended

49
SEISMIC REHABILITATION OF EXISTING BUILDINGS

if structural requirements are not adequately defined permitted to derive the required parameters and
by notes on drawings. acceptance criteria using the expcrimental1y obtained
The authority having jurisdiclion should require cyclic response characteristics 01' lhe subassembly,
that it be demonstrated (in lhe design caIculations, by delermined in accordance wilh this section. Approved
third-party review, or by other means) that the design independent review 01' Ihis process shall be conducled.
of lhe seismic rchabilitation measures has been per­
formed in conformance with local building regula­ 2.8.1 Experimental Setup
tions, the stated design basis, lhe intenl oí' lhis stan­ Where relevant data on the ínelastic force­
dard, and/or accepted engineering principIes. The deformatíon behavior ror a structural subassembly are
authority having jurisdiction should be aware that nol available, such data shall be obtained from experi­
compliance with the building code provisions for new ments consisting of physical tests of representativc
structures is oflen not possible and is not required by subassemblies as spccified in lhis section. Each sub­
this slandard. 11 is not ¡ntended that the authority hav­ assembly shall be an identifiable portion of the struc­
ing jurisdiction assure compliance of lhe submittals tural elemen! or component, lhe sliffness 01' which is
with the structural requirements ror new construclion. required to be modeled as part of the structural analy­
The authority having jurisdiction should maintain sis process. The objeclíve of the experiment shall be to
a permanenl public file 01' the construclion documents estimale lhe lateral-force-displacement relalionshíps
submiued as part of the permitting process for con­ (stitTness) rol' the subassemblies at dilIerent loading
struction 01' lhe seismic rehabililalion measures. increments, logether wíth the strength and deformation
capacitíes for the desíred Structural Performance
C2.7.3.2 Constructioll Phase Role Levels. These properties shall be used in developing
The authority having jurisdiction should monitor an analytical model of lhe slructure to calculute its
lhe implementation of the QAP. In particular, the fol­ response to earthquake ground shaking and other
lowing actions should be taken: hazards, and in developing acceptance criteria fOl'
strength and deformalions. The limiting strength and
]. Files of inspection reports should be maintained for
deformation capacities shall be determined from the
a defined length of time following completion of
experimental program using lhe average values of a
construction and issuance oí' a certificale of occu­
mínimum of three tesIs performed for the same design
pancy. These files should inelude bolh reports sub­
configuration and test conditions.
miiled by special inspectors employed by the
The experimental setup shall replicale the con­
owner, as in Section 2.7.2.2, and those submiHed
struction details, support and boundary conditíons, and
by inspectors employed by I.he aUlhorily having
loading condilions expected in the building. The load­
jurisdiction;
ing shall consist of fully reversed cyelic loading at
2. Prior lo issuance 01' a certificale of occupancy, the
increasing displacement levels with the number of
authority having jurisdiction should ascertain thal
cycles and displacement levels based on expected
either all reported noncomplianl aspects of con­
response of the structure 10 the design earlhquake.
Slruclion have been rectitied, or such noncompliant
Increments shall be continued until the subassembly
aspects have been accepted by lhe design pro1'es­
exhibits complete failure, characterized by the loss of
sional in responsible charge as acceplable substi­
lateral- and vertical-load resistance.
tutes lhat are consistent with lhe general intent of
lhe conslruclion documenls; and
3. Files of test reporls prepared in accordance with 2.8.2 Data Reduction and Reporting
Seclion 2.7.2.4 should be maintained for a defined A report shall be prepared for each experiment.
length of time following completion of construclion The repon shall inelude lhe following:
and issuance of a certiticate of occupancy. l. Description of Ihe subassembly being tested.
2. Description 01' the experimental setup, ineludíng:
2.1. Details on fabrication of the subassembly;
2.8 ALTERNATIVE MODELING PARAMETERS 2.2. Location and date of tesling;
AND ACCEPTANCE CRITERIA 2.3. Descriplion 01' instrumentation employed;
2.4. Name of the pcrson in responsible charge of
For elements, components, systems, and materials for the test; and
which structural modeling parameters and acceptance 2.5. Pholographs of the specimen, laken prior to
criteria are not provided in this standard, it shaJl be testing.

50
 ASeE/SEI 41-06

3. Description of lhe loading prolocol employed, negalive) of the similar segments in Ihe muItílinear
including: curves for the various experiments. Each segmenl
3.1. Increment of loading (or deformalion) applied; on the composile curve shall termínate at the aver­
3.2. Rate ol' loadíng applicalion; and age ol' the deformation levels at which the similar
3.3. Duratíon of loadíng al each stage. segments of the multilinear curves l'or the various
4. Description (including photographic documenta­ experiments terminate.
tíon) and Iimiting deformalion value for aIl impor­ 3. The stifl'ness of the subassembly for use in linear
lant behavior states observed during Ihe test, procedures shall be taken as the slope of lhe firsl
incJuding Ihe following, as applicable: segment 01' the composite curve. The composite
4.1. Elastic range with effeclive stifl'ness reporled; muhilinear force-deformation curve shall be used
4.2. Plastic range; l'or modeling in non linear procedures.
4.3. Onset ol' visible damage; 4. For the purpose of determining acceptance criteria,
4.4. Loss of lateral-force-resisting capacity; subassembly actions shaJl be cIassified as being
4.5. Loss of vertical-force-resisting capacity; either force-controlled or defoffilalÍon-controlled.
4.6. Force-deformation plOI for the subassembly Subassembly actions shall be cIassified as force­
(noting the various behavior states); and controlled unless any of the following apply:
4.7. Description of Iimiting behavior states defined 4.1. The full backbone curve, incJuding strength
as the onset ol' specific damage mode, change degradation and residual strength, is modeled;
in sliffness or behavior (such as inilialion of the composite multilinear force-deformation
cracking or yielding), and failure modes. curve l'or lhe subassembly, determíned in accor­
dance wilh requiremenls in paragraph 2 aboye,
conforms to eilher Type l or Type 2, as indi­
2.8.3 Design Parameters and Acceptance Criteria
cated in Fig. 2-3; and lhe deformation parameter
The folIowing procedure shall be followed lo
d is at least twice the deformation parameler g.
develop structural modeling paramelers and accepl­
4.2. Bilinear modeling is performed in accordance
ance criteria for subassemblies based on experimental
with the simplitied NSP procedure of Sec­
data:
tion 3.3.3.2.2; the composite muJtilinear
l. An idealized lateral-force-del'ormation pushover force-deformation curve for the subassembly,
curve shaIl be developed l'rom the experimental determined in accordance with requirements in
data l'or each experiment and for each direction of paragraph 2 aboye, conl'orms to either Type I
loading with unique behavior. The curve shall be or Type 2, as indicated in Fig. 2-3; and the
plotted in a single quadranl (posilive force versus deformation parameter e is at least twice the
positive deformalion, or negative force versus nega­ deformatíon parameter g.
tive deformation). The curve shall be constructed as 4.3. Secondary componenls in which the composite
follows: multilinear force-deformation curve for the
1.1. The appropriate quadrant of data shall be subassembly, determined in accordance with
laken from lhe laleral-force-deformation plot requirements in paragraph 2 abo ve, conforms
trom lhe experimental report. to Type 1, as indicated in Fig. 2-3.
1.2. A smooth "backbone" curve shall be drawn 5. The strength capacity, QC/" for force-conlrolled
through the intersection of the tirst cycle curve aclions evaluated using either the linear or nonlin­
for the ¡-th deformation step with the second ear procedures shall be laken as the mean minus
cycle curve of the (i - 1)th deformation step, one standard deviation strenglh Qy determíned from
for all i steps, as indicated in Fig. 2-4. the series ol' representative subassembly tests.
1.3. The backbone curve so deríved shall be approx­ 6. The acceptance criteria for deformation-controlled
imated by a series of linear segmenls, drawn to aclíons used in nonlínear procedures shall be the
form a mullisegmented curve conforming to deformations corresponding with Ihe following
one of the types indicated ín Fig. 2-3. poínts on the curves ol' Fig. 2-3:
2. The multilinear curves derived tor all experiments 6.1. Immediate Occupancy
involving the subassembly shalJ be compared and 6. 1.1. The deformation al which permanent,
an average multilinear representation 01' Ihe sub­ visible damage occurred in Ihe experi­
assembly behavior shall be derived based on these ments but nol greater than 0.67 times
curves. Each segment of the composite curve shall the deformation Iimil for Life Safety
be assigned lhe average stiffness (either positive or specit1ed in 6.2.1.

51
SEISMIC REHABILlTATION OF EXISTING BUILDINGS

6.2. Primary Components C2.8 ALTERNATIVE MATERIALS AND

6.2.1. Lite Safety: 0.75 limes the deformation METHODS OF CONSTRUCTION
al point 2 on the curves; and
6.2.2. Collapse Prevention: The deformation This seetion provides guidanee for developing appropri­
at point 2 on the curves but not greater ate data to evaluate eonstruelÍon material s and detailing
than 0.75 times the deformation at systems not specifically covered by this standard. This
point 3. standard specities stiffnesses, m-taetors, strengths, and
6.3. Seeondary Components deformation capacities for a wide range of eomponents.
6.3.1. Lite Sately: 0.75 times the deformation To lhe extent practica!, this standard has been formatled
at point 3; and to provide broad eoverage of the various eommon eon­
6.3.2. Collapse Prevention: 1.0 times the struelÍon lypes present in the national inventory of
deformation at point 3 on the buildings. However, it is fully anticipated that in the
curve. eourse of evaluating and rehabilitating existing build­
7. The m-faetors used as aeceplanee eriteria for ings, eonstruetion systcms and component detailing
deformation-controlled actions in linear proeedures praetices that are not specif1cally covered by this stan­
shall be determined as foJlows: (a) obtain the defor­ dard will be encountered. Furthermore, it is anticipated
malion acceptance eriteria given in paragraph 6 !hat new me!hods and materials, nol eurrently in use,
aboye; (b) then obtain the ratio of this deformation will be developed that may have direct application to
to the deformation at yield, represented by the building rehabilitation. This section provides a method
deformation parameter g in the curves shown in for obtaining the needed design parameters and aceept­
Fig. 2-3; (e) then multiply this ratio by a tactor ance criteria for elements, components, and construc­
0.75 to oblain the acceptable m-factor. tion details not speeifically included in this standard.

~ Backbone curve

..

Test Defonnati on

FIGURE 2-4. Backbone Curve for Experimental Data.

52
 ASeE/SEI 41-06

The approach laken in this section is similar lo may be useful as a performance measure for sub­
Ihat used lo derive the basic design parameters and assemblies representing components in structures sub­
acceptance criteria contained in Ihis standard for ject to impulsive motion.
various components, except that no original experi­
mentation was performed. The required story-force C2.S.2 Data Reduction and Reporting
deformalion curves were derived by this standard's It is important tha! data from experimental pro­
developers, either direclly from research testing avail­ grams be reported in a uniform manner so lhat the
able in the literature or based on the judgment of performance of different subassemblies may be com­
engineers knowledgeable about the behavior of the pared. The data reporting requirements specified are
particular materials and systems. the mínimum thought to be adequate to allow develop­
ment of lhe required design parameters and acceptance
C2.S.l Experimental Setup criteria for (he various Systematic Rehabilitation
This standard requires performing a minimum of Procedures. Sorne engineers and researchers may
lhree separate tests of each unique subassembly. This desire additional dala from the experimentation pro­
is because there can be considerable variation in the gram to allow calibration of Iheir analytical models
results of testing performed on "identical" specimens, and lo permit improved understanding of the probable
just as there is inherent variability in the behavior of behavior of the subassemblies in the real slruclure.
actual components in buildings. The use of multiple
test data allows sorne of the uncertainty with regard C2.8.3 Design Parameters and Acceptance Criteria
lo aClual behavior to be defined. A multislep procedure for developing design
A specific testing protocol has not been recom­ parameters and acceptance crileria for use with both
mended, as selection of a suitable protocol is depen­ Ihe linear and nonlinear procedures is provided. The
dent on the anticipated failure mode of the subassem­ basic approach consists of lhe developmenl of an
bly as well as the character of excitation it is expected approximate story lateral-force-deformation curve for
lo experience in the real structure. In one widely used Ihe subassembly, based on the experimental data.
protocol, the Applied Technology Council's Guidelines In developing the representalive story lateral-force­
lor Seismic Testing 01 Components 01 Steel Structures deformalion curve from the experimentation, use of the
(ATC 1992), the specimen is subjected to a series of "backbone" curve ís required. This takes into account,
quasi-static, fully reversed cyelic displacements thal in an approximate rnanner, Ihe strength and stiffness
are incremented from displacement levels correspon­ deterioration commonly experienced by struclural com­
ding lo elastic behavior, lo lhose al which failure of ponents. The backbone curve is defined by points given
the specimen occurs. Other protocols that enlail fewer by the imersection of an unloading branch and lhe
or more cycles of displacemenl, and more rapid load­ loading curve of lhe nexl load cycle that gocs lo a
ing rates, have also been employed. In selecting an higher level of displacernem, as illuslrated in Fig. 2-4.
appropriate test protocol, it is important that sufficient
íncrements of loading be selected 10 characterize
adequately the force-deformation behavior of the sub­ 3.0 ANALYSIS PROCEDURES
assembly throughoul its expected range of perform­
ance. In addition, the total energy díssipaled by the 3.1 SCOPE
test specimen should be similar lo thal which the sub­
assembly is anticipaled lo experience in the real slruc­ This chapter sets forth requirements for analysis of
ture. TeSIS should aJways proceed lo a failure slale, so buildings using the Systematic Rehabilitalíon Melhod.
thal the margin against failure of the subassembly in Section 3.2 specifies general analysis requirements for
service can be judged. the mathematical modeling of buildings incIudíng basic
If the struclure is Iikely lo be subjected lo strong assumplions, consideratÍon of torsion, diaphragm flexi­
impulsive ground motions, such as those that are com­ bilily, P-A effecls, soil-struclure interaction (S SI), mul­
monly experienced wilhin a few kilomelers of lhe faull tidirectional effects, and overturning. Section 3.3
ruplure, consideration should be given to using a pro­ defines four analysis procedures ineluded in this stan­
locol lhat includes one or more very Jarge displace­ dard. Section 3.4 defines component acceptance crileria.
ments at the initiation of the loading, lo simulale the Analysis of buildings with seismic isolalion or
large inilial response induced by impulsive mOlion. energy dissipation syslems shall comply with the
Alternatively, a single monotonic loading to failure requirements of Chapler 9. Analysis of buildings using

53
SEISMIC REHABlLlTATION OF EXISTING BUlLDlNGS

the Simplitied Rehabilitation Method shall comply Dynamic Procedure (LDP), the Nonlinear Static
with the requirements of Chapter 10. Procedure (NSP), or lhe Nonlinear Dynamic
Procedure (NDP), selcclcd bascd on the Jimitations
specitied in Section 2.4. Use 01' alternatíve rational
C3.1 SCOPE analysis procedures as described in Scction 2.4.3 shall
also be permiued.
The relationship 01' the analysis procedures described
in this chapter with specifications in other chaplers of C3.2.1 Analysis Procedure Selection
this standard is as follows. Four procedures are presented for seismic analysis
of buíldings: two linear procedures and two nonlínear
• Informalion on Rehabilitation Objectives, including
procedures. The lwo linear procedures are termed the
Earthquake Hazard Levels and target Building
Linear Static Procedure (LSP) and the Linear Dynamic
Performance Levels, is provided in Chapter l.
Procedure (LDP). The two non linear procedures are
o The provisions sel forth in this chapter are intended
termed the Nonlinear Static Procedure (NSP) and the
for Syslematic Rehabilitation. Provisions for
Nonlinear Dynamic Procedure (NDP).
Simplified Rehabilitation are presented in
Either the linear procedures 01' Sections 3.3.1 and
Chapter 10.
3.3.2 or the nonlinear procedures of Sections 3.3.3 and
o Guidelines for selecting an appropriate analysis pro­
3.3.4 may be used to analyze a building, subject to the
cedure are provided in Chapter 2. Chapler 3
Iimitations set forlh in Seclion 2.4.
describes the loading requirements, mathematical
Linear procedures are appropriate where lhe
model, and detailed analytical procedures required
expected level 01' nonlinearity is low. This ís measured
to estimate seismic force and deformation demands
by component demand capacily ratios (DCRs) 01' less
on componenls 01' a building. Information on the
than 2.0.
ca1culation of appropriate stiffness and strength
Static procedures are appropriate where higher
characteristics for components is provided in
~ode effects are not signiticant. This is generally lrue
Chapters 4 through 9.
for short, regular buildings. Dynamic procedures are
o Geneml design requírements are specitied in Sec­
required 1'or taH buildings and 1'or buildings with tor­
tion 2.6 for multídirectional excitatíon effects, P-.o.
sional irregularities or nonorthogonal systems.
etlects, horizontal torsion, overturning, continuity of
The NSP is acceptable for most buildings, but
lhe framing system, diaphragms. walls, nonstructural
should be used in conjunction Wilh [he LDP if mass
components, building separation, structures sharing
participation in the tirst mode is low.
common components, and vertical seismic effects.
The term "linear" in linear analysis procedures
o Component strength and deformation demands
ímplies "linearly elastíc." The analysis procedure,
obtained fmm analysis using procedures described
however, may inelude geometric nonlinearity of grav­
in this chapter, based on component acceptance cri­
íty loads acting through lateral displacements and
teria outlined in this chapter, are compared with per­
implicit material nonlinearity 01' concrete and masonry
missible values provided in Chapters 4 thmugh 9 for
components using properties of cracked sections. The
the desired performance leve!.
term "nonlinear" in nonlinear analysís procedures
o Design methods for walls subjected to out-of-plane
implies explicit materíal nonlinearíty or inelastic mate­
seismic forces are addressed in Chapter 2. Analysis
rial response, hut geometric nonlinearíty may also be
and design methods for nonstructural components
included.
(incJuding mechanical and electrical equipment) are
presenled in Chapter 11.
3.2.2 Mathematical Modeling

3.2.2.1 Basic Assumptiolls

3.2 GENERAL ANALYSIS REQUIREMENTS
A building shall be modeled, analyzed, and evalu­
ated as a three-dimensional assembly of components.
An analysis of the building, as specitied in Sec­
Alternatively, use of a two-dimensional model shall be
tion 2.4, shall be conducted in accordance wíth the
permitted if the building meets one 01' the folJowing
requirements of this section and Section 2.6.
conditions:
3.2.1 Analysis Procedure Selection l. The building has rigid diaphragms as detined in
An analysis of the building shall be performed Section 3.2.4 and horizontal torsion eftects do not
using the Linear Static Procedure (LSP), the Linear exceed the Iimits specificd in Section 3.2.2.2, or

54
 ASCFJSEI 41-06

horizontal torsion effects are accounted for as spec­ by the eccenlricity between the cenler of mass and
itied in Section 3.2.2.2; or the cenler of rigidity measured perpendicular lo lhe
.. The building has flexible diaphragms as defined in direction of the applied load. The center oí" mas s
Section 3.2.4. shall be based on all t100rs above the story under
consideration. The cenler of rigidity of a story shall
If two-dimensional models are used, (he Ihree­
include all vertical seismic e\ements in the story;
dimensional nature of components and elements shall
and
be considered when calculating slitIness and strength
2. The accidental torsional moment at a story shall be
properties.
calculated as the seismic story shear torce multi­
lf the building contains out-of-plane offsets in
plied by a dislance equal lo 5% of the horizontal
\erticallateral-torce-resisting elements, [he model
dimension at the given tloor level measured perpen­
Soball explicitly account for such offsets in the determi­
dicular to the direction of the applied load.
nation of diaphragm demands.
Modeling stiffness of structural components shall
3.2.2.2.2 Considerarion ofTorsional Effects Effects of
be based on the stiffness requirements of Chapters 4
horizontal torsion shall be considered in accordance
through 8.
with lhe following requirements:
For nonlinear procedures, a connection shall be
&:!xplidtly modeled i1' the connecLÍon is weaker than or 1. Increased torces and displacements due to actual
has less ductility than the connected components or if torsion shall be calculated for aJl buíldings;
die tlexibility of the conncetion results in a change in 2. The displacement multiplier, 'TI, at each tloor shall
die connection forces or deformations of more than be calculaled as the ratio of the maximum displace­
109ó. ment at any point on the tloor diaphragm to the
average displacemenl (omtJX!oavg)' Displacements
C3.2.2.1 Basic AssumpliollS shaIl be calculated tor the applied loads;
For two-dimensional models, the three­ 3. Increased torces and dísplacements due to acciden­
dimensional natUfe of components and elements tal torsion shall be considered unless the accidental
should be recognized in calculating their stiffness and torsíonal moment is less than 25% of the actual tor­
srrength properties. For example, shear walls and other sional moment, or the displacement multiplier 'TI
bracing systems may have "L" or "T" or other three­ due to the applied load and accidental torsion is
dimensional eros s scetions where contribulÍons of both less than 1.1 at every tloor;
die tlanges and webs should be accounted for in calcu­ 4. For linear analysis procedures, forces and displace­
laIing stiffness and strength properties. ments due to accidental torsion shall be amplified
In this standard, component still"ness is generally by a factor, Ax. as detined by Eq. 3-1, where ¡he
taken as the effective stiffness based on the secan! displacement multíplier 'TI due lo total torsional
Sliffness to yield level forces. Specific direction on cal­ moment exceeds 1.2 at any level;
culating effective stiffness is provided in each material

(~)2:s
chapter for each type of structural system.
3.0 (Eq.3-1)
Examples of where connection tlexibility may be 1.2
important 10 model inelude the panel zone of s!eel
momenl-resisting frames and the "joint" region of per­ 5. If the displacement moditier 'TI due to total torsional
forated masonry or concrete walls. moment at any tloor exceeds 1.5, two-dimensional
models shall not be permiued and three­
3.2.2.2 Horizontal Torsion dimensional models that account for the spatial
The effects of horizontal torsion shall be consid­ distribuLÍon of mass and stiffness shall be used;
ered in accordance with this section. Torsion need not 6. Where two-dimensional models are used, the effects
be considered in buildings with tlexible diaphragms as of horizontal torsion shall be calculated as follows:
defined in Scetion 3.2.4. 6.1. For lhe LSP and lhe LDP, force s and displacc­
ments shall be amplified by the maximum
3.2.2.2.1 Total Torsional Mament The total horizontal
value of 'TI calculated for lhe building;
loesional momen! at a story shall be equal to the sum
6.2. For the NSP. the target displacement shall be
of the actual torsional moment and the accidental tor­
amplified by lhe maximum value of 'TI calcu­
sional moment ca\culated as follows:
lated for lhe building;
1. The actual torsional moment at a slory shall be cal­ 6.3. For the NDP, the amplitude of the ground
culated by multiplying the seismic story shear force acceleration record shall be amplified by the

55
SEISMIC REHABILITATION OF EXISTING BUILDINGS

maximum value of 1] calculaled for lhe build­ Components shall nol be selectively designated
ing; and primary or secondary lo change the configuration 01' a
7. The effects 01' accidental torsion shalJ not be used building from irregular lo regular.
lo reduce force and defonnalion demands on
components. C3.2.2.3 Primary and Secondary Components
Due to limilalions inhercnt in eaeh analysis
C3.2.2.2 Horizontal Torsion melhod, the manner in whieh primary and secondary
Actual torsion is due to lhe eccentrícily between components are handled dilTers ror linear and nonlin­
the cenlers 01' mass and stíffness. Accidenlal torsion is ear procedures. Since strength and stiffness degrada­
inlended lO cover the elTects of the rotational compo­ lion 01' secondary componcnts is Iikely, thcir resistance
ncnt of the ground motion, differences between is unreliable. Linear procedurcs cannot aeeount rol'
computed and actual stilTness, and unfavorable distri­ this degradation, so only primary componenls are
butions 01' dead and Iive load mas ses. inc\uded in linear analysis models. This is conservative
The 10% threshold on additional displacement in linear analyses beeause it will result in Ihe highesl
due to accidentallorsion is based on judgment. The demands placed on the primary components that
intent is lO reward lhose building frames Ihat are tor­ remain. Seeondary components, however, musl still be
sionally redundant and possess high torsional stiffness. cheeked against lhe aeceptance eritcria given in
Such structures are Iikely to be much less susceptible Chapters 5 lhrough 8.
to lorsional response than those framing systems In nonlinear procedures, strength and stifl'ness
possessing )ow redundancy and low IOrsional degradation can be modeled. Sinee degradation of the
stiffness. overall system can increase disp)aeemenl demands,
inc\usion of bOlh primary and secondary components
3.2.2.3 Primary and Secondary Components is eonservative in nonlinear analyses.
Components shall be classitied as primary or sec­ For linear procedures, this standard limits Ihe
ondary as detined in Section 2.4.4.2. Primary compo­ amount of lateral resislance that can be provided by
nents shall be evalualed for earlhquake-induced forces secondary components. The main l'eason for this limi­
and deformalÍons in combination with gravity load talÍon is to minimize the potential ror sudden loss 01'
effecls. Secondary componenls shall be evaluated for lateral-force-resisling components to produce irregular
earlhquake-induced deformations in combination with structural response that is difticull to deteel. The con­
gravity load effects. tribution 01' seeondary eomponents can be cheeked by
Mathematical models for use with linear analysis temporarily including them in the analysis model and
procedures shall inelude lhe stiffness and resistance of examining the change in response.
only the primary components. If Ihe total lateral stitT­
ness of secondary components in a building exceeds 3.2.2.4 Stiffness and Strength AssumptiollS
25% 01' the tolal ¡nitial stiffness of primary compo­ Stiffness and strength propcrlies of componenls
nents, sorne secondary components shall be reclassified shall be determined in accordance with Ihe require­
as primary lo reduce the lotal sliffness of secondary ments of Chapters 4 through 9, and JI.
componenls lo less lhan 25% 01' primary. If lhe inclu­
sion of a secondary component will increase lhe force 3.2.2.5 Foundation Modeling
or deformalion demands on a primary component, lhe The foundation system shall be modeled eonsider­
seeondary component shall be reclassified as primary ing lhe degree of fixity provided at the base 01' Ihe
and inc1uded in Ihe model. strueture. Rigid or flexible base assumptions shall be
Mathemalical models for use wilh non linear pro­ permiued in aceordanee with lhe requirements ror
cedures shall include lhe stiffness and resislance of soil-structure interaction in Section 3.2.6 and founda­
primary and seeondary components. The strength and tion aceeptability in Seetion 4.4.3. Foundation model­
stitl'ness degradation oí' primary and seeondary com­ ing shall consider movement due lo geo)ogie site
ponenls shall be modeled explicitly. For the simplitied hazards speciticd in Section 4.2.2, and load-dcformation
NSP of Seetion 3.3.3.2.2, only primary eomponents characteristics specitied in Section 4.4.2.
shall be inc\uded in the model and degradation shall
not be modeled. C3.2.2.5 Foundation Modeling
Nonstructural eomponents shall be c1assified as Mcthods for modeling foundations and eSlimation
structural eomponents and shall be included in malhe­ of ground movemenls due lo seismie geologic sile
matical models i1' their lalera) sLÍtJness exceeds 10% of hazards are referenced in Chapler 4, and may require
the tolal inítial lateral stitTness of a story. the expertise 01' a geotechnieal engineer or a gcologist.

56
 ASeE/S El 41-06

The decision to model foundation f1exibility must consistent with the distribution of mass, and aIl in­
consider impacts on the behavior of structural compo­ plane lateral forces associated with offsets in the verti­
nents in the building. Rigid base models for concrete cal seismic framing at that diaphragm leve\.
shear walls on independent spread footings may maxi­
mize deformation demands on the walls themselves, 3.2.4.3 Mathematical Modeling
but could underestimate the demands on other second­ Mathematical modeling of buildings with rigid
ary components in the building, such as beams and diaphragms shall account for the effects of horizontal
columns in moment frames, which may be sensitive to torsion as specified in Section 3.2.2.2. Mathematical
additional building movement. models of buildings with stiff or flexible diaphragms
shall account for the effects of diaphragm flexibility
3.2.3 Configuration by modeling the diaphragm as an element with in­
Building irregularities defined in Section 2.4.1.1 plane stiffness consistent with the structural character­
shall be based on the plan and vertical configuration of istics of the diaphragm system. Alternatively, for
me rehabilitated structure. Irregularity shall be deter­ buildings with flexible diaphragms at each f100r level,
mined, both with and withoul Ihe contribution of sec­ each lateral-force-resisting element in a vertical plane
ondary components. shaIl be permitted lo be designed independentIy, with
seismic mas ses assigned on the basis of tributary area.
C3.2.3 Configuration
One objective of seismic rehabilitation should be C3.2.4 Diaphragms
me improvement of the regularity of a building through Evaluation of diaphragm demands should be based
me judicious placement of new framing elements. on the Iikely distribution of horizontal inertial forces.
Adding seismic framing elements at certain loca­ For flexible diaphragms, such a distribution may be
tions will improve the regularity of the building and given by Eq. C3-1 and is iIIustrated in Fig. C3-1.
should be considered as a mean s to improve seismic
performance of the building.
(Eq. C3-1)
Secondary components can lose significant
strength and stiffness after initial earthquake shaking
and may no longer be effective. Therefore, regularity where
of the building should be determined both with and Id = inertial load per foot;
without the contribution of secondary components. FJ = total inertial load on a flexible diaphragm;
x = distance from the center line of flexible
3.2.4 Diaphragms diaphragm; and
LJ = distance between lateral support points for
3.2.4.1 General diaphragm.
Diaphragms shall be classified as flexible, stiff, or
rigid in accordance with Section 3.2.4.2.
Applied force

32.4.2 Classification 01 Diaphragms

Diaphragms shall be c\assified as flexible where
me maximum horizontal deformation of the diaphragm
a10ng its length is more than twice the average story
drift of the verticallateral-force-resisting elements of
me story immediately below the diaphragm.
Diaphragms shall be c\assified as rigid where the
maximum lateral deformation of the diaphragm is less Shear force
I
than half the average story drift of the vertical lateral­
force-resisting elements of the associated story.
Diaphragms that are neither flexible nor rigid f Fd
shall be c\assitied as stiff. ~2
For the purpose of c\assifying diaphragms, story
............,.¡¡
drift and diaphragm deformations shall be calculated
using the pseudo-lateral force specified in Eq. 3- lO. Cn3-003 EPS

The in-plane deflection of the diaphragm shall be cal­ FIGURE C3-1. Plausible Force Distribution in a
..:ulated for an in-plane distribution of lateral force Flexible Diaphragm.

57
SEISMIC REHABILITATION OF EXISTING BUILDINGS

3.2.5 P-.1 Effects • Kinematic effects-tiltering 01' the ground mOlions

P-.1 etTects shall be included in linear and nonlin­ transmitted to the structure based on the geometry
ear analysis procedures. and properties of the 1'oundation;
For nonlinear procedures, static P-.1 effects shall • Foundation damping effects--dissipation of energy
be incorporated in the analysis by including in the through radiation and hysteretíc soil damping.
mathematical model the non linear force-deformation
Foundatiop tlexibility is covered in Section 4.4.
relationship of a1l components subjected to axial
Consideration of soil-structure interaction (SSI)
t'orces.
effecls caused by kinematic interaction or t'oundation
damping, which serve lo reduce the shaking input to
C3.2.5 P-.1 Effects the structure relative lo the free-field mOlion, is cov­
SLatic P-.1 effects are caused by gravity loads act­ ered in Section 4.5.
ing through lhe deformed configuralion 01' a building SSI may modify the seismic demands on a build­
and result in an increase in lateral displacements. ing. It can reduce spectral accelerations and lateral
Dynamic P-.1 ell'ects are caused by a negative forces, but can increase lateral displacements and sec­
post-yield stiffness that increases story drift and the ondary forces due to P-.1 effects. Reductions in seis­
target displacement. The degree by which dynamic mic demand due to explicít modeling of foundation
P-.1 effecls increase displacements depends on the tlexibility. toundation damping, or kinematic etl'ects
following: can be significant. and should be used where applica­
l. The ratio of the negalive post-yield stitfness to the ble. Where SSI effects are not required to be evalu­
etfective elastic stilfness; ated, use of all three etfects alone or in combination is
2. The fundamental period 01' the building; permitted.
3. The strenglh ratio, R; For those rare cases (such as near-tield and soft
4. The hysterelic load-del'ormation relations for each soil sites) in which the ¡ncrease in period due to SSI
story; increases spectral accelerations, the etfects of SSI
5. The frequency characteristics of !he ground motion; on building response must be evaluated. Further dis­
and cussion 01' SSI effects can be l'ound in FEMA 440
6. The duration oí' the strong ground motion. (FEMA 2005).

Because of the number of parameters involved, it 3.2.6.1 Simplified Procedure

is ditlicult to capture dynamic P-.1 etl'ects in linear and Calculation 01' SSI effects using the simplitied
nonlinear statíc analysis procedures. For the NSP, procedure shaJ1 comply with the procedure in ASCE 7
dynamic instability is measured by the strength ratio, (ASCE 2005) utilizing the effective fundamental
R. For the NDP, dynamic P-.1 effects are captured period and effective fundamental damping ratio 01' the
explicítly in lhe analysis. toundation-structure system. Combination of lhese
etl'ects with kinematic interactÍon effecls calculated in
3.2.6 Soil-Strudure Interaction accordance with Section 4.5.1 shall be permitted.
The eifects 01' soil-structure ínteraction (SSI)
shall be evaluated l'or Lhose buildings in which an 3.2.6.2 Explicit Modelillg Procedure
increase in fundamental period due 10 SSI effecls Calculation of SSI etlecls using the explicit mod­
will result in an increase in spectral accelerations. eling procedure shall be based on a mathematical
For other buildings, the effects of SSI need not be model that ineludes the tlexibilily and damping of
evaluated. individual t'oundation elements. Foundation sliffness
SSI etfects shall be calculated using the explicit parameters shall comply with lhe requirements 01'
modeling procedure, or other approved ralional proce­ Seclion 4.4.2. Damping rarios for individual founda­
dure. Where the LSP is used, the simplitied procedure tion clements shall nol exceed lhe value used ror lhe
shall be permitted. elastic superstructure. In líeu oí' explicitly modeling
damping, use oí' the effective damping ratio of the
slructure-foundation system, f3(), calculated in accOf­
C3.2.6 Soil-Structure Interaction
dance wilh Seclion 4.5.2, shall be permitted.
Interaction between the structure and the support­
For the NSP, Ihe effeclive dumping ratio 01' lhe
ing soil consists oí' the following:
f'oundation-struclure system, f3o. calculated in accor­
• Foundation tlexibility-introduction of tlexibility at dance wilh Section 4.5.2, shaIJ be used to modify
the foundation-soil interface; spectral demands.

58
 ASCFlSEl 41-06

Combination of damping effects with kincmatic for NDP. Other combinalÍon rules shall be perrnit­
intcraction effects calculated in accordance with ted whcre verified by experiment or analysis.
Section 4.5.1 shall be permitted.
3.2.7.2 Vertical Seismic Effects
3.2.7 Multidirectional Seismic EtTects For components in whieh Seetion 2.6.11 requires
Buildings shall be dcsigned for seismic motion in consideration 01' vertical seismic effeets, the vertical
any horizontal direction. Multidirectional seismic response of a structure to earthquake ground motion
effects shall be considered to act concurrently as spec­ need not be combined with the effects 01' the horizon­
ified in Section 3.2.7.1 for buildings meeting the fol­ tal response.
lowing criteria:
3.2.8 Component Gravity Loads for Load
l. The building has plan irregularities as defined in
Combinations
Section 2.4.1.1; or
The following actions due to gravity loads, Qc,
2. The building has one or more primary columns
shall be considered for combination with actions due
which form a part of two or more intersecting
lo seismic loads.
frame or braced frame elements.
Where the effects or aetions 01' gravíty and seismic
AH other buildings shall be permiued to be loads are additive, the action due to design gravity
designed for seismic motions acting nonconcurrently loads, QG, shall be obtained in accordance with Eq. 3-2:
in the direction of each principal axis of the building.
(Eq.3-2)
3.2.7.1 Concurrent Seismic Effects
where
Where concurrent mullidirectional seismic effects
must be considered, horizontally oriented, orthogonal Qv = aclion due to design dead loads;
x- and y-axes shalJ be established. Components of QL = action due to design live load, equal to 25% 01'
the building shall be designed tor combinations of lhe unreduced design live load, but not less than
forees and deformalions from separate analyses per­ the actual live load; and
forrned for ground motions in X and Y direetions as Qs = action due to effective snow load contribution.
follows:
Where the effects or actions ol' gravity and seis­
1. Where the LSP or LDP is used as the basis for mic loads are counteracting, the aclÍon due to design
design, elements' and components shall be designed gravity loads, Qc, shall be obtained in accordance with
for (a) forees and deformations associated with Eq.3-3:
IOD% of the design forees in lhe X direction plus
the forces and deforrnations associated with 30% (Eq.3-3)
of the design forees in the Y direction; and for
(b) forees and deformations associated with 100% where
of the design forces in the Y direction plus the QD = aclion due to design dead loads.
forces and deformations assocÍated wilh 30% of the
design forees in the X direclion. Other eombination Where the design flat 0001' snow load calculated
rules shall be perrniued where verified by experi­ in accordance with ASCE 7 (ASCE 2005) exceeds
ment or analysis; and 30 psl', the el'fective snow load shall be taken as 20%
2. Where lhe NSP or NDP is used as lhe basis for 01' the design snow load. Where the design flat roof
design, eJemenls and components of lhe building snow load is less than 30 psl', the effective snow load
shall be designed for (a) forees and deformations shall be perrnitted to be zero.
associated with 100% of the design displacemenl in
lhe X direetion only, plus the forees (nol deforma­ C3.2.8 Component Gravity Loads ror Load
tions) associated wíth 30% of the design displace­ Combinations
menls in the Y direetion only; and for (b) forces Evaluation 01' components for gravity and wind
and deformations associated with 100% of the forces, in the absence of earthquake forces, is beyond
design displacements in the Y direction only, plus the scope 01' this document.
the forces (not deforrnations) associated with 30%
of the design displaeemcnls in lhe X direction only. 3.2.9 Verification of Design Assumptions
Design displaeements shall be determined in accor­ Eaeh component shall be evaluated to verify that
dance with Section 3.3.3 for NSP and Seelion 3.3.4 locations 01' inelastic deforrnations assumed in the

59
SEISMIC REHABILITATION OF EXISTING BUILDINGS

analysis are consistent with strength and equilibrium concrete walls, the overturning etl'ects are resolved
requirements along the component length. Each com­ into component forces (e.g., flexure and shear at the
ponent shall also be evaluated for postearthquake base of the wall). The element is then proportioned
residual gravity load capacity by a rational analysis with adequate strength using m-factors, where appro­
procedure approved by the authority having jurisdic­ priate, to resist overturning etTects resulting from these
tion that accounts for potential redistribution of gravity force levels.
loads and reduction of strength or stiffness caused by Some elements, such as wood shear walls and
earthquake damage to the structure. foundations, may not be designed with positive attach­
ment between levels. An overturning stability check is
C3.2.9 Veritication of Design Assumptions typically performed for such elements when designed
It is important that assumptions about locations of using codes for new buildings. If the element has sutli­
potential inelastic activity in lhe structure are verified. cient dead load to remain stable under the overturning
In linear procedures, the potential for inelastic flexural effects of lhe design lateral forces and has sufticient
action is restricted to the beam ends because flexural shear connection to the level below, then the design is
yielding along the span length can lead to unconserva­ deemed adequate. However, if dead load is inadequate
tive results. In nonlinear procedures, potential inelastic to provide stability, then tie-downs, piles, or other
activity should occur only where specitically modeled. types of uplift anchors are provided to resist the resid­
Where demands due to gravity load combinations of ual overturning caused by the design forces.
Section 3.2.8 exceed 50% of the capacity of the com­ In the linear and nonlinear procedures of this stan­
ponent at any location along its length, the potential dard, lateral force s are not reduced by an R-factor, as
for inelastic activity exists and should be investigated. they are for new buildings, so computed overturning
Sample procedures for verifying design assumptions etfects are larger than typically calculated for new
are contained in Section C3.2.9 of FEMA 274 (FEMA buildings. Although the procedure used for new build­
1997). ings is not completely rational, it has resulted in
successful performance. Therefore, it may not be
3.2.100verturning appropriate to require that structures and elements
Structures shall be designed to resist overturning of structures remain stable for the pseudo-lateral
effects caused by seismic forces. Each vertical-force­ forces used in the linear procedures in this standard.
resisting element receiving earthquake forces due to Instead, the designer must determine if positive direct
overturning shall be investigated for the cumulative attachment will be used to resist overturning etl'ects
effects of seismic forces applied at and aboye the level or if dead loads will be used. If positive direct attach­
under consideration. The effects of overturning shall ment will be used, then the overturning effect at this
be evaluated at each level of the structure as specitied attachment is treated just as any other component
in SeclÍon 3.2.10.1 for linear procedures, or Section action.
3.2.10.2 for nonlinear procedures. The effects of over­ However, if dead loads alone are used to resist
turning on foundations and geotechnical components overturning, then overturning is treated as a force­
shall be considered in the evaluation of foundation controlled behavior. The real overturning demands can
slrength and stiffness as specified in Chapter 4. be estimated by considering the overalllimiting
strength of the component.
C3.2.10 Overturning There is no simple rational method available,
Response to earthquake ground motion results in shown to be consistent with observed behavior, to
a tendency for structures and individual vertical ele­ design or evaluate elements for overturning etl'ects.
ments of structures to overlurn about their bases. The method described in this standard is rational but
Although actual overturning failure is very rare, over­ inconsistent with procedures used for new buildings.
turning etTects can result in significant stresses, as To improve damage control, the full lateral forces used
demonstrated in some local and global failures. In new in the linear procedures of this slandard are required
building design, earthquake etTects, including over­ for checking acceptability for performance levels
turning, are evaluated for lateral forces that are signiti­ higher than life safety.
cantly reduced (by an R-factor) from those that may Additional studies are needed on the parameters
actual1y develop in the structure. that control overlurning in seismic rehabilitation.
For elements with positive attachment between Information regarding consideration of rocking behav­
levels that behave as single units, such as reinforced ior can be found in Commentary Section C4.4.2.

60
 ASeE/SEI 41-06

3.2.10.1 Linear Procedures ralionalize overturning stability. Posilive attachments

Where linear proeedures are used, overturning shall be eapable of resisting earthquake forees in eom­
effects shatl be resisted lhrough lhe slabilizing effect binalion with gravily loads as force- or deformatÍon­
oí' dead loads acting alone or in combination with conlrolled aclions in accordance with Eq. 3-16 or
positive conneetion 01' structural components to com­ 3-17 and applicable acceplance criteria of Eq. 3-18
ponents below the level under consideration. or 3-19.
Where dead loads alone are used to resist the
I!ftects oi' overturning, Eq. 3-4 shall be salisfied: C3.2.10.1 Lillear Procedures
For evaluating the adequacy of dead loads to pro­
(Eq.3-4) vide slability againsl overlurning, lhe alternalive pro­
cedure of Seclion 3.2.10.1 is imended lo provide a
where
melhod thal is consÍslent with prevailing practice spec­
Mar total overturníng moment induced on Ihe
= itied in currenl codes for new buildings.
element by seismic forces applied al and
aboye Ihe level under eonsideration. 3.2.10.2 NOllli"ear Procedures
Overturning moment shall be determined Where nonlinear procedures are used, the effecls
based on design seismic forces calculated of earlhquake-induced uplifl on the tension side 01' an
in accordance with Section 3.3.1 for LSP element, or rocking, shall be included in (he analylÍcal
and 3.3.2 for LDP; model as a nonlinear degree of freedom. The adequacy
MST = stabilízing moment produced by dead of elemenlS aboye and below lhe level al which uplíft
loads acling on the element; or rocking oecurs, including Ihe foundalions, shall be
el and e2 = coefficienls defined in Seclion 3.3.1.3; evaluated ror any redistribution of torees or deforma­
and tions that occurs as a result of this rocking.
J = coeft1cienl defined in SeclÍon 3.4.2.1.2.

The quanlity Mar/(e1ezJ) need not exceed Ihe 3.3 ANALYSIS PROCEDURES
o\'erturning moment on the element, as Iimited by the
I!xpected strength of the slruclUre. The element shall Selection of an appropriate analysis proeedure shaJl
bI! evaluated for the effects of increased compression comply with Seclion 3.2.\.
.... Ihe end about which it is being overturned. For this
purpose, compression at Ihe end of the element shall 3.3.1 Linear Static Procedure
bI! considered a force-controlled aClion.
Alternalively, Ihe load combínation represented 3.3.1.1 Basis ofthe Procedure
by Eq. 3-5 shall be permitted for evaluating the ade­ lf the LSP is seleeted for seismic analysis of lhe
quacy of dead loads alone lo resisl the etfeets of over­ building, lhe design seismic forces, lheir distribulÍon
rurning. over lhe height of the building, and the corresponding
internal torces and system displacements shall be
(Eq.3-5) determined using a linearly elastic, static analysis in
aecocdance with this sectÍon.
where
Buildings shalI be modeled with linearly elastic
Rar = 10.0 for Collapse Prevention; stiffness and equivalent viscous damping values eon­
= 8.0 for Life Satety; and sistent with components respondíng at or near yield
= 4.0 for Immediate Oeeupaney. level, as detlned in SeeÜon 2.4.4. The pseudo-lateral
torce defined in Seetion 3.3.1.3 shall be used lo calcu­
Where Eq. 3-4 or 3-5 for dead load stability late internal forces and system displacements due to
against the eftects of overlurning is not satistied, posi­ lhe design earlhquake.
uve attaehment between elements 01' the struclure at Results of the LSP shall be cheeked using the
and immediately aboye and below lhe level under con­ aceeplance criteria of Seclion 3.4.2.
iÍderalion shall be provided. If lhe level under consid­
eralion is the base of the structure, posilive attachment C3.3.J.1 Basis ofthe Procedure
shall be provided between Ihe structure and Ihe sup­ The magnitude of the pseudo-lateral force has
porting soil, unless non linear procedures are used lo been selected wilh lhe intention thal, when applied lo

61
 SEISMIC REHABILlTATlON OF EXISTING BUILDlNGS

the linearly elastic model of the building, it will result 0.020 for wood buildings (Types l and 2 in
in design displacemenl amplitudes approximating Table 10-2, Chapter 10);
maximum displacements expected during the design = 0.020 for all other framing systems;
earthquake. The procedure is keyed to the displace­ h n heighl (in ft) aboye the base lo Ihe roor leve!;
ment response of lhe building because displacemenrs and
are a belter indicator of damage in the non linear range {3 = 0.80 1'or sleel moment-resisting frame
of building response than are t'orces. In this range, rel­ systems;
atively small changes in force demand correspond LO = 0.90 for concrete moment-resisting frame
large changes in displacement demando lf the building systems;
responds essenLially elastically to the design earlh­ 0.75 ror al! other framing systems.
quake, the calculated interna! ¡'orces will be reasonable
approximations of those expecLed during the design
earthquake. If the building responds inelastically lO the 33.1.2.3 Method 3-Approximate
design earthquake, as commonly will be the case, the l. For any building, use of Rayleigh's method to
actual internal t'orces that would develop in lhe build­ approximate the fundamental period shall be per­
ing will be less than the internal forces calculated mitted.
using a pseudo-lateral force. 2. For one-story buildings wilh single-span flexible
Calculated internal t'orces lypically will exceed

I
diaphragms, use of Eq. 3-7 lo approximate lhe fun­
those rhat the building can develop because of damental period shall be permilted.
anlicípated inelastic response of componenlS. These
design forces are evaluated lhrough the acceptance
T = (0.16." + 0.0786.,jl.5 (Eg.3-7)
criteria of Section 3.4.2, which inelude moditica­
tion tactors and alternative analysis procedures to
account for anticipated inelastic response demands where 6." and 6." are in-plane wall and diaphragm
and capacities. displacements in inches, due to a laleral load in Ihe
direction under eonsideralion, equal lo Ihe weight
of the diaphragm.
3.3.1.2 Penod Determi1lano1l 3. For one-story buildings with multiple-span
The fundamental period of a building shall be cal­ diaphragms, use of Eq. 3-7 shalJ be permitted as
culated for the direction under consideration using one follows: a lateral load equal to lhe weight tributary
of the followíng analylical, empírical, or approximate lO the diaphragm span under consideration shall be
methods specified in this seclion. applied lo calculate a separate period for each
diaphragm span. The period lhat maximizes the
3.3.1.2.1 Method I-Analytieal Eigenvalue (dynamic) pseudo-lateral force shall be used t'or design 01' all
analysis of lhe mathematical model 01' the building walls and diaphragm spans in the building.
shall be performed to determine the fundamental 4. For unreinforced masonry buildings with single­
períod 01' lhe building. span flexible diaphragms, six stories or less in
height, use 01' Eq. 3-8 to approximate the funda­
mental period shall be permitted.
3.3.1.2.2 Method 2-Empirieal The fundamental
períod of the building shall be determined in accOf­
dance with Eq. 3-6: (Eq.3-8)

(Eq.3-6) where 6.(/ is the maximum in-plane diaphragm dis­

placement in inches, due lO a lateral load in the
where direction under consideration, egual to the weight
tributary to the diaphragm.
T = fundamental period (in sec) in the direction
under consideration;
CI 0.035 ror steel moment-resisting frame systems; C3.3.1.2 Penad Determination
= 0.018 for concrete moment-resisting frame
systems; C3.3.1.2.1 Method J-Analytieal For many buildings,
0.030 ror steel eccentrically-braced frame including multistory buildings with well-detined fram­
systems; ing systems, the preferred approach to obtaining the

62
 ASeE/SEI41-06

period for design is Method 1. By this melhod, lhe

building is modeled using the modeling procedures of
Chaplers 4 through 8 and 11, and the period is
obtained by Eigenvalue analysis. Flexible diaphragms
may be modeled as a series of lumped masses and
diaphragm finite elements.
Contrary to procedures in codes for new build­
iogs, lhere is no maximum limit on period calculated
using Method l. This omission is in tended to
.::ocourage the use of more advanced analyses. It is
reh that suff1cient controls on analyses and accept­
aoce criteria are present within this standard to pro­ Vertical
,ide appropriately conservalive results using calcu­ seismic
hmíng
laied periods.

FIGURE C3·2. Diaphragm and Wall Displacement

C3.3.1.2.2 Method 2-Empirical Empírical equalions
Terminology.
r.x period, such as lhat used in Method 2, intentionalIy
uoderestimate the actual period and will generally
result in conservative estimates of pseudo-lateral force.
Sludies have shown that depending on actual mass or
súffness distributions in a building, the results of based on the stiffness of lhe vertical elements will sub­
Method 2 may differ signiticantly from those of stantially underestimate the period of actual dynamic
Method J. The e, values specified for Method 2 are response and overestimale lhe pseudo-lateral force.
!l!oeralJy consistent with FEMA 302 (FEMA 1997) but Equation 3-8 is a special case developed speciti­
llave been modifled based on recent pubJished research caIly for unreinforeed masonry (URM) buildings. In
00 measured building response to earthquakes. this melhod, wall deformatíons are assumed negligible
compared to diaphragm det1ections.
C3.3.1.2.3 Method 3-Approximate Rayleigh's melhod For ilIustration of wall and diaphragm displace­
rOl' approximating the fundamental period of vibratíon ments, see Fig. C3-2. Where calculating diaphragm
oí a building is presented in Eq. C3-2. The equation displacements for the purpose of estimating period
.ses the shape function given by lhe static deflections using Eq. 3-7 or 3-8, the diaphragm shall be consid­
oí each f100r due to the applied lateral forces. ered to rema in el as tic under lhe prescribed lateral
loads.

3.3.1.3 Determi"aiio" (Jf F(Jrces alUl Def(Jrmatiom

(Eq. C3-2) Forces and deformations in elements and compo­
nents shall be calculated for the pseudo-lateral force 01'
Section 3.3.1.3.1, using component stiffnesses calcu­
lated in accordance with Chapters 4 through 8 .
• bere
Pseudo-lateral force s shall be distributed throughout
"'i = portion of the etlective seismic weight localed the building in accordance with Sections 3.3.1.3.2
on or assigned to noor level i; through 3.3.1.3.4. Alternatively, for unreinforced
{ji = displacement at noor i due to lateral load F¡; masonry buildings in which the fundamental period is
F¡ lateral load applied at noor level i; and calculated using Eq. 3-8, pseudo-lateral forces shall be
n = total number of stories in the vertical seismic permiued lO be distributed in accordance with Section
framing. 3.3.1.3.5. AClions and deformations shall be modified
to consider the effects 01' horizontal torsion in accor­
Equations 3-7 and 3-8 of Method 3 are appropri­ dance with Section 3.2.2.2.
* for systems wÍlh rigid vertical e1ements and tlexi­
bk diaphragms in which the dynamic response of the 3.3.1.3.1 Pseudo-Lateral Force The pseudo-lateral
system ís concentrated in the diaphragm. Use of force in a given horizontal direction 01' a building shall
Melhod 2 on these systems to calculate the period be delermined using Eq. 3-9. This load shall be used

63
SEISMIC REHABILITATION OF EXISTING BUILDlNGS

lo desígn (he verlical elemenls of lhe lateral-force­ e

from Table 3-1. m shall be taken as 1.0 ir
resislíng system. the fundamental period, T, is greater than
1.0 sec;
(Eq.3-9) Sa response spectrum acceleration, at the fundamen­
tal period and damping ratio of the building in
where
the direction under consideration. The value of Sa
v= pseudo-lateral force; shall be obtained from the procedure specitied in
el = modíficatíon factor to relate expected maximum Section J .6; and
ínelastic displacements to displacements calcu­ W = effective seismic weight of lhe building inc1uding
lated ror 1inear elastic response. For periods less lhe total dead load and applicable portions oí'
than 0.2 sec, e, need not be taken greater than other gravity loads listed below:
the value at T 0.2 seco For periods greater than
l. In areas used for storage, a mínimum 25% of
1.0 sec, el 1.0.
the tloor live load shall be applicable. The
. live load shall be permítted to be reduced for
R 1
tributary area as approved by the authority
1 + -2­
aT having jurisdíction. Floor live load in public
where garages and open parking structures is not
applicable.
a = site c1ass factor; 2. Where an allowance for partilion load is
= 130 síte CJass A, B; inc1uded in the tloor load design, the actual
90 site Class C; partition weight or a minimum weight of
60 site Class D, E, F; 10 psf 01' f100r area, whichever is greater,
R strength ratio calculated in accordance with shall be applicable.
Eq. 3-15 with the elastíc base shear capacity 3. Total operating weight of permanent
substituted for shear yield strength, Vy ; equipment.
T = fundamental period of the building in the 4. Where the design nat roof snow load calcu­
direction under consideration, calculated in lated in accordance with ASCE 7 exceeds
accordance with Section 3.3.1.2, including 30 psf, Ihe etfeclive snow load shall be taken
moditication for SSI elfects of Section 3.2.6, as 20% of the design snow load. Where the
if applicable; design nal roof snow load is less than 30 psf,
e2 = moditication factor to represent the effect of the effective snow load shall be permitted lo
pinched hysteresis shape, cyclic stiffness degra­ be zero.
dation, and strength deterioration on maximum
displacement response. For periods greater than e3.3./.3./ Pseudo-Lateral Force Coefficient C,o This
0.7 sec, e] = 1.0. moditication factor is lo accounl for lhe difference in
maximum elastic and inelastic displacement ampli­
1 +1- - ­ (R - 1)2 tudes in structures with relatively stable and full hys­
800 T teretic loops. The values of the coetl'icicnt are based
on analytical and experimental investigations of the
Cm effective mass factor to account ror higher earthquake response of yíeldíng structures. The quan­
mode mass parlicipation effects obtained tity, R, is the ratio of the required elastÍC strcngth to

Table 3-1. Values for Effective Mass Factor Cm I

Concrete Steel Steel Steel

No. 01' MomeO[ Concrete Concrete MomeO[ Concentric Eccentric
Stories Frame Shear Wall Pier-Spandrel Frame Braced Frame Braced Frame Other
1-2 1.0 1.0 1.0 1.0 1.0 1.0 l.0
3 or more 0.9 0.8 0.8 0.9 0.9 0.9 1.0
IC", shall be taken as 1.0 ir the fundamental periodo 1: is grealer than 1.0 seco

64
 ASeE/SEI 41-06

lb! yielding strength of the structure. For linear anal y­ applied at any tloor level x shall be determined in
ses, R may be determined using: accordance with Eqs. 3-10 and 3-11:

DCR max C <:! 1 O Fx = C.xV (Eq.3-1O)

R 1.5 m •

(Eq.3-11)
_bere DCR,nax is the largest DCR computed for any
primary component, takíng Cl = C2 = Cm 1.0.
The expression above is obtained by substituting
where
&J. 3-9 into Eq. 3-15 and assuming that the elastic
base shear capacity (fully yielded strength, Vy ) is CyX = vertical distribution factor;
lDObilized at a shear that is 1.5 times the shear al first k = 2.0 for T <:! 2.5 sec;
,1eld (as indicated by the largest primary component 1.0 for T s 0.5 sec (linear interpolation shall be
DCR). The latter assumption is based on representative used to calculate values of k for intermediate
'IlIIues for system overstrength. As is indicated in values of 1);
Fig. C4.2-1 ofFEMA 450 (FEMA 2004), the factor V = pseudo-lateral force from Eq. 3-9;
Idaling design force level to fuHy yielded strength is W¡ = portion of the effective seismic weight W
n.,. Sources of overstrength are design 4> factors, located on or assigned lo floor level í;
apected material properties in excess of nominal Wx portion of the effective seismic weight W
-.arerial properties, and global system response. As located on or assigned to floor level x;
lllis standard prescribes use of 4> = 1 and expected h¡ = height (in ft) from the base to floor leve! i; and
...erial properties, the only additional source of over­ hx = height (in ft) from the base to floor leve! x.
mength is global system response. Using representa­
1M! values for these contributions to overstrength 3.3./.3.3 Horizontal Distribution of Seismic Forces
tI1~ = 2.5, 4> 0.75, and expectedlnominal 1.25), The seismic force s at each floor leve! of the building
lIIIe factor relating shear at first yield to elastic base calculated using Eq. 3-10 shall be distributed accord­
mear capacity is 1.5. Additional commentary regard­ ing tO the distribution of mass at thal noor leve!.
iIIg this coefficient is provided in C.3.3.3.3.2.
Coefficient el' This coefficient adjusts design val­ 3.3./.3.4 Diaphragms Diaphragms shall be designed
.::s based on component hysteresis characteristics, to resist the combined effects of the inertial force, Fpx,
cyclic stiffness degradation, and strength deterioration. calculated in accordance with Eq. 3-12, and horizontal
Fu buildings with systems that do not exhibit degra­ forces resulting from offsets in, or changes in the stiff­
_on 01' stitTness andlor strength, the C2 coefficient ness 01', the vertical seismic framing elements above
ao be assumed to be 1.0. This would ínelude bui/d­ and below the diaphragm. Actions resulting trom
• with modern concrete or steel special moment­ offsets in or changes in the stiffness of the vertical
a:sisting frames, steel eccentrically braced frames, and seismic framing elements shall be laken as force­
IluckJing-restrained braced frames as either the origi­ conlrolled, un!ess smaller force s are justified by olher
al system or the system added during seismic rehabil­ rational analysis, and shall be added directly to the
ilalion. See Section C3.3.3.3.2 and FEMA 274 (FEMA diaphragm inertial forces.
1997) for additional discussion.
Coefficient, Cm' The etTective mass factor was
developed to reduce the conservatism 01' !he LSP for
(Eq.3-12)
lluildings where higher mode mass participation
mluces lateral forces up to 20% depending on build­
iIIg type. See FEMA 357 (FEMA 2000), Appendix E
where
for more information on the development of Cm'
Fpx = total diaphragm inertial force al level x;
33./.3.2 Vertical Distribution of Seismic Forces The F¡ = lateral lóad applied at floor level i given by
..:rtical distribution of the pseudo-lateral force shall be Eq.3-1O;
as specified in this section for aH buildings except Wi portion of the effective seismic weighl W
~jnforced masonry buildings, for which the pseudo­ located on or assigned to floor leve! i; and
llleral force shall be permitted to be distributed in W x = portion of the effeclÍve seismic weight W
a::cordance with Section 3.3.1.3.5. The lateral load Fx located on or assigned to floor level x.

65
SElSMIC REHABILlTATION OF EXISTING BUILDINGS

The seismic load on each flexible diaphragm shall Buildings shall be modeled with linearly e1astic
be distributed along the span 01' that diaphragm, pro­ stilfness and equivalenl viscous damping values con­
portional 10 íts displaced shape. sistenl with components responding al or near yield
Diaphragms receiving horizontal forces from dis­ level, as detined in Section 2.4.4. Modeling and analy­
continuous vertical elements shall be laken as force­ sis procedures to calculate t'orces and de1'ormations
controlled. Actions on olher diaphragms shall be con­ shall be in accordance wilh Section 3.3.2.2.
sídered force- or deformation-controlled as specified Results of Ihe LDP shall be checked using the
for diaphragm components in Chapters 5 through 8. acceptance criteria of Section 3.4.2.

C3.3.1.3.4 Diaphragms Further information on load C3.3.2.1 Basis 01 the Procedure

dislribution in tlexible diaphragms is given in Sec­ Modal spectral analysis is carried out using lin­
tion C3.2.4. early elastic response spectra that are not moditied to
accounl for anticipated nonlinear response. As with the
3.3.1.3.5 Distribution of Seismie Forees for LSP, it is expected lhal the LDP will produce displace­
Unreinforeed Masonry Buildings with Flexible ments that approximate maximum displacements
Diaplzragms For unreinforced masonry buildings with expecled during Ihe design earthquake, but will pro­
tlexible diaphragms for which lhe fundamental period duce internal forces thal exceed Ihose that would be
is ealculated using Eq. 3-8, il shall be permiued to cal­ obtained in a yielding building.
culale and distribule the pseudo-lateral force as 1'01­ Ca\culaled internal t'orces typically will exceed
lows: those that lhe building can sustain because 01' anlici­
pated inelastic response of components. These design
l. For eaeh span 01' lhe building and at each level, eal­ forces are evaluated through lhe acceptance crileria 01'
eulate period from Eq. 3-8; Seclion 3.4.2, which inelude moditication factors and
2. Using Eq. 3-9, calculate pseudo-lateral force for alternalive analysis procedures lo account t'or anLici­
each span; paled inelastic response demands and capacities.
3. Apply (he lateral loads calculaled for an spans
and calculale forces in vertical seismic-resisting 3.3.2.2 Modeling and Analysis Considerations
elements using tributary loads;
4. Diaphragm forces for evaluation 01' diaphragms 3.3.2.2.1 General The ground motion characlerized t'or
shall be determined 1'rom the resuhs 01' step 3 aboye dynamic analysis shall cornply wiLh the requirernents
and distribuled along the diaphragm span consider­ 01' Section 3.3.2.2.2. The dynamic analysis shalI be
ing its deflecled shape; and performed using Ihe response spectrum method in
5. Diaphragm detlection shall not exceed 6 in. for this accordance with Section 3.3.2.2.3 or lhe lime-history
method 01' dislribution 01' pseudo-lateral force to be method in accordance with Section 3.3.2.2.4.
applicable.
3.3.2.2.2 Ground Motíon Characterization The hori­
C3.3.1.3.5 Distribution of Seismie Forees in Unrein­ zontal ground motion shall be characlerized for design
forced Masonry Buildings with Flexible Diaphragms by Ihe requirements 01' Section 1.6 and shall be one of
These provisions are based on Appendix Chapter l of lhe folJowing:
the 1997 Uniform Code for Building Conservation
(ICBO 1997). See FEMA 357 (FEMA 2000), 1. A response spectrum as specitied in Sec­
Appendix D 1'or more information. lion 1.6.1.5;
2. A site-specific response speclrum as specified in
3.3.2 Linear Dynamic Procedure Section 1.6.2.1; or
3. Ground acceleration time histories as specitied in
3.3.2.1 Basis 01 the Procedure Seclion 1.6.2.2.
If lhe LDP is selected for seismic analysis 01' the
building, the design seismic forces, Lheir disLribution 3.3.2.2.3 Response Spectrum Method Dynamic analy­
over the height of Ihe building, and lhe corresponding sis using Ihe response spectrum method shall calculate
internal 1'orces and system displacements shall be peak modal responses for sufticient modes LO capture
determined using a linearly elastic, dynamic analysis at least 90% of the participating mass of the build­
in compliance with the requiremenls of Ihis section. ing in each of two orthogonal principal horizontal

66
 AseE/SEI4I-06

directions of the building. Modal damping ratios shall of time histories is provided in the U.S. Nuclear
rellect the damping in the building at deformation Regulatory Commission Regulatory Cuide 1.92
,"=vels less than the yield deformation. (USNRC 1976).
Peak member forces, displacements, story force s,
Slory shears, and base reactions for each mode of 3.3.2.3 Determination of Forces and Deformations
response shall be combined by either the square root
sum of squares (SRSS) rule or the complete quadratic 3.3.2.3.1 Modijication of Demands AII forces and
~-ombination (CQC) rule. deformations calculated using either the Response
Multidirectional seismic effects shall be consid­ Spectrum or the Time-History Method shaIl be multi­
.:red in accordance with the requirements of SecO. plied by the product of the moditication factors C I and
Iion 3.2.7. C2 detined in Section 3.3.1.3, and further moditied to
consider the effects of torsion in accordance with
..l3.2.2.4 Time-HistOfY Method Dynamic analysis Section 3.2.2.2.
lbing the time-history method shall calculate building
~ponse at discrete time steps using discretized 3.3.2.3.2 Diaphragms Diaphragms shaIl be designed to
~orded or synthelic time histories as base motion. resist the combined effects of the seismic [orces calcu­
lbe damping matrix associated with the mathematical lated by the LDP, and the horizontal forces resulting
model shalI retlect the damping in the building at from offsets in, or changes in stiffness of, the vertical
J.:formation levels near the yield deformation. seismic framing elements abo ve and below the
Response parameters shall be caIculated for each diaphragm. The seismic forces calculated by the LDP
Iime-history analysis. If fewer than seven time-history shaIl be taken as not less than 85% of the forces caIcu­
.-alyses are performed, the maximum response of the lated using Eq. 3-12. Actions resulting from offsets in,
parameter of interest shall be used for designo If seven or changes in stiffness of, the vertical seismic framing
.. more time-history analyses are performed, the aver­ elements shall be taken as force-controlIed, unless
~ value of each response parameter shaIl be permito. smaller forces are justitied by a rational analysis
lO! lo be used for designo approved by the authority having jurisdiction.
Multidirectional seismic etfects shall be consid­ Diaphragms receiving horizontal forces from
cred in accordance with the requirements of Section discontinuous vertical elements shaIl be taken as force­
3.2.7. Alternatively, an analysis of a three-dimensional controlIed. Actions on other diaphragms shaIl be conO.
adhematical model using simultaneously imposed sidered force- or deformation-controlIed as specified
.:uosistent pairs of earthquake ground motion record s for diaphragm components in Chapters 5 through 8 .
*'ng each of the horizontal axes of the building shall
ID.= permitted. 3.3.3 Nonlinear Static Procedure

CJJ.2.2 Modeling and Analysis Considerations 3.3.3.1 Basis ofthe Procedure

The LDP includes two analysis methods, namely, If the NSP is selected for seismic analysis of the
~ Response Spectrum Method and the Time-History building, a mathematical model directly incorporating
Wdhod. The Response Speclrum Method uses peak the nonlinear load-deformation characteristics of indi­
axial responses caIculated from dynamic analysis of vidual components of the building shaIl be subjected
.a malhematical model. Only those modes contributing to monotonicaIly increasing lateral loads representing
.iticantly to the response need to be considered. inertia forces in an earthquake until a target displace­
Mudal responses are combined using rational methods ment is exceeded. Mathematical modeling and analy­
~ .:srimate total building response quantities. The sis procedures shall comply with the requirements of
Tuoe-History Method (also termed Response-History Section 3.3.3.2. The target displacement shalI be calo.
AaaJysis) involves a time-step-by-time-step evaluation culaled by the procedure in Section 3.3.3.3.
,,¡ building response, using discretized recorded or
~Dthetic earthquake record s as base motion input. C3.3.3.l Basis ofthe Procedure
P.airs of ground motion records for simultaneous The target displacement is intended to represent
.-aIysis along each horizontal axis of the building the maximum displacement Iikely to be experienced
AJtild be consistent. Consistent pairs are the orthogo­ during the design earthquake. Because the mathemati­
... motions expected at a given site based on the same cal model accounts directly for etfects of material
Cllthquake. Guidance for correlation between two sets inelastic response, the calculated internal torces will

67
SEISMIC REHABILlTATION OF EXISTING BUILDlNGS

be reasonable approximations of those expected duríng 3. Components not meeling the acceptance crileria 1'or
the design earthquake. primary components are designaled as secondary,
and removed from lhe mathematical model.
3.3.3.2 Modeling and Analysis Considerations
A simplified NSP ana1ysis shall be used with Ihe
acceptance criteria 01' Sections 3.4.3.2.2 and 3.4.3.2.3.
3.3.3.2.1 General Selection of a control node, selection
of laLeralload patterns, determinalion of the fundamen­
C3.3.3.2.2 Simplijied NOlllinear Sta tic Procedllre
tal period, and applicalion of the analysis procedure
Analysis The simplitied NSP diJfers from the NSP in
shall comply with the requirements of this section.
Ihat componenl degradalion is nol explicilly included
The relation between base shear force and lateral
in the malhematical model. Therefore, more slringent
displacement of the control node shall be established
acceplance criteria are used and component demands
for control node displacemenls ranging belween zero
musl be within the acceplance crileria limits ror pri­
and 150% 01' lhe target displacement, O,.
mary components. Where using the simplilied NSP
The component gravity loads shall be included in
analysis, care should be taken to make sure that
the mathemaLÍcal model for combination with lateral
removal of degraded components from lhe model does
loads as speeitied in Section 3.2.8. The lateral loads
not resuIt in changes lo the regularity of lhe structure
shall be applied in both the positive and negative
Ihat would significantly alLer the dynamic response. In
directions, and the maximum seismic effects shall be
pushing wilh a static load pallern, lhe NSP does not
used for designo
capture changes in the dynamic characleristics 01' the
The analysis model shall be discretized to repre­
structure as yielding and degradalion take place.
sent the load-deformation response of each component
In order lO explicitly evaluate deformation
along its length to identi1'y locations of inelastic
demands on secondary components lhat are to be
action.
excluded from the model, one might consider includ­
Primary and secondary components 01' lateral­
ing Ihem in the model, but wilh negligible stiffness, lo
force-resisting elements shall be incJuded in the
obtain deformation demands without significantly
model, as specitied in Section 3.2.2.3.
affecling the ovcrall response.
The force-displacement behavior of al1 compo­
nents shall be explicitly íncluded in the model using
3.3.3.2.3 Control Nade Displacement The control node
full backbone curves that inelude strength dcgradation
shall be localed at the center of mass al the roor 01' a
and residual strength, if any.
building. For buildings with a penthouse, lhe tloor 01'
The NSP shall be used in conjunction with the
the penlhouse shall be regarded as the level 01' the con­
acceptance criteria 01' Sections 3.4.3.2.1. and 3.4.3.2.3.
trol node. The displacement 01' lhe control node in the
mathematical model shall be calculated ror the speci­
C3.3.3.2.1 General The requirement to carry out the
lied lateral loads.
analysis to at least 150% of the target displacement is
meant to encourage the engineer lO investigate Iikely
3.3.3.2.4 Lateral Load Distributioll Lateralloads shall
building performance and behavior of the model under
be applied to the malhemalical model in proportion to
extreme load conditions lhal exceed lhe design values.
lhe dislribution of inertia forces in lhe plane 01' each
The engineer should recognizc that the target displace­
1100r diaphragm. The vertical distribution 01' these
ment represents a mean displacement value for the
forces shall be proportional lO the shape of the funda­
design earthquake loading, and that there is consider­
mental mode in the direction under consideration.
able scaller about the mean. Estimates of the target
displacement may be unconservative for buildings
C3.3.3.2.4 Lateral Load Distribuiiall The distribution
with low strength compared with the elastic spectral
01' lateral inerlial forces determines relative magni­
demands.
tudes of shears, moments, and deformations within the
struclure. The actual dislribution 01' these forces is
3.3.3.2.2 Simplified NSP Allalysis The use of a simpli­
expected lo vary continuously during earthquake
fied NSP analysis shall be permitted as follows:
response as JXmions 01' the slruclure yield and stitlness
l. Only primary components are modeled; characteristics change. The extremes of this distribu­
2. The force-displacement characteristics of compo­ tion will depend on the severity of lhe earthquake
nents are bilinear, and ¡he degrading portion of the shaking and the degree of nonlinear response of the
backbone curve is nol explicitly modeled; and structure. Use of more than one lateral load pattern has

68
 ASCPJSEI41-06

been used in lhe past as a way lo bound the range of C3.3.3.2.5 ldealized Force-Displacement Curve The
design actions that rnay occur during actual dynarnic idealízed force-displacement curve is developed using
response. Recent research [FEMA 440 (FEMA 2005)] an ilerative graphical procedure to balance the areas
has shown that rnultiple load patterns do litde lO below the actual and idealized curves up to Aa such
irnprove the accuracy of non linear static procedures that the idealized curve has the properlÍes defined in
and that a single pattern based on the tirst mode shape this section. The detlnition of the idealized force­
is recommended. displacement curve was modified from the detinition
in FEMA 356 (FEMA 2000) based on the recommen­
3.3.3.2.5ldealized Force-Displacement Curve The dations of FEMA 440 (FEMA 2005).
non linear force-displacement relationshíp between
base shear and displacement 01' the control node shall 3.3.3.2.6 Period Determination The effective funda­
be replaced with an idealized relalionship to calculate mental period in the direction under consideratíon
the effective lateral stiffness, K" and effective yield shall be based on the idealized force-displacement
strength, Vy ' of the building as shown in Fig. 3-1. curve detlned in Seclion 3.3.3.2.5. The effective fun­
The first line segment of the idealized force­ damental period, Te' shall be calculated in accordance
displacement curve shall begin at the origin and have a wÍlh Eq. 3-13:
slope equal to the effective lateral stiffness, K•. The
effective lateral stiffness, K., shall be taken as the
secant sliffness calculated al a base shear force equal (Eq.3-13)
10 60% of lhe effeclive yield slrenglh of the slruclure.
The effeclÍve yield strength, V y, shall nOI be taken as where
grealer lhan the maximum base shear force at any
Ti = elastíc fundamental period (in seconds) in the
point along the force-displacement curve.
direction under consideralÍon calculated by elas­
The second line segmenl shall represent Ihe posi­
tic dynamic analysis;
lÍve post-yield slope (a¡Ke ), determined by a point
K¡ elastic lateral stitfness of the building in the
(V,pA,¡) and a poin! at the intersection with the tirst line
dírection under consideratíon calculaled using
segment such that the areas aboye and below the
the modeling requirements 01' Section 3.2.2.4;
actual curve are approximately balanced. (V,... Aa) shall
and
be a point on the actual force-displacement curve at
K. effective lateral stitfness of the building in lhe
the calculated target displacernent, or at the displace­
direction under consíderation.
men! corresponding to the maximum base shear,
whichever is leasl.
3.3.3.2.7 Analysis 01 Mathematical Models Separate
The third line segment shall represent the negative
mathematical models representing the framing along
post yield slope (a2K.), determined by lhe point at the
two oflhogonal axes of the building shall be developed
end of the positive post-yield slope (V",A d ) and lhe
for two-dimensional analysis. A mathematical model
point al which the base shear degrades to 60% 01'
representing the framíng along two orthogonal axes of
the effective yield strength.
the building shall be developed for three-dimensional
analysis.
The effects of horizontal torsion shall be evaluated
Base shear ín accordance with Section 3.2.2.2.
Independent analysis along each of the two
orthogonal principal axes 01' the building shall be per­
mitted unless concurrent evaluation 01' multidirectional
effccts is required by Section 3.2.7.

3.3.3.3 Determination 01 Forces and Delormations

3.3.3.3.1 General For buildings with rigid diaphragms

at each floor level, the target displacement, S" shall be
Ay lid Displacement calculated in accordance with Eq. 3-14 or by an
FIGURE 3-1. Idealized Force-Displacement approved procedure that accounts for the nonlinear
Curves. response of the building.

69
SEISMIC REHABILITATION OF EXISTING BUILDlNGS

For buildings wilh nonrigid diaphragms al each mulLi-degree of freedom (MDOF) system calcu­
tloor level, diaphragm tlexibilily shalI be explicilly lated using one of lhe following procedures:
included in lhe modeJ. The targel displacement shaJl
• The tirst mode mas s participalion factor multi­
be calculaled as specified for rigid diaphragms, excepl
plied by the ordinate of the tirst mode shape at
lhat it shall be amplitied by the ratio of lhe maximum
the control node;
displacement at any poinl on the roof to lhe displace­
• The mass participation factor ca1culated using
ment at the cenler of mass of lhe roof (omax/oem)' Omax
a shape vector corresponding 10 the detlected
and oen! shalI be based on a response spectrum analysis
shape of lhe building al lhe targel displacement
of a three-dimensional model of lhe building. The tar­
multiplied by ordinale of Ihe shape vector al
gel displacement so calculated shall be no less than
lhe conlrol node; or
that displacement given by Eq. 3-14. No line of verti­
• The appropriale value from Table 3-2;
cal seismÍc framing shall be evaluated ror displace­
ments smaller lhan the target displacement. el = moditication factor lo relate expected maximum
AIternatively, for buíldings with flexible inelaslic displacemenls 10 displacements calcu­
diaphragms at each floor level, a targel displacement laled for linear elaslic response. For periods less
shall be calculated for each line of vertical seismic than 0.2 sec, el need not be taken grealer than
framing. The larget displacemenl for an individual Ihe value at T = 0.2 seco For periods grealer than
line 01' vertical seismic framing shall be as specilied 1.0 sec, el 1.0.
for buildings with rigid diaphragms, except lhal lhe
masses shall be assigned to each line on the basis of R-I
lributaryarea. +
Forces and deformations corresponding to Ihe
control node displacement equaling or exceeding the where
larget displacemenl shall comply with acceplance cri­ a = sile class factor:
teria of Seclion 3.4.3. = 130 site Class A, B;
90 site Class C;
333.3.2 Target Displacement The larget displace­ = 60 site Class D, E, F;
menl, o" al each tloor level shall be calculated in Te effective fundamental period of Ihe building
accordance with Eq. 3-14 and as specitied in Sec­ in lhe directÍon under consideration, in sec­
tion 3.3.3.3.1. onds;
Ts = characterislic period of the response spec­
trum, detined as lhe period associated wilh
(Eq.3-14)
lhe transition from the constant acceleration
segmenl of Ihe spectrum lo the constant
where
velocilY segment 01' Ihe speclrum per
eo = modification factor lo relate speclral displacement Sections 1.6.1.5 and 1.6.2.1;
01' an equivalent single-degree of freedom (SDOF) . R = ratio of elastic strength demand to
system to the rool' displacement. 01' the building yield strength coefticient calculated in

Table 3-2. Values for Modification Factor Cnl

Shear Buildings2 Olher Buildings

Number of Triangular Load Pattern Uniform Load

Stories (1.1,1.2,1.3) Pattern (2. 1) Any Load Pattern
I 1.0 1.0 1.0
2 1.2 1.15 1.2
3 1.2 1.2 1.3
5 1.3 1.2 1.4
10+ 1.3 1.2 1.5

'Linear ínterpolatíon shall be used lo ealculate intermediate values.

'Buildings in which, for aJl stories, slory drift decreases wilh íncreasíng heighl.

70
 ASeE/SEI 41-06

accordance with Eq. 3-15. Use of the NSP The etlective negative post-yield slope ratio, a e ,
is not permitted where R exceeds Rmax, per shall be calculaled in accordance wilh Eq. 3-17:
Section 2.4.2.1;
C2 = modification factor to represent the etlecl of (Eq.3-17)
pinched hysleresis shape. cyclic stíffness degra­
dation. and slrength deterioration on maximum where
displacemenl response. For períods greater than a z = negative post-yield slope ralio defined in
0.7 sec, C2 = 1.0; Fig. 3-1. This includes P-d effects, in-cycle
degradalion, and cycJic degradalion;

Cl = 1 +
I
800
(R-;¡:;­1)2 ap_.:l. = negalive slope ralio caused by P-d effecls;
and
Á = near tield effect factor:
S.. response spectrum acceleration, al the effective = 0.8 if Si 2:: 0.6 (Maximum Considered
fundamental period and damping ratio of the Earthquake, MCE);
building in lhe direclion under consideration, as = 0.2 if Si < 0.6 (MCE).
calculated in Seclions 1.6.1.5 and 1.6.2.1; and
g acceleralion of graviLy. C3.3.3.3.2 Target Displacement This standard presents
the Coefficient Method for ca1culating target dis­
The strength ralio R shall be ca1culaled in accor­ placement. Other procedures can also be used. Sec­
dance wilh Eq. 3-15: tion C3.3.3.3 of FEMA 274 (FEMA 1997) presents
addilional background informalion on the Coetlicienl
Method and anolher acceptable procedure referred to
R=l·c
V,/W m
(Eq.3-15)
as ¡he Capacity Speclrum Method.
The Co coefficient accounts for the difference
.tJere S" is defined aboye, and between the roof displacement of a multi-degree of
V, yield strength ca1culated using results of the NSP freedom (MDOF) building and the displacement of the
for the idealized nonlinear force-displacement equivalent single-degree of freedom (SDOF) system.
curve developed for the building in accordance Using only the tirsl mode shape (ePi) and elaslic
wíth Section 3.3.3.2.5; behavior, coefticient C() is equal lo:
W etl'ective seismic weighl. as calculated in Sec­
tion 3.3.1.3.1; and
(Eq. C3-3)
C. effective mass factor from Table 3-1. Alterna­
tively, Cm taken as the effective modal mass par­
ticipation factor ca1culatéd for the fundamental
mode using an Eigenvalue analysis shall be per­
mítted. Cm shall be taken as 1.0 if the fundamen­ where
tal period, T, is greater than ].0 seco ePI" the ordinale of mode shape 1 al the roof (con­
trol node);
For buíldíngs wirh negative post-yield stiffness, [M1 a diagonal mass matrix; and
me maximum strength ratio, R rnax , shall be calculated r I the first mode mass participation factor.
.. accordance with Eq. 3-16.
Since the mass matrix is diagonal, Eq. C3-3 can
(Eq. 3-]6) be rewritten as:

N
_itere
2: m¡eP¡,n
.1,¡ = lesser of target displacement, 5" or displacement C() = <PI" (Eq. C3-4)
at maximum base shear defined in Fig. 31;
.1,. = displacement at effective yield strength defined
in Fig. 3-1;
where
h ] + O.] 5 . In Te; and
a. etlective negative post-yield slope ratio defined m¡ lhe mass at level i; and
in Eq. 3-17. ePi,n the ordinate of mode shape i al level n.

71
SEISMIC REHABILlTATION OF EXISTING BUILDlNGS

If the absolute value 01' the mo1' (control node) should inelude the in-cyele or cyclic strength or stifl'­
ordinale of each mode shape is sel equal lo unity, the ncss degradation io the hysteretic models of the com­
value 01' coetlicient Co is equal LO the fírsl mode mass ponents as requíred. The effective negatíve posl-yicld
participation factor. slope ratío, a" was introduced in FEMA 440 as a vari­
Explicit calculation of eo using the actual able necessary lo determine the maximum slrenglh
deflected shape may be beneficial in terms of lower ratio, Rmux' thal a building can have bel'ore dynamic
amplitication of targel displacement. The actual shape instability is a concern. The negative slope caused by
vector may take on any 1'orm, particularly since it is P-Li etrects, ap_a, is based on lhe restoring force
intended to simulate the timc-varying deflection pro­ needed 10 balance the overturning momenl caused by
tite of the building responding inelastically lo the the weight of lhe slructure displaced an amount Li, act­
ground motion and willlikely be different from the ing al lhe el'feclive height of the tirsl mode. It can be
elastic tirsl-mode shape. If this method is used, lhe delermined using structural analysis software by com­
mass participation tactor, r¡, must be calculated using paring the stifí'ness resulls 01' an analysis run with P-Li
the actual detlected shape as the shape vector in licu effects to one run without P-Li eftects considered.
01' the mode shape.
Use 01' the tabulated values, which are based on a 3.3.3.3.3 Modificatíon of Demands The targel dis­
straight-line vector with equal masses at each tloor placement shall be moditied to consider the effects oí'
leve!, is approximate (particularly if masses vary much horizontal torsion in accordance with Section 3.2.2.2.
over the height oí' the building) and may be overly
conservative. 3.3.3.3.4 Diaphragms Diaphragms shall be designed
Coefticients 1'or estimating the target displacement to resist the combined effects of the horizontal forces
have been moditied based on the recommendations resuhing from otTsets io, or changes in stiffness 01', the
contained in FEMA 440 (FEMA 2005). vertical seismic framing elements aboye and below lhe
FEMA 440 concluded that the previous cap on the diaphragm, and lhe diaphragm torces determined
el factor was not appropriale and a simplitied equa­ usiog eilher Section 3.3.1.3.4 or Section 3.3.2.3.2.
tion was recommended based on R, etlective period,
T" and the site c1ass factor, a, with a revised cap al 3.3.4 Nonlinear Dynamic Procedure
T = 0.2 seco FEMA 440 recommended site c1ass lactors
í'or site classes B, C, and D only. The site class factor 3.3.4.1 Basis of the Procedure
for site class A was set equal to lhat for B and lhe site If the NDP is selected l'oe seismic analysis ol' the
c1ass factor for site e1asses E and F was set equal lO building, a mathematical model directly incorporating
that foe D. The use 01' the simplified el equation to the non linear load-deformation characteristics ol' indi­
estimate displacemenls for soft soil siles, ineluding vidual compooenls of lhe building shall be subjected
c1asses E and F, will have higher uncertainly due lo lo earthquake shaking represented by ground molÍon
high dispersions 01' the results in studies of SDOF time histories in accordance with Section 1.6.2.2 to
oscillators on soft soils. See FEMA 440 for more dis­ obtain forces and displacements.
cussion on uncertaimies related to the el equation. Calculated displacements and 1'orces shall be com­
The e2 tactor was revised to better account t'ór the pared directly with acceptance eriteria specified in
ellects 01' cyclic degradation oí' stifJ'ness as recom­ Section 3.4.3.
mended in FEMA 440. For buildings with systems that
do not exhibit degradation 01' stiffness andlor strength, C3.3.4.1 Basis of the Procedure
the e2 coetlicient can be assumed to be 1.0. This The basis, modeling approaches, and acceptance
would inelude buildings with modern concrete or steel criteria of lhe NDP are similar to those tor the NSP.
spedal moment-resisting rrames, steel eccentrically The main exception is that the response calculations
braced trames, and buckling-restrained braced frames are carried out using time-history analysis. With the
as either lhe original system or the system added dur­ NDP, lhe design displacements are not established
ing seismic rehabilitation. usiog a targel displacement bUl, instead, are deter­
The eJ coefticiem has been eliminated and mined directly through dynamic analysis using ground
replaced with a maximum strength ratio, Rnum which is molion time histories. Calculated response can be
intended to measure dynamic instability. Where the highly sensitive to characlerislics of individual ground
value for Rmax is exceeded, an NDP analysis is required molÍoos; therefore, the analysis should be carried out
to capture strenglh degradation and dynamic P-Li with more than one ground molion record. Because
effects to contirm dynamic stability ol' the building. the numerical model accounts directly for etTects ol'
As recommended in FEMA 440, the NDP analysis material inelastic response, the calculated internal

72
 ASCElSBI 41-06

forccs will bc reasonable approximations of those using the nonlinear procedures of Seclion 3.3.3 and
expccted during the design earthquake. Section 3.3.4 shall satisfy the requirements 01' Sec­
lion 3.4.3.
3.3.4.2 Modeling and Analysis COllsweratiolls Prior to seIecting component acceplance criteria,
components shaIl be c1assified as primary or second­
3.3.4.2. / General The modeling and analysis require­ ary, and actions shalI be classitled as deformation­
ments spccitled in Section 3.3.3.2 for the NSP shall controlled or force-controlled, as defined in Sec­
apply 10 the NDP, excluding considerations of control tion 2.4.4.
node and target displacements. Foundations shall satisfy the criteria specified in
Chapter 4.
3.3.4.2.2 Grvund Motioll Characterizatioll Por the
NDP, earthquake shaking shall be characterized by C3.4.1 General Reqllirements
díscretized recorded or synthetíc earthquake records The linear analysis procedures are intended to
as base motion meeting the requiremenls of Sec­ provide a conservalÍve estimate of building response
uon 1.6.2.2. and performance in an earthquake. Since the actual
response 01' buildings lo earlhquakes is typically
3.3.4.2.3 Time-History Method For the NDP, time­ nonlinear, nontinear analysis procedures should
bistory analysis shall be performed using horizontal províde a more accurate representalíon 01' building
ground molion time histories prepared according lo Ihe response and performance. In recognilion of lhe
requiremems of Section 1.6.2.2. improved estimates 01' nonlinear analysis, the accept-·
Multidireclional seismic effecls shall be accounled ance crÍleria for nonlinear procedures are more
for in accordance with Section 3.2.7. Alternatively, an accurate and less conservative than those for linear
analysis of a Ihree-dimensional malhematical model procedures. Buildings thal do nol comply wilh Ihe
using simullancously imposed consistent pairs of linear analysis acceptance criteria may comply
earlhquake ground motion record s along each 01' the with non linear acceptance criteria. Therefore, per­
bori:wntal axes of the building shaIl be pennitted. 1'orming a nonlinear analysis is recommended to
minimize or eliminate unnecessary seismic rehabilita­
C3.3.4.2.3 Time-History Method Guidance for correla­ tion. Users are urged to report [O (he building owner
úon betwecn sets of time histories is provided in the limitations on the use of linear procedures and lo
U.S. Nuclear Regulatory Commission Regulatory pursue nonlinear analyses where linear acceptance
Guide 1.92 (USNRC )976). criteria are not mel.

3.3.4.3 Determinatioll of Forces aud Deformations 3.4.2 Linear Procedures

Porces and de1'ormations shall be delermined in
accordance with Section 3.3.2.2.4. 3.4.2.1 Desig" Forces a"d Deformatiom
Component design 1'orces and deformations shaJl
3.3.4.3.1 Modijication of Demallds The effects of lor­ be caJculated in accordance with linear analysis proce­
sion shall be considered in accordance wilh Sec­ dures 01' Sections 3.3.1 or 3.3.2.
úon 3.2.2.2.
3.4.2.1. / Deformatíon-ControUed Actiolls De1'orma­
3.3.4.3.2 Diaphragms Diaphragms shall be designed 10 lion-controlled design actions, QUD> shall be calculaled
resisl the effects 01' Ihe seismic forces caIculaled by in accordance with Eq. 3-18:
dynamic analysis, íncluding the etfects of Ihe horizon­
cal forces resulting from offsets in, or changes in stiff­ (Eq.3-18)
oess of, the vertical seismic framing elements aboye
where
and below the diaphragm.
QE action due to design earthquake loads calcu­
lated using forces and analysis models
3.4 ACCEPTANCE CRITERIA described in either Section 3.3.1 or Sec­
tion 3.3.2;
3.4.1 General Reqllirements QG = action due lo design gravity loads as defined in
Components analyzed using (he linear procedures Section 3.2.8; and
of Sectíon 3.3.1 and Section 3.3.2 shall satis1'y Ihe QUD = deformation-controlled design aclÍon due lo
requirements 01' Section 3.4.2. Components analyzed gravity loads and earthquake loads.

73
SEISMIC REHABILlTATlON OF EXISTING BUILDlNGS

e3.4.2.1.1 Deformation-eontrolled Actions Because 01' Ideally, an inelaslic mechanism ror the struclure
possible anticipated nonlinear response of the Slruc­ will be identified and Ihe force-controlled aClions, QuP,
lure, lhe design actions as represented by Eq. 3-18 for design will be determined by limil analysis using
may exceed lhe aclual strength 01' lhe componenl lo lhat mechanism. This approach wilJ always produce a
resist these actions. The acceptance criteria 01' Sec­ conservative estimate of lhe design actions, even if an
lion 3.4.2.2.1 lake this overload into accounl through incorrecl mcchanism is selected. Where il is nol possi­
use of a faclor, m, which is an indirect measure ble lo use l imit (or plaSlic) analysis, or in cases whcre
of Ihe nonlinear deformation capacity of lhe design forces do not produce significant nonlinear
componenl. response in Ihe building, it is acceptable lo determine
lhe rorce-conlrolled actions rOl' design using Eg. 3~ 19.
3.4.2.1.2 Force-eontrolled Actions Force-conlrolled Coefficients el and el were introduced in Eg. 3-9
design actions, Qup, shall be calculaled using one of to amplify the design base shear lo achieve a bettcr
the following melhods: estimale of lhe maximum displacements expected for
buildings responding in the inelastic range.
l. QUF shall be laken as the maximum aclion thal can
Displacemenl amplitiers, el and e 2, are divided out 01'
be developed in a componenl based on a limit-state
Eq. 3-19 when seeking an estimale ol' Ihe force level
analysis considering the expecled strength of the
presenl in a component where lhe building is respond­
components delivering load lo the componenl under
ing inelaslically.
consideralion, or lhe maximum aClion developed in
Since J is included for force-controlled actions, il
lhe component as limiled by lhe nonlinear response
may appear lo be more advanlageous to lreal an action
01' Ihe building.
as force-controlled where m-faclors are less than J.
2. Alternalively, QUF shall be calculated in accordance
However, proper application of force-conlrolled crite­
wiLh Eq. 3-19.
ria requires a ¡imit state analysis of demand and lower­
bound calculation of capacity that will yield a safe
(Eq.3-19) result whelher an action is treated as force- or dcfor­
mation-controlled.
where
QUF = force-controlled design action due lo gravily 3.4.2.2 Acceptallce Criteria for Lillear Procedures
loads in combination with earthquake loads;
and 3.4.2.2.1 Deformation-eontrolled Actions Deforma­
J force-delivery reduclion factor, greater than lion-controlled aclions in primary and sccondary com­
or equal to 1.0, taken as the smallesl demand ponents shall salisfy Eq. 3-20.
capacily ratio (DCR) 01' the components in
lhe load path delivering force lo the compo­ (Eq. 3-20)
nent in question, calculaled in accordance where
with Eq. 2-1. Alternalively, values of J equal m = component demand moditicalion faclor lo
to 2.0 tor a High Level of SeismicilY, 1.5 tor account tor expccted ductility associated with
a Moderate Level of SeismicilY, and 1.0 for a this action al the seleCled Structural Perfor­
Low Level of Seísmicity shall be permitted mance Leve!. m-factors are specilied in
where nOL based on calculated DCRs. J shall Chapters 4 through 8;
be Laken as 1.0 fol' Ihe Immediate Occupancy QCE expected strength of the componenl at the
Slructural Performance Leve!. In any case deformation level under consideralion for de­
where Ihe rorces contributing lo QUF are formalÍon-controlled aclions. Q(D the expecled
delivered by components 01' lhe lateral force slrenglh, shall be determined considering an
resisting system Ihat remain e1astic, J shall be coexisting actions on the componenl under the
taken as 1.0. design loading condition by proccdures speci­
tied in Chaplers 4 through 8; and
e3.4.2.1.2 Force-eontrolled Actions The basic K knowledge factor defined in SectÍon 2.2.6.4.
approach for calculaling force-conlrolled aClions
for design differs from thal used ror deformation­ 3.4.2.2.2 FOf'ce-eontrolled Actiolls Force-controlled
cOnlrolJed actions because non linear deformations asso­ actions in primary and secondary components shall
cialed with forced-conlrolled actions are nol permitted. salisfy Eq. 3-21:
Therefore, force demands for force-controlled acLions
should not exceed the force capacity (strengLh). KQCL?:: QUf (Eq.3-21)

74
 ASeE/SEI41-06

.bere As components degrade, the post-yield slope 01' the

Qn = lower-bound strength of a component at the force-displacement curve becomes negative. The
deformation level under consideration for strength ratio, Rmax, limits the extent 01' degradation
force-controlled actions. QCL> the lower-bound based on the degree 01' negative post-yield slope.
strength, shall be determined considering all
coexisting actions on the component under the 3.4.3.2.2 Deformation-Controlled Actions for the
design loading condition by procedures speci­ Simplified Nonlinear Static Analysis Primary and sec­
fied in Chapters 4 through 8. ondary components modeled using the simplified NSP
analysis of Section 3.3.3.2.2 shall meet the require­
J.4.2.2.3 Verification of Design Assumptions In addi­ ments of this section. Expected deformation capacities
IÍOO to the requirements in Section 3.2.9, the following shall not be less than maximum deformation demands
~tication of design assumptions shall be made. ca1culated at the target displacement. Primary compo­
Where moments due to gravity load s in horizon­ nent demands shall be within the acceptance criteria
lIIIy spanning primary components exceed 75% of the for primary components at the selected Structural
ClpeCted moment strength at any location, the possibility Performance Leve!. Demands on other components
iJr inelastic flexural action at locations other than mem­ shall be within the acceptance criteria for secondary
ber" ends shall be specifically investigated by comparing components at the selected Structural Performance
~xural actions with expected member strengths. Where Leve!. Expected deformation capacities shall be deter­
-.... procedures are used, formation of flexural plastic mined considering all coexisting forces and deforma­
.ages away from member ends shall not be permitted. tions by procedures specitied in Chapters 4 through 8 .

M.3 Nonlinear Procedures C3.4.3.2.2 Deformation-Controlled Actions for the

Simplified Nonlinear Static Analysis In the simplified
1.4.3.1 Design Forces and Deformations NSP analysis, primary components are not modeled
Component design forces and deformations shall with full backbone curves. Degradation cannot be
lIe ca1culated in accordance with nonlinear analysis explicitly evaluated and degraded components can­
prucedures of Sections 3.3.3 or 3.3.4. not be reliably used to the secondary component limits
of response. For this reason, the lateral-force resist­
1.4.3.2 Acceptance Criteria for Nonlinear Procedures ance 01' the structure consists 01' primary components
measured against primary component acceptance
J.4.3.2.1 Deformation-Controlled Actions Primary and criteria.
iQ.'Ondary components shall have expected deforma­
.:lO capacities not les s than maximum deformation 3.4.3.2.3 Force-Controlled Actions Primary and sec­
*mands ca1culated at the target displacement. ondary components shall have lower-bound strengths
Primary and secondary component demands shall be not less than the maximum design forces. Lower­
.1Ihin the acceptance criteria for secondary compo­ bound strengths shall be determined considering all
.mts at the selected Structural Performance Leve!. coexisting forces and deformations by procedures
E.~pected deformation capacities shall be determined specified in Chapters 4 through 8.
.:onsidering all coexisting force s and deformations in
.L""Cordance wilh Chapters 4 through 8. 3.4.3.2.4 Verification of Design Assumptions In addi­
Acceptance criteria for the simplitied NSP analy­ tion to the requirements in Section 3.2.9, the following
iIs of Section 3.3.3.2.1 shall be as specified in Sec­ veritication of design assumptions shall be made:
Ilion 3.4.3.2.2. • Flexural plastic hinges shall not form away from
component ends unless they are explicitly accounted
CJ.4.3.2.1 Deformation-Controlled Actions Where all for in modeling and analysis.
aJlJlponents are explicitly modeled with full backbone
..:wves, the NSP can be used to evaluate the full contri­
IIuhon of all components to the lateral force resislance of 4.0 FOUNDATIONS AND GEOLOGIC SITE
~ structure as they degrade to residual strength values. HAZARDS
'bere degradation is explicitly evaluated in the NSP,
aJIllponents can be relied upon for lateral-force resist­ 4.1 SCOPE
;a.-e out to the secondary component limits of response.
Studies on the effects of different lypes of strength This chapter sets forth general requirements for con­
degradation are presented in FEMA 440 (FEMA 2005). sideration of foundation load-deformation characteris­
75
SEISMIC REHABILITATTON OF EXISTTNG BUTLDINGS

tíes, seismic rehahiliration of fóundations, and mitiga­ 4.2.1.1 Foundation Conditiom

lÍon of geologíe site hazards in the Syslematic
RehabiJitation of buildings. 4.2.1.1.1 Structural Foundationlnformation The fol­
Section 4.2 specifies data col1ection for sile char­ lowing structural information shall be obtained for the
acterization and defines geologic site hazards. Section foundation 01' the building to be rehabilitated in accor­
4.3 outlines procedures for mitigation of geologic sile dance with the data collections requirements of
hazards. Seclíon 4.4 provides soil slrength and sliff­ Section 2.2.6:
ness parameters for consideralion of foundation
1. Foundation type;
Joad-deformation characterístics. Section 4.5 specifies
2. Foundation configuration, incJuding dimensions
procedures for consideration oí' soil-structure (SSI)
and localions; and
eftects. Section 4.6 specifies seismic earth pressures
3. Material composition and details of construction.
on building walls. Seclion 4.7 specifies requiremenls
fol' seismic rehabilitation 01' foundations.
C4.2.1.I.l Structural Foundation Informatioll
Foundation types may consisl of shallow isolated or
continuous spread footings, mat foundations, deep
C4.1 SCOPE
foundations of driven piles, cast-in-place concrete
piers, or dri\led shafts 01' concrete.
This chapler provides geotechnical engineering proví­
Foundation contiguration information includes
sions for building foundations and seismic-geologic
dimensions and locations, depths 01' embedment of
sile hazards. Acceptability of the behavior oí' lhe foun­
shallow foundations, pile lip elevations, and variations
dalion system and foundalion soils for a given per­
in cross seclion along lhe length of the pile for tapered
formance Icvel cannot be determincd apart from the
piles and belled caissons.
context of the behavior of lhe superstructure.
Foundation material types include concrete,
Geolechnical rcquirements for buildings thal
steel, and wood. Foundalion installation melhods
are suitable for Simplitied Rehabilitation are included
inc\ude cast-in-place and open/closed-end
in Chapler 10. Structural engineering issues of
driving.
foundalion systems are discussed in the chapters
With this minimum amount of information, pre­
on Steel (Chapter 5), Concrete (Chapler 6), Masonry
sumptive or prescriptive procedures may be used LO
(Chapter 7), and Wood and Light Metal Framing
determine the bearing capacity of the foundations.
(Chapler 8).
However, addítional information is required for site­
specific assessments oí' foundation bearing capacity
and stiffness. Acquiring this additional information
4.2 SITE CHARACTERIZATION
involves determining unit weights, shear strength, fric­
tion angle, compressibility characleristics, soil moduli,
Sile characterization shall include collection of infor­
and Poisson's ratio.
mation on lhe building foundalion as specítied in
Section 4.2.1, and on seismic geologic site hazards as
4.2.1.1.2 Subsuiface Soil Conditions The following
specified in Section 4.2.2.
information on subsurface soil conditions shalI be
obtained as required for the seleclcd rehabilitalion
objectives:
C4.2 SITE CHARACTERIZATION
l. For rehabilitation objectives that include Collapse
The guidance oí' the authorities having jurisdic­ Prevention and Life Salety Performance Levels, the
lÍon over historical malters should be obtained if type, composition, consistency, relative density, and
historic or archeological resources are present al layering of soils shall be delermined to a depth al
the sÍte. which the stress imposed by the building is less
than or equal to 10% 01' the building weight divided
4.2.1 Foundation Information by the total foundation arca. For buildings with
Information on the foundation supporting lhe friction piles, the depth so caJculaled shall be
building to be rehabilitated, nearby foundation condi­ increased by two-thirds of the pile length. For end
tions, design foundation loads, and load-deformation bearing piles, lhe deplh of investigation shall be the
characteristics oi' lhe foundation soils shall be pile length plus 10ft. The location of lhe water
obtained as specitied in Sections 4.2.1.1 through lable and its seasonal tlucluations bcncalh lhe
4.2.1.3. building shalI be delermincd.

76
 AseE/SEI 41·06

l. For enhanced rehabilitation objectives, the soil unit 4.2.2 Seismic Geologic Site Hazards
weight, '}'; soil cohesion, e; soil friction angle, Seismic rehabilitation shall inelude an assessment
4>; soil compressibility characteristics, soil shear of earthquake·induced hazards at the site due to fault
modulus, G; and Poisson's ratio, /1, for each type of rupture, liquefaction, differential compaction, landslid­
soil, shall be determined. ing, and an assessment of earthquake-induced flooding
or inundation in accordance with Sections 4.2.2.1
C4.2.J.J.2 Subsurface Soil Conditiolls Specific foun­ through 4.2.2.5.
dation information developed for an adjacent or If the resulting ground movements cause unac­
~y building may be useful if subsurface soils and ceptable performance in the building for the selected
!fOund water conditions in the site region are known performance level, then the hazards shall be mitigated
10 be uniformo However, less confidence will result if in accordance with Section 4.3.
subsurface data are developed from anywhere but the
:Y1e of the building being rehabilitated. Adjacent sites 4.2.2.1 Fault Rupture
..bere construction has been done recently may pro­ A geologic fault shall be defined as aplane or
,ide a guide for evaluation of subsurface conditions at zone along which earth material s on opposite sides
die site being considered. Sources of existing geotech­ have moved differentially in response to tectonic
laical information are discussed in C2.2.3. forces.
Geologic site information shall be obtained to
U1.2 Design Foundation Loads determine if an active geologic fault is present under
Information on the design foundation loads shall the building foundation. If a fault is present, the fol­
be obtained, ineluding separate information on dead lowing information shall be obtained:
Ioads and live loads. Alternatively, the design founda­
l. The degree of activity based on the age of most
Don loads shall be calculated where information on the
recent movement;
design foundation loads is not available.
2. The fault type-whether it is a strike-slip, normal­
slip, reverse-slip, or thrust fault;
C4.2.1.2 Design Foundation Loads
3. The sense of slip with respect to building geometry;
Design drawings may indicate information regard­
4. Magnitudes of vertical and/or horizontal displace­
ÍIIIg the allowable bearing capacity of the foundation
ments consistent with the selected earthquake haz­
romponents. This information can be used directly in
ard level; and
a presumptive or prescriptive evaluation of the founda­
5. The width and distribution of the fault-rupture
Iion capacity. Construction records may also be avail­
zone.
abIe indicating ultimate pile capacities if load tests
.'ere performed. Information on the existing loads on
lIIhe structure is relevant to determining the amount of C4.2.2.1 Fault Rupture
overload that the foundations may be capable of resist­ Buildings found to straddle active faults should be
iIIg during an earthquake. assessed to determine if any rehabilitation is war­
ranted, possibly to reduce the collapse potential of the
U1.3 Load-Deformation Characteristics Under structure given the likely amount and direction of fault
Sftsmic Loading displacement.
Load-deformation characteristics of foundations
sbaIl be obtained from geotechnical reports, or shall be 4.2.2.2 Liquefaction
.Jetermined in accordance with the requirements of Liquefaction shall be defined as an earthquake­
Section 4.4. induced process in which saturated, loose, granular
soils lose shear strength and liquefy as a result of an
C4.2.1.3 Load-Deformation Characteristics Under increase in pore-water pressure during earthquake
Slismic Loading shaking.
Traditional geotechnical engineering treats Subsurface soil and ground water information
~eformation characteristics for long-term dead shalI be obtained to determine if liquefiable materials
Ioads plus frequently applied live loads only. In most are present under the building foundation. If liquefi­
cases, long-term settlement governs foundation designo able soils are present, the following information shall
Sbort-term (earthquake) load-deformation characteris­ be obtained: soil type, soil density, depth to water
bes have not traditionally been used for design; conse­ table, ground surface slope, proximity of free-face
quently, such relationships are not generalIy found in conditions, and lateral and vertical difIerential
libe geotechnical reports for existing buildings. displacements.

77
SEISMIC REHABILlTATION OF EXISTING BUILDlNGS

Asile shall be regarded as free from liquefaction defined in ASTM D1586-99 (ASTM 1999), for
hazard if (he site soils, or similar soils in lhe sile vicin­ depths below the ground water table, or with c1ay
ity, have nOI experienced historieal Iiquefaction, and if content greater than 20%; or
any of the following criteria are mel: 5. The ground water table is at least 35 ft below lhe
deepesl foundation depth, or 50 ft below the ground
l. The geologic materials underlying the site are
surface, whichever is shallower, including consider­
either bedrock or have very low ]iquefaclion sus­
alions for seasonal and historic groundwater level
ceptibilily according lo lhe relative susceptibility
rises, and any slopes or free-face condiLÍons in the
ratings based upon lhe Iype of deposít and geologic
site vicinity do nol eXlend below the ground water
age of the deposil, as shown in Table 4-1 ;
elevation at the site.
2. The soils underlying lhe site are sLitJ clays or
clayey silts;
3. The soils are not highly sensitive, based on local If a Iiquefaction hazard is determined lo exísl at
experíence; the sile, lhen a more detailed evaluatíon 01' potential
4. The soils are cohesionless wilh a minimum normal­ ground movements due Lo liquefaclion shall be per­
izOO Standard Penetration Test (SPT) resistance, 1'ormed using procedures approved by the aUlhority
(N1)61J' value of 30 blows/O.3m (30 blows/ft) as having jurisdiction.

Table 4-1. Estimated Susceptibility to Liquefaction of Surficial Deposits During Strong Ground Shaking

Likelihood thal Cohesionless Sediments, When Saturated, Would Be

Susceptible to Liquefaction (by Age of Deposit)
General DistlÍbution Holocene Pleistocene Pre-Pleistocene
of Cohesionless Modem < 11,000 < 2 million > 2 million
Type of Deposit Sediments in Deposits < 500 years years years years
(a) Continental Deposits
River Channel Locally valÍable Very high High Low Very low
Flood Plain Locally variable High Moderale Low Very low
AIJuvial Fan, Plain Widespread Moderate Low Low Very low
Marine lerrace Widespread Low Very low Very low
Delta, Fan Delta Widespread High Moder'dte Low Very low
Lacustrine, Playa Variable High Moderate Low Very low
Colluvium Variable High Moderate Low Very)ow
Talus Widespread Low Low Very low Very low
Dune Widespread Hígh Moderate Low Very low
Loe ss Variable Hígh High High Unknown
Glacial 1111 Variable Low Low Very low Very low
Tuff Rare Low Low Very low Very low
Tephra Widespread High Low Unknown Unknown
Residual Soils Rare Low High Very low Very low
Sebka Local1y variable High Moderate Low Very low
(b) CoastaJ Zone Deposits
Delta Widespread Very high High Low Vcry low
Esturine Locally variable High Moderale Low Very low
Beach, High Energy Widespread ModeraLe Low Very low Very low
Beach, Low Energy Widespread High Moderate Low Very low
Lagoon Locally variable High Moderate Low Very low
Foreshore Locally variable High Moderale Low Very Low
(c) FiII MaJerials
Uncompacted FiII Variable Very high
Compacted Fill Variable Low

78
 AseE/SEI 41-06

C4.2.2.2 Liquejaction Evaluating Potential for Lateral Spreading.

Soillíquefaclion is a phenomenon in which a soll Lateral spreads are ground-failure phenomena that can
bdow Ihe groundwaler lable loses a subslanlial occur on gently sloping ground underlain by liquetled
..ounl of sLrenglh due lo strong earlhquake ground soil. Earthquake ground shaking affects the stability 01'
libaking. Recently deposited (Le., geologically young) sloping ground containing Iiquetiable materials due to
...... relatively loose natural soils and uncompacted or seismic inertia 1'orces within Ihe slope and shaking­
poorly compacted tiII soils are polentially susceptible induced strength reductions in the Iiquefiable materi­
ID Iit}uefaclion. Loose sands and silty sands are parlic­ als. Temporary instability due to seismic inertia forces
lllarly susceptible; loose silts and gravels also have is manifesled by lateral downslope movement Lhat can
pt.lIential l'or Iiquefaclion. Dense natural soils and potentially involve large land areas. For the duration oí'
.~lI-compacted t1l1s have low susceptibílily to lique­ ground shaking associated with moderate 10 large
b.:lion. Clay soils are generally not susceptible, except earlhquakes, there could be many such occurrences of
í.lr highly sensilive c1ays l'ound in sorne geographic lemporary instability, producing an accumulalion of
Iqions. downslope movement. The resultíng movemenls can
The tlJllowing information may be necessary for range from a few inches or less to tens 01' feet, and are
C\aluatÍng the liquefaction potenlial of soils: characterized by breaking up of the ground and hori­
Soil type: Whether liquetiable soils [l.e., granular zontal and vertical offsets.
.sand, sihy sand, nonplastic silt) soils] are presenl; Various relalionships 1'or eslimating lateral spread­
Soil density: Whether liqudiable soils are loose ing displacement have been proposed, including the
ID medium dense; Lique1'action Severity Index (LSI) by Youd and Perkins
Deptb to water table: Whelher Iiquetiable soils (1978), a relationship incorporating slope and liquefied
lIl! saturated at any time duríng seasonal tluctuatíons soil thickness by Hamada et al. (1986), a modified LSl
.¡¡¡ Ihe water table; approach presenled by Baziar et al. (1992), and a rela­
Ground surface slope and proximity of free­ tionship by Bartlett and Youd (1992), in which they
lKe conditions: Whether Iiquetiable soils are at a characterize displacement potential as a function 01'
ptly sloping sile or In the proximity 01' free-surface earthquake and local site characteristics (e.g., slope,
•.:uoditions; and Iiquefaction thickness, and grain size dislribution). The
Lateral and vertical differential displacement: relationship 01' Bartlen and Youd (1992), which Ís
.:\mount and directÍon at Ihe building foundation empirically based on analysis of case histories where
1iboold be caIculated. lateral spreading did and did nol occur, is relatively
Seed-Idriss Procedure for Evaluating widely used, especially for inilial assessments 01' the
Liquefaction Potential. The pOlential for Jiquefaction hazard. More site-specific analyses can also be made
ID occur may be as ses sed by a variety 01' available based on slope stability and de1'ormalion analysis pro­
.lJlPfoaches (National Research Council 1985). The cedures using undrained residual strenglhs for Iíquetied
alSl commonly utilized approach ís the Seed-Idriss sand (Seed and Harder 1990; Stark and Mesri 1992),
ilmplitied empirical procedure, presented by Seed and along with either Newmark-type sÍmplitied displace­
üiss (1971; 1982) and subsequently updated by many menl analyses (Newmark 1965; Franklin and Chang
R:Sc!archers, that uliJizes Standard PenetralÍon Test 1977; Makdisi and Seed 1978; Yegian el al. 1991) or
.SP'f) blow count data. Using SPT data to assess liq­ more complex deformaLion analysis approaches.
..:faclion potential due to an earthquake is considered Evaluating Potential for Flow SUdes. Flow gen­
.a reasonable engineering approach (Seed and Idriss era1\y occurs in Iiquefied materials found on steeper
1982; Seed el al. 1985; NRC 1985) because many of slopes and may involve ground movements 01' hun­
lIIIt factors affecting penetration resistance arfecl Ihe dreds of feet or more. As a result, tlow slides can be
líquel'action resÍstance ol' sandy soils in a similar way, the most calastrophic of the Iiquefaction-related
.-:1 because these liquefaction potenlial evaluation ground-failure phenomena. ForLunately, tlow slides
procedures are based on actual performance 01' soil occur much less commonly than do lateral spreads.
oiqlosits during worldwide hislorical earthquakes. Whereas lateral spreading requires earthquake inertia
Scclion C4.2.2.2 ofFEMA 274 (FEMA 1997) pro­ forces 10 creale instabilily for movemenl lo occur, tlow
,ides more guidance 1'or evaluating Iiquefaction poten­ movemenLs occur when Ihe gravitalional 1'orces acting
uaI, but readers should note lhat Youd et al. (200 1) on a ground slope exceed the strength of the Iiquefied
.eludes an update 01' [he methods described in materials within Lhe slope. The potential for flow
FEMA 274. sliding can be assessed by carrying out statÍc slope

79
SEISMIC REHABlLlTATION OF EXISTING BUILDINGS

stabiliLy analyses using undrained residual strengths Evaluating Potential for Flotation of Duried
fol' the liquetied materials. Structures. A common phenomcnon accompanying
Evaluating Potential for Bearing Capacity Iiquefaction is lhe tlotation 01' tanks or strucLUrcs Lhal
Failure. The occurrence ol' liquefaction in soils sup­ are embedded in liquclied soil. A building with a base­
porting foundations can l'esult in bearing capacity fail­ meni surroundcd by Iiquelied soil can be susceptible
ures and large, plunging-type settlements. In fact, lhe to either Ilolation or bearing capacily failure, depend­
buildup ol' pore-water pressures in a soil to less lhan a ing on Ihe building weight and the structural continu­
complete liquefaction condition will still reduce soil ity (j.e., whelher the basemcnt acts as an integral unit).
sLrength and may threaten bearing capacity if the The potential ror notaLioll 01' a buried or embedded
slrengLh is reduced sufticiently. slructure can be evaluaLed by comparing the lOtal
The potential for bearing capacily l'ailure beneath weight of Ihe buried or embedded structure wilh Ihe
a spread fooling depends on lhe depth of the Iiquefied increased uplift forces occurring due lo Ihe buildup 01'
(or parlially liquefied) layer below the l'ooting, lhe size Iiquefaclion-induced pore-water pressures.
01' Lhe l'ooling, and Ihe load. If lighlly loaded small
footings are located sufticiently aboye the depth of Iiq­ 4.2.2.3 Differential Compaclion
uelied malerials, bearing capacily 1'ailure may nol Dillerenlial compaction shall be delined as an
occur. The foundation bearing capacity for a case earlhquake-induced process in which Foundalion soils
where a footing is located so me distance aboye a Hq­ compacl and lhe foundalion seules in a nonuniform
uelied layer can be assessed by evalualing Lhe strength manner across a site.
of lhe Iiquetied (excess pore pressure ratio = 1.0), Subsurface soil informaLion shall be oblained lo
partially liquetied, and nonliquetied strala, lhen apply­ delermine if soils susceptible to ditrerential com­
ing bearing capacity formulalions fol' layered syslems paction are present under the building foundation.
(Meyerhof 1974; Ranna and Meyerhof 1980; Ranna A site shall be regarded as free 01' a dítlcrenlial
1981). The capacily 01' friclion pi le or pier foundations compaction hazard ir lhe soil condilions meet both 01'
can be similarly assessed, based on the slrengths 01' Ihe the following criteria:
liquetied, partially liquefied, and nonliquel1ed slrala
l. Geologic malerials below lhe ground water lable do
penetraled by the l'oundations.
nol pose a litluefaction hazard, based on the criteria
Evaluating Potential for Liquefaction-Induced
in Section 4.2.2.2; and
Settlements. Following lhe occurrence of liquefaction,
2. Geologic deposits aboye the ground water tablc are
over lime Lhe excess pore-water pressures built up in
eilher Pleistocene in geologic age (okler lhan
the soil will dissipate, drainage will occur, and the soil
11,000 years), stitT c1ays or c1ayey silts, or cohe­
will densil'y, manifeslÍng at lhe ground surface as sel­
sionless sands, silts, and gravels wÍlh a minimum
t1ement. Dil'ferential seUlemenLs occur due lo laleral
(N j )60 01' 20 blows/0.3 m (20 blows/ft).
varialions in soil slratigraphy and density. Typically,
such settlemenls are much smaller and lend lo be more If a di1'ferentíal compaction hazard is dctermined
uniform Ihan those due lo bearing capacity failure. to exist at the sile, lhen a more delailed evaluation
They may range from a few ¡nches to a few feet al lhe shall be performcd using approved procedures.
O1ost where thick, loose soil deposils liquefy.
One approach Lo estimating Ihe magnitude 01' such C4.2.2.3 Differential Compactíon
gl'ound settlemenL, analogous lo lhe Seed-Idriss sim­ Ditrerential compaclion 01' densilicalion 01' soils
plified empirical procedure 1'or liquefaction pOlential may accompany strong ground shaking. The resulting
evaluation (Le., using SPT blow count data and cyclic dill'erential seltlements can be damaging to slruclures.
stress ratio), has been presentcd by Tokimatsu and Types of soil susceptible lo liquefaclioll (i.e., relalively
Seed (1987). Relationships presented by Ishihara loose natural soils, or uncompacled or poorly com­
and Yoshimine (1992) are also available for assessing pacted till 80ils) are also susceptible lo compaclion.
scttlement. Compaction can occur in soils aboye and below the
Evaluating Increased Lateral Earth Pressures groundwaler table.
on Building Walls. Liquefaction of soils adjacenl lo Silualions moSl susceptible to differential com­
building walls increases lateral eaflh pressures which paction include heavily graded areas where deep lills
can be approximaled as a tluid pressure having a unit have been placed lo create building siles 1'or develop­
weighl equal lo the saturated unil weight of lhe men!. If lhe tills are not well compacted, they may be
soil plus lhe inertial forces on the soil equal lO Ihe susceptible to significant settlements, and differenlial
hydrodynamic pressure. selllements may occur aboye variable deplhs ol' 1111

80
 ASeE/SEI41-06

placed in canyons and near the transitions of cut and zation, and may pose special challenges if adequate
filled areas. investigation requires access to adjacent property.

4.2.2.4 Landsliding 4.2.2.5 Flooding or Inunda/ion

A landslide shall be defined as the down-slope For seismic rehabilitation of buildings for per­
mass movement of earth resulting from any cause. formance levels higher than Lite Safety, site informa­
Subsurface soil information shaIl be obtained to deter­ tion shall be obtained to determine if the following
mine if soils susceptible to a landslide that will cause sources of earthquake-induced flooding or inundation
differential movement of the building foundation are are present:
presenl al lhe sile.
l. Dams localed upstream, subjecl to damage by
Slope stability shaIl be evalualed al sites wilh:
earlhquake shaking or fault ruplure;
J. Existing slopes exceeding 18 degrees (three hori­ 2. Pipelines, aqueducls, and water storage tanks
zontallo one vertical); andJor located upstream, subject to damage by fault
2. Prior hislories of instabilily (rotational or transla­ rupture, earthquake-induced landslides, or strong
lional slides, or rock fall). shaking;
3. Coastal areas within tsunami zones or areas adja­
Use of pseudo-static analyses shall be permitted
cent to bays or lakes, subjecl lo seiche waves;
10 delermine slope stability if lhe soils are not suscep­
andJor
tible to liquefaclion based on Section 4.2.2.2 or other­
4. Low-Iying areas with shallow groundwater, subject
wise expected to lose shear strength during deforma­
to regional subsidence and surface ponding of
tíon. If soils are susceptible to liquefaction based on
water, resulting in inundation of the site.
Section 4.2.2.2 or are otherwise expected to lose shear
strength during deformation, dynamic analyses shall Damage to buildings from earthquake-induced
be performed to determine slope stabilily. tlooding or inundation shall be evaluated for Íls effect
Pseudo-static analyses shall use a seismic coeffi­ upon the performance of the structure.
cienl equal to Sxs/5, to approximate one-half the peak In addition to lhe effects of earthquake-induced
ground acceleration at the site associaled with the tlooding or inundation, scour of building foundation
selected Rehabilitation Objective. Sites with a static soils from swiftly flowing water shall be evaluated
factor of safety equal to or greater than 1.0 shall be using procedures approved by the authority having
judged to have adequate stabilily, and require no fur­ jurisdiction.
mer stability analysis.
A sliding-block displacement analysis shall be
performed for sites wilh a static factor of safety of less 4.3 MITIGATION OF SEISMIC-GEOLOGIC
Iban 1.0. The displacement analysis shall determine SITE HAZARDS
me magnilude of ground movement and its effeCl upon
me performance of lhe structure. Mitigation of seismic-geologic hazards identified in
In addition to the effects of landslides lhat directly Section 4.2 shall be accomplished through modifica­
undermine the building foundation, the effects of rock tion of the structure, foundation, or soil conditions, or
fall or slide debris from adjacenl slopes shaIl be evalu­ by olher melhods approved by lhe authority having
a1ed using approved procedures. jurisdiction. The structure, foundation, and soil for lhe
rehabilitaled structure shall meet the acceptance crite­
C4.2.2.4 Landsliding ria for the appropriate chaplers of this standard for the
If no blocks of rock are present al the site but a selected Rehabilitation Objective.
diff or steep slope is located nearby, then the likely
performance of the e1iff under earthquake loading
should be evalualed. The earlhquake loading condition C4.3 MITIGATION OF SEISMIC-GEOLOGIC
fOl' e1iff performance musl be compatible with the SITE HAZARDS
earthquake loading condition selecled for the
Rehabilitation Objective for the building. Opportunities exist lo improve seismic performance
Sorne sites may be exposed to hazards from major under the influence of sorne site hazards at reasonable
landslides moving onto the site from upslope, or retro­ cost; however, sorne site hazards may be so severe that
~ssive removal of support from downslope. Such they are economically impractical to inelude in risk­
oonditions should be identified during site characleri­ reduction measures. The discussions presented in this

81
SEISMIC REHABILlTATION OF EXISTING BUILDlNGS

section are based on the concept that the extent of site ground deformation. This solution may be feasible for
hazards is discovered after the decision for seismic small ground deformations.
rehabilitation of a building has been made; however,
the decision to rehabilitate a building and the selec­ 2.2 Modification of the Foundation
tion of a Rehabilitatíon Objective may have been The foundation system should be modifiOO to
made wilh full knowlOOge that sígnificant site reduce or eliminate the ditlerential foundation dis­
hazards exist and must be mitigated as pan of the placemenls by underpinning existing shallow founda­
rehabilitation. tions lO achieve bearing on deeper, nonliqueiiable
Possible mitigation strategies for seismic geo­ slrata or by stiftening a shallow foundation system by
logic site hazards are presented in the following a system of grade beams betwccn isolated footings, or
sections. any other approved method.

1. Fault Rupture 2.3 Modification of the Soil Conditions

lf the structural perfonnance of a building evalu­ One or more 01' the following ground improve­
atoo for the caJculated ground movement due to fault ment techniques should be implementOO to reduce or
rupture during earthquake fails to comply with the eliminate lhe Iiquefaction under existing buildings:
requirements for the selectOO performance level, miti­ soil grouting (either throughout the entire Iiquetiable
gation schemes should be employed that include one or strata beneath a building. or locally beneath founda­
more 01' the foJlowing measures to achieve acceptable tion components); installation 01' drains; or installation
performance: stiffening of the struclUre and/or its foun­ of permanent dewatering systems.
dation; strengthening of the structure and/or its founda­ Qlher lypes of ground improvement widely used
tion; and moditícations to the structure and/or its foun­ for new construclion are less applicable to existing
dation to distribute the effects 01' ditferential vertical buildings because of the eftects of the procedures on
movement over a greater horizontal distance to reduce lhe building. Thus, removal and replacement of lique­
angular distortion. fiable soil or in-place densitication of Iiquetiable soil
Large movements caused by fault rupture gener­ by various techniques are not applicable beneath an
ally cannot be mitigated economically. If the structural existing building.
consequences 01' the estimated horizontal and vertical
displacements are unacceptable for any performance 2.4 Mitigation of the Lateral Spreading
level, either the slructure, its foundation, or bOlh, Large soil volumes should be stabilized and/or
might be stiffened or strengthened to reach acceptabJe buttressing structures should be constructed.
performance. Measures are highly dependent on spe­ If the potential for significant Iiquefaction-induced
citic structural characlerístics and inadequacies. Grade lateral spreading movements exists at a site, then the
beams and reinforced slabs are effective in increasing mitigation 01' the Iiquefaction hazard may be more di1'­
resistance lO horizontal displacement. Horizonlal ficull. This Ís because the potential for lateral spread­
force s are sometimes limiled by sliding friction capac­ ing movements beneath a building may depend on [he
ity of spread footings or mats. Vertical displacements hehavior of the soil mass al distances well beyond
are similar in nature to those caused by long-term dif­ the building as well as immedialely benealh il.
ferential seulement.
3. DitTerential Compaction
2. Liquefaction If Ihe structural performance of a building evalu­
If the sl:ructural performance 01' a building evalu­ alOO for the calculated ditTerential compaction during
aled for the calculatOO ground movement due to earthquake fails lo comply with Ihe requirements for
líquefaction during an earthquake fails to comply the selectOO performance level, Ihen one or more
with Ihe requirements for the selected performance miligalion measures similar to Ihose recommendOO for
level, then one or more of the following miligation liquefaclion should be implemenled lo achieve accepl­
measures should be implemented to achieve accept­ able perfonnance.
able performance.
4. Landslide
2.1 Modification of the Structure If the structural performance 01' a building evalu­
The structure should be strengthened lo improve alOO for the calculated ground movement due to
resistance against Ihe predictOO liquefaclion-induced landslide during earthquake fails 10 comply with the

82
 ASeE/SEI 41-06

m,¡uirements for the seleeted performance level, Ihen they degrade significanlly in stiffness and strength
~ or more of the following mitigation measures under cyclic loading. With Ihis assumption, the provi­
tIiould be implemented lo achieve acceptable sions of this section provide an overview of the
performance: requirements and procedures for evaluating the ability
of foundations 10 wilhstand the imposed seismic loads
Regrading; without excessive deformations.
Drainage; The amount of acceptable deformalions for foun­
Buttressing; dations in such soils depends primarily on the effect of
Struclural improvements: Ihe deformalÍon on the Slructure, which in lum
Gravity walls; depends on the desircd Structural Performance
Tiebacklsoil nail walls; Leve\. However, foundation yield associated with
Mechanically stabilized earth walls; mobilizalion at upper-bound expected capacity dur­
Barriers for debris lOrrents or rock fall; ing earthquake loading may be accompanied by
Building strenglhening lo resisl deformation; progressive permanenl foundation seulement during
Grade beams; and continued cyclic loading, albeit in most cases Ihis
Shear walls. seulement probably would be less Ihan a few inches.
Soil moditicalionlreplacemenl: In general, if the real loads transmitted to the founda­
Grouting; and tÍon during earthquake loading do nol exceed upper­
Densificalion. bound expected soil capacities, it can be assumed
that foundation deformations will be relalively
5. fIooding or Inundation smalI.
If the structueal performance of a building evalu­ Parametric analyses 10 cover uncertainties in soil
~ ror the effecIs 01' earthquake-induced tlooding load-deformation characteristics are required. One
_ inundation fails lo comply wilh Ihe require­ alternative is lO perform the NSP or NOP because the
-.:nlS ror Ihe selected performance level, then nonlinear load-deformation characteristics 01' the foun­
.-e or more 01' the following mitigating measures dations can be directly incorporated in these analyses
tIiould be implemented lo achieve acceptable (Section 4.4.2). In static analyses, a somewhat con ser­
performance: vative interpretation of Ihe results is recommended
because cyclic loading effecls cannot be incorporated
•. Improvemenl 01' nearby dam. pipeline. or aque­ direclly.
duct facilities independent 01' Ihe rehabilitated
building; 4.4.1 Expected Capacities of Foundations
2. Oiversion 01' anticipated peak tlood tlows; The expected capacity of foundation components
1- Installation 01' pavement around the building lo shall be delermined by presumptive, prescriptive, or
reduce scoue; and site-speeific methods as specified in Sections 4.4.1.1
.J, Conslruclion 01' sea wall or break water for tsunami through 4.4.1.3. Capacities shall be based on founda­
or seiche protection. lion informalion obtained as specified in Section 4.2.1.

C4.4.1 Expected Capacities of Foundations

.u FOUNDATION STRENGTH ANO Design values recommended by geotechnical
S11FFNESS engineers are generally consislent with lower-bound
values. It is important to oblain information on the
FOundation strength and stiffness shall be determined aClual factor 01' safety applied to arrive al design val­
.. accordance with Ihis seetion. ues so that soil capacities are understood and expected
values can be properly derived.

e.&.4 FOUNDATION STRENGTH AND 4.4.1.1 Presumptive Capacities

S11FFNESS
4.4.1.1.1 Presumptive Capacities oi Shallow
• is assumed Ihat foundalion soils are nol susceptible Foundations Calculalion of presumptive expecled
10 significant strenglh loss due lo earlhquake loading. capacilies for spread footings and mats shall be per­
.. general, soils have considerable ductility unless mitted using the parameters specified in Table 4-2 .

83
SElSM1C REHABlLlTATION OF EXISTING BUILDlNGS

4.4. l. 1.2 Presumptíve Capacitíes 01 Deep Foundations Table 4-5 Typical Pi le and Pier Capacity
II shall be permiued to determine pile and pier o
Parameters: Frietion Angle, (degrees)
eapaeíty parameters using Table 4-3, 4-4,4-5, and
Table 4-6 Typical Pile and Pier Capacíty
4-6.
Paramelers: Cohesíon, CI> and Adhesíon, Ca (pst)
Table 4-3 Typieal Pile and Piel' Capaeíty
Capacities of Piles or Piers in Granular Soils
Parameters: Bearing Capaeity Faetors, N q
Calculatíon 01' presumplive expeeled eapaeilies 01'
Table 4-4 Typical Pi le and Pier Capacity Parame­ piles or piers in granular soils shall be permiued using
ters: Effeetíve Horizontal Stress Faetors, Fdi and Fui the procedure shown in Fig. 4-1.

Table 4-2. Parameters for Calculating Presumptive Expected Foundation Load Capacities of Spread
Footings and Mats

Lateral Bearing Lateral Sliding '

Vertical Foundation Pressure LbsjSq.
Pressure 3 FtjFt 01' Depth Resistance6
Class ol' Materials2 LbsjSq. Ft (qJ Below Natural Grade4 Coefticient 5 LbsjSq. Ft
Massive Crystalline Bedrock 8,000 2,400 0.80
Sedimentary and Foliated Rock 4,000 800 0.70
Sandy Gravel aml/or Gravel (GW and GP) 4,000 400 0.70
Sand, SiJty Sand, Clayey Sand,
Silty Gravel, and Clayey Gravel
(SW, SP, SM, SC, GM, and GC) 3,000 300 0.50
Clay, Sandy Clay. Silty C1ay, and
Clayey Sil! (CL, ML, MH, and CH) 2,0001 200 260
'Lateral bearing and lateral sliding resistance shall be permitted to be combined.
lFor soíl classilications Ol, OH, and PT (Le., organic clays and pea!), a toundation investigation shall be required.
JAII values of expected bearing capacilies are for footings having a minimum width of 12 in. and a mínimum deplh of 12 in. into natural grade,
Except where Foomote 7 applies, an increase of 20% is allowed for each additional foot of width or deplh to a maximum value of tbree times Ihe
desígnated value.
'Shall be permiued 10 be increased by the ¡unount of the designated value for each additionallool 01' depth 10 a maximum of 15 times (he desig­
nated V'dlue.
5Coefticienl applied 10 the dead load.
·Lateral sliding resistance value to be multiplied by Ihe contact area. In no case shaJl the Imeral slidíng resistance eX('''eed one-half of ¡he
dead load.
7No ¡ncrease for width shall be permitted,

Table 4-3. Typical Pile and Pier Capaeity Parameters: Bearing Capaeity Factors, N q

Angle of Shearing Resistance for Soil. cP (degrees)

Placement 26 28 30 31 32 33 34 35 36 37 38 39 40+
Driven Pile 10 15 21 24 29 35 42 50 62 77 86 120 145
Drilled Pier 5 8 10 12 14 17 21 25 30 38 43 60 72

84
 ASCE/SEl 41-06

Table 4-4. Typical Pile and Pier Capacity Table 4-5. Typical Pile and Pier Capacity
Parameters: Effective Horizontal Stress Factors, Fdi o
Parameters: Friction Angle, (degrees)
and Fui
Pile or Pier Material
Downward Fd/ Upward Fui l
Steel 20
Pile or Pier Type Low High Low High Concrete 0.75 </>
Timber 0.75 </>
Driven H-Pile 0.5 1.0 0.3 0.5
Driven Straight
Prismalic Pile 1.0 1.5 0.6 1.0
Driven Tapered Pile 1.5 2.0 1.0 1.3
Driven Jetted Pile 0.4 0.9 0.3 0.6
Drilled Pier 0.7 0.7 0.4 0.4

bpo:cted values that are selected on the basis of conditions estab­

Wk:d in accordance wilh Section 4.4.1.1 shall nOl fall outside the
goge of values indicated by Low and High.

Table 4-6. Typical Pile and Pier Capacity Parameters: Cohesion, C and Adhesion, Ca (psf) j,

Cohesion, e, l Adhesion, Cal

Consistency of Soil (Approximate
PiJe Material SPT Blow Count) Low High Low High
Ttmber and Concrete Very Soft « 2) O 250 O 250
son (2-4) 250 500 250 480
Medium Stiff (4-8) 500 1,000 480 750
Stiff (8-15) 1,000 2,000 750 950
Very Stiff (> 15) 2,000 4,000 950 1,300
Skel Very Soft « 2) o 250 o 250
Soft (2-4) 250 500 250 460
Medium Stiff (4-8) 500 1,000 460 700
Stitl" (8-15) 1,000 2,000 700 720
Very Stitl" (> 15) 2,000 4,000 720 750

E.l.po!{;ted values that are selected on the basis of conditions established in accordance with Section 4.4.1.1 shall not fall outside the range of val­
es indicated by Low and High

Soil Profile
f Q, (+)' lotal upward capacily
Thickness
Wl
Angle of
Shearing
Density Resistance
QCI'I' tOlal downward capacity L¡ 1¡ $1
L Zoneo!
\--_0--'1< negligible Tesis/al/ce
l~ 1e ~o
L, 11 ~l
20B ZOl/eo! L1 11 $1
Total ímnuuíng resistU1u-'C
lenglh,
ele. de. de,
L

etc. etc. etc.

Zoneo!
const(ITjl resistance
L, 1, ~,

B,Diameter
FIGURE 4-1. Presumptive Expected Capacities of Piles or Piers in Granular Soils.

85
SEISMIC REHABILlTATION OF EXISTING BUILDlNGS

Capacities of Piles or Piers in Cohesive Soils where

Ca\culation of presumptive expected capacities of
Q,,1l0h = aIlowablc vertical capacily specitied in
piles or piers in cohesive soils shall be permitted using
available documents for the gravity load
the procedure shown in Fig. 4-2
design of deep foundations (dead plus Iive
loads); and
C4.4.1.1.2 Presumptive Capacities 01 Deep Founda­
tions The calculation procedures for presumptive 3. Alternatively, the prescriptive expected capacity, q,
expected capacities of piles or piers specificd in lhis or Q" of any foundation, shallow or deep, shall be
section are adapted from ATC-40 (ATC 1996), calculaled using Eq. 4-3:
NAVFAC DM-7.01 (NAVFAC 1986a), and NAVFAC
DM-7.02 (NAVFAC 1986b). q, or Q, = 1.5Qc (Eq.4-3)
where Qc = gravity load action as specified in
4.4.1.2 Prescriptive Expected Capacities
Seetion 3.2.8, expressed in terms 01' pressure or
Prescriplive expected capacities shall be used
load.
where construction documents or previous geotechni­
cal reports for the existing building are available and
provide information on foundation soil design parame­ 4.4.1.3 Site-Speciflc Capacities
terso Calculation of prescriptive expected capacilies by For buildings where the melhods specified in
the following methods shall be permilted: Sections 4.4.1.1 and 4.4.1.2 do not apply, a subsur­
face geotechnical investigation shall be condueted to
l. The prescriptive expected bearing capacity, q" for a
determine expected ullimate roundation capacities
spread footing shall be calculaled using Eq. 4-1:
based on the specilic characleristics of lhe building
site.
(Eq.4-1)
where 4.4.2 Load-Deformation Characteristics for
Foundations
qallo" = allowable bearing pressure specified in
If building foundalions are explicitly modeled
available documents for lhe gravity load
in the malhemalical model of lhe building, the
design of shallow foundations (dead plus
load-deformation characterislÍcs shall be calculated in
live loads);
aceordance wilh Section 4.4.2.1 for shallow bearing
2. For deep foundations, lhe prescriptive expected ver­ foundations, Section 4.4.2.2 for pile foundalions, and
tical capacity, Q,. of individual piles or piers shall Seclion 4.4.2.3 ror drilled shafts.
be calculated using Eq. 4-2: For explicit modeling of olher types of founda­
tions, load-deformation characterislÍcs shall be calcu­
(Eq.4-2) lated by an approved method.

t Q.""M' IOtal upwllrd capacíty

Thlckness
Soil Profile
Wt
Densily Adhesioo
• Q,~".), to/al d()wllward ¡:upacity 11 1¡ Cai
I
1---.-_'6-'1<
ZO'leo/
neglígih/(! adhesÍlm
LO Yo Có

LI 1, el
f
12 e1
Total t LZ
lengl/¡.
1,
t 7.mléO{
t'onslwú aJlwsi.un
elc. elc, de.

f ~1c. ele, \..'lC~

t
t 11 1. el
->" -----'
H B. DitlmeleT

FIGURE 4-2. Presumptive Expected Capacities of Piles or Píen in Cohesíve Soils.

86
 ASCElSEI41-06

Nonlinear behavior 01' 1'oundations shall be repre­ are not modeled explicitly, the analysis shall be
sented by an equivalent elasto-plastie 10ad~e1'orma­ bounded by the upper- and lower-bound foundation
Iion relationship unless another approved relationship capacity as detined in this section. In líeu of explicit
is available. evaluation of uncertainties in foundation characteris­
Where foundation components are modeled ties, il shall be permitted lo take the upper-bound stiff­
explicitly, the analysis shall be per1'ormed using ness and capacity values as two times the values given
upper- and lower-bound load~eformation characteris­ in this section and the lower-bound stiffness and
lics of foundations as ilIustrated in Fig. 4-3(a) and capacily values as one-half of the values given in this
defined in this section. Where foundation components sectÍon.

Upper Bound Capaclty

2Q

Calculated Capaclty
Q

Lower Bound Capacity

QI2

Deformation

(a)

Foundation load Uncoupled spring model

(b)
FIGURE 4-3. (a) Idealized Elasto-Plastic Load-Delormatíon Behavíor lor sons; (b) Uncoupled Spring Model
for Rigid Footings.

87
SEISMIC REHABILlTATION OF EXISTING BUILDlNGS

C4.4.2 Load-Deformation Characteristics for Consideradon of Foundation Rocking. Build­

Foundations ings may rock 00 tneir foundations in an acceptable
Load-deformation characteristics are required manner províded the structural componenls can
where the effecls of foundalÍons are lo be taken into accommodate lhe resulting dísplacemenls and defor­
accounl in LSPs or LDPs, NSPs (pushover), or malions. Consíderatíon of rocking can be used lo limil
NDPs (time history). Foundation load-deformation the force inpul lo a building; however, rocking should
parameters characterized by bolh slitTness and capac­ nol be considered simultaneously with lhe etTects of
ity can have a significant effect on both slructural soil flexibiJily.
response and load dislribution among slructural The design professional is direcled to FEMA 274
components. (FEMA 1997) and the work of Yim and Chopra
While it is recognized that lhe load-deformation (1985), Housner (1963), Makris and Roussos (1998),
behavior 01' foundalions is nonlinear, an equivalenl Prieslley el al. (1978), and Makris and Konslanlinidis
elaslo-plaslic representation of load-deformalion (200 1) for additional information on rocking behavior.
behavior is recommended because of the difficulties in In using lhose references two points of caution should
determining soil propenies and lhe likely variability of be noted: (l) Makris and Konslantinidis reporl lhal lhe
soils supporting foundalions. In addition, to allow for simple response-spectrum-based design method pro­
such variability or uncerlainty, an upper- and lower­ posed by Príestley should not be used as it is based on
bound approach lo detining stiffness and capacÍly is ao errooeous dynamic characterization of the rocking
required to evaluate lhe sensilivily of the slruclural problem; and (2) physical experimenls conducted by
response lo these parameters. Priestley show that lhe common theoretical assump­
The sources of lhis uncertainly inelude varialions tion of perfectly inelastic collisioos during rocking
due lo rate of loading, assumed elaslo-plastic soil overestÍmates lhe actual energy reduclion.
behavior, level of strain, cyclic loading, and variability
of soil properties. These sources of variability produce
4.4.2.1 Shallow Bearing FOlwdations
resuIts that are generally within a factor of two aboye
or below the expected value. It is conceivable lhat cer­
4.4.2:1.1 Stiffness Parameters The initial shear modu­
lain conditions will fall outside Ihe bounds prescribed
in this slandard. However, it is nol the objective lo lus, G", shall be caIculaled in acconJance with Eq. 4-4
or 4-5 where v. is lhe shear wave velocily at low
guarantee that lhe answer is always within the applied
slrains, l' is lhe weight density of lhe soil, and g is lhe
factor. Instead, lhe inlent is (1) lhal solution sensitivity
acceleralion due to gravity:
be identilied; and (2) that lhe bounds, considered rea­
sonably, capture lhe expected behavior. Currenl prac­
tice (bOlh convemional and within lhe nuclear indus­ (Eq.4-4)
try) has suggested lhal variation by a factor of two is
generally appropriate. Geolechnical engineers ofLen
use a safety factor of two lo establish lower-bound val­ (Eq.4-5)
ues for use in designo Consistent with the approach
where
laken in ASCE 4 (ASCE 1998), ir additional lesting is
performed, lhe range could be narrowed to lhat (N 1)60 Slandard Penetration Test blow count normal­
defined by multiplying and dividing by (1 + el,)' ized for an etlective stress of 1.0 lon psf con­
where lhe coefticient of varialion, e", is detined as lhe fining pressure and corrected lo an equivalent
standard deviation divided by the mean. In no case hammer energy elliciency of 60%;
should el' be taken to be less than 0.5. (T~ eftective vertical stress io psI';
Il is important that geotechnical engineers report (T~ = l'¡d - l'".(d d,,);
the average results obtained and lhe actual factor of =ytotal unil weight of soil;
¡

safety applied lO arrive at design values. The design l'.. = unit weight of water;
values recommended by geotechnical cngineers are d = deplh to sample; and
generally consistent with lhe lower bound. If such dll' = depth to groundwater leve\.
reduced valucs were used by the structural enginecr as
expected values, lhe applicalion of lhe prescribed G" io Eq. 4-5 is expressed in Ibs/psf, as is (T~.
upper- and lower-bound variations would not achieve The eftective shear modulus, G, shall be calcu­
lhe intended aim. lated in accordance with Table 4-7.

88
 ASCE/SEI 41-06

Table 4-7. Effective Sbear Modulus Ratio (G/Go)

Effective Peak Acceleration, Sxs/2.51

Site Class Sxs/2.5 = O Sxs/ 2.5 0.1 Sxs/2.5 = 0.4 Sxs/2.5 = 0.8
A 1.00 1.00 1.00 1.00
B 1.00 1.00 0.95 0.90
C 1.00 0.95 0.75 0.60
O 1.00 0.90 0.50 0.10
E 1.00 0.60 0.05 *
P * * * *
'Use straight-line interpolation for intermediate values of Sxs/2.5.
*Site-specit1c geotechnical investigation and dynamic sile response analyses shall be performed.

Based on relative stiffnesses of the foundation The preceedíng equatíon is general1y consistent
structure and the supporting soil, the foundation stitf­ with traditiona\ beam-on-elastic foundation limits
oess shall be calculated using one of the following (NAVFAC 1986b; Bowles 1988). The resulting soil
Ihree methods: bearing pressures are within 3% of the results, ínc\ud­
ing foundatíon tlexibility.
C4.4.2.1.1 Stiffness Parameters Table 4-7 is consistent For rectangular plates (with plan dimensions L
wilh the site classificaLion Tables 1-4 and 1-5 in that and B, and thickness t, and mechanical properties Ef
!he layout and level of complexity are identical, and and vf ) on elastic supports (for instance, mat founda­
!he indicalion of problem soils that require site­ tions or isolated footings) subjected 10 a point load in
specific investigation (si te Class F) is consistenL The the center, the foundation may be considered rigid
rollowing observations on the relationship between where:
shear modulus reduclion and peak ground acceleration
can be made:
l. As the peak ground acceleration approaches zero,
the modulus reduction factor approaches unity;
2. Modulus reduction effects are significantly more
pronounced for softer soils; and
(Eq. C4-2)
The modulus reduction factors given in both
where
FEMA 273 (FEMA 1997) and the FEMA 302 NEHRP
Recommended Provisions (FEMA 1997) overeslimate
!he modulus reduction effects for Site Classes A, B,
(Eq. C4-3)
andC.
The shears and moments in foundation compo­
oents are conservative where such components are The aboye equation is based on Timoshenko's
considered rigid. However, soil pressures may be sig­ solutions for plates on elastic foundations
nificantly underestimated where foundation flexibilily (Timeshenko and Woinowsky- Krieger 1959). The
is ignored. The flexibility and nonlinear response of general solution has been simplified by restriction
soíl and of foundation structures should be considered 10 a center load. Only Ihe t1rst five values of m and n
where the results would change. (in the intinite series) are required lO achieve reason­
For beams on elastic supports (e.g., strip foolÍngs able accuracy.
and grade beams) with a point load at midspan, the
beam may be considered rigid where: 4.4.2.1.2 Method 1 For shallow bearing footings ihat
are rigid with respecl to the supporling soil, an uncou­
pled spring model, as shown in Fig. 4-3(b), shall rep­
(Eq. C4-1)
resenl the foundation stiffness.

89
SEISMIC REHABILlTATION OF EXISTING BUILDlNGS

The equivalent spring constants shall be calcu­ solutionsare reported in Gazetas (1991). The equa­
lated as specified in Fig. 4-4. tions in Fig. 4-4 reilect the most common condi­
tions-rectangular foundations and rectangular strip
C4.4.2. 1.2 Method 1 Researchers have developed footings. Rather than taking the approach of ATC 40
spring stiffness solutÍons that are applicable to any (ATC 1996), in which equations for foundations of
solid basernat shape on the surface of, or partially or arbitrary shape were adapted to the case ol' rectangular
fully embédded in, a homogeneous halfspace. Such foundations; the surface sliffness equalions that appear

Degree of Freedom Stiffness of Foundation at Surface Note

Translation aJong x-axis GB [3.JrLJ065 +1.2]

2-v
K",u, =
n
Translation along y-axis Kr,Slfr GB[ {LJ"·65
- - 3.
2-y
-
B
L J
+0.4-+0.8
B
O75
Translation along z-axis K",u, GB [1.55(L
I-y B J +0.8
• ]

l
Rocking about x-axis GB O"lB
K xx,sur=l_V 1 L)+0.1 ]
[

Rocking about y-axis K'T,'u, I-y 0.47(L

GB'[ r
B) +0.034 ] Ofient axes such tha! L>B. If L=B, use

[ "LlB
x-axis equations for both x-axis and y-axis.
Torsion about z-axis K",sur=GB 3 0.5_ )2.45 +0.51 J

Degree of Freedom Correction Factor for Embedment Note

Translation along x-axis

p, ('+0.2Ia}['+1.6(hd~L;L)r]
Trans1ation along y-axis Pr =(1+0.21~J[I+l.6(hd~:L)r]

Translation along z-axis

p,=[J+;, ~(2+2.6~JJ[I+0.32(d(~~L)rl
Rocking about x-axis d [ 2d (d )-0,2
pu=I+2.5 B 1+8 D
/E]
VL d =height of effective sidewall
contacl (may be less than total

Pn=J+1.4(LdJ06[1.5+3.7(dL)19( dD )41.6]
foundation height)
Rockíng about y-axis h dcpth LO centroid 01' effeeti ve
sidewall eontaet

Torsion about z-axis For eaeh degree ol' freedom, calculate

K emb = j3K. SlIr

FIGURE 4-4. Elastic Solutions for Rigid Footing Spring Constraints.

90
 ASCE/SEI41-06

• Fig. 4-4 are those reported by País and Kausel adaplalion 01' lhe general solulions presenled in
.1988) for the specifie ease 01' rectangular foundalions. Gazetas. Coneerning lhese embedment faclors,
Tbese equalions are used because lhey are somewhat Gazetas reporls lhal "the errors thal may result from
simpler than lhose thal would result from an adapta­ their use will be well within an acceptable 15 percent."
IlOO of lhe equations in Gazelas (1991) and because Using Fig. 4-4, a two-step calculatÍon process
6ey are expeeted lo be more accurale; Pais and is required. First, Ihe stiffness lerms are calculaled
Kausel reporl that lhe largest error for these shape­ for a foundation al Ihe sur1'ace. Then, an embed­
íp:Cific equalions is expected to be "'les s than a men! correction factor is calculated for each sliff­
kw pereent." Because Pais and Kausel report thal ness lerm. The slíffness of lhe embedded foundation
-onIy searce data are available for the sliffnesses 01' is lhe produCI of these two terms. Figure C4-1 iIIus­
GObedded reclangular foundalions," lhe embedment trates Ihe e1'fects 01' 1'oundation aspect ratio and
oorre<.:tion 1'actors shown in Fig. 4-4 are based on an embedment.

Shape Effect
15

..
14

.­
13

$
~
m
!12
j
E
~
11

1.0

09
1 10
ua

f mbedmellt fUect
(LA3 = 2; d Da)
3.5

3.0
BJ
--z
.....
- .....

--zz
~
AA
yy

2.5

02 0.4 06 06
041

FIGURE C4-1. (a) Foundation Shape Effect; (b) Foundation Embedment Effect.

91
SEISMIC REHABILlTATION OF EXISTING BlJlLDlNGS

According to Gazetas, the heighl of effective side­ foundation behavior using Winkler models shall be
wall contact, d, should be taken as the average height used. Distributed vertical stitfness properties shall be
of the sidewall that is in good contact with the sur­ calculated by dividing the total vertical stiffness by the
rounding soil. It should, in general, be smaller than the arca. Uniformly distributed rotational stif1'ness proper­
nominal height of contact to accounl ror such phenom­ ties shall be calculated by dividing the total rotational
ena as slippage and separation that may occur near (he stitl'ness of the tooting by the moment 01' inertia 01' the
ground surface. Note that d will not necessarily attain footing in Ihe direction 01' loading. Vertical and rota­
a single value tor all modes 01' oscillation. Where d is tional stiffnesses shalJ be deeoupled rol' a WinkJer
taken larger than zero, the resulting stitl'ness ineludes model. It shall be permitted lo use the proeedure illus­
sidewall friction and passive pressure contributions. trated in Fig. 4-5 to decouple these stilTnesses.
Although frequency-dependent solutions are avail­
able, results are reasonably insensitive to loading fre­ C4.4.2.1.3 Method 2 The stitfness per unit length in
quencies within the range of parameters of interest for these end zones is based on Ihe vertical stiffness 01' a
buildings subjected to earthquakes. It is sufficienl to B X B/6 isolated fooLing. The sLitTness per unil length
use static sliffnesses as represenlative 01' repealed load­ in the middle zone is equivalent to that of an inl1nitely
ing conditions. long strip footing.

4.4.2.1.3 Method 2 For shallow bearing foundalions 4.4.2.1.4 Method 3 For shallow bearing loundations
Ihal are not rigid with respect to the supporting soils, a that are tlexible relative to the supporting soil, the rel­
tinite e1emenl representation of linear or nonlinear ative stitlness of foundations and supporting soil shall

L
(Ienglh)
1" ~I

-foiI........O+--B/6 End zone each side

~~--~~--~~---

y
Plan Stiflness per unít length:

k == 6.83 G for 8/6 end zones

6"d 1-v

k ::: 0.73 G for middle zone

mid 1-v
k.nd kmíd kend
End zone Middle zone End zone

Section

~ ~ ~ ~
Component stiffnesses:
-1- "1" "1" "1
, I, k
K=

where k is the appropriate

stiffness per unít length for
the end zone or middle zone

Soil components
FIGURE 4-5. Vertical Stiffness Modeling for Shallow Bearing Footings.

92
 ASCElSEI 41-06

be evaluated using theoretical solulions for beams and The moment capacity of a rectangular footing
plales on elastic supports, approved by Ihe authority shall be calculated by Eq. 4-8:
llaving jurisdictíon. The foundation stiffness shall be
pennitted lo be calculated by a decoupled Winkler
model using a uníl subgrade spríng coeflicient. For
Me = LP
2
(1 _!L) qe
(Eq.4-8)
flexible foundalion systems, the uníl subgrade spring
ooefficient, k.v , shall be calculaled by Eq. 4-6. where
P = vertical load on footing;
1.3G P
ksv = BO - v)
(Eq.4-6) q = BL = vertical bearing pressure;
B width of fooling (parallel lo Ihe axis of bending);
.mere
L lenglh 01' footing in Ihe direclion of bending; and
G = shear modulus; qc = expected bearing capacity determined in
B = width of footing; and Section 4.4.1.
l' = Poisson's ratio.

The lateral capacily of shallow foundalions shall

-1.-1.2.1.5 Capacity Parameters The vertical expected be calculated using established principies oí" soil
apacity of shallow bearing foundations shall be deter­ mechanics and shall inelude lhe contributions of lrac­
mioed using the procedures of Section 4.4.1. tion at the boltom and passive pressure resislance on
In lhe absence of moment loading, the expected the leading tace. Mobilizalion of passive pressure shalJ
,erticalload capacity, Qc' of a rectangular footing be calculated using Fig. 4-6.
4aal1 be calculated by Eq. 4-7.
C4.4.2. 1.5 Capacity Parameters For rigid footings
(Eq.4-7) su~iecl lo moment and vertical load, contacl stresses
become concentrated al footing edges, particularly as
uplift occurs. The ultimate momenl capacity, Me' is
9< = expected bearing capacity determined in Sec­ dependenl upon the ratio of Ihe vertical load stress, q,
tion 4.4.1; to the expected bearing capacity, qc. Assuming that
B width of 1'ooting; and contact stresses are proportional lo vertical displace­
L length 01' 1'ooting. ment and remain elastic up lo the expected bearing

Passive Pressure Mobilization Curve

1.0

0.9

0.8

0.1

0.6

~ OS
"­

0.4

0.3
P =Mobilized Passive Pressure
02 PUl = Ultimate Passive Pressure
/) =Lateral displacement
0.1
H = Thickness of Footing
0.0
0.00 0.01 0.02 0.03 0.05 0.06
1M

FIGURE 4-6. Passive Pressure Mobilization Curve.

93
SEISMIC REHABILlTATlON OF EXISTING BUILDlNGS

capacily, q,. it can be shown lhat uplifl will occur prior much less than half of the total slrength. Therefore, it
lo plaslic yielding of lhe soil where q/qc is less lhan 0.5. is adequate lo characterize lhe non linear response of
If q/q, ís grealer lhan 0.5, lhen lhe soil al me loe will shallow foundations as elastic-perfectly plaslic using
yield prior lo uplift. This i.s ilIustraled in Fig. C4-2. lhe initial, effecrive slitl'ness and rhe lotal expecred
For footings subjected to lateral loads, the base slrenglh. The aClual behavior is expecled lo fall
traction slrength is given by V e + Np., where e is within lhe upper and lower bounds prescribed in (his
the effective cohesion force (effectíve cohesion Slress, slandard.
e, limes footing base area), N is lhe normal (compres­
sive) force, and p. is lhe coefticient of friction. If 4.4.2.2 Pi/e Foundations
included, side traclion is calculated in a similar man­ Apile foundalion shall be defined as a deep foun­
ner. The coetlicient of friction is often specitied by the dalion syslem composcd of one or more driven or
geotechnical consultant. In lhe absence of such a rec­ cast-in-place piles and a pile cap cast-in-place over the
ommendalion, p. may be based on lhe mínimum of the piles, which together form a piJe group supporting one
effective internal friction angle of lhe soil and the fric­ or more load-bearing columns, or a linear sequence 01'
tion coefticienl between soil and foundation from pub­ pile groups supporLing a shear wall.
Iished foundation references. The ultimate passive The requirements of this seclion shall apply to
pressure strength is often specified by lhe geotechnical piles less than or equal to 24 in. in diameter. The stiff­
consultant in the form of passive pressure coefticienls ness characterislics of single large-diameter piles or
or equivalenl fluid pressures. The passive pressure drilled shafts larger than 24 in. in diameter shall com­
problem has been extensively i nvestigated for more ply with the requirements of Section 4.4.2.3.
lhan 200 years. As a result. countless solutions and
recommendations exist. The method used should, at a 4.4.2.2. J Stiffness Parameters The uncoupled spring
minimum, ¡nelude the contributions of internal friction model shown in Fig. 4-3(b) shall be used lo represent
and cohesion, as appropriate. the sliffness of apile foundation where the footing in
As shown in Fig. 4-6, the force-displacement the figure represents lhe pile cap. In calculating the
response associated with passive pressure resislance is vertical and rocking springs, the contribution of the
highly non linear. However, for shallow foundalions, soil immedialely beneath lhe pile cap shall be ne­
passive pressure resistance generally accounts for glecled. The total lateral stiffncss 01' apile group shalJ

p p

p p

qc
FIGURE C4·2. Idealized Concentration oC Stress at Edge oC Rigid Footings Subjected to Overturning
Moment.

94
 ASeE/SEI 41-06

include the contributions of the piles (with an appro­ the lower-bound capacity of the foundation structural
priale moditícation for group effects) and the passive components.
resistance of the pi le cap. The lateral stiffness of piles The moment capacity of apile group shall be
s.haJ1 be based on elassical methods or on analytical determined assuming a rigid pile cap. Lower-bound
solutions using approved beam-column pile models. moment capacity shall be based on triangular distribu­
1ñe lateral stiffness contribution of the pile cap shall tion ofaxial pi le loading and lower-bound axial capac­
~ calculated using the passive pressure mobilization ity of the pi les. Upper-bound moment capacity shall
curve in Fig. 4-6. be based on a rectangular distribution ofaxial pile
Pile group axial spring stiffness values, ksv' shall load using full, upper-bound axial capacity ol' the
~ calculated using Eq. 4-9. piles.
The lateral capacity of apile group shall inelude
N AE the contributions of the piles (with an appropriate
k sv = 2: - (Eq.4-9)
modification for group effects) and the passive resis­
n~1 L
lance of the pile cap. The lateral capacity ol' the piles
wbere
shall be calculated using the same method used to cal­
,-4 = cross-sectional area of apile; culate the stiffness. The lateral capacity of the pile cap,
E = modulus of elasticity of piles; due to passive pressure, shall be calculated using
L = length of piles; and established principies of soil mechanics. Passive pres­
!ti = number of piles in group. sure mobilization shall be calculated using Fig. 4-6.

The rocking spring stiffness values about each C4.4.2.2.2 Capacity Parameters The lateral capacity
horizontal piJe cap axis shall be computed by model­ of a piJe cap should be calculaled in the same way that
ÍDg each pile axial spring as a discrete Winkler spring. the capacity of a shallow foundation is computed,
1ñe rotational spring constant, ksr , (moment per unit except that the contribution ol' base traction should be
rotation) shall be calculated using Eq. 4-10: neglected. Section C4.4.2.1.5 provides a more detailed
description ol' the calculation procedure.
N

k sr = 2: kvnS~ (Eq.4-1O)
4.4.2.3 Drilled Shafts
n=l
The stiffness and capacity of drilled shaft founda­
_-bere
tions and piers of diameter less than or equal to 24 in.
t. = axial stiffness of the n-th pile; and shall be calculated using the requirements for pile
S. = distance between n-th pile and axis of rotation. foundations specified in 4.4.2.2. For drilled shaft
foundations and piers ol' diameter greater than 24 in.,
C-1.4.2.2.J Stiffness Parameters As the passive pres­ the capacity shall be calculated based on the interac­
SUTe resistance may be a significant part of the total tion of the soil and shaft where the soil shall be
sttength, and deep foundations often require larger lat­ represented using Winkler type models specified
aaI displacements than shallow foundations to mobi­ in Section 4.4.2.2.
Iize the expected strength, it may not be appropriate to
base the force-displacement response on the initial, C4.4.2.3 Drilled Shafts
dfeclive stiffness alone. Instead, the contribution of Where the diameter of the shal't becomes large
passive pressure should be based on the passive pres­ (>24 in.), the bending and the lateral stil'l'ness and
SUTe mobilization curve provided in Fig. 4-6. strength ol' the shaft itself may contribute to the overall
Although the effects of group action and the influ­ capacity. This is obviously necessary for the case of
coce of pile batter are not directly accounted for in individual shafts supporting isolated columns.
me form of the abo ve equations, it can be reasonably
assumed that the lalter effects are accounted for in the 4.4.3 Foundation Acceptance Criteria
range of uncertainties that must be considered in The foundation soil shall comply with the accep­
accordance with Section 4.4.1. tance criteria specified in this seclion. The structural
components of l'oundations shall meet the appropriate
4.4.2.2.2 Capacity Parameters The expected axial requirements of Chapters 5 through 8. The foundation
capacity of piles in compression and tension shall be soil shall be evaluated to support an actions, including
determined using the procedures in Section 4.4.1. The vertical loads, moments, and lateral forces applied to
c:xpected axial capacity in tension shall not exceed the soil by the l'oundation.

95
SEISMIC REHABILITATION OF EXISTING BUILDlNGS

4.4.3.1 Simplified Rehabilitation A fixed base assumption shall not be used rol' build­
The foundalion soil of buildings for which the ings being rehabilitated 1'or lhe lmmediate Occupancy
Simplified Rehabilitation Method is selected in accor­ Performance Levellhal are sensilive to base rotalions
dance with Section 2.3.1 shall comply with the 01' other types 01' foundation movement lhat would
requirements 01' Chapter 10. cause the structural componenls to exceed lheir
acceplance criteria.
4.4.3.2 Linear Procedures
The acceptance criteria for 1'oundation soil ana­ 4.4.3.3.2 Flexible Base Assumption If the base of the
Iyzed by linear procedures shall be based on the mod­ structure is assumed lo be flexible and is modeled
eling assumptions for the base of the structure speci­ using tlexible nonlinea¡' foundation soil, then the foun­
fied in Section 4.4.3.2.1 or 4.4.3.2.2. dation soil shall be c1assitied as deformatíon­
controlled and the displacements at the base of the
4.4.3.2. J Fixed Base Assumptiofl If the base of the slructure shall not exceed lhe acceptance criteria 01'
slructure is assumed 10 be completely rigid, the foun­ this section. For the Lite Satety and CoHapse
dation soil shall be c1assified as defonnation­ Prevention Structural Peti'ormance Levels, acceptabil­
controlled. Component actions shall be determined by ity of soil displacements shall be based on the ability
Eq. 3-18. Acceptance cnteria shall be based on of the structure lo accommodate these displacements
Eq. 3-20, m-factors ror foundation soil shall be 3, and within Lhe acceptance criteria for the selected
the use of upper-bound component capacities shall be Rehabilitation Objectíve, For the Immediate
permiued. A tixed base assumption shall not be used Occupancy Structural Performance Level, the perma­
for buildings being rehabilitated to the Immediate nem, nonrecoverable displacement of the fóundation
Occupancy Performance Level that are sensitive to soil shall be calculated by an approved method based
base rolations or olher types of foundation movement on the maximum total displacement, foundation and
that would eause the structural components to exceed soil type, thickness of soillayers, and other perlinent
their acceptance criteria. factors. The acceptability of these dísplacements shall
If the alternative overturning method described in be based upon the ability 01' the strueture to accommo­
Section 3.2.10.] is used, the 1'oundation soil shall be date lhem wíthin the acceptance critería rOl' Ihe
c1assilied as force-controlled. Component actions shaJl Immediate Occupancy Structural Performance Leve!.
not exceed the calculated capacities and upper-bound
componen! capacities shall no! be used.
4.5 KINEMATIC INTERACTION ANO
4.4.3.2.2 Flexible Base Assllmption If the base of the FOUNOATION OAMPING SOIL-STRUCTURE
structure is assumed lO be flexible and is modeled INTERACTION EFFECTS
using linear foundation soil, then the foundation
soil shall be classitled as de1'ormation-controlled. Where required by Section 3.2.6., soil-structure inter­
Component actions shall be determined by Eq. 3-18. action etlects shall be calculated in accordance with
Soil strength need not be evaluated. Acceptability of Section 4.5.1 for kinematic interaction effects and
soil displacemenlS shall be based on the abil ity 01' the Section 4.5.2 1'01' foundation damping effects.
structure to accommodate these displacements within
the acceptance criteria for the selected Rehabilitation
Objective. C4.5 KINEMATIC INTERACTION ANO
FOUNOATION OAMPING SOIL-STRUCTURE
4.4.3.3 NOI,lillear Procedures INTERACTION EFFECTS
The acceplance cnteria for foundation soil ana­
Iyzed by nonlinear procedures shall be based on lhe Foundation tlexibility is covered in Section 4.4. SSI
modeling assumptions fol' the ba<;e 01' the structure eftects that serve to reduce the shaking input 10 the
specilied in Section 4.4.3.3.1 or 4.4.3.3.2. structure relative to lhe free-lield mOlion (kinematic
interaction and damping) are covered in this section.
4.4.3.3.1 Fixed Base Assumption If the base of the Procedures for calculating kinematic and damping
slruClure is assumed 10 be completely rigid, then the effects were taken from recommendations in FEMA
base reactions ror all foundation soil shall be classitied 440 (FEMA 2005) and have been included in the
as force-controlled, as determined by Eq. 3-19, and FEMA 368 (FEMA 2001) and FEMA 450 NEHRP
shall nol exceed upper-bound componenl capacities. Recommended Provisions for Seismic Regulations for

96
 ASCElSEI41-06

!..~, Buildings (FEMA 2004) for a number of years. where

Funher discussion of SSI effecls can be found in
be = effective foundation size, ft;
FEMA440.
be = Vib;
T fundamental pcriod of lhe building, sec;
.&.5.1 Kinematic Interaction
a = longitudinal dimension 01' full footprint oi'
Kinemalic inleraclion effecls shall be represenled
building foundation, ft; and
.." ratio of response spcctra (RRS) faclors RRSb•a
b transverse dimension of full footprinl of
b base slab averaging, and RRS, t'or embedmenl,
building foundation, ft.
.bich are muhiplied by lhe spcctra\ acceleration ordi­
....es on lhe response spectrum calculated in accor­
C4.5.1.1 Base Slab Averaging
..taoce with SeClion 1.6. Reduclion of the response
For base slab averaging effects to occur, founda­
ipeCtrum fO[ kinemalic interaction etl'ects shall be
lion componenls must be interconnected with grade
p:rmiued subject lO lhe limitations in Seclions 4.5.1.1
beams or concrete slabs. The method has not been rig­
.-d 4.5.1.2.
orously slUdied for buildings on piles; however, il is
considered reasonable lo extend the application to
4.5.1.1 Base S/ab Averaging
pile-supported struclures in which lhe pile caps are
The RRS factor for base slab averaging, RRShsu ,
in contacl wilh lhe soH and are laterally conncctcd to
iIIaIl be determined using Eq. 4-11 for each period of
one another.
.-erest. Ahernatively, the RRS factor for base slab
...adging shall be determined from Fig. 4-7. Rcduc­
4.5.1.2 Embedment
8llIlS for base slab averaging shall not be pcrmittcd for
The RRS factor ror embedment, RRSe, shall be
lluiklings with lhe following characterislÍCs:
determined using Eq. 4-12 for each period of interest.
l. Located on soft clay siles (site Classes E and F); Reductions for embedment shall nol be permitted for
.!. Aoor and rool' diaphragms classificd as tlexible, buildings with the following characteristics:
and foundation componenls that are not laterally
1. Localed on firm rock siles (sile Classes A and B),
connected;
or soft c\ay sites (site Classes E and F); and
2. Foundation componenls that are not lateralIy
l - -- 1-
14,100
(bT )1.2-!. ;::: (he value for T 0.2 sec connected.

(Eq.4-11)
RRS, = cos(~7I'e)
Tnv,
lhe larger 01'0.453 or lhe

RRS c value for T = 0.2 scc (Eq. 4-12)

G'J ~
-..
11
0.9 /
/
/
- ----­ /
,.-

,
,
,~
where
e = foundation embedment deplh, feet. A min­
imum of 75% 01' lhe foundation footprint
a::: a: /

.­
/

a:::- / / shall be presenl al Ihe embedment deplh.

/ /
/
--
JiZ ~ The foundalion embedment for buildings
/
_....J
0.8 I /
/

¡¡;;:C1 /
/
located on sloping ¡¡iles shall be lhe shal­
.~ I I
I
lowest embcdmenl;
.g! 0.7 I I

~as
I
I
Simplified Model Vs = shear wave velocity for site soil condi­
e.c I

..2.!!! I
I
65 ft tions, laken as average value 01' velocity to
.11.1 /

"OCD 0.6 I
I
b,,=-130 ft
a depth of b. below foundation, ft/sec;
e 11.1 I
:Sea I Il = shear wave velocity reduclion factor;
0.0 I b,,=200ft
LE 0.5 __ 1I ft = VGjG u'. and

-
e
0.4 '---'---'--....l--'---'---'---'---'-_'--oL..--'---J
b,,=330 ft
G/G" = effeclive shcar modulus ralio from
Table 4-7.

o 0.2 0.4 0.6 0.8 1.2 C4.5.1.2 Embedment

Period (s) The embedment effect model was largely based
flGURE 4-7. Ratio of Response Spectra for Base on sludies of buildings with basements. The recom­
Slab Averaging, RRSbsa ' mendations can also be applied lo buildings with

97
SEISMIC REHABlLlTATION OF EXISTING BUlLDlNGS

embedded foundalions without basements where lhe multistory structures 01' as lhe full height of the
foundalion is lalerally connected. However, lhe building for one-story structures;
embcdment etlect factor is not applicable lo embedded
N
individual spread foolings.
¿Wi 4>il !t i
h = ,-i--,-~_ __
4.5.2 Foundation Damping Soil-Structure
Inleraction Effects 2 W¡4>iI
;=1
The effects of foundalion damping ror non linear
analyses shall be representcd by the ellective damping
ro = equivalent foundation radius for rotation;
ratio of the struclure-foundation system, Po. delermined
in accordance wilh Eq. 4-13. Moditicalion 01' lhe accel­
eralÍon response spectrum calculaled in accordance
r
o
= (3(1 -8e V)K o)I/3
with Section 1.6 using Po in Iieu of lhe effeclíve vis­
cous damping ratio, p, shall be pcrmitted except where:
K o = effective rotational stitlness of lhe foundation;
l. Verticallateral-force-resisting elements are spaccd
al a distance less than the larger dimension of either
component in the dírection under consideralion;
2. v,Tlr,j21T (where v, average shear wave velocily
to a deplh of rJ and lhe shear stitlness 01' founda­
tion soils increases with depth;
3. The soil profile consists of a soft layer overlying a Kjt",¡ =
271')2 ;
M* ( T
very stiff material, and lhe syslem period is greater
that the tirst-mode period of lhe layer. M* = etTective mass lor lhe ¡¡rst mode.
Alternatively, it shall be permiued 10 take the
etlcctive mass as 70% of the total building
(Eq.4-13) mass, except where lhe mass is concentrated
at a single level, it shall be taken as lhe lolal
where building mass;

PI = foundalion-soil interaction damping ratio

detined in Eq. 4-14;
P effective viscous damping ratio 01' the
building; and
Tejj/TdJ effective períod lengthening ratio detined
in Eq. 4-15.
W = total building weight;
The foundation damping due to radiation damp­ W¡ = portion of lhe etlective seismic weight located
ing, Pi' shal1 be determined in accordancc with on or assigned to tloor level i;
Eq. 4-14. Alternatively, foundalion damping due to 4>u = tirst mode displacement at level i;
radiation damping shall be approximaled using Kx = effective lranslational stilTness 01' the foundation;
Fig.4-8.
8
--er
(~
K, x
¡:¡ =a I T (Eq.4-14) 2 - v
PI
eff

where e= etTective shear modulus;

/1 = Poisson's ratio; it shalJ be permitted to use 0.3
al = Ceexp(4.7 1.6h/ro); tor sand and 0,45 tor clay soils;
a2 d251n(h/ro) - 16]; e = foundation embedment depth, f"l;
Ce = 1.5(e/r.) + 1; r, = equivalent foundation radius for translation;
h = effeClive structure heighl taken as lhe vertical
distance from the foundalion lO !he centroid 01'
lhe tirst mode shape for multistory structures.
Alternatively, h shal.1 he permilled lo be approxi­ A, = area of lhe foundation footprint if the foundation
mated as 70% of lhe total Slruclure height for components are interconnectcd laterally;

98
 AseE/SEI 41-06

T = fundamental period of the building using a model C4.5.2 Foundation Damping Soil-Structure
with a fixed base, sec; and Interaction Effects
t = fundamental period of the building using a model Foundation damping effects tend to be important
with a flexible base, seco for stiff structural systems such as shear walls and
braced frames, particularly where they are supported
The effective period lengthening ratio shall be on relatively soft soil sites such as site Classes D and
ddermined in accordance with Eq. 4-15. E. The procedure is conservative where foundation
aspect ratios exceed 2: 1, and where foundations are
t
--
_
Teff
eff { 1 [( -
1+-
J1-
t)2 ]}O.5
T
-1 (Eq.4-15)
deeply embedded (e/rx > 0.5), but is potentially
unconservative where wall and frame elements are
c10se enough so that waves emanating from distinct
foundations components destructively interfere with
,. = expected ductility demando For nonlinear proce­ each other across the period range of interest.
dures, J1- is the maximum displacement divided The damping ratios determined in accordance with
by the yield displacement (8,/ Ily for NSP). For this section represent radiation damping effects only.
linear procedures, J1- is the maximum base shear See FEMA 440 (FEMA 2005) for further discussion of
divided by the elastic base shear capacity. foundation damping SSI effects, inc1uding limitations.

4.6 SEISMIC EARTH PRESSURE

Building walls retaining soil shall be evaluated to

el,.=O resist additional earth pressure due to seismic torces.
(radiation damping only)
Unless otherwise determined from a site-specific geot­
echnical investigation, the seismic earth pressure act­
1'20
Q. ing on a building wall retaining nonsaturated, level
hl 'e= 0.5
i
o
soil aboye the ground water table shall be ca1culated
c:: using Eq. 4-16:
o 1.0
~
-g ~
10 (Eq.4-16)
o
IL. where
IIp =additional earth pressure due to seismic shaking,
which is assumed to be a uniform pressure;
1.5 _ 2 k" = horizontal seismic coefficient in the soil, which
Períod Lengthening, TetITeH may be assumed equal to Sxs/2.5;
'rt = total unit weight of soil;
Hrw = height of the retaining wall; and
Sxs = spectral response acceleration parameter as
hl'e: 0.5 /' specitied in Section 1.6.

/1.0 The seismic earth pressure shall be added to the

unfactored static earth pressure to obtain the total earth
pressure on the wall. The wall shall be evaluated as a
/ el,. = 0.5
/ (radiation damping only)
force-controlled component using acceptance criteria
based on the type of wall construction and approved
I 2.0 methods.
í
/ /~.~.-­
C4.6 SEISMIC EARTH PRESSURE
I
. //
,/'"
O ~~~~_/L-'-L-J_ _~~_ _ L - - L_ _ L--L~ Past earthquakes have not caused extensive damage to
1 1.5 2 building walls below grade. In sorne cases, however, it
Period Lengthening, Tefffefl is advisable to verify the adequacy of retaining walls
FIGURE 4-8. Approximations of Foundation to resist increased pressure due to seismic loading.
Damping, 131" These situations indude walls of poor construction

99
SElSMIC REHABIUTATION OF EXISTING BUILDlNGS

qualily, unreinforced or lightly reinforced walIs, walls of foundalions by achieving one or more of lhe
of archaic malerials, unusually tall or lhin walls, dam­ following resuhs: (1) improvemenl in vertical bear­
aged walls, or other condilions implying a sensitivity ing capacity of fooling foundations; (2) increase
lo increased loads. in the laleral frictional resistance al lhe hase of fool­
The express ion in Eq. 4-16 is a simplified approx­ ings; and (3) increase in lhe passive resislance
imation of lhe Mononobe-Okabe 1'ormulalion. The of lhe soils adjacenl to foundalions or grade
aClual magnitude and distribution of pressure on walls beams.
during earlhquakes is very complex. If walls do nol Soil improvement options lo increase lhe verlical
have lhe apparent capacily lo resíst lhe pressures hearing capacity of fooling foundalions are limited.
eSlimated from lhe previously described approximate Soil removal and replacement and soil vihralory densi­
procedures, detailed invesligalion by a qualificd geo­ ticalion usually are nol feasihle hecause lhey would
technical engineer is recommended. The seismic carth induce seUlemenls benealh lhe footings or be expen­
pressure from lhis equalion is added to lhe unfactored sive to implement without causing seulement. Grout­
slalic eanh pressure, which ineludes pressure due to ing may be considered to increase bearing capacity.
soil, waler, and surcharge loads. Different grouting lcchniques are discussed in
Seismíc earlh pressurcs calculaled in accordance FEMA 274 Seclion C4.3.2 (FEMA 1997). Compac­
Wilh lhis seclion are inlended for use in checking lion grouting can achieve densificalion and strengthen­
acceplabilily 01' local wall componenls and should nol ing of a variety 01' soil lypes and/or eXlend foundation
be used lo increase lotal base shear on lhe building. loads to deeper, stronger soils. The technique requires
careful control lO avoid causing uplift of foundation
componenls or adjacent tloor slahs during lhe grouling
process. Permeation grouting with chemical groUls can
4.7 FOUNDATION REHABILITATION
achieve substanlial slrengthening of sandy soils, bUl
lhe more fine-grained or silty lhe sand, lhe less effec­
Foundalion rehabililation schemes shall be evaluated in
(ive lhe lechnique becomes. Jel groUling could also he
conjunction with any rehabilitation of the superstructure
considered. These same lechniques also may be con­
and according lO the general principIes and requíre­
sidered lo increase the lateral friclional resistance al
ments of lhis standard to assure that lhe complete reha­
lhe base of footings.
bilitaLion achieves lhe selected building performance
Soil improvement by lhe following melhods may
level for lhe selecled earthquake hazard leve\. Where
be ell'eclÍve in increasing lhe passive resislance of
new rehabilitation components are used in conjunclion
soils adjacenl to foundations or grade beams: removal
wilh exísting components, lhe effecló) of differentíal
and replacement of exislíng soils with stronger,
foundation stiffness on lhe modificd struclure shall be
well-compacted soils or with treatcd (e.g., cemenl­
demonslraled Lo meet Ihe acceplance criteria. If exisling
slabílized) soils; in-place mixing of exisling soils
loads are not redistribulcd to all lhe components of lhe
Wilh strengthening malerials (e.g., cemenl); grouting,
rehabílitated foundation by shoring andJor jacking, the
incJuding permeation grouling and jel grouling; and
effecls of ditferential strengths and stiffnesses among
in-place densitícation by impact or vihralory com­
individual foundalion componenls shall be íneluded in
paction. In-place densitication by impact or vibralory
the analysis 01' the rehabilitated foundation. The etlects
compaction should be used only if lhe soillayers to
of rehabilitation on stitrness, strength, and deformability
he compacled are not loo lhick and vihralion eftecls
shalI be laken inlo account in an analytical model 01' the
on lhe structure are lolerable.
rehabilitated slructure. The compatibility 01' new and
exisling componenls shall be checked al displacements
ShaUow Foundation Rehabilitation. The following
consislenl wilh the performance level chosen.
measures may be effeclive in lhe rehahiJilalÍon of shal­
low foundalions:

C4.7 FOUNDATION REHABILITATION l. New ísolaled or spread footings may be added 10

existing struclures to support new structural ele­
Guidance for moditicalíon of foundalions lo improve menls such as shear walls or frames.
seismic performance is provided as follows: 2. Exisling isolaled or spread footings may be
enlarged lo increase bearing or uplift capacity.
Soil Material Improvements. Improvemenl in exisl­ Consideralion of existing contact pressurcs on lhe
ing soil malerials may be efteclive in lhe rehabililalion slrength and still'ness of lhe moditied fooling may

100
 ASeE/SEI 41-06

be required unless uniform distribution is achieved components of a building system, rehabilitated

by shoring and/or jacking. steel components of a building system, and new
3. Exisling isolated or spread footings may be under­ steel components added to an existing building
pinned lo increase bearing or uplift capacity. syslem.
Underpinning improves bearing capacilY by lower­ Section 5.2 specifies dala colleclion procedures
ing Ihe contacl horizon of the footing. Consideration for obtaining malerial properties and performing con­
of the etfects of jacking and load Iransfer may be dition assessments. Section 5.3 specifies general
required. requirements. Sections 5.4, 5.5, 5.6, and 5.7 provide
4. Uplifl capacity may be improved by increasing the modeling procedures, component slrenglhs, accept­
resisting soil mass abo ve Ihe fooling. ance criteria, and rehabilitation measures ror steel
5. Miligation of differentiallaleral displacemenl of dif­ moment-resisting frames, steel braced trames, sleel
ferenl porlions of a building foundalion may be car­ plate shear walls, and steel trames with intiJls. Sec­
ried oul by provision of inlerconneclion with grade tion 5.8 provides modeling procedures, strenglhs,
beams, reinforced grade slab, or tieso acceptance criteria, and rehabilitation measures
for diaphragms used in steel structures. Section 5.9
Deep Foundation RehabUitation. The following specifies requiremenls ror steel piles. Section 5.10
measures may be effeclive in Ihe rehabililalion of deep specifies requirements for components of cast or
foundation consisling of driven piles made of steel, wrought iron.
concrete, or wood, or casl-in-place concrete piers, or
drilled shafls of concrete.
Shallow foundation of spread foolings or malS
CS.l SCOPE
may be provided lo support new shear walls or frames
or other new elemenls of the laleral-force-resisting
Techniques ror repair of earthquake-damaged steel
system, provided the effects of differential foundation
components are not included in this standard. The
sliffness on the moditied slructure are analyzed and
design professional is referred to SAC Joint Venture
meel the acceptance criteria.
publications FEMA 351 (FEMA 2000) and FEMA
New wood piles may be provided for an existing
353 (FEMA 2000) for information on design, evalua­
wood pile foundation. A positive connection should be
tíon, and repair of damaged sleel moment-resisting
provided to transfer the uplift forces from the pile cap
frame structures.
or foundation aboye to the new wood piles. Existing
wood piles should be inspected for deterioration
caused by decay, insect infestalion, or other signs of
distress prior lo undertaking evaluation of existing 5.2 MATERIAL PROPERTIES AND CONDITION
wood pile foundation. ASSESSMENT
Driven piles made of steel, concrete, or wood, or
cast-in-place concrete piers or drilled shafts of con­ 5.2.1 General
crete, may be provided to support new structural ele­ Mechanical properties for steel materials and
menlS such as shear walls or frames. components shall be based on available construc­
Driven piles made of steel, concrete, or wood, or tíon documents and as-built conditions for the
casl-in-place concrete piers or driIJed shafts of con­ particular struclure as specified in Seclion 2.2.
crete, may be provided to supplement lhe vertical and Where such informalion fails lo provide adeq'Jate
laleral capacities of existing pile and pier foundation information to quantify malerial properlies or docu­
groups. menl the condition of the struclure, such int()rma­
tion shall be supplemented by material tests and
assessments of existing conditions as required in
S.O STEEL Section 2.2.6.
Material properties of existing steel components
S.l SCOPE shall be determined in accordance with Section 5.2.2.
A condítion assessment shalJ be conducted in accor­
lhis chapler seIs forth requiremenls for the Systematic dance with Section 5.2.3. The extent of materials test­
Rehabilitation of sleel components of the lateraJ-force­ íng and conditíon assessment performed shall be used
resisting system of an existing building. The require­ to determine the knowJedge factor as specified in
ments of this chapter shall apply to existing steel Section 5.2.4.

101
SEISMIC REHABILlTATlON OF EXISTING BUILDlNGS

Use of default material properlies shall be permit­ Structural steel componenls constructed arter
ted in accordance with Section 5.2.2.5. Use of mate­ 1900 shall be e1assified based on ASTM specitication
rial properties based on historica1 information as and material grade and, if applicable. shape group in
default values shall be permiued as specitied in accordance with Table 5-2. Lower-bound material
Section 5.2.2.5. propenies shall be taken in accordance with Table 5-2
for material conforming 10 the specitications lisled
CS.2.1 General therein. For material grades not listed in Table 5-2,
The extent of in-place materials testing and condi­ Jower-bound material propel1ies shall be taken as nom­
lion assessment thai must be accomplished is related inal or specilied properties, or shall be based on tests
to availability and accuracy of construction and as­ where the material grade or specitied value is not
built records. the quality of materials used and con­ known.
struction perl'ormed, and the physical condition ol' (he Where materials testíng is required by Sec­
structure. Data such as the properlies and grades of lio"n 2.2.6, test melhods lo determine ASTM
material used in componenl and connection fabricatÍon designation and material grade or lo quanlify mate­
may be effeclively used lo reduce the amounl of Ín­ rial properlies shall be as specified in Sec­
place testing required. The design protessional is lion 5.2.2.3.
encouraged to research and acquire all availab1e The minimum number of tests shall comply wilh
records from original construction. the requirements of Seclion 5.2.2.4.
Steel components of buildings inelude columns, The carbon equivalent of the existing compo­
beams, braces, connections, link beams, and nents shall be determined to establish weldability
diaphragms. Columns, beams. and braces may be built of the material, unless it is contirmed thal either the
up with plates, angles, and/or channels connected existing material conforms wilh a weldable material
together with rivets, bohs, or welds. The material used specitication or welding to existing components will
in older constructÍon is likely lo be mild steel with a not be performed as part of lhe rehabilitation. The
specified yield strength between 30 ksÍ and 36 ksi. welding procedures shall be determined based on the
Cast iron was often used for columns in much older chemistry of the base material and filler material as
construction, from before 1900 through the 1920s. specitied in Section 8 of AWS D 1.1 [American
Cast iron was gradually replaced by wrought iron and Welding Society (AWS) 2002]. Material conforming
then by steel. The connectors in older construction lo ASTM A36/A36M-04 (ASTM 2004), ASTM
were usually mild steel rivets or bolts. These were A242/A242M-03 (ASTM 2(03). ASTM A307-02
later replaced by high-strength bolts and welds. The (ASTM 2(02), ASTM A572/572M-04 (ASTM 2004),
seismic performance oí' lhese components will depend ASTM A913/A9J3M-Ol (ASTM 2001), ASTM
heavily on the condition 01' the in-place material. A A972/A972M-00 (ASTM 2000). and ASTM A9921
more detailed historieal perspective is given in Section A992M-04 (ASTM 2004) shall be deemed LO be
C5.2 ofFEMA 274 (FEMA 1997). weldable.
Great care should be exercised in selecting the
appropriate rehabilitation approaches and techniques 5.2.2./.2 Nominal Properties Nominal material prop­
for application to historie buildings in order to pre­ erties specitled in the American lnstitute of Steel
serve their unique characteristÍcs. Construction (AlSC) Load and Resistance Factor
Design Specijication lar Structural Steel Buildings
S.2.2 Properties oC In-Place Materials and
(LRFD) (AISC 1999), or properties specified in con­
Components
struction documents, shall be taken as lower-bound
material properties. Corresponding expected material
5.2.2.1 Material Properties properties shall be calculated by multiplying lower­
oound values by an appropriate factor laken from
5.2.2././ General The following component and con­
Table 5-3 to translate from lower-bound lo expected
nection material properties shall be obtained l'or the
values.
as-built strucLUre:
Where construction documenls indicate the ulti­
l. Yield and tensile strength 01' the base material. mate tensile strength of weld metal, the lower-bound
2. Yield and tensile strength 01' the connection strength of welds shall be taken as indicated in
material. AWS DI.I (AWS 2(02). For construction predating
3. Carbon equivalem of the base and connection 1970, use 01' a nominal ulLimale tensile strenglh oí'
material. 60 ksi shall be permitted.

102
 ASCElSEI41-06

C5.2.2.1 Material Properties lory lesting. Sampling shall take place in regíons
Mechanical properties of component and connec­ where the deereased seclion slrenglh due to the sam­
lion material diclate lhe structural behavior of the pling remains higher Ihan the capacity required al the
component under load. Mechanical properties of redueed seelíon to resist the desígn loads. Alternately,
grealest inlerest inelude lhe expected and lower-bound where the reduced sectíon strength due to sampling
estimates of yield (Fye ) and tensile (F..) strengths of beeomes lower Ihan the required capacity, the losl sec­
base and connection material, modulus of elasticily, tíon shaIl be temporarily supported and restored by
ductility, toughness, elongational characteristics, and repaies lO the section.
weldability. If a eonnector such as a boIt or rivet is removed
Expecled material propertics should be used for for testing, a comparable bolt shall be reinstalled at the
deformation-controllcd actions. Lower-bound material lime of sampling. Oestructive removal of a welded
properties should be used for force-controlled actions conneclion sample shall be accompanied by repair of
in Iieu 01' nominal strenglhs specitied in the Lnad and the connection.
Resistance Factor Design Specification for Structural Expected material properties shall be based on mean
Sleel Buildings (LRFD) (AISC 1999). test values. Lower-bound material properties shall be
based on mean tesl values minus one standard deviation,
except that where Ihe material is posilively idenlified as
5.2.2.2 CompOllellt Properties
eonforming lo a defined slandard material speciíication,
The following properties of components and lheir
lower-bound properties need not be taken less lhan Ihe
connections shall be obtained for the slruclure:
nominal properties for thal specification.
1. Sizc and thickness of connected materials, incIud­
ing cover plates, bracing, and stiffeners;
C5.2.2.3 Test Melhods lo Quanlify Properties
2. Cross-seclional area, section moduli, moments 01'
FEMA 274 (FEMA 1997) provides information
inerlia, and lorsional properties of componenls al
and references for several test methods.
criticalsections;
Sampling should take place in regions where the
3. As-buih contiguration of intermediate, splice, and
calculated stresses (considering the lost section due to
end connections; and
sampling) fol' the applied loads is less than Ihe allow­
-t Current physical condílion 01' base metal and con­
able stress, where using allowable stress design
neClor materials, incIuding presence oí' deformation
(ASO), and less than the capacily where using load
and extent of deterioration.
and resistance factor design (LRFO).
()f greatesl ¡nteresl to steel building syslem per­
Rcview of available construction documents shall
formance are the expected yield and tensile strength of
be performed lo identify primary vertical- and lateral­
the instaIled materials. Notch toughness oí' structural
load-carrying eIemcnls and systems, critical compo­
sleel and weld material is also important ror connee­
nents and conneclions, and any moditications to com­
tions thal undergo cyclic loadings and deformalions
ponents or overall configuration oí' the structure.
duríng earlhquakes. Chemical and metallurgical prop­
In fue absence of deterioration, use of the nominal
erties can provide information on properties such as
cross-sectíonal dimensions 01' componenlS published by
compatibilily oí' welds wilh parenl melal and potenlial
the AISC, the American lron and Sleel Institute (AISI),
lameHar tearing due 10 through-thickness stresses.
and other approved trade associations shall be permitted.
VirlualIy aH sleel componenl elaslic and inelaslic limit
slates are relaled to yield and tensile strengths. Past
5.2.2.3 Test Methods to Quanlify Properties research and accumulation oí' data by industry groups
Laboratory tesling of samples to determine in-place have resulted in published material mechanieal peoper­
mechanical properties of materials and components shaH ties for most primary metal S and thejr dale of fabrica­
be performed in complíance with consensus standards lÍon. Section 5.2.2.5 provides default properties. This
published by ASTM, the American National Standards informalíon may be used, togelher wilh lests from
Institute (ANSI), and other approved organizations. recovered samples, lo rapid1y establísh expeeted
The extent of in-place materials tesling required strenglh properties ror use in component slrength and
lo determine material properties shall be based on lhe deformation analyses.
data colleetion requírements in Section 2.2.6. Review of olher properties derived from laboratory
The determination of material properties shall be tests, sueh as hardness, impact, fracture, and fatigue, is
accomplished Ihrough removal of samples and labora­ generally not needed for steel component capacity

103
SEISMIC REHABILITATION OF EXISTING BUILDINGS

determination, but may be required for archaic materi­ 01' steel materials for comprehensive data collection
als and connection evaluation. These properties shaU be based on [he following crÍleria:
may not be needed in the analysis phase if signiticant
rehabilítative measures are already known to be l. If original construction documents deíining mate­
required. rial properties are inconclusive 01' do not exist, but
To quantify material properties and analyze the the date of conslruction is known and the materíal
performance of welded momenl conneclions, more used is contirmed lo be cal'bon sleel, al least
extensive sampling and testing may be necessary. This Ihree strenglh coupons and three bolts and rivels
testing may include base and weld material chemical shall be randomly removed fmm each component
and metallurgical evaluation, expected strength deter­ Iype.
mination, hardness, and Charpy V-notch testing of the 2. If no knowledge 01' the structural system and mate­
heat-affected zone and neighboring base metal, and rials used exisls, at least two tensile strenglh
other tests depending on connection contiguration. coupons and lwo bolts and I'ivels shall be removed
Recommendatíons given in FEMA 351 (FEMA from each componenl type 1'01' every 1'our 1100rs or
2(00) may also be followetl lo selecl welding proce­ every 200,000 sI'. Ir il is determined from testing
dures ror welding of rehabilitative measures to existing that more than one material grade exists, additional
components. sampling and testing shall be pcr1'ormed untíl lhe
extent of each grade in componenl fabricatíon has
been established.
5.2.2.4 Mínimum Number 01 Tests
3. In the absence 01' conslruction recol'ds delining
Materials testing is not required if material proper­
welding filler metals and pmcesses used, al
ties are available from original construction documents
leasl one weld metal sample rol' each componenl
Ihat indude material test records or material test reports.
type shall be obtained 1'or laboratory lesling.
If such properties difler rrom defauIt material properties
The sample shall consisl 01' both local base and
given in Tables 5-1 and 5-2, material properties for reha­
weld metal lo determine composite slrength of
bilitation shall be selected such Ihal the largest tlemands
lhe connection.
on components and connections are generated.
4. For archaic materials, al least three strength
5.2.2.4. J Usual Testing The minimum number of tests coupons shall be extracted for each component
to determine the yield and tensile slrenglhs of steel type for every 1'our 1100l's or 200,000 sI' 01' COIl­
materials for usual dala collection shall be based on slruction. Ir initial tests provide malerial proper­
the following criteria: tíes thal are consistent wilh propcrties given in
Table 5-1, tests shall be required ror every six
tloors or 300,000 sr of construclion only. If
l. If design drawings are incomplele or not available,
these tests provide malerial propcrties thal are
at least one slrength coupon from each steel com­
nonuniform, additional tests shall be performed
ponent type shall be removed for testing, and one
until the extent 01' differenl malerials is
weld metal sample fol' each component Iype shaIl
established.
be oblained for testing. The sample shall consist of
both local base and weld metal to determine com­
posite strength 01' (he connection. For other material properties, a minimum of three
2. Ir design drawings containing ASTM specitication tesIs shall be conducted.
and material grade information are available, use of The results of any material lesting pcrformed shall
Table 5-2 to determine material properties shall be be compared lo lhe defauIt values in Tables 5-1 and
permitted wilhout additional testing. 5-2 1'or the particular era of building construction. The
3. If dcsign drawings containing material property amount of testing shall be doubled if the expectcd and
informatioll are available but the malerial properlies lower-bound yield and lensile stl'engths determined
are not listed in Table 5-2, use 01' nominal or speci­ from testing are lower Ihan the defauh values.
tied material properlies shall be permitted withoul
additional testing.
C5.2.2.4 Millimum Number 01 Tests
5.2.2.4.2 Comprehensive Testing The minimum num­ In order to quanlify expected strcnglh and olher
ber of tests to determine the yield and tensile strengths properties aceurately, a minimum number of tests

104
 ASCE/SE) 41-06

Table 5-1. Default Lower-Bound Material Strengths for Archaic Materials1,l

Lower-Bound Yield Lower-Bound Tensíle

Year Material Strength, ksi Strength, ksi
Pre-1900 Cast Iron 18
Pre-1900 Steel 24 36

IModified from unit stress values in Alse lron {lIId Steel Bwmsfrom 1873 to 1952 (AISe 1983).
lPropertíes based on tables of allowable loads as published in mili catalogs.

may be required to be conducted on representative be used in conjunction wilh approved statistical

components. procedures.
The evaluating engineer should exercise judgment to Design professionals may consider using
determine how much variability of component sizes will Bayesian slatislics and other statistical procedures
constitute a significant change in material properties. It is contained in FEMA 274 (FEMA 1997) to gain
Iikely that most of the sections of the same size within a grealer contidence in the test results obtained from
building have similar material properties. Differences in the sample sizes specitied in this section.
materiaJ properties are more likely to occur due to differ­
ences in size groups, differences in specified materiaJ 5.2.2.5 Default Properties
properties (36 ksi versus 50 ksi), and differences in sec­ The default lower-bound material properties for
lÍon shapes. At a minimum, one coupon should be steel componenls shall be as specified in Tables 5-1
removed from each nominal size of each wide-tlange, and 5-2. Del'ault expected strength material proper­
angle. channel, hollow structural section (HSS), and other ties shalJ be determined by muItiplying lower­
structural shape used as part of the lateral-force-resisting bound values by an appropriate factor laken from
system. Additional sampling should be done where large Table 5-3.
variations in member sizes occur within the building and Use of default material properties to determine
where the building was constructed in phases or over component and eonneetÍon strengths shall be permitted
extended time periods where members may have come in con.junelíon wilh the linear analysís procedures of
from different milIs or batches. Chapter 3.
Material properties 01' structural steel vary much
less than those of other construction materials. In fact,
Ihe expected yield and tensile stresses are usual1y con­ 5.2.3 Condition Assessment
síderably higher than the nominal specified values. As
a result, testing for material properties of structural 5.2.3.1 General
Sleel may not be required. The properties of wrought A condition assessment of the existing building
icon are more variable lhan those of steel. The strength and site shall be performed as specitied in this sec­
of cast iron components cannot be determined from tion. A condition assessment shall ¡nelude the
small sample tests, since component behavior is usu­ following:
aIly governed by inclusions and other imperfections.
If ductility and toughness are required at or near l. The physical condition of primary and secondary
abe weld. the design professional may conservatively eomponents shall be examined and the presence of
assume that no ductility is available, in lieu of testing. any degradation shall be noted;
In this case the joint would have lo be moditied if 2. Veritication of the prcsence and configuration
ioelastic demands are anticipated and the possibility of of structural elements and eomponenls and
fractures cannot be tolerated. Special requirements for their connections, and the continuity of load
welded moment frames are given in FEMA 351 paths between components, elements, and
(FEMA 2000). systems; and
If a higher degree ol' eontidence in results ís de­ 3. Identification of other eonditions including the
sired, either the sample size shall be determined using presence 01' nonstructural eomponents that intlu­
ASTM E22 (ASTM 1955) criteria, or the prior knowl­ enee building performance and ¡mpose Iimitations
edge 01' material grades fTOm Section 5.2.2.5 should on rehabilitation.

J05
SEISMIC REHABILlTATION OF EXISTING BUlLDINGS

Table 5-2. Default Lower-Bound Material Strengthsl,l

Tensile StrengthJ, Yield Strength3,

Date Specification Remarks ksi ksi
1900 ASTMA9 Rivet Steel 50 30
Buildings Medium Steel 60 35

1901-1908 ASTMA9 Rivet Steel 50 25

Buildings Medium Steel 60 30
1909-1923 ASTMA9 Structural Steel 55 28
Buildings Rivet Steel 46 23
1924-1931 ASTMA7 Structural Steel 55 30
Rivet Steel 46 25
ASTMA9 Structural Steel 55 30
Rivet Steel 46 25

1932 ASTM A 140-32T issued as a tentative revision Plates, Shapes, Bars 60 33

to ASTM A9 (Buildings) Eyebar Flals 67 36
(Unannealed)
1933 ASTM A 140-32T discontinued and ASTM A9 Structural Steel 55 30
(Buildings) revised Oct. 30, 1933
ASTM A9 tentatively revised to ASTM Structural Steel 60 33
A9-33T (Buildings)
ASTM A141-32T adopted as a standard Rivet SteeJ 52 28
1934-Presenl ASTMA9 Structural Steel 60 33
ASTMAI41 Rivet Steel 52 28
1961-1990 ASTM A36/A36M-04 Struclural Steel
Group) 62 44
Group 2 59 41
Group 3 60 39
Group 4 62 37
Group 5 70 41

1961 -Present ASTM A572/A572M-04, Grade 50 Structural Steel

Group 1 65 50
Group 2 66 50
Group 3 68 51
Group 4 72 50
Group 5 77 50
1990-Present ASTM A361A36M-04 and Dual Grade Structural Steel
Group I 66 49
Group 2 67 50
Group 3 70 52
Group4 70 49

1998 - Present ASTM A9921 A992M-04 Structural Steel 65 50

'Lower-bound values for material prior lo 1960 are based on mínimum specítied values. Lower-bound values for malerial after 1960 are mean
mínus one standard deviation values from sfafislical dala.
2Propenies based on ASTM and AISC Slructural Steel Specificalion Slresses.
JThe indicaled values are representalive of material eXlracted from (he tlanges of wide Ilange shapes.

106
 AseE/SEI 41-06

Table 5-3. Factors to Translate Lower-Bound Steel Properties to Expected-Strength Steel Properties

Property Year Specification Factor

Tensile Strength Prior to 1961 1.\0
Yield Strength Prior to 1961 1.10
Tensile Strength 1961-1990 ASTM A36/A36M-04 1.10
I 961-Present ASTM A572/A572M-04, Group 1 1.10
ASTM A572/A572M-04, Group 2 1.10
ASTM A572/ A572M-04, Group 3 1.05
ASTM A572/A572M-04, Group 4 1.05
ASTM A572/A572M-04, Group 5 1.05
1990-Present ASTM A36/A36M-04 and Dual Grade, Group 1 1.05
ASTM A36/A36M-04 and Dual Grade, Group 2 1.05
ASTM A36/A36M-04 and Dual Grade, Group 3 1.05
ASTM A36/A36M-04 and Dual Grade, Group 4 1.05
1998-Present ASTM A9921A992M-04 1.\0
Yield Strength 1961-1990 ASTM A36/A36M-04 1.10
1961-Present ASTM A5721A572M-04, Group 1 l.l0
ASTM A572/A572M-04, Group 2 1.10
ASTM A572/A572M-04, Group 3 1.05
ASTM A572/A572M-04, Group 4 1.10
ASTM A572/A572M-04, Group 5 1.05
1990-Present ASTM A36/A36M-04, PIates 1.10
ASTM A36/A36M-04 and Dual Grade, Group I 1.05
ASTM A36/A36M-04 and Dual Grade, Group 2 l.l0
ASTM A36/A36M-04 and Dual Grade, Group 3 1.05
ASTM A36/A36M-04 and Dual Grade, Group 4 1.05
1998-Present ASTM A992/A992M-04 1.10
Tensile Strength AH Not Listed I l.l0
Yield Strength AH Not Listed I 1.10

'For materials not conforming 10 one of ¡he listed specifications.

eS.2.3.] General The condition assessment also affords an opportu­

The physical condition of existing components nity to review other conditions that may influence steel
and elements and their connections must be examined elements and systems and overall building perform­
for degradation. Degradation may inelude environmen­ ance. Of particular importance is the identification of
lal effects (e.g., corrosion, fire damage, chemical other elements and components that may contribute to
attack) or past or current loading effects (e.g., over­ or impair the performance of the steel system in ques­
load, damage from past earthquakes, fatigue, fracture). tion, ineluding infills, neighboring buildings, and
The condition assessment should also examine for equipment attachments. Limitations posed by existing
configurational problems observed in recent earth­ coverings, wall and ceiling space, infills, and other
quakes, ineluding effects of discontinuous compo­ conditions shaIl also be defined such that prudent
nents, improper welding, and poor fit-up. rehabilitation measures may be planned.
Component orientation, plumbness, and physical
dimensions should be confirmed during an assessment. 5.2.3.2 Seope and Proeedures
Connections in steel components, elements, and sys­ The condition assessment shall inelude visual
lems require special consideration and evaluation. The inspection of accessible structural elements and com­
load path for the system must be determined, and each ponents involved in lateral-load resistance to verify
connection in the load path(s) must be evaluated. This information shown on available documents.
¡neludes diaphragm-to-component and component-to­ If coverings or other obstructions exist, either
component connections. FEMA 351 (FEMA 2000) partial visual inspection through use of drilled holes
provides recommendations for inspection of welded and a fiberscope shall be used, or complete visual
steel moment frames. inspection shall be performed by local removal of

107
SEISMIC REHABILlTATlON OF EXIS'ONG BUILDINGS

covering materials. Where required by Seclion 2.2.6, section properties shall be laken from design draw­
lhe tol1owing shalJ be performed ror visual and com­ ings. lf sorne sectional malerial loss or deteriora­
prehensive condition assessments: lion has OCClllTed, the loss shall be quantitled by
direct measurement and sectiol1 properties shall be
C5.2.3.2 Scope al/d Procedures reduced accordingly using principIes of structural
For sleel elements encased in concrete, it may be mechanics.
more cost-etTective lo provide an entírely new lateral­
load-resísting syslem than undertaking a visual inspec­ 5.2.4 Knowledge Factor
tíon by removal of concrete encasement and repaír. A knowlcdge factor (K) ior computation of sleel
Physical condition oi' components and connectors componenl capacilies and permissible del'ormalions
may also dictate the use of certain destructive and shall be selected in accordance wilh Section 2.2.6.4
nondestructive test methods. lf steel elements are cov­ Wilh Ihe following additional requirements specitic to
ered by welI-bonded fireproofing materials or are steel components.
encased in durable concrete, it is likely thal Iheir con­ A knowledge factor of 0.75 shall be used if the
dition will be suitable. However, local removal of components and Iheir connecLors are composed of cast
these materials al conneclions should be performed as or wrought iron.
part 01' the assessment. The scope of this removal
effort is dictated by the component and element
design. For example, in a braced frame, exposure of 5.3 GENERAL ASSUMPTIONS AND
several key connections may suftice if the physical REQUIREMENTS
condition is acceptable and the contiguration matches
the design drawings. However, for moment frames, it 5.3.1 Stiffness
may be necessary to expose more connection points Component stitTnesses shall be calculated in
because of varying designs and the critical nature of accordance wilh Sections 5.4 through 5.10.
the conneclions. See FEMA 351 (FEMA 2000) for
inspection of welded moment trames. 5.3.2 Design Strengths and Acceptance Criteria

5.2.3.2. J Visual Condition Assessment If detailed 5.3.2.1 Gel/eral

design drawings exist, at least one connection 01' each Classitication of steel component actions as
connection type shall be exposed. If no deviations deformaLion- or force-conlrolled, and calculalion of
irom the drawings exist, lhe sample shall be consid­ design strenglhs, shall be as specitied in Sections 5.4
ered representative. 11' deviations trom the exisling through 5.9.
drawings exist, then remo val 01' additional coverings
1'rom conneclions 01' that type shall be done until the 5.3.2.2 Deformation-Controlled Actions
exLent of deviations is determined. Design strengths for deformation-conLrolled
actions, QCE' shall be taken as expecLed strengths
5.2.3.2.2 Comprehensive Condition Assessment In the obtained experimentally or calculated using accepLed
absence 01' construction drawings, at least three con­ principIes of mechanics. Expected slrength shall be
nections of each type shall be exposed for the primary detined as the mean maximum resistance cxpected
structural components. Jf no deviations within a con­ over the range of deformations lo which [he compo­
nection group are observed, the sample shall be con­ nenl is Iikely to be subjected. Where calculations
sidered representative. lf deviations within a connec­ are used to determine mean expected strength,
lion group are observed, then additional connections expecled material properties (including strain harden­
shall be exposed until the extent 01' deviations is ing) shall be used. Unless other procedures are speci­
determined. fied in this standard, procedures contained in Load
and Resistance Factor Design Specification lor
5.2.3.3 Basis for the Mathematical Buildil/g Structural Steel Buildings (AISC 1999) to calculate
Model design strength shall be permitted, except that the
The results of the condition assessment shall be strength reduclion factor, 1>, shall be taken as unity.
used to create a mathemalical building model. Deformation capacities ror acceptance of deformalion­
If no damage, aILeration, nr degradadon is ob­ controlled actions shall be as specilied in Sections 5.4
ser ved in the condilion assessmenl, component through 5.10.

108
 ASeE/SEl 41-06

5.3.2.3 Force-ConlroUed Acliolls 5.3.3 Rehabilitation Measures

Design strengths for force-controlled actions, QCL' Upon determining that steel elements in an existing
shall be taken as lower-bound strengths obtained building are deticient for the selected Rehabilitation
experimentally or calculated using established princi­ Objective, these elements shall be rehabilitated or
pIes of mechanics. Lower-bound strength shall be replaced so they are no longer deticient. If replacement of
defined as mean strength minus one standard devia­ the element is selected, the new element shall be
tion. Where calculations are used to determine lower­ designed in accordance with t1ús standard and detailed
bound strength, lower-bound material properties and conslructed in accordance with a building code
shall be used. Unless other procedures are specified approved by the authority having jurisdiction.
in this standard, procedures contained in Load
and Resistallce Factor Design Specífication for
Structural Steel Buildings (LRFD) (AISC 1999) to 5.4 STEEL MOMENT FRAMES
calculate design strength shall be permitted, except
that the strength reduction factor, 4>, shall be taken as 5.4.1 General
unity. Where alternative definitions of design strength The behavior of steel moment-resisting frames is
are used, they shall be justitied by experimental generally dependent on the connection contiguration and
evidence. detailing. Table 5-4 identities the various connection
types for which acceptance crileria are provided.
5.3.2.4 Anchorage lo Concrete Modeling procedures, acceptance criteria, and rehabilita­
Connections of steel components to concrete com­ tion measures for Fully Restrained (FR) Moment Frames
ponents shall comply with the provisions of this chap­ and Panially Restrained (PR) Moment Frames shall be
ter and Chapter 6 for determination of strength and as detined in Sections 5.4.2 and 5.4.3, respectively.
c1assification of actions as deformation-controlled or
force-controlled. C5.4.1 General
The strength of connections between steel Steel moment frames are those frames that
compollents and concrete components shall be develop their seismic resistance through bending of
the Jowest value obtained fol' the limit states of the steel beams and columns, and moment-resisting
strength of the steel components, strength of the beam-column connections. A moment-resisting
connection plates, and strength of the anchor beam--coJumn connection is one that is designed to
bolts. develop moment resistance at the joint between the
The strength of column base plates shall be the beam and the column and also designed to develop the
lowest strength calculated based on the following limit shear resistance at the panel zone of the column.
states: expected strength of welds or bolts; expected Beams and columns consist of either hot-rolled steel
bearing stress of the concrete; and expected yield sections or cold-formed steel sections or built-up
strength of the base piate. members from hot-rolled or cold-fonned plates and
The strength of the anchor bolt connection sections. Built-up members are assembled by riveting,
between the column base plate and the concrete shall bolting, or welding. The components are either bare
be the lowest strength calculated based on the follow­ steel or steel with a nonstructural coating for protec­
ing Jimit states: shear or tension yield strength of the tion from tire or corrosion, or both, or steel with either
anchor bolts; loss of bond between the anchor bolts concrete or masonry encasement.
and the concrete; or failure of the concrete. Anchor Following the 1994 Northridge earthquake, the
bolt strengths for each failure type or limit state shall SAC Joint Venture undertook a major program to
be calculated in accordance with ACI 318 (ACI 2002), address the issue of the seismic performance of
using 4> = 1.0, or other procedures approved by the moment-resisting steel frame structures. This program
authority having jurisdiction. produced several documents which provide recom­
For column base plate yielding, bolt yielding, and mended criteria for the evaluation and upgrade of this
weld faiJure, the use of m-factors from Table 5-5, building type. However, the design professional should
based on the respective limit states for partially be cautioned that there are sorne differences in the
restrained end plates, shall be permitted. Column base methodologies and specitics of this standard and the
connection limit states controlled by anchor bolt fail­ SAC procedures. While both methodologies utilize
ure modes governed by the concrete shall be consid­ similar analysis procedures, there are sorne variations
ered force-controlled. in the factors used to compute the pseudo-lateral load

\09
SEISMIC REHABILlTATION OF EXISTlNG BUILDlNGS

Table 5-4. Steel Moment Frame Connection Types

Conneclion Description l ,2 Type

Welded Unreinforced Flange Full-penetration welds between bearn and colunms, Ilanges, bolted or welded web, FR
(WUF) designed prior to cocle changes foIlowing the Northridge em1hquake
Bottorn Haunch in WUF Welded bottom haunch added lo exisling WUF connection wilh composite slab J FR
with Slab
Bottom Haunch in WUF Welded bottorn haunch added lO exisling WUF connection without composite slab J FR
wilhout Slab
Welded Cover Plate in WUF Welded cover plates added lo existing WUF connection J FR
Irnproved WUF-Bolted Web FuIl-penetration welds between beam and colurnn fIanges, bolted web 4 FR
Improved WUF-Wclded Web Full-penetration welds between beam and column llanges, welded web 4
FR
Free Flange Web i8 coped at ends of beam 10 separate tlanges, welded web tab resists shear and FR
bending moment due to eccentricity due to coped web 4
WeIded F1ange Plales Flange plate with full-penetration weld at column and tillet welded lo beam tlange 4 FR
Reduced Beam Seclion Conneclion in which nel area 01' beam tlange is reduced lo force plastic hinging away FI<
from colurnn face 4
Welded Bottom Haunch Haunched conneclion al bottom Ilange only4 FR
Welded Top and Bottom Haunched connection al 10p and oouom Ilanges· F1~
Haunches
Welded Cover-Plated Flanges 8eam tlange and cover-plate are welded lo column llange 4 FR
Top and Bottom Clip Angles Clip angle bolted 01' riveled lo bearn tlange and colurnn llange PR
Double Split Tee Split lees bolted or riveled lo beam Ilange and column tlange PR
Composite Top and Clip Clip angle bolled or rivcted to column tlange and beam bOllO m Ilange with PI{
Angle Botlom composile slab
Bolled F1ange Plales F1ange plale with full-penClration weld at column and bolled to beam tlange4
Bolted End PIale Stiffened or unstiffened end plale welded lo beam and bolted lo column tlange
Shear CQnnection wilh Slab Simple connection with shear lab, composile slab
Shear Connection without Slab Simple connection wilh shear tab, no cornposite slab

'Where nol indicaled othelwise, delinilion applies lo conneclions wilh bolted or welded web.
'Where not indicated otherwise, detinition applies lo connections wilh or wilhoul composile slab.
'Full-penetration welds between haunch or cover piUle 10 column j1ange COnfOlTIl to the requircmems oflhe AISC 341 Seismic ProrisiOfl.\)iJr
Slruclural Sleel Buihlíngs (A1SC 2002).
4Full-penelralion wclds conform 10 Ihe requiremems of Ihe AISC 341 Seismic Provisions for S/rIlclUral Slee/ BIIi/diflg~ (AISC 2002).
'For purposes of modcling, the conneclion muy be considered FR ir il meelS Ihe slrenglh and stiffness requil'ements of S.:ction 5.4.2.1.

110
 ASCE/SEI41-06

Table 5-5. Acceptance Criteria for Linear Procedures-Structural Steel Components

m-Factors for Linear Procedures

Primary Secondary

ComponenllAction 10 LS CP LS CP

Beams- Flexure
b 52 h 418
a. ~S--and-S-- 2 6 8 10 12
2~ ~ Iw ~
b 65 h 640
b. ~;;>::--or-;;>::-- 1.25 2 3 3 4
21f ~ 1", ~
c. Other Linear interpolatio n between the values on Hnes a and b for bolh flange slenderness
(first term) and web slenderness (second term) shall be performed, and the lowest
resulting value shall be used.
Columns-Flexure 11,12
Por P/PCL < 0.2
b 52 h 300
a ~s--and-S-- 2 6 8 !O 12
211 ~ tw ~
b. !!L;;>:: ~or!!..;;>:: 460 1.25 1.25 2 2 3
21¡ ~ 1", ~
c. Other Linear interpolation between the values on lines a and b for both flange slenderness
(first term) and web slenderness (second term) shall be performed, and the lowest
resulting value shall be used.
Por 0.2 s P/PCL s 0.5
b 52 h 260
a ::1.s-- and - s - - 1.25
2~ ~ tw ~
b 65 h 400
b. ::1.;;>::--or-;;>::-- 1.25 1.25 1.5 2 2
21¡ ~ tw ~
c.Other Linear interpolatíon between the values on lines a and b for both tlange slenderness
(first term) and web slenderness (second term) shall be performed, and the lowest
resulting value shall be used.
Column Panel Zones-Shear 1.5 8 11 12 12
Pully Restrained Moment Connections l4
WUp4 LO 4.3 0.083d 3.9 - 0.043d 4.3 0.048d 5.5 0.064d
Bottom Haunch in WUF with Slab 2.3 2.7 3.4 3.8 4.7
Bouom Haunch in WUF without Slab 1.8 2.1 2.5 2.8 3.3
Welded Cover Plate in WUp3 3.9 0.059d 4.3 - 0.067d 5.4 - O.09Od 5.4 - 0.09Od 6.9 0.1l8d
13
Improved WUF-Bolted Web 2.0 0.016d 2.3 0.021d 3.1 - 0.032d 4.9 0.048d 6.2 - 0.065d
Improved WUF- Welded Web 3.1 4.2 5.3 5.3 6.7
J3
Free Flange 4.5 0.065d 6.3 - 0.098d 8.1 - 0.129d 8.4 - 0.129d 11.0 O,172d
13
Reduced Beam Section 3.5 0.016d 4.9 0.025d 6.2 - 0.032d 6.5 0.025d 8.4 0.032d
Welded F1ange Plates
a Flange Plate Net Section 2.5 3.3 4.1 5.7 7.3
b. Other Limit States Force-controlled
Welded Bottom Haunch 2.3 3.1 3.8 4.6 5.9
Welded Top and Bottom Haunch 2.4 3.1 3.9 4.7 6.0
Welded Cover-Plated Flanges 2.5 2.8 3.4 3.4 4.2

continued

111
SEISMIC REHABILlTATlON OF EXISTlNG BUILDINGS

Table 5-5. (Continned)

m-Factors for Linear Procedures
Primary Secondary
ComponentlAction 10 LS CP LS CP

PartialIy Restrained Moment Connections

Top and Bottom Clip Angle7
a. Shear Failure of Rivet or Bolt 1.5 4 6 6 8
(Limit State I)K
b. Tension Failure of Horizontal Leg 1.25 1.5 2 1.5 2
of Angle (Limit State 2)
c. Tension Failure 01' Rivet or Bolt 1.25 1.5 2.5 4 4
(Limit State 3)K
d. Flexura] Failure of Angle 2 5 7 7 14
(Limit State 4)
Double Split Tee7
a. Shear Failure of Rivet or Boll 1.5 4 6 6 8
(Limit State I)K
b. Tension Failul'e of Rivet ol' Boh 1.25 1.5 2.5 4 4
(Limit State 2)K
c. Tension Failure of Split Tee Stem 1.25 1.5 2 1.5 2
(Limit State 3)
d. Flexural Failure of Split Tee 2 5 7 7 14
(Limit State 4)
Bolted Flange Plate 7
a. Failure in Net Section of Flange 1.5 4 5 4 5
Plate or Shear Failure of Bohs
or Rivets8
b. Weld Failure or Tension Failure on 1.25 1.5 2 1.5 2
Gross Section of Plate
Bolted End Plate
a. Yield of End Plate 2 5.5 7 7 7
b. Yield of Bolts 1.5 2 3 4 4
c. Failure of Weld 1.25 1.5 2 3 3
Composite Top and Clip Angle Bottom7
a. Failure of Deck Reinforcement 1.25 2 3 4 6
b. Local Flange Yielding and Web 1.5 4 6 5 7
Crippling ol' Column
c. Yield of Bottom Flange Angle l.5 4 6 6 7
d. Tensile Yield of Rivets or Bolts 1.25 1.5 2.5 2.5 3.5
at Column Flange
e. Shear Yield 01' Beam Flange 1.25 2.5 3.5 3.5 4.5
Connections
Shear Connection with Slab B 2.4 - 0.01 ]dbg 13.0 ­ 0.290dbg 17.0 0.387dóg
Shear Connection without Slab l3 8.9 - 0.193dJ,g 13.0 0.290d/Jg 17.0 0,387dbg
EBF Link Beam6,~
1.6 MeE
a. e:S: - - ­ 1.5 9 13 13 ]5
Va;
2.6Mn :
b. e~--- Same as for beams.
VeE
1.6Mn a 2.6M ,
c. ---<e<--- Linear interpolation shall be used.
VCE Va:

112
 ASCElSEI 41-06

m-Factors for Linear Procedures

Primary Secondary

ComponentlAction 10 LS CP LS CP

Braces in Compression (except EBF braces)

a. SIender 1ó

Kl ~ 4.2YE/Fy
r
1. W, 1, 2L in-plane I6 , 2C in-plane l6 1.25 6 8 7 9
2. 2L out-of-plane I6 , 2C out-of-plane '6 1.25 5 7 6 8
3. HSS, pipes, tubes 1.25 5 7 6 8
b. Stocky l5,17

KI:5 2,IYE/Fy
r
1, W, 1, 2L in-plane '6 , 2C in-plane '6 1,25 5 7 6 8
2, 2L out-of-plane I6 , 2C out-of-plane I6 1.25 4 6 5 7
3. HSS, pipes, tubes 1,25 4 6 5 7
c. Intermediate Linear interpolation between the values for slender and stocky braces (after
application of all applicable moditiers) shall be used.
Braces in Tension (except 1.25 6 8 8 10
EBF Braces)19
8earns, Columns in Tension 1.25 3 5 6 7
(except EBF Beams, Columns)
Steel Plate Shear WalIs 10 1.5 8 12 12 14
Diaphragm Components
Diaphragm Shear Yielding or Panel 1.25 2 3 2 3
or Plate Buckling
Diaphragm Chords and Collectors­ 1.25 6 8 6 8
FuI! Lateral Support
Diaphragm Chords and Collectors­ 1.25 2 3 2 3
limited Lateral Support

'm = 9(1 - 5/3 plpC/).

'm = 12(1 - 5/3 pipo)'
'm = 15(1 - 5/3 plpCL)'
"m = 18(1 - 5/3 PIPa),
'Not used.
'Values are for link beams with tbree or more web stiffeners. If no stiffeners, divide values by 2,0, but values need not be less than 1.25. Linear
iRferpolation shall be used for one or two stiffeners.
"Web pIate or stiffened seat shall be considered to carry shear. Without shear connection, action shall not be c1assified as secondary. If d b > 18 in.,
IIIIIItiply m-tactors by 181db, but values need not be less than 1.0.
'For high-slrength bolts, divide values by 2.0, but values need not be less than 1.25.
'Assumes ductile detailing for flexurallink, in accordance with AISC LRFD Specificutions (AISC 1999) .
.,Applicable if stiffeners, or concrete backing, is provided to prevent buckling.
''Columns in moment or braced frames shall be permitted to be designed for the maximum force delivered by connecting members. Por rectangu·
lar or square colurnns, replace b,/2tf with bit, replace 52 with 110, and replace 65 with 190.
'Thlumns with PIP CL > 0.5 shall be considered force-controlled.
'3d is the beam depth; db8 is the depth of the bolt group.
4'abulated values shall be modified as indicated in Section 5.4.2.4.2, Item 4.
"In addition to consideration of connection capacity in accordance with Section 5.4.2.4.1, values for braces shall be modified for connection
IObustness as follows: Where brace connections do not satisfy the requirements of AISC 341, Section 13.3c (A1SC 2002) , the acceptance cllteria
mall be mu1tiplied by 0.8.
"Slitches ror built-up members: Where the stitches for built-up braces do not satisfy the requirements of AISC 341, Section 13.2e (AISC 2002) ,
die acceptance criteria shall be multiplied by 0.5.
'"Section compactness: Acceptance criteria applies to brace sections that are concrete-filled or seismically compact according to Table 1-8-1 of
. tJSC 341 (AISC 2002). Where the brace section is noncompact according to Table B5.1 of AISC LRFD Specifications (AISC 1999), the accept­
-=e criteria shall be multiplied by 0,5, Por intermediate compactness conditions, the acceptance criteria shall be multiplied by a value determined
by linear interpoJation between the seismically compact and the noncompact cases.
"Regardless of the modifiers applied, m need never be talen less than 1.0,
"I'ot' tension-onJy bracing, m-factors shall be divided by 2.0, but need not be Jess than 1,25.

113
SElSMIC REHABILlTATION OF EXISTING BUILDlNGS

in the LSP and NSP. Where using the acceplance crite­ C5.4.2.1 General
ria of this section, the design professional should fol­ FEMA 351 (FEMA 2000) identifies two types of
low the procedures sel forth in Chapler 3 of lhis stan­ connections-Type 1 (ductile) and Type 2 (briUle).
dard without modification. The procedures in this stan­ These definitions are nol used in lhis standard since
dard and lhe SAC procedures are judged to resulL in the distinction is rellected in the acceptance crileria for
comparable levels of drift demando the connections.
Connections between the members shall be classi­ The most common beam-to-column conneclion
fied as fully restrained (FR) or partially reslrained used in steel FR moment frames since the late 1950s
(PR), based on the strength and stiffness of the con­ required the beam tlange to be welded ro the column
nection assembly. The conneclion lypeS and defini­ tlange using complete joint penetration groove we\ds.
tions contained in TabJe 5-4, as well as the acceptance Many of these connections have fractured during
criteria for lhese connections, has been adopted from recent earlhquakes. The design professional is referred
the referenced SAC documents, FEMA 350 (FEMA to FEMA 274 (FEMA 1997) and to FEMA 351
2000), 351 (FEMA 2000), 355D (FEMA 2000), and (FEMA 1997).
355F (FEMA 2000). The number of connections iden­
titied is based on research that has shown behavior to 5.4.2.2 St(tfness
be highly dependent on connection detailing. The
design professional should refer to those guidelines 5.4.2.2. J Linear Static and Dynamic Pmcedures The
for more detailed descriptions 01' these connections stitlness of steel members (columns ano beams)
as well as a methodology for determining accepLance and connections (joints and panel zones used with
criteria for other connection lypes not included in the linear procedures of Chapter 3) shall be based
this standard. on principies of structural mechanics and as specified
FEMA 35 J (FEMA 2000) provides an alternate in the Load and Resístance Factor Design Speciji­
methodology for determining column demands that catlonfor Structural Steel Buildings (LRFD)
has not been adopled into this standard. (AISC 1999) unless superseded by provisions of
this section.
5.4.2 Fully Restrained Moment Frames
l. Axial Area and Shear Area. For components
5.4.2.1 General fully encased in concrete, ca\culaLÍon of the stitIness
FR momenl frames shall be those moment using full composite action shall be permitted ir con­
tl'ames with connections identitied as FR in fining reinforcement is provided lo allow the concrete
Table 5-4. to remain in place during an earthquake. Concrete
Moment frames with connections not included in conlined on al least three sides, or over 75% 01' its
Table 5-4 shall be detined as FR if the joint deforma­ perimeter, by elements of the structural steel member
tions (nol including panel zone deformation) do not shall be permitted to be considered adequarely con­
contribute more than 10% to the lotallaleral detlection tined to provide composite acrion.
of the frame, and lhe connection is at least as strong as 2. Moment of Inertia. For components fully
the weaker of the two members being joined. Ir either encased in concrete, calculation of the stitIness using
oí' these conditions is not satistied, lhe trame shall be fulJ composite action shall be permitted, bUI the width
characterized as PR. of the composite section shaJl be taken as equal ro lhe
FR moment frames encompassboth Special width oi' Ihe tlanges 01' the steel member and shall nol
Moment Frames and Ordinary Momenl Frames, inelude parts oí' the adjoining concrete tloor slab,
detined in AISC 341 (AISC 2002). These terms are unless there is an identitiable shear transfer mecha­
not used in lhis standard, bUl the requirements for nism between lhe concrete slab and the steel tlange
these systems and for general or seismic design of which is shown to meet the applicable acceptance cri­
steel componentks specitied in Load alld Resistance teria for the selected performance level.
Factor Design Specijication for Structural Steel 3. Panel Zone Modeling. Inclusion of panel zone
Buildings (LRFD) (AISC 1999) or ASCE 7 (ASCE tlexibility shall be pernJitted in a frame analysis by
2005) shall be followed for new elements designed as adding a panel zone element to the mathematical
part of the seismic rehabilitation, unless superseded model. Alternatively, adjustment of rhe beam flexural
by provisions in this standard. stitIness lo account for panel zone tlexibility shall be

114
 ASCE/SEI41-06

permitted. Where lhe expecled shear slrenglh of panel In Iieu of relationships derived from experiment
zones exceeds the flexural strength of lhe heams al a or analysís, lhe generalized load-deformatíon curve
beam-<:olumn conneclion, and lhe stiffness of the shown in Fig. 5-1, with parameters a, b, and e as
panel zone is at least 10 times larger than lhe flexural defined in Tables 5-6 and 5-7, shall be used for com­
stiffness of lhe heam, direcl modeling of the panel ponents 01' steel moment frames. Moditicalion of
zone shall not be required. In such cases, rigid this curve shall be permitted lo account for slraín­
offsets from the cenler of the column shall be permit­ hardening of components as follows: (1) a strain­
ted to represent lhe ef1'ective span of the beam. Use hardening sJope of 3% of the elastic slope shall he
of center-Iine analysis shall be permitted for other permítted for heams and columns unless a greater
cases. strain-hardening slope is justitied by test dala; and
4. Joint Modeling. Modeling of connectíon stiff­ (2) where panel zone yielding occurs, a slrain­
ness for FR moment frames shall nOI be required hardening slope of 6% shall be used for lhe panel
excepl for joinls Ihal are intenlionally reinforced lo zone unless a greater strain-hardening slope is
force formalion of plaslic hinges within lhe beam justified by tesl data.
span, remote from the column faee. For sueh joinls, The parameters Q and Qy in Fig. 5-1 are general­
rigid elements shall he used helween the eolumn ized component load and generalized component
and the beam lO represenl lhe efteclive span 01' the expected slrength, respectively. For heams and
heam. columns, Ois the total eJastic and plaslic rotation of
5. Connections. Requirements 01' lhis section the beam or column, O, is Ihe rotation al yield, .1 is
shall apply lo eonneelions idenlitied as FR in total elastic and plastic displacement, and .1, is yield
Table 5-4 and lhose meeting lhe requirements 01' displacernent. For panel zones, Oy is the angular shear
Seclion 5.4.2. J • detormation in radians. Figure 5-2 defines chord rota­
tion for heams. The chord rotation shall be calculated
either by adding lhe yield rotalÍon, O" lo Ihe plastic
5.4.2.2.2 Nonlinear Static Procedure If lhe Nonlinear
rotation or laken lo he equal to the story drift. Use of
StatÍC Proeedure (NSP) of Chapter 3 is used, the fol­
Eqs. 5-1 and 5-2 shall he permitted lO calculate lhe
lowing eriteria shall apply:
yield rolalÍon, O..' where Ihe point of contratlexure is
anticípated to oecur at Ihe mid-Iength of the beam or
l. Elastie eomponent properties shall he modeled as
colurnn, respeclÍvely.
specified in Seclion 5.4.2.2.1;
") Plastification shall be represenled by non linear
moment-eurvalure and interaetion relationships for
beams and beam-<:olumns derived from experiment
or analysis; and
3. Linear or nonlinear behavior of panel zones shall
he included in the malhematical model except as
indicated in Section 5.4.2.2.1, Ilem 3.

(a) Cantilever example

Q
Qy
Choro rotation:
o.A
L ,
1.0 "

() or Li
FIGURE S-l. Generalized Force-Deformation
Relation for Steel Elements or Components.
lb) F~~~~~~~::------Y--
FIGURE 5-2. Definition of Cbord Rotation.

lIS
SEISMIC REHABILlTATION OF EXISTlNG BUILDlNGS

Table 5-6. Modeling Parameters and Acceptance Criteria for Nonlinear Procedures­
Structural Steel Components

Modeling Parameters
Acceptance Criteria 14
Residual
PIastic Rolalion Angle, Radians
Plastic Rotation Angle, Strength
Radians Ralio Primary Secondary
Componen tiAction II b c 10 LS CP LS CP
Beams - flexure

a. !i<~and.!!.-<~ 9O" 110)' 0.6 lO, 6O,. 8O, 9O, 1lO,

211 - ViC 1" - V'iC
b. !i~~or.!!.-~ 640 48), 68)' 0.2 0.250)' 2O)' 30)' 3O,. 40,.
21{ V'iC 1" V'iC
c. Other Linear interpolation between the values on lines a and b for both tlange slenderness (tirst term) and web
sJenderness (second term) shall be perforllled, and the lower resulling value shall be used
Columns- F1exure2,7
For PIPe/. < 0.2
a. !i :5 ~ and .!!.-:5 300 90)' 110)' 0.6 JO" 80" 90, 110,
21} y-¡::;; 1w V'iC
b. !i ~ ~or.!!.- ~ 460 40,. 60, 0.2 0.250, 20,. 30,. 30, 40,
21( V'iC 1,. V'iC
e, Other . Linear interpolation between the values on lines a and b for both tlange slenderness (tirst tcrm) and wcb
slenderness (second terrn) shall be perforrned, and the lower resulting value shall be used
For 0.2 :5 PIPo, :5 0.5
a. !i:5 ~ and .!!.-:5 260 0.2 0.250,.
21( 'V!C 1" V'iC
b. !i ~ ~or.!!.- ~ 400 10)' 1.50,. 0.2 0.250, 0.50, 0.80)' 1.20,. 1.20,.
21( V'iC 1" V'iC
c.Other Linear inlerpolation between the values on lines a and b for both tlange slenderness (tirst terrn) and web
sJenderness (second terrn) shall be pcrformed, and the lower resulting value shall be used
Column Panel Zones 120,. 1.0 10,. 80, 110,. 120,
13
Fully Restrained Moment Cunnections
WUF" 0.051 - O.Otll3d tl.043 - IJ.OIX)60d 0.2 0.026 - O,0006Sd 0,0337 - 0,IJIJ086<1 0,0284 - IU)0040<l IU)J23 - 0.0004Sd 0,043 -- O,OOO()O<l
Bottorn Haunch in WUF 0.026 0.036 0.2 0,013 0,0172 0.0238 0,0270 0,036
with Slab
Bottom Haunch in WUF 0,018 0,023 0.2 0,009 0,0119 0,0152 0,0180 0,023
without Slab
Welded Cover Plate 0,OS6 - Il.OO lId 0.056 - O.OOlld 0,2 0.028 - O.OOOSS<I 0,031') - 0,00063<1 0,0426 - 0.00084<1 0.0420 - 0,00083<1 0.056 -ll.OOII<l
inWUFI2
Improved WUF-Bolted 0,021 - O,IJIX)Jod U,U50 - 0,01XJ60<l 0,2 O.IHO - 0.000 1S<I 0,0139 - 0,00020<1 0,021iJ - 0.00030<1 O,037S - O,00045d o,OSO - 0.01XJ60d
Wcb 12
Improved WUF-Welded 0,041 0,054 0.2 0.020 0.0312 0.0410 0,0410 0.054
Web
Free Flange l2 0,067 - 0,0012d 0,094 - 0.0016<1 0,2 0.034 - 0.OO060d 0,OS09 - 0.00091<1 0.11670 - 0.0012<1 0.070S - IJ.I)O 12<1 0.0')4 - 0.0016<1
Reduced Beam Section '2 Il.OSO - 0,00031><' 0,070 - 0.00030<1 0,2 0.02S - O.OOOISd 0,0.1HO - 0.IX)023d IU)SOO - O,OO030d 11.0525 - 0,OO023d 0.07 - 0.00030d
Welded Flange Plates
a, Flange Plate Net Section 0,03 0,06 0.2 0.015 0,0228 0,0300 0,0450 0,06
b. Other Limit Srates Force-controlled
Wddcd Bottorn Haunch 0,027 0.047 0.2 0.014 0,0205 0.0270 0.0353 0.047

116
 ASeE/SE! 41-06

Modeling Paramelers
Acceptance Criteria 14
Residual
Plastic Rotation Angle. Radians
Plastic Rotalíon Angle. Strength
Radians Ratio Primary Secondary
Component/Action a b e 10 LS CP LS CP
Welded Top and Bottom 0.028 0.048 0.2 0.014 0.0213 0.0280 0.0360 0.048
Haunches
Welded Cover-Plated 0.031 0.031 0.2 0.016 0.0177 0.0236 0.0233 0.031
Aangcs
Partially Restrained Moment Connections
Top and Bottom Clip Angle9
a. Shear Failure of Rivet oc 0.036 0.048 0.200 0.008 0.020 0.030 0.030 0.040
Bolt (Limit State 1)&
b. Tension Failure ofO.012 0.018 0.800 0.003 0.008 0.010 0.010 0.015
Horizontal Leg of Angle
(Limit State 2)
c. Tension Failure of Rivet 0.016 0.025 1.000 0.005 0.008 0.013 0.020 0.020
or Bolt (Limit State 3)8
d. F1exural Failure of Angle 0.042 0.084 0.200 omo 0.025 0.035 0.035 0.070
(Limit State 4)
Double Split Tee9
a. Shear Failure of Rivet or 0.036 0.048 0.200 0.008 0.020 0.030 0.030 0.040
Bolt (Limit State 1)8
b. Tcnsion Failure of Rivet 0.016 0.024 0.800 0.005 0.008 0.013 0.020 0.020
oc Bolt (Limit State 2)8
C. Tension Failure of Split 0.012 0.018 0.800 0.003 0.008 0.010 0.010 0.015
Tee Stem (Limit State 3)
d. FlexuraJ Failure of Split 0.042 0.084 0.200 0.010 0.025 0.035 0.035 0.070
Tee (Limit State 4)
Bolted Flange Plate9
a. Failuce in Net Section of 0.030 0.030 0.800 0.008 0.020 0.025 0.020 0.025
F1ange Plate oc Shear
Faílure ol' Bolts oc Rivets"
b. Weld Failure oc Tension 0.012 0.018 0.800 0.003 0.008 0.010 0.010 0.015
Failure on Gross Section
ofPlate
Bolle<! End Plate
a. Yield of End Plate 0.042 0.042 0.800 0.010 0.028 0.035 0.035 0.035
b. Yield of Bolts 0.018 0.024 0.800 0,008 0.010 0.015 0.020 0.020
c. Failure ol' Weld 0.012 0.018 0.800 0.003 0.008 0.010 0,015 0,015
Composite Top Clip Angle Bottom9
a. Failure of Deek 0.018 0.035 0.800 0.005 0.010 0.015 0.020 0.030
Reinforcement
b. Local F1ange Yielding and 0.036 0.042 0.400 0.008 0.020 0.030 0,025 0.035
Web Crippling of Column
c. Yield of Bottom F1ange 0.036 0.042 0.200 0,008 0.020 0.030 0.025 0,035
Angle
d. Tensile Yield ol' Rivets or 0.015 0.022 0.800 0.005 0.008 0.013 0.013 0.018
Bolts at Column F1ange
e. Shear Yíeld of Beanl 0.022 0,027 0,200 0.005 0.013 0.018 0.018 0.023
Aange Connection
Sbear Conneeúon wilh 0.029 - O.0(~)2Od" 0.15 - O.O(J36<1" 0.400 0.014 - ().0!~J10d" 0.1125 O.OO21d" 0.15 - 0.0036<1"
Slab 12
Sbear Conneelion (US· 0.0036<1" 0.15 - OJlO36<1" 0.400 OJJ75 ­ 0.001ild" O.1l2S • O,0027d" 0.15 - O.IJ036<1"
witoout Slab12

Continued

117
SElSMIC REHABILITATION OF EXISTING BUILDINGS

Table 5-6. (Continued)

Modeling P'arameters
Aeceptance Criteria'4
Residual
Plastic Rotation Angle, Radians
Plastie Rotaríon Angle, Strenglh
Radíans Rario Primary Secondary
ComponentJAetion a b e 10 LS CP LS CP

¡';BF Link Beam"l,1I

1.6 MeE 0.11
a. e 0,15 0.17 0.8 0.005 0.14 0.14 0.16
\{~:
2.6
b. e 2!: Same as for beams
V,E
, 1.6 M(1; 2.6 MeE
e, ---< e <--­ Linear interpolatíon shall be used
\{'E \{'E
Steel Plate Shear Walls' 0.7 lOO,. 138, ISO,

'Values are for shear walls wíth stiffeners to preven! shear buekling.
'Columns in moment or braccd frames shall be permítted 10 be desígned for the maximum force delivered by connecling mcmbers. For rectangular
or square columns, replace b¡/2t¡ with bit, replace 52 with 110, and replace 65 with 190.
3Plastic rotalion II (1 5/3 pi Pu) O"
4Plastic rotation 17 (1 5/3 PI Po) O,..
5Plastíc rotation 8 (1 - 5/3 PIPelJ By.
6Plastic rotation 14 (1 - 5/3 PI PClJ 8).
7Columns witli PIPn . > 0.5 shall be eonsidered force-controlled.
"For high-strength bolts, divide values by 2.0.
"Web plate or stiftimed seal shall be considered to carry shear, WithoUl shear conneClion, aclion shall nol be c1assified as secondary, If beam depth,
d. > 18 in" multiply m-faetors by l8ldo'
IUDeformation is the rotation angle between link and beam oulside link or column,
uValues are for link beams with Ihree or more web stiffeners, If no stiffeners, divide values by 2.0. Linear interpolatíon shall be used for one or
two stiffeners.
lld is the beam depth; d•• ís the depth of ¡he boh group, Where plastic rotations are a funetion of d 01' dogo they need nOl be ¡aken as less than 0.0.
BTabuJated values shall be modified as índicated in Section 5.4.2.4.3, hem 4.
'·Primary and secondary componen! demands shall be wilhin seeondary componen! acceptance criteria where the full backbone curve is explicitly
modeled including strength degradation and residual strength in aecordance with Seetíon 3.4.3.2.

118
 ASCElSEl41-06

Table 5-7. Modeling Paramerers andAcceptance Criteria for Nonlinear Procedures-Struciural Steel
Components-Axial Actions

Modeling Parameters
Acceptance Criteria6
Residual
Plastic Deformation
Strength
Plastic Deformatian Ratio Primary Secondary
ComponentJ Action a b e 10 LS CP LS CP
Braces in Compression (except EBF braces)I,2
a. Slender
Kl
2: 4.2v'E/F),
r
L W, 1, 2L In-Planel, 2C In-Plane J 0.5d< JOde 0.3 0.25d, Me Sd, Sd, IOd,
2. 2L Out-of-Plane3, 2C Out-of-Plane3 0.5d, 9d, 0.3 0.25d, 5de 7de 7de 9d c
3. HSS, Pipes, Thbes 0.5d o 9de 0.3 0.25d e 5d, 7d c 7d, 9dc
b. Stocky4

Kl
2,Iv'E/F)'
r
1. W, 1, 2L In-Plane\ 2C In-Plane l ld e 8de 0,5 0.25d, 5de 7de 7de SIle
2. 2L Out-of-Planel, 2C Out-of-Plane 1 lde 7d c 0.5 0.25dc 4d c 6dc 6dc 7d,
3. HSS, Pipes, Tubes lde 7dc 0,5 0,25de 4d c 6dc 6dc 7d c
c. Intermediate Linear interpolatíon between the values for slender and stocky braces (after
application of all applicable modifiers) shall be used.
Broces in Tension (except EBF braces)5 lld T 14d T 0.8 0,25d¡ 7d T 9d T lld T 13d T
Beams, Columns in Tension (except 5d T 7dT l.0 O.25d T 3d T 5d T 6d T 7d T
EBF beams, columns)5

'~c is lbe axial deformalÍon al expected buckling load.

110 addilion lo consideralion of conneclÍon capaclly in accordance wilh Section 5.5,2.4.1, values for braces shall be modified for eonnec¡ion
robustness as follows: Wbere brace connections do not satisfy !he requirements of Alse 341, Section 13.3c (AISe 2(02), the aeceptance eriteria
sball be multiplied by 0.8.
lSlitches I'or built-up members: Wbere the stitcbes I'or built -up braces do not satisfy tbe requirements 01' A 1se 341, Section 13.2e (AISe 2(02), (he
vaJues 01' a. b. and all acceptance criteria shall be multiplied by 0.5.
"Section compactness: Modeling parameters and acceptance criteria apply to brace sections that are concrete-filled or seismically compact accord­
ÍIIg to Table 1·8·1 oC AISe 341 (AISe 2(02). Wbere the brace seelion is noneompaet aceording lO Table 85.1 01' AISe LRFD Specificatüms
IAISe 1999), Ihe acceptance eriteria shalt be multiplied by 0.5. For intermediate eompaetness eondítions. the aeceptance criteria shall be mullÍ·
plied by a value determined by Iínear inrerpolation between the seismically compact and the noncompact cases.
ji~r is tbe axial deformation at expected tensile yielding load.

"Primary and secondary component demands sball be witbin secondary component acceptance critería wberc lbe full backbooe curve is explicitly
IOOdeled inc1uding slrength degradation and residual slrength in aceordance witb Section 3.4.3.2.

119
SE1SMIC REHABILlTATION OF EXISTING BUILDlNGS

5.4.2.2.3 Nonlinear Dynamie Proeedure The complete

Beams: (Eq.5-1)
hysteretie behavior 01' each component shall be deter­
mined experimentally or by other procedures approved
Columns: (Eq.5-2) by Lhe authority having jurisdiction.

C5. 4. 2. 2.3 Nonlinear Dynamie Procedure FEMA

Qa is the component expecled sLrenglh. For flex­ 355D (FEMA 2000) is a use fuI referenee for informa­
ural actions 01' beams and columns, QCE refers to the tion eoncerning nonlinear behavior of various tested
plaslic moment capaeity, which shall be calculated eonnection configurations.
using Eqs. 5-3 and 5-4: k
5.4.2.3 Strength
(Eq.5-3)
5.4.2.3./ General Component strengths shall be eomputed
in accordanee with the general requirements 01' Section
Columns: Qa MeE = 1.18ZFye (1 -~. ) ::s ZFye 5.3.2 and the speeilic requirements of this section.
PI'"
(Eq.5-4) 5.4.2.3.2 Linear Static and Dynamic Procedures
l. Beams. The strengLh 01' structural steel elements
For panel zones, Qa refers lo the plasüe shear under flexural actions shall be caleulated in accor­
capacily 01' Ihe panel zone, which shall be calculated dance with Ihis section jI' the calculated axial load
using Eq. 5-5: does not exceed 10% 01' the axial strength.
The expected llexural strength, QCE' of beam com­
(Eq.5-5) ponents shalI be determined using equatiolls for design
strenglh, M", given in AISC 34J (AISC 2002), except
where Iha! cP shall be taken as 1.0 alld Fye shalI be substiLUled
for F)" The component expected strenglh, QCE' oí'
el, = column depth;
beams and other llexural deformation-controlled mem­
E = modulus of elasticity;
bers shall be the lowest value obtained for the limit
Fye expected yield strength of the material;
states 01' yielding, lateral-torsional buckling, local
/ = moment 01' inertia;
flange buckling, or shear yielding of the web.
lb = beam length;
For fulIy concrete-encased beams where confilling
( column length;
reinforcement is provided lo allow Ihe concrete to
M CE = expected flexural strength;
remain in place during the earthquake, the values of
P = axial force in the member at the target dis­
b¡ = O and Lb = O shaIl be permiued lo be used. For
placement for nonlinear static analyses, or at
bare beams bent about their major axes and symmetric
the instant of computation for nonlinear
about both axes, satisfying the requirements of com­
dynamic analyses. For linear analyses, P shalI
pact sections, and Lb < Lp, Qa shalI be computed in
be taken as QUF' calculated in accordance with
accordance with Eq. 5-6:
Section 3.4.2.1.2;
pye = expected axial yield force of the member
AgF",; (Eq.5-6)
tp = total thickness 01' panel zone, inc1uding doubler
where
plates;
O chord rotation; b¡ = width 01' the compression tlange;
(},. yield rotation; Lb = distance between pOilllS braced againsL lateral
Va = expected shear strength; and displacemellt of the compression Ilange, or
Z plastic section modulus. between points braced lo prevent twisl 01' the
cross section, per Load and Resistance Factor
C5.4.2.2.2 Nonlinear Static Procedure Strain harden­ Design Specification for Structural Steel
ing should be considered for all components. FEMA Buildings (LRFD) (AlSC 1999) ;
355D (FEMA 2000) is a useful reference for infOl'ma­ Lp limiting lateral unbraced length 1'01' full plastic
tion coneerning nonlinear behavior 01' various tested bending capacity for uniform bending from
conneetion configurations. Load and Resistance Factor Design

120
 ASCFJSEI 41-06

Specificatíon jor Structural Steel Buíldíngs

Fye = expected yield strength of the material; and
(LRFD) (AISC 1999);
TCE = expected tensile strength of column.
Mpa = expecled plaslic moment capacity; and
Fye = expecled yield strength of lhe material.
3. Panel Zone. The strength of the panel zone shall be
calculated using Eq. 5-5.
The Iimit stales of local and lateral torsional buck­
líng shall not be considered for componenls either sub­ 4. FR Beam-Column Connections. The strenglh of
jecled lo bending about lheir minor axes or fully conneclÍons shall be based on the controlling mecha­
encased in concrele where contining reinforcement is nism considering all potential modes of failure.
provided lo allow lhe concrete lo remain in place dur­
ing an earthquake. C5.4.2.3.2 Linear Sta tic and Dynamic Procedures FR
If lhe beam strength is governed by lhe shear Beam-Column Connections. The design professional
is directed to FEMA 351 (FEMA 2000) for guidance
strength of the unstl'f'fene d web and -Ji s
418 ~
r.:;, then
v Fy
t", in delermining the strength of various FR connection
Va shall be calculaled in accordance with Eq. 5-7: configurations.

(Eq,5-7) 5.4,2.3.3 NOlllillear Sta tic Procedure The complete

where load-deformation relationship of each componen( as
depicted in Hg. 5-1 shall be determined in accordance
VCE = expected shcar strength; with Section 5.4.2.2.2. The values for expected
A", = nominal arca of the web d¡,t,,; strength, QC/i:, shall be the same as those used for lin­
l. = web thickness; ear procedures as specified in Section 5.4.2.3.2.
Ji = distance from inside of compression tlange lo
ínside 01' tension tlange;
5.4.2.3.4 NOlllillear Dynamic Procedures The com­
F" = expected yield slrength of lhe material; and plete hysteretic behavior of each component shall be
Fy = specified mínimum 01' yield strength; must be in
determined experimentally or by other procedures
ksí where used to determine applicability per approved by Ihe authority having jurisdiction.
Eq.5-7,

Ji 418 , C5.4.2.3.4 Nonlinear Dynamic Procedures FEMA

lf - > ~ r.:;, then the value ot VCE shall be calcu­ 355D (FEMA 2000) is a useful reference for informa­
t v Fy
lV
tion concerning nonlinear behavior of various tested
laled from AISC 341 (AISC 2(02).
connection configurations.
2. Columns. This section shall be used lo evaluale
tlexural and axial strenglhs of slruclural steel elements 5.4.2.4 Acceptance Criteria
if Ihe calculated axial load exceeds 10% of the axial
slrenglh. 5.4.2.4.1 General Component acceptance criteria shall
The lower-bound strenglh, Qcu of sleel columns be computed in accordance wilh the general require­
under axial compression shall be Ihe lowesl value ments of Section 53.2 and the specitic requirements
oblained for the Iimit states of column buckling, local of this section,
llange buckling, or local web buckling. The effeclive
design strength or Ihe lower-bound axial compressive
C5.4.2.4.1 General The strength and behavior of
Slrenglh, PCL, shall be calculated in accordance wilh
steel moment-resisling frames is typically governed
AlSC 341 (AISC 2(02), taking <p 1.0 and using Ihe
by the connections. The design professional is urged
lower-bound strength, FyL8 , for yield strength.
The expected axial slrength of a column in len­ to determine the controlling Iimit state 01' the sys­
tem where selecting the corresponding acceptance
sion, QCE' shall be compuled in accordance with
Eq.5-8: crilerion.

(Eq.5-8) 5.4.2.4.2 Linear Sta tic and Dynamic Procedures

where l. Beams. The acceptance criteria of this section shall

apply lo t1exural actions of structural steel elements
Ac = area of column; that have a calculaled axial load that does not exceed

121
SElSMIC REHABILlTATION OF EXISTING BUILDINGS

10% of the axial strength. Beam tlexure and shear PUF

For 0.2 ~ - ~ 0.5,
shall be considered deformation-controlled. PCL
For huill-up shapes, Ihe adequacy 01' lacing plates
shall be evaluated using the provisions for tension PUF 8 [M, M,. J 1.0 (Eq. 5-10)
braces in Section 5.5.2.4. PCL + '9 mxMCE, + lu"M CEy ~
Values for lhe m-factor used in Eq. 3-20 shall be
as specitied in Table 5-5. For fully concrete-encased
PUF
beams where contining reinforcement is provided For- < 0.2,
Lo allow the concrete lo remain in place during an
Pa
earthquake, the valués of b¡ = O and Lb = O shall he
M"
used for lhc purposc of determining m. If Qn: < MpCE -PUF
-+ + Mr ~ 1.0 (Eq.5-11)
due to laleral torsional buckling, lhcn m in Eq. 3-20 2PCL m "M CEx myMCFy
shaIl be replaced by me' calculalcd in accordance with where
Eq.5-9:
PUF axial force in the mernber computed in accor­
=
dance wilh Section 3.4.2.1.2;
(Eq.5-9) PCL lower-bound compression slrength 01' Ihe
column;
where M, = bending moment in the member for lhe x-axis
computed in accordance with Seclion 3.4.2.1.1 ;
Mil nominal flexural capacily determined in accor­
My = bending moment in the member for the y-axis
dance with AISC 341 (AISC 2(02);
computed in accordance with Section 3.4.2.\.\;
MI' plastic moment capacity determined in accor­
MeE" expected bending strength of the column for
dance wiLh Load and Resistance Factor Design
the x-axis;
Specijication for Structural Steel Buildings
MCE.y = expected bending strength 01' the column for
(LRFD) (AISC 1999) ;
the y-axis;
M, limiting huckling moment determined in accor­
m, = value of m ror the column bending about lhe
dance with Load and Resistance Factor Des/gn
x-axis in accordance wilh Table 5-5; and
Specification for Structural Steel Bttildings
m, value of m 1'or the cotumn bending about the
(LRFD) (AISC 1999);
y-axis in accordance wilh Table S-S.
m = valuc of m given in Table 5-5; and
me = efl"cctivc m computed in accordance with
Steel columns with axial compressive forces
Eq.5-9.
exceeding 50% 01' the lowcr-bound axial compressive
strength, PeL , shall be considcred 1'orce-controlled ror
For huilt-up shapes, where the strength is gov­
both axial loads and nexure and shall be evaluated
erned hy the strength 01' the lacing plales that calTy
usiÍlg Eq. 5-12:
component shear, the m-factor shall be taken as 0.5
limes the applicable value in Tahlc 5-5, unless larger
values are justificd by tests or analysis; however, m (Eq.5-12)
need not be taken less than 1.0. For built-up laced
beams and columns fully encased in concrete, local where
buckling of the lacing need not be considered where
contining réinforcement is provided 10 allow the P UF axial load in the member, calculated in aceOf­
encasement to remain in place during a design dance with Section 3.4.2.1.2;
earthquake. MUF:' = bending momenl in the member about the
x-axis, calculaled in accordance wilh Sec­
2. Columns. For steel columns under combined axial lion 3.4.2.1.2;
compression and bending stress, where Ihe axial col­ MUFv = bending moment in lhe member about Ihe
umn load is less than 50% 01' the lower-bound axial y-axis, calculated in accordance wilh Sec­
column strenglh, Pe/.> lhe column shall be considered tion 3.4.2.1.2;
deformalion-controlled for flexural behavior and M CL, = tower-bound tlexural strength of the member
force-conlrolled for compressivc behavior and lhe about the x-axis; and
combined slrcnglh shall be evalualed by Eq. 5-10 M eLv = lower-bound flexural slrenglh of the member
or 5-] 1. about the y-axis.

122
 ASCE!JSEI 41-06

Plexural strength shall be calculated in accordance m-factors in Table 5-5 shall be modified as determined
with AISC 341 (AISC 2(02), taking ~ = 1.0 and by the following four conditions. The moditications
using the lower-bound value for yield strength. shall be cumulative, but m-faetors need not be taken as
Por columns under combined compression and less than 1.0.
bending, lateral bracing to prevent torsional buekling
shall be provided as required by the Load and 4.1 If lhe conneclion does nol satisfy al least one of
Resistance Factor Design Specification for Structural the following eonditions, the tabulated m-factors in
Steel Buildings (LRFD) (AISC 1999). Table 5-5 shall be multiplied by 0.8.
Steel columns under axial tension shall be consid­
ered deformation-controIled and shalI be evaluated
!!.J?L
using Eq. 3-20. 5.2
Steel eolumns under eombined axial tension
and bending stress shalI be eonsidered deformation­ or
controlled and shall be evaluated using Eq. 5-13:

T Mx Mr
!!.!1.
7 ::.s; te! < !!.J?L .. .h !.l!t.
5.2 and contlnmty plates Wlt t ~ 2
-- + + :::; 1.0 (Eq.5-13)
m,TCE mxMCEx myMCEY

where or

Mx bending moment in the member for the x-axis;

= b
My bending moment in the member for the te! < ::..¡ and continuity plates with t ~ t ! b
y-axis;
MCEx expected bending strength of the eolumn for where
the x-axis;
te! = thickness of column tlange;
MCEy = expected bending strength of the column for
bb! width of beam tlange;
the y-axis;
t = thiekness of cOnlinuity; and
m, value of m for the eolumn in tension based on
tb! = thickness of beam tlange.
Table 5-5;
mx = value of m for the column bending about the
4.2 If one of the following eondítions is nOl mel, the
x-axis based on Table 5-5;
tabulated m-factors in Table 5-5 shall be multiplíed
my value of m for the column bending about the
by 0.8.
y-axis based on Table 5-5;
T tensile load in eolumn; and
TCE = expected tensile strength of column computed 0.6 ::.s; 0.9
in aeeordanee wilh Eq. 5-8. Yy
3. Panel Zone. Shear behavior of panel zones shall be where Vy 0.55Fye(cúl! dJe.. . and Vn is the eomputed
considered deformation-eontrolled and shall be evalu­ panel zone shear at the development of a hinge at the
atoo using Eq. 3-20, with the expeeted panel zone critical loeation of the connection. Por Myat the face
shear strength, QCE' calculated according to Eq. 5-5 of the column,
and m-factors taken from Table 5-5.
4. FR Beam-Column Connections. PR connections
identitied in Table 5-4 shall be eonsidered deforma­
tion-eontrolled and evaluated in aeeordanee with where
Eq. 3-20, with QUD and QCE taken as the computed de­
mand and capacity of the eritical connection compo­ Fye(col) expected yield strength of column;
nent respeetively, and m-faetors taken from Table 5-5 de = column depth;
as modified below. tew thickness of column web;
Connection acceptance eriteria are dependent on My(beam) = yield moment of beam;
the detailing of contínuity plates (eolumn stiffeners d" = depth of beam;
ihat align with the beam flanges), the strength of the L length ol' beam, center-to-center ol' eolumns;
panel zone, the beam span-to-depth ratio, and the and
slenderness of the beam web and tlanges. Tabulated h = average story heíght of columns.

123
SEISMIC REHABILlTATION OF EXISTING BUILDINGS

4.3 If the clear span-to-depth ratio, Le/d, is greater The panel zone modifier is based on research in
than 10, the tabulated m-factors in Table 5-5 shall be FEMA 355F indicating that connection performance is
multiplied by: less ductile where the slrength of the panel zone is either
too great or too small compared to the flexural strength
of the beam. The panel zone strength range between
1.4 - 0.04 d 60%-90% of the beam strength is considered to provide
balanced yielding between the beam and panel zone,
where which results in more desirable performance.
Le = lenglh 01' beam, clear span between columns; and The clear span-to-deplh ratio moditier for linear
d = depth 01' member. acceptance criteria reHects the dccreased apparent duc­
tility that arises due to increased elastic rotations for
4.4 If the beam flange and web meetthe following longer beams. The decreased plastic rotalÍon capacity
conditions, the tabulated m-factors in Table 5-5 need of beams with very small Lc/d ralÍos is not retlected
not be modified for tlange and web slenderness. directly. However, the moditier for linear criteria was
developed so that it would be appropriate for the pre­
dominant case of Lc/d ratios greater than about 5.
!!L < 52 and
h 418
<-­ The beam Hange and web slenderness moditier is
21¡ tw Vii;. based on the same modifications to beam acceptance
criteria contained in Table 5-5. While not an aspect 01'
H the beam flange or web slenderness values the connection itself, beam l1ange and web slenderness
exceed either of the following limits, lhe tabulated affect the behavior 01' the connection assembly.
m-factors in Table 5-5 shall be muhiplied by 0.5. Type FR connections designed to promote yield­
ing 01' the beam in the span, remote from the column
face, are discussed in FEMA 350 (FEMA 2000).

5.4.2.4.3 Nonlinear Static ami Dynamie Procedures

where
Calculated component actÍons shall satisfy the require­
b¡ = width 01' beam tlange; ments of Section 3.4.3. Maximum permissible ine1as­
t¡ = thickness 01' beam l1ange; tic deformations shall be taken from Tables 5-6 and
h = height of beam web; 5-7.
l. thickness of beam web; and
l. Beams. F1exural actions 01' beams shaIl be
F_e expected yield strength 01' column.
considered deformation-controlled. Permissiblc plas­
tic rotation deformation shall be as indicated in
Straight-Iine interpolation, based on the case that
Tablcs 5-6 and 5-7. where qy shall be calculated in
results in the lower modifier, shall be used for inlerme­
accordance with Section 5.4.2.2.2.
diale values of beam tlange or web slenderness.
Type FR connections designed to promote yield­ 2. Columns. Axial compressive loading 01' columns
ing 01' lhe beam remole from lhe column face shall be shall be considered force-controlled, with the lower­
considered force-conlrolled and shaH be designed bound axial compression capacity, P eL> computed in
using Eq. 5-14: accordance with Section 5.4.2.4.2.
Flexuralloading of columns, with axialloads at
(Eq.5-14) the larget displacement less than 50% of PeL, com­
puted in accordance with Section 5.4.2.4.2, shall be
where
considered deformation-controlled and maximum per­
QCLc = lhe lower-bound strenglh of the connection; missible plastic rotation demands on columns, in radi­
and ans, shall be as indicated in Tables 5-6 and 5-7.
QCEb = expected bending strength of lhe beam. dependent on lhe axial load present and the compact­
ness 01' the section.
C5.4.2.4.2 Linear Statie and Dynamie Proeedures FR Flexural loading oí' columns, with axial loads al
Beam-Column Connections. The conlinuily pIale the target displacement greater than or equal to 50%
modifier is based on recommendalions FEMA 355F of PCL ' computed in accordance with Section 5.4.2.4.2,
(FEMA 2000) ror continuity plale detailing in relalion­ shall be considered force-controlled and shall conform
ship lo column tlange thickness. to Eq. 5-12.

124
 ASCFJSEI 41-06

3. FR Connection Panel Zones. Plastic rotation where

demands on panel zones shall be evaluated using the Fye(col) = expeeted yield strength 01' eolumn;
acceptance criteria provided in Tables 5-6 and 5-7. de = eolumn depth;
lew = thickness of eolumn web;
-1. FR Beam-Column Connections. FR conneclions
My(beumJ = yield moment of beam;
identitied in Table 5-4 shall be considered deformalion­
dh = depth of beam;
controlled and the plastic rotation predicted by analysis
L = length 01' beam, cenler-to-center ol' columns;
shall be compared with the acceptance eriteria in
and
Tables 5-6 and 5-7 as modil'íed below. Connection
h = average stoey height of columns.
aceeptance eriteria are dependent on the detailing 01'
conlinuily plates, the strength of the panel zone, the
beam span-to-depth ratio, and the slenderness of the 4.3 If lhe dear span-to-depth ratio, L/d, is less than 8,
ream web and tlanges as determined by the foIlowing the tabulated plastic rotations in Tables 5-6 and 5-7
foor conditions. The modifieations shall be eumulative. shalI be multiplied by:

(o.5i(8 - Ljá¡/3J
-u If the conneetion does not satisfy at least one of
lile following eonditions, the tabulated plastic rotation
Le = length of beam, dear span between columns;
in Tables 5-6 and 5-7 shall be multiplied by 0.8.
and
d = depth of member.
t. >
el - 5.2
4.4 If the beam flange and web meet the following
or eonditions, the tabulated plastic rotations in Tables 5-6
and 5-7 need not be modified foe flange and web
slenderness.
~
:S.: t el < !:!.J?L and contlllUlty
.. . lbf
pIates wlth 1 2: ­
7 5.2 2
!!.L <~ and
h
<
418

or 2t¡ ~

If the beam flange or web slenderness values

lel < 7bbf and contlllUlty
. . p Iates wlt. h t 2: lbf exeeed either of the following limits, the tabulated
plastic rotations Tables 5-6 and 5-7 shall be multiplied
where by 0.5.
t.¡ = thickness of column tlange;
bbf = width 01' beam tlange; !!.L> ~ or
h
->
640
t = thickness of continuíly plate; and 2t¡ ~ tw

tbf = thickness 01' beam f1ange. where

bj width of beam f1ange;
=
4.2 If the following condiLion ís not mel, the labulaled t¡ = thickness of beam f1ange;
plastic rolations in Tables 5-6 and 5-7 shall be mulLi­ h = height 01' beam web;
plied by 0.8. t w = thickness of beam web; and
F" = expected yield strength.
~
0.6 :S.: -ll. :S.: 0.9
Yy Straight-line interpolation, based on the case that
results in the lower modifier, shall be used for interme­
where Vy = 0.55Fye(col) dctcIV and V pz is the computed diate values of beam f1ange or web slenderness.
panel zone shear al the development of a hinge al lhe Type FR eonnections designed lo promote yield­
criticalloeation ol' the conneetíon. For Mye al the faee ing 01' the beam in the span remote from the colurnn
of the column, . face shall be considered force-controlled and shall be
evaluated to ensure that the lower-bound strength of
the connection exceeds the expected f1exural strength
01' the beam at lhe connection.

125
SEISM le REHABILlTATlON OF EXISTING BUILDlNGS

e5.4.2.4.3 Nonlinear Static and Dynamic Procedures and masonry shear walls shall be as speeified in
FR Beam-Column Connections. The conlinuity plale Sections 6.8 and 7.4, respeclively. The attributes
modit'ier is based on recommendalions in FEMA 355F and design requirements of concrete and masonry
(FEMA 2000) for continuity plale delailing in relalion­ intills shall be as specified in Sections 6.7 and 7.5,
ship lo column tlange Ihickness. respectively. The local ion of added walls should be
The panel zone moditier is based on research in selected so as not to increase horizontal lorsion in
FEMA 355F indicating that connection performance is the system;
less ductile where Ihe strength 01' the panel zone is 3. Attach new steel frames to Ihe exterior of the build­
eilher too great or loo small compared lo the flexural ing. The rehabilitated slruclure should be checked
strenglh ol' the beam. The panel zone slrength range for the effects 01' the change in Ihe distribution of
between 60% and 90% of lhe beam strenglh is consid­ stilTness, the seismic load path, and the connections
ered lo provide balanced yielding belween lhe beam between the new and existing frames. The rehabili­
and panel zone, which results in more desirable per­ tation scheme 01' attaching new steel frames lo the
formance. exterior 01' Ihe building has been used in the past
The c1ear span-to-deplh ratio modilier l'or nonlin­ and has becn shown lo be very etfective under cer­
ear modeling and acceplance criteria retlects decreased tain conditions. This rehabililation approach may
plaslic rOlalion capacity for beams with hinging OCCUf­ be structurally efticient, bUI il changes the architec­
ring over a shorter length. This moditier is based on lural appearance of Ihe building. The advantage is
Ihe plastic rotation capacities corresponding lo the that the rehabilitation may take place without dis­
FEMA 350 (FEMA 2000) LJd limils of 5 and 8. rupting the use of Ihe building;
The beam tlange and web slenderness moditier is 4. Reinforce moment-resisting connections to force
based on the same moditications to beam acceptance plastic hinge locations in the beam material away
crileria contained in Tables 5-6 and 5-7. While nol an from Ihe joint region lo reduce the stresses in the
aspect ol' the connectíon itseU, beam tlange and web welded connection, Ihereby reducing the possibility
slenderness affects the behavior of the connection of briule fractures. This scheme should nOl be used
assembly. if the full-pen connection of [he existing structure
Type FR connections designed lo promole yicld­ did not use weld material 01' sufficient toughness to
ing ol' the beam in lhe span, remote ti'om the column avoid fracture at stresses lower than yield 01' where
face, are discussed in FEMA 350. strain-hardening al the new hinge location would
produce larger stresses than the existing ones at the
5.4.2.5 Rehabilitation Measures weld. The rehabilítation measures lo reinforce
FR momenl frame componenls lhal do not meet seleeted moment-resisting connections shall eonsist
lhe acceptance criteria for Ihe selected Rehabilitation of providing horizontal cover plates, vertical stiff­
Objective shall be rehabilitated. Rehabililation meas­ eners, or haunches. Removal 01' beam material to
ures shall meel the requirements 01' Section 5.3.3 and force the plastic hinge ¡nto the beam and away
other provisions of this standard. from the joint region shall also be permitted subject
to lhe aboye restrictions. Guidance on lhe design of
these modifications of FR momenl connections is
C5.4.2.5 Rehabilitation Measures
discussed in FEMA 351 (FEMA 2000);
The following measures, which are presented in
5. Add energy dissipation devices as specitied in
greater detail in FEMA 351 (FEMA 2000), may be
Chapter 9; and
effective in rehabilitating FR moment frames:
6. lncrease lhe strength and sliffness of existing
]. Add steel braces to one or more bays of each story frames by welding sleel plates or shapes lo seleeled
lo form concenlric or eccentric braced frames to members.
increase Ihe stiffness of the frames. The aUributes
and design criteriá 1'or braced frames shall be as 5.4.3 Partially Restrained Moment Frames
specified in Section 5.5. The location of added
braces should be selected so as to nOI ¡ncrease 5.4.3.1 General
horizonlal torsíon in the system; PR momenl frames shall be defined as those
2. Add ductiJe concrele 01' masonry shear walls or moment frames with connections identitied as PR in
infill walls lo one or more bays of each slOry lO Table 5-4. Moment trames with conneclions not
¡ncrease the stíffness and strength of the structure. included in Table 5-4 shall be defined as PR if the
The attributes and design requirements of concrete deformations 01' the beam-to-column joints contribute

126
 ASeE/SEI4]-06

greater than 10% to the total lateral deflection of Ihe l. PR connections encased in concrete, where the
frame or where the strength of Lhe connecLions is less nominal resistance, MeE' delermined l'or lhe con­
Ihan Ihe strenglh of the weaker of the two members nection shall inelude the composile action provided
being joined. For a PR connection with two or more by the concrete encasement;
faiJure modes, Ihe weakest failure mechanism shall be 2. PR connections encased in masonry, where com­
considered to govern the behavior of thc joint. Design posite aclion shall not be ineluded in lhe delermina­
provisions for PR frames specified in AISC 341 (AISC tion 01' conneclion resislance, MeE; and
2002) or ASCE 7 (ASCE 2005) shall apply unless 3. Bare steel PR connections.
superseded by the provísions in Ihis standard.
Equatíons for calculating nominal design strength shall For PR conneclions not lisled aboye, Ihe rOla­
be used for determining Ihe expected strength, except tional spring stift'ness shall be calculaled in accordance
f = 1, and either Ihe expected strenglh or lower-bound with Eq. 5-16:
strenglh shall be used in place ol' Fy , as l'urlher indi­
caled in Ihis standard.
(Eq.5-16)
0.003
e5.4.3.l General
Table 5-4 ineludes simple shear or pinned connec­ As a simplified aIternalive, modeJing lhe l'rame as
lions e1assified as PR connections. Although Ihe grav­ for FR joints bUI Wilh the beam stiffness, E/ú ' adjusted
¡IY load-carrying beams and columns are lypically lo account for Ihe tlexibility of Ihe joints in accor­
neglecLed in Ihe laleral analysis of steel moment frame dance with Eq. 5-17 shall be permilled:
slruclures, SAC research contained in FEMA 355D
(FEMA 2000) índicates thal these connections are
Elbadjusted (Eq.5-17)
capable of contributing non-negligible stiffness 6h I
through very large drifl demands. Including gravily --+­
L~K6 E/v
load-carryíng elemenls (subject to the modeling proce­
dures and acceplance crileria in Ihis section) in lhe where
malhemalical model could be used by lhe design engi­ K6 equivalent rotational spring sliffness of connec­
neer lo reduce Ihe demands on Ihe momen! frame ele­ tion per Eq. 5-15 or 5-16;
ments. MeE expected moment strenglh;
/b moment of inertia of lhe beam;
5.4.3.2 Stiffness E modulus of e1asticity;
h = average story heighl of the columns; and
5.4.3.2.1 Linear Static and Dynamic Procedures Lú = centerline span ol' Ihe beam.
l. Beams, columns, and panel zones. Axial area,
shear area, momenl of inertia, and panel zone Where Eq. 5-17 is used, lhe adjusted beam stiff­
stiffness shall be determined as specitied in Sec­ ness shaJl be used in standard rigid-conneclion frame
tion 5.4.2.2 for FR frames. analysis and lhe rotation of lhe conneclion shall be
") Connections. The rolalional stiflness K 6 ol' each laken as the rotalion of the beam at the joinl.
PR connection l'or use in PR frame analysis shalI
be determined by Ihe procedure 01' Ihis seclion, by C5.4.3.2.1 Linear Static and Dynamic Procedures
experimenl, or by an approved ralional analysis. FEMA 274 (FEMA 1997) is a useful reference for
The deformalion of lhe conneclion shall be information concerning sliffness properlies and model­
included where calculaling frame displacements. ing guidelines for PR connections.
The rotational spring stiffness, K 8' shall be cal­
culaled in accordance wÍlh Eq. 5-15:
5.4.3.2.2 Nonlinear Static Procedure If the Nonlinear
Stalic Procedure (NSP) of Chapter 3 is used, Ihe fol­
K MeE
=-- (Eq.5-15) lowing criteria shall apply:
6 0.005
l. The elaslÍc component properties shall be modeled
where
as specified in Section 5.4.3.2.1;
MeE = expected moment strength of connection for 2. The nonlinear moment-curvature or load­
lhe 1'ollowing PR connections: deformation behavior for beams, beam-columns,

127
SEISMIC REHABILlTATlON OF EXISTING BUILDlNGS

and panel zones shall be modeled as specified in

Section 5.4.2.2 for FR frames; and
3. In lieu of relationships derived from experiment
or analysis, the generalized load-deformation
curve shown in Fig. 5-1 with its parameters a, b,
and c as defined in Tables 5-6 and 5-7, shall be
used to represent moment-rotation behavior
for PR connections in accordance with Sec­
tion 5.4.2.2.2. The value for qy shall be 0.005
for connections, for which Eq. 5-15 in Sec­
tion 5.4.3.2.1 applies, or 0.003 for all other
connections.

FIGURE 5-3. Top and Bottom Clip Angle

C5.4.3.2.2 Nonlinear Static Procedure FEMA 355D
Connection.
(FEMA 2(00) is a useful reference for infol'mation
concerning nonlinear behavior of various tested con­
nection configurations.
smallest value of M CE computed I'or the I'ollowing I'our
5.4.3.2.3 Nonlinear Dynamic Procedure The com­ limit states:
plete hysteretic behavior of each component
shall be modeled as verified by experiment or by 1.1 Limit State 1. If the shear connectors between the
other procedures approved by the authority having beam tlange and the flange angle control the capacity
jurisdiction. of the connection, QCE shall be compuled in accor­
dance wilh Eq. 5-18:
C5.4.3.2.3 Nonlinear Dynamic Procedure FEMA
(Eq.5-18)
355D (FEMA 2(00) is a useful reference for informa­
tion concerning nonlinear behavior of various tested where
connection contiguralions.
A" = gross are a of I'ivet 01' bolt;
d" = overall beam deplh;
5.4.3.3 Strength F,., = unfactored nominal shear strength of the bolts
or rivets given in Load and Resistallce Factor
5.4.3.3.1 General Component strengths shall be com­ Design Specijication for Structural Steel
puted in accordance with the general requirements Buildings (LRFD) (AISC 1999); and
of Section 5.3.2 and the specitic requirements of lhis N" = leasl number 01' bolLs or rivels connecting
seclion. the top or boltom ang\c to lhe beam
flange.
5.4.3.3.2 Linear Sta tic and Dynamic Procedures The
1.2 Limit State 2. If the lensile capacily of lhe hori­
strength of steel beams and columns in PR Frames
zonlal leg of the connection control s the capacity, PCE
being analyzed using linear procedures shall be
shall be taken as the smaller 01' lhat computed by
computed in accordance with Section 5.4.2.3.2 for
Eq. 5-19 01' 5-20:
FR Frames.
The expected strength, QCE' for PR connections
shall be based on procedures specified in Load and (Eq.5-19)
Resistance Factor Design Specification for Structural
Steel Buildings (LRFD) (AISC 1999) ,based on exper­ (Eq.5-20)
iment or based on lhe procedures listed in the subse­
quent sections. and QCE shall be calculated in accordance wiLh
Eq. 5-21:
l. Top and Bottom Clip Angle Connection. The
moment strength, MCE ' of the riveted 01' bolted clip
angle connection, as shown in Fig. 5-3, shall be lhe (Eq.5-2l)

128
 ASeE/SEI 41-06

where
Fre = expected yield strength of the angle;
F" = expected tensile strength of the angle;
A. = effective net area of the horizontal leg;
Ag gross area of the horizontal leg; and
t" = thickness of angle.
1.3 Limit State 3. If the tensile capacity of lhe rivets
or boIts attaching the vertical oUlslanding leg to the
column tlange controls the capacity of the connec­
tion, QCE shall be computed in accordance with
Eq.5-22:

(Eq.5-22)
FIGURE 5-4. Double Split Tee Connection.
where
Ab = gross area of rivet or bolt;
bu dimension in Fig. 5-3; where
F.. expecled tensile strength of the bolts or rivets;
and db overall beam depth;
Nb = least number of boIts or rivels connecting top or bt distance between one row of fasteners in the
bottom angle to column flange. split lee tlange and the centerline of the stem as
shown in Fig. 5-4;
1.4 Limit State 4. If lhe flexural yielding 01' Ihe flange t, = thickness of the split tee stem;
angles control s the capacity 01' the connection, QCE F" = expected tensile strength of the bolts or rivets;
shall be given by Eq. 5-23: Ab = gross area of rivet or bolt; and
Nb number of fasteners in tensíon connectíng
the t1anges of one split tee to lhe column
(Eq.5-23) tlange.

2.3 Limit State 3. If tension in Ihe stem of the split

lee control s lhe capacity of the connection, Eqs. 5-21
where
and 5-22 shall be used to determine Qce, with Ag and
ba = dimension shown in Fig. 5-3; and Ae being the gross and net areas of the split tee stem
w = length oí' the tlange angle. and replacing tu with ts'

2. Double Split Tee Connection. The moment 2.4 Limit State 4. If flexural yielding of the tlanges
strenglh, MCE. of the double split tee (T-stub) con­ of the split tee control s the capacity of the connec­
nection. as shown in Fig. 5-4, shall be the smallest tion, QCE shall be determined in accordance with
value 01' M CE computed for the following four limit Eq.5-25:
states:

2.1 Limit State l. lf lhe shear connectors between the (Eq.5-25)

beam tlange and the web 01' the split lee control the
capacity of the connection. Qa shall be calculated where
using Eq. 5-18.
kl distance from lhe center of the split lee stem lo
2.2 Limit State 2. lf the tension capacity oí' the bolts the edge of the split tee flange mlet;
or rivets connecling the flange of the split lee lo the bt = distance between one row 01' fasteners in the split
column tlange control the capacity of the connection, tee tlange and the centerJine of the stem as
Qce shall be calculated using Eq. 5-24: shown in Fig. 5-4;
w = length 01' split lee; and
ti thickness of split tee flange.

129
SErSMIC REHABILlTATlON OF EXISTlNG BUlLDlNGS

3. Bolted Flange Plate Connections. For bolted

flange plaLe connections, as shown in Fig. 5-5, the
flange plate shall be welded to the column and weIded o O O
or bolted to the beam tlange. This connectíon shall be
considered fuIly restrained if its strength equaIs or
exceeds the strength of the connected beam. The
, O O O

expected strength of the connection shall be calculated "-.... Stiffener as

Required
in accordance with Eq. 5-26:

(Eq.5-26)
/ L~
~ ....
where
1'0
PCE = expected strength of the flange plate connection O
as governed by the net section 01' the flange O
plate, the shear capacíty of the bolts, or the Ir: __
strength of the welds to the column flange;
tI' = thickness of flange plate; and
db = overall beam depth.
FIGURE 5·5. Bolted Flange Plate Connection.
4. Bolted End Plate Connections. Bolted end
plate connections, as shown in Fig. 5-6, shaJl be con­
sidered FR if their expected and lower-bound strengths
equal or exceed the expected strength of the conneeL­
ing beam. The lower-bound strength, QCL Me¿, shall
be the vaIue determined for the Iimit state of the bolts
under combined shear and tension and lhe expected
strength, QCE MeE' shaIl be determined for the limit
state of bending in the end pIate caleulated in aecor­
dance with the procedures of the Load and Resistance
Factor Design Specification for Structural Steel
Buildings (LRFD) (AISC 1999) or by another proce­
dure approved by the authority having jurisdiction.
5. Composite Partially Restrained Connections.
Strength and deformation aceeptance criteria of com­
posite partially restrained connections shall be based
on approved rational analysis procedures and experi­
mental evidence.
FIGURE 5·6. Bolted End Plate Connection.
5.4.3.3.3 NOfllinear Static Procedure The complete
load-deformation relalionship of each component as
depicted by Fig. 5-1 shall be determined in accordance
with Section 5.4.2.2.2. The values for expected strength,
QeE' of PR connections shalI be the same as those used 5.4.3.4 Acceptance Criteria
for linear procedures as specified in Section 5.4.3.3.2.
5.4.3.4.1 General Component acceptance criteria shall
5.4.3.3.4 Nonlinear Dynamie Procedure The complete be computed in accordance with the general require­
hysteretíc behavior of each component shall be deter­ ments of Section 5.3.2 and lhe specitic requirements
mined experimentally or by other procedures approved of rhis section.
by the authority having jurisdiction.
C5.4.3.4.1 GeneraL The strength and behavior of PR
C5.4.3.3.4 Nonlinear Dynamic Procedure FEMA steel moment-resisting trames is typically govcrned by
355D (FEMA 2000) is a useful reference for informa­ the connections. The design professional is urged to
tion concerning nonlinear behavior of various tested consider the acceptance criteria for the mechanism that
connection contigurations. controls the system.

130
 ASCElSEI41-06

5.4.3.4.2 Linear Sta tic and Dynamic PlVcedures braces, and connections. Eccentric braced frames shall
Design actions shall be eompared with design also inelude link beam eomponents.
strenglhs in accordance wilh Section 3.4.2. The
m-1'actors roe sleel components and eonneclions 01' PR C5.5.1 General
feames shall be selected from Table 5-5. Limil states Steel beaced rrames act as vertical trusses where
for which no m-faclors are provided in Table 5-5 shall the columns are the chords and the beams and braees
be considered force-controlled. are the web members.
Acceptance eriteria 1'or steel beams and columns Components can be either bare steel, steel with a
in PR 1'l'ames shall be compuled in accordance Wilh nonstructural coating roe fire protection, or steel with
Section 5.4.2.4.2. concrete or masonry encasement.

5.4.3.4.3 Nonlinear Sta tic and Dynamic PlVcedures

5.5.2 Concentric Braced Frames
Calculated component aClions shall satisfy lhe require­
ments 01' Section 3.4.3. Maximum permissible inelastic
5.5.2.1 General
de1'ormations shall be taken from Tables 5-6 and 5-7.
Concenlric braeed frames (CBF) shall be detined
as braced trame systems where component worklines
5.4.3.5 RehabilitatiOlz Measures
intersect at a single point in a joint, or al multiple
PR moment 1'rames thal do nol meel lhe aceept­
points such that the distance between poinls of inter­
anee eriteria 1'oe the seleeled Rehabililation Objective
section, or eccentricity, e, is less than or equal lo the
shall be rehabilitated. Rehabilitation measures shall
width 01' the smallest memher connected al the joint.
mee! the requirements 01' Section 5.3.3 and olher pro­
Bending due lo such eccentricities shall be considered
visions of this standard.
in the design of the components.
C5.4.3.5 Rehabilita/ion Measures
5.5.2.2 Stttrness
The rehabilitation measures for FR momenl
feames desceibed in C5.4.2.5 may be effective for PR
5.5.2.2. / Linear Sta tic and Dynamic PlVcedures
moment rrames as well. PR moment trames are often
Axial area, shear area, and moment of inertia shalI
too flexible to provide adequate seismic performance.
be ca\culated as specified ror FR frames in Sec­
Adding concenlric or eecenlric bracing, or reinforced
tion 5.4.2.2.1.
concrete or masonry infills, may be a cost-eflective
FR connections shalI be modeled as specitied in
rehabilitation measure.
Seclion 5.4.2.2.1. PR connections shall be modeled as
Connections in PR momenl frames are usually
specitied in Section 5.4.3.2.1.
componenls that are weak, flexible, or both.
Braces shall be modeled as eolumns as specitied
Connections may be rehabilitated by replacing rivets
in Seclion 5.4.2.2.1.
with high-strength bolts, adding weldment to supple­
menl rívets or bolts, or weldíng sliffeners 10 eonnec­
5.5.2.2.2 Nonlinear Sta tic Procedure If lhe NSP of
tion pieces or combinations of these measures. Reter
Chapter 3 is used, the following criteria shalJ apply:
lo FEMA 351 (FEMA 2(00) 1'or additional informa­
lion coneerning the rehabilitation of PR moment l. The elastic componenl properties shall be modeled
frames. as specitied in Seetion 5.5.2.2.1;
2. The nonlinear moment-curvature or load-deforma­
tion behavior 10 represent yielding and buckling
5.5 STEEL BRACED FRAMES shall be as specified in Section 5.4.2.2.2 for beams
and columns and Section 5.4.3.2.2 for PR connec­
5.5.1 General tions; and
Steel braced 1'rames shall be defined as those 3. In Iieu 01' relationships derived from experiment or
frames that develop seismic resistanee primarily analysis, the nonlinear load-de1'ormation behavior
through axial 1'orees in the components. of braces shall be modeled as shown in Fig. 5-1
Modeling procedures and rehabilitation measures with parameters as detined in Tables 5-6 and 5-7.
for eoncentric braeed frames and eccenlrie braced For braces loaded in compression, the parameter D
frames shall be as specified in Sections 5.5.2 and in Fig. 5-1 shall represent total elastic and plastic
5.5.3, respectively. Components of concentric and axial deformation. The parameter Dc shall represent
eccentric braced frames shall ¡nelude columns, beams, the axial defoemalion at the expeeted buckling load,

131
SEISMIC REHABILITATION OF EXISTING BUILDINGS

which accurs al painl B in the curve in Fig. 5-1. of the brace, including gusset plates, and Ihe effective
The reduction in strenglh al' abrace after buckling length shal1 be laken as 0.8 times the totallength for
shall be included in the madel. Modeling 01' the in-plane buckling and 1.0 limes the total lenglh fol'
compression brace behavior using elaslo-plaslic out-of-plane buckling.
behavior shall be permitted iI' the yield force is The expected strength, QCE' of steel braces in tcn­
assumed as the residual strength after buckling, as sion shall be calculated as for columns, in accordancc
detined by parameter e in Fig. 5-1 and Tables 5-6 with Section 5.4.2.3.2.
and 5-7. Implications of forces higher lhan this Expected, QCE' and lower-bound, QCL' strengths of
lower-bound force shall be evaluated relative lo beams and columns shall be calculated as fol' FR
other components to which the brace is connected. beams and columns in Section 5.4.2.3. Strength 01'
For braces in tension, the parameter Dr shall be the beams wilh axial load that exceeds 10% 01' the axial
axial deformation at development 01' the expected strength shall be as ca1culated for FR columns.
tensile yield load in the brace, which occurs at The lower-bound strength 01' brace connections
point B in the curve in Fig. 5-1. shall be calculated in accordance with the Load and
Resistance Factor Design Specificatioll for Structural
C5.5. 2. 2.2 Nonlinear Static Procedure FEMA 274 Steel Buildings (LRFD) (AISC 1999), taking tP 1.0
(FEMA 1997) is a userul reference ror information and using the lower-bound yicld strength, FrL[J' for
regarding nonlinear load-deformatían behavior of yield slrength.
braces.
5.5.2.3.3 Nonlinear Static Procedure In lieu 01' rela­
5.5.2.2.3 Nonlinear Dynamic Procedure The complete lionships derived by experiment 01' analysis, lhe com­
hysteretic behavior of each component shall be based plete load-dcformation behavior ol' each componen! as
on experiment or other approved method. depicted by Fig. 5-1 shall be dctermined in accordance
with Seclion 5.4.2.2.2. The values fol' expected
C5.5.2.2.3 Nonlinear Dynamic Procedure FEMA 274 strength, QCE' shall as specified in Seclion 5.5.2.3.2 ror
(FEMA 1997) is a useful reference for information linear procedurcs.
concerning hysteretic behavior of braced ffame
components. 5.5.2.3.4 Nonlinear Dynamic Procedure The complete
hystere!ic behavior 01' each component shall be deter­
5.5.2.3 Strength mined experimentally or by other procedures approved
by the aUlhority having jurisdiction.
5.5.2.3.1 General Component strengths shall be com­
puted in accordance with the general requirements C5.5.2.3.4 Nonlinear Dynamic Procedure FEMA 274
of Section 5.3.2 and the specílic requirements 01' this (FEMA 1997) is a use fuI reference roe information
section. concerning hysteretic behavior of braced ffame com­
ponents.
5.5.2.3.2 Linear Static and Dynamic Procedures The
expected strength, QCE' of steel braces under axial 5.5.2.4 Acceptance Criteria
compression shall be the lowest value obtained ror the
limit states of component buckling or local buckling. 5.5.2.4.1 General Component acceptance criteria shall
The effective design strength, PCE' shall be calculated be computed in accordance with the general require­
in accordance with Load and Resistance Factor ments ol' Section 5.3.2 and the specitic requirements
Design Specification for Structural Steel Buildings ol' this section.
(LRFD) (AISC 1999), taking tP 1.0 and using the Axial tension and compression in braces shall be
expected yield strength, F" , for yield strength. considered del'ormation-controllcd. Actions on beams
For common cross-bracing contígurations where and columns with non-ncgligible axial load shall be
both braces cross at their midpoinls and are attached to considered f9rce- or deformalion-controlled as dcter­
a common gusset plate, lhe el'fective length of each mined for FR rrame columns in Section 5.4.2.4.
brace shall be taken as 0.5 limes the total length of the Compression, tension, shear, and bending actions on
brace, including gusset plates for both axes of buck­ brace connections including gusset plates, bolts,
ling. For other bracing contigurations (chevron, V, sin­ welds, and other connectors shall be considered
gle brace), the length shall be taken as the totallength force-controlled.

132
 ASCFlSEI 41-06

5.5.2.4.2 Linear Static and Dynamie Proeedures and PR momenl trames and concenlric braced frames.
Design aClions shall be compared wilh design The load-deformaLion model for a link beam shall
slrenglhs in accordance wilh Seclion 3.4.2. The inelude shear deformation and tlexural detormation.
m-faclors for sleel components shall be selecled The elaslíc stiffness 01' Ihe link beam, K" shall be
from Table 5-5. computed in accordance with Eq. 5-27:
Beams in chevron braced frames shall be evalu­
aled as force-conlrolled aclions 10 resisl the unbal­
(Eq.5-27)
anced load eftecls in combinalion wilh gravily loads
in accordance wilh Section 3.2.8. The unbalanced
load effects shall be calculated using Ihe expected where
yield capacÍly 01' lhe brace in lension and 30% 01'
the expecled compression capacity of lhe brace in
compression. (Eq.5-28)
e

5.5.2.4.3 Nonlinear Statie and Dynamic Proeedures l2E1b

Calculated componenl aclions shall salísfy Ihe require­ K =-- (Eq.5-29)
b e3
menls of Seclion 3.4.3. Deformations limits shall be
taken from Tables 5-6 and 5-7.
AM (db 2tf) t,,;
e length of link beam;
5.5.2.5 Rehabilitalion Measures
G = shear modulus;
Concentric braced frame componenls Ihal do not
Ke stiffness of the link beam;
meet the acceplance crileria for the selected Rehabilita­
Kú = flexural stift'ness;
tion Objeclive shall be rehabililated. Rehabililation
Ks shear sliffness;
measures shall meet the requirements 01' Section 5.3.3
db = beam depth;
and other provisions of this standard.
tf thickness of tlange; and
tM = thickness of web.
e5.5.2.5 Rehabililalion Measures
The rehabiliLation measures for FR moment
5.5.3.2.2 Nonlinear Statie Proeedure In Iieu of rela­
frames described in Section C5.4.2.5 may be effective
tionships derived from experiment or analysis, the
for braced trames. Other moditicatíons, which may be
nonlinear load-deformation behavior of members 01'
effective, inelude replacement or moditication of con­
EBFs shall be modeled as shown in Fig. 5-1 and in
nections that are insufficient in strength andAn ductil­
accordance with Section 5.4.2.2.2.
ity, and encasement of columns in concrete to improve
Nonlinear models t"or beams, columns, and con­
their performance.
nections for FR and PR moment frames, and for the
braces t"or a CBF, shall be permitted.
5.5.3 Eccentric Braced Frames
The link rotation at yield shall be calculated in
accordance with Eq. 5-30:
5.5.3.1 General
Eccentric braced frames (EBF) shaJl be defined
as braced frames where component worklines do no! (Eq.5-30)
intersect al a single poinl and lhe distance between
poinls 01' inlersection, or eccenlricilY, e, exceeds the
widlh of lhe smallest member connected al the joinl. 5.5.3.2.3 Nonlinear Dynamie Proeedure If the NDP is
The component segment belween these points is used, the complete hysteretic behavior of each compo­
defined as lhe link componenl with a span equal lO nent shall be modeled and shall be based on experi­
the eccenlricily. ment or an approved ralional analysis procedure.

5.5.3.2 SlifJrness e5.5.3.2.3 Nonlinear Dynamie Pmcedure FEMA 274

(FEMA 1997) is a useful reterence l"or guidelines on
5.5.3.2.1 Linear Statie and Dyllamie Procedures The modeling the link beams and information regarding
elastic stiffness of beams, columns, braces, and con­ the hysteretic behavior 01' eccentric braced frame
nections shall be lhe same as those specified ror FR (EBF) components.

133
SEISMIC REHABILlTATION OF EXISTING BUILDlNGS

5.5.3.3.4 Nonlinear Dynamic Procedure The complete

5.5.3.3 Strellgth
hysteretic behavior of each component sháIJ be deter­
mined experimentally or by other procedures approved
5.5.3.3.1 General Component strengths shall be com­
pUled in accordance wilh lhe general requirements by the authority having jurisdiction.
of Section 5.3.2 and the specitic requiremenls of this
seclion. 5.5.3.4 Acceptallce Criteria

5.5.3.3.2 Linear Static and Dynamic Procedures 5.5.3.4.1 General Componen! acceplance criteria shall
Lower-bound compressive strength, PCL> oí' braces in be computed in accordance with lhe general require­
eccentric braced frames shall be calculated as for ments 01' Section 5.3.2 and the specitic requirements
columns in accordance with Section 5.4.2.3.2 except 01' this section.
lhal lower-bound yield strength, F yw , shall be used ror Shear and Ilexure in link beams shall be consid­
yield strength. ered deformation-controlled actions. AH other actions,
Expected, QCE, and lower-bound, QCL' strengths of and actions on other EBF components, shall be con­
beams and columns shall be calculated as for FR sidered force-controlled. Compression, tension, shear,
beams and columns in Section 5.4.2.3. Strength of and bending actions on brace connections incIuding
beams with non-negligible axial load shall be as calcu­ gusset plates, bolts, welds, and other connectors shall
lated for FR columns. be considered force-controlled.
The lower-bound strength of brace connections
shall be calculated in accordance wilh Load and 5.5.3.4.2 Linear Static and Dynamic Procedures
Resistance Factor Design Specification for Structural Design actions shall be compared with design
Steel Buildings (LRFD) (AISC 1999), taking 4> = 1.0 slrengths in accordance wilh Section 3.4.2. The
and using the lower-bound yic1d slrength, F~,w, for l/l-faclOrs ror sleel components shall be seIectcd from
yield strength. ' Table 5-5.
The strength of the link beam shall be governed Link beams shall conform to lhe requiremenls 01'
by shear, tlexure, or the combination of shear and the AISC 341 (AISC 2(02) with regard lo detailing.
tlexure. MCE shall be taken as the expected moment The brace connecting lo a link beam, the columns, and
capacily and VCE shall be taken as 0.6 Fy"A ... the olher componenls in (he EBF shall be designed 1'01'
. 1.6McE 1.25 times lhe lesser of the link beam flexural oc shear
It e ::s; -,,--',Eq. 5-31 shall be used lO compute expected strength lo ensure link yielding withoul brace
YCE
or column buckling. Wherc the link beam ís aUachcd
the expected slrength of Ihe link beam:
lo lhe column Ilange wilh full-pen welds, lhe proví­
sions for lhese conncctions shall be the same as rOl' FR
(Eq.5-31) frame full-pen conneclions. m-facLors ror Ilexure and
shear in link beams shall be taken fmm Tablc 5-5.
, 2.6McE
II e > -v.--' Eq. 5-32 shall be used to compute
C5.5.3.4.2 Linear Sta tic and D)'ncunic Procedures The
CE
the expecled strength of the link beam: acceptance criteria ror I'ull-penetralion, welded beam­
lo-column conneclions are based on tesling oí' lypícal
moment rrame proporlioning and span ratios.
(Eq.5-32)
5.5.3.4.3 Nonlínear Suuic and Dynamic Procedllres
CaJculated componenl aClions shall salisfy the require­
Linear interpolation between Eqs. 5-31 and 5-32
ments of Seclion 3.4.3. Deformalions limits shall be
shall be used for intermediate values of e.
taken from Tables 5-6 and 5-7.
5.5.3.3.3 Nonlinear Static Procedure Strengths ror
the componenls of EBFs shall be the same as those 5.5.3.5 Rehahilitatioll Measures
specificd in Section 5.5.2.3.3 for Ihe components Eccenlric braced n'ame components Ihal do
of CBFs. In lieu of relationships derived from not meet the acceptance crileria 1'01' Ihe selected
experiment or analysis, Ihe load-deformation Rehabi1ítation Objective shall be rehabililaled.
behavior of each component, as depicted by Rehabilitation measures shall meet ¡he require­
Hg. 5-1, shall be determined in accordance with ments of SectÍon 5.3.3 and other provisions of this
Section 5.5.3.2.2. standard.

134
 ASCFJSEI 41-06

C5.5.3.5 Rehabilitation Measures h = clear height of wall between beams; and

The rehabilitation measures described in C5.3.2.4 ttl! = thickness of plale wall.
for FR moment frames and in C5.4.2.4 for concentric
braced frames (CBFs) may be effective for many of 5.6.2.2 Nonlinear Static Procedure
the beams, columns, and braces. Cover plates and/or The elaslic stiffness of the load-deformation rela­
stitIeners may be effective in rehabilitating these com­ tionship for the wall shall be as specified in Sec­
ponents. The strength of lhe link may be increased by tion 5.6.2.1. The complete nonlinear load-deformation
adding cover plates to the beam tlange(s), adding dou­ relationship shall be based on experiment or approved
bler plates or stiffeners lO the web, or changing lhe rational analysis. Alternatively, use of the generalízed
brace configuration. load-deformation relationship shown in Fig. 5-1, as
specified in Section 5.4.2.2.2, shall be permitted using
strength and deformation Iimits based on the require­
5.6 STEEL PLATE SHEAR WALLS ments of Seclions 5.6.3 and 5.6.4.

5.6.1 General 5.6.2.3 Nonlinear Dynamic Procedure

A steel piale shear wall, with or withoul perfora­ The complete hysteretic behavior of each compo­
tions, shall be provided with boundary members on all nent shall be modeled by a rational procedure verified
four sides and shall be fastened lO these boundary ele­ by experiment.
ments. The boundary elements shall be evaluated as
beams and/or columns. C5.6.2.3 Nonlinear Dynamic Procedure
This procedure is nOI recommended in mOSI cases.
C5.6.1 General
A steeI plate wall develops its seismic resistance
5.6.3 Strength
through shear stress in the plate wall. Although steel
pIale walls are not common, they have been used to
5.6.3.1 General
rehabilitate a few essentiaI structures where Immediate Component strengths shall be computed in accor­
Occupancy and operation 01' a facility is mandatory
dance with the general requirements of Section 5.3.2
after a large earthquake. Due to their stiffness, the steel
and the specific requirements of this section.
plate walls attract much of the seismic shear. It is essen­
tial thal the new load paths be carefully established.
5.6.3.2 Linear Static and Dynamic Procedures
The provisions for steel plate walls in this stan­
The expected strength oí' the steel wall, QCE' shall
dard assume that the plates are sufficiently stiffened to
be determined using the applicable equations in Part 6
prevent buckling. The design professional is referred
of Load and Resistance Factor Design Specification
to Timler (2000) for additional information regarding
for Structural Steel Buildings (LRFD) (AISC 1999),
the behavior and design of steel plate shear walls.
with 4> = 1.0 and the expected yield strength, Fye, sub­
stÍtuted for Fy . The wall shall be permilted to be mod­
5.6.2 Stift'ness
e1ed as the web of a plate girder. If stiffeners are
provided to prevent buckling, they shaIl be spaced
5.6.2.1 linear Static and Dynamic Procedures according lo the requirements for plate girders given
Use of a plane stress finite element with beams in Load and Resistance Factor Design Specification
and columns as boundary elements lo analyze a steel
for Structural Steel Buildings (LRFD) and tbe expected
plate shear wall shall be permitted. The global stiff­
strength of the wall shall be determined by Eq. 5-34:
ness of the wall, K,., shall be ca\culated in accordance
with Eq. 5-33 unless another method based on princi­ (Eq.5-34)
pIes of mechanics is used.
where

(Eq.5-33) Fye expected yield strength;

a clear width of the wall between vertical bound­
ary elements; and
where
t .. = thickness of pIate wall.
G shear modulus of steel;
a clear width of wall between vertical boundary In tieu of providing stíffeners, the sleel wall shall
elements; be permítted to be encased in concrete. If buckling is

135
SElSMlC REHABlLITATION OF EXISTING BUILDlNGS

not prevented by the use of stiffeners, equations ror 5.7 STEEL FRAMES WITH INFILLS
VCE given in Load and Resistance Factor Design
Specification for Structural Steel Buildings (LRFD) for Sleel rrames with partial or complete intills of rein­
plate girders shall be used to calculate the expected forced concrete or reinforced or unreinforced masonry
strength 01' the wall. shall be evaluated consideríng the combined stiffness
of the steel trame and inlill malerial.
5.6.3.3 Nonlinear Statk and Dynamie Proeedures The engineering properties and acceptance criteria
The generalízed load-deformation curve shown for the infill walls shall comply with the requirements
in Fig. 5-1, as specified in Section 5.4.2.2.2, shall in Chapter 6 for concrete and Chapter 7 for masonry.
be used to represent the complete load-deformation Infíll walls and frames shall be considered 10 carry the
behavior of the steel shear wall to 1'ailure unless seísmic force in composite action, considering the rel­
another load-de1'ormation relationship based on ative stiffness of each element, until complete failure
experiment or approved rational analysis veritied by of the walls has occurred. The interaction between the
experiment is used. The expected strength, QCE, steel trame and intill shall be considered using proce­
shall be caIculated in accordance with Eq. 5-34. The dures spccified in Chapter 6 for concrete frames with
yield de1'ormation shalJ be calculated in accordance intill. The analysis of each component shall be done in
with Eq. 5-35: stages, considering the efl'ects of interaction between
the elements and carried Ihrough each performance
level. At the point where the intill has been deemed to
(Eq.5-35)
fail, as determined by the accepLance crÍleria specified
in Chapter 6 or Chapler 7, the wall shall be removed
5.6.4 Acceptance Criteria from the analytical model. The analysis shall be
resumed on the bare sLeel frame, taking into considera­
5.6.4.1 Linear Statie alld Dynamie Proeedures tion any vertical discontinuity created by the degraded
Design actions shall be compared with design wall. At this point, the engineering properties and
strengths in accordance wÍlh Section 3.4.2. The acceptance criteria for the frame, as specil1ed in
m-1'aclors ror sleel componenls shall be selected from Seclion 5.4, shall apply.
Table 5-5.
Shear behavior in sleel plale shear walls shall be
considered a deformalion-controlled aClion, wilh C5.7 STEEL FRAMES WITH INFILLS
acceptance crileria as provided in Table 5-5. Design
reslrictions ror plate girder webs given in Load and Seismic evaluation of ínfill walls is required because,
Resistance Factor Design Specification for Structural in many cases, these walls are unreinforced or Iightly
Steel Buildings (LRFD) (AISCI999), including those reinforced, and their strength and ductility may be
related to stiffener spacing, shall be followed. inadequate. Before the loss 01' lhe wall, (he steel trame
adds contining pressure to the wall and enhances its
5.6.4.2 Nonlinear Statle and Dynamie Proeedures resistance. The actual eíl'ective force s on the steel
Calculated component actions shall satisfy the frame componenls, however, are probably minima\. As
requiremenls 01' Seclion 3.4.3. Deformation limits Ihe frame componenls aUempl lO develop force, Ihey
shall be taken from Tables 5-6 and 5-7. deform and the stitrer concrete or masonry compo­
nents on the far side of Ihe member pick up load.
5.6.5 Rehabilitation Measures However, beam end connections, column splices, and
Steel plate walls that do not meet the acceptance steel 1'rame connections at the foundalÍon should be
criteria for lhe selected Rehabilitation Objective shalJ investigated for force s due to interaction wiLh the ¡ntill
be rehabilitated. Rehabilitation measures shall meet similar lo procedures specified for concrele frames in
the requirements of Section 5.3.3 and other provisions Chapter 6.
of this standard. The stiffness and resislance providcd by concrete
andlor masonry intills may be much larger (han the
C5.6.S Rehabilitation Measures stiffness of the steel frame acting alone with or with­
Rehabilitation measures may indude the addition out composite actions. Gaps or incomplete contact
of stiffeners, encasemenl in concrete, or the addilion bctween (he steel frame and the intill may negare
of concrete or steel plate shear walls. some or all of this stiíl'ness. These gaps may be

136
 ASCElSEI 41-06

belween the wall and columns of the frame or berween load s olher than supporl of rooting malerials. Load
rhe wall and the top beam enclosing Ihe frame. lransfer to frame elements lhat acl as chords or collec­
OitTerent strenglh and stitfness conditÍons musr be tors in modern frames is through shear connectors,
expected wÍrh differenr discontinuily lypes and loca­ puddle welds, screws, or shot pins.
[ions. Therefore, ¡he presence of any gaps or disconli­
nuÍIÍes belween !he intill walls and lhe frame musl be 5.8.1.2 Stiffness
delennined and considered in lhe design and rehabili­
lation process. The resistance provided by infill walls 5.8.1.2.1 Linear Procedllres Metal deck diaphragms
may also be included if proper evalualion 01' lhe con­ shall be c1assified as flexible, stiff, or rigid in accor­
nection and interaction between lhe wall and lhe frame dance with Section 3.2.4. F1exibility factors for use in
is made and if Ihe slrength, ductilily, and properties of lhe analysis shall be calculaled by an approved
lhe wall are properly included. ralional method.
Tlle sliffness provided by infill masonry walls is
excluded from lhe design and rehabilitarion process C5.B.1.2.1 Linear Procedures Flexibility factors for
unless integral aclion between lhe steeI frame and lhe various lypeS 01' metal decks are available from manu­
wall is veritied. If complele or partial inleraction facturers' catalogs. In syslems for which values are nol
between Ihe wall and frame is veritied, lhe stiffness is available, values can be established by interpolating
increased accordingly. The seismic performance of between the most representative systems for which val­
uncontined masonry walls is far inferior 10 that of con­ ues are available. F1exibilily factors for use in lhe
fined masonry walls; Iherefore, the resistancc of the analysis can also be calculated using the Sleel Oeck
auached wall can be used only if strong evidence as 10 InslÍlule (SOl) Diaphragm Design Manual (SOl 1981).
ils slrength, ductililY, and inleraclion wilh lhe sleel
frame is provided. 5.8.1.2.2 Nonlinear Static Procedllre Inelaslic proper­
ties 01' diaphragms shalI not be included in inela.,tic seis­
mic analyses if Ihe weak link of the diaphragm is con­
5.8 DIAPHRAGMS neclÍon failure. Procedures tor developing models for
inelastic response 01' wood diaphragms in unreinforced
5.8.1 Bare Metal Deck Diaphragms masonry (URM) buildings shaIl be permitted for use as
!he basis of an inelaslic model 01' a flexible metal
5.8.1.1 General diaphragm. A strain-hardening modulus 01' 3% shall be
Metal deck diaphragms shall be composed of metal used in the posl-elastic region.
plale or gage !hickness stecl sheets formed in a repealÍng
pallem with ridges and valleys. Oecking units shall be 5.8.1.3 Strength
altached to each olher by welds, crimping, or mechanical The slrength of bare metal deck diaphragms shall
fasleners and shali be auached 10 lhe structural steel sup­ be determined in accordance with Section 5.3.2 and
ports by welds or by mechanical fasteners. Bace metal the requirements 01' this section.
deck diaphragms shall be permitted to resist seismic Expected strenglh, Qce, tor bare melal deck
loads aCling alone or in conjunclion wi!h supplementary diaphragms shall be taken as two limes allowable values
diagonal bracing complying with !he requirements 01' specified in approved codes and standards, unless a
Section 5.8.4. Steel frame elemenls, lo which bace metal lacger value is justitied by tesl data. Alternatively,
deck diaphragms are auached al Iheir boundaries, shall lower-bound strength shall be taken as nominal slrength
be considered lo be Ihe chord and colleclor elemenls. published in codes or standards approved by the author­
Crileria shall apply lo existing diaphragms as well ity having jurisdiction, except that lhe strenglh reduc­
as lo sliffened, strengthened, or otherwise rehabililaled tion factor, 4>, shall be taken equal to unily.
diaphragms. Inleraction of new and exislÍng elements of Lower-bound slrengths, QCL! 01' welded connectors
rehabilitated diaphragms shall be evaluated 10 ensure shaIl be as specitied in the Welding Code for Sheet
strain compatibilily. Load transfer mechanisms betwecn Steel, AWS 01.3 (AWS 1998), or other approved
new and existing diaphragm elements shall be evaluated. Slandard.

C5.8.1.1 General C5.8.1.3 Strength

Bare metal deck diaphragms are usualIy used for Capacities 01' steel deck diaphragms are given
roofs 01' buildings where there are very light gravity in Inlernational Code Council (ICC-ES) reports, in

137
SEISMIC REHABILITATION OF EXISTlNG BUILDINGS

manufaclurers' lileralure, or in Ihe publicalions of Ihe 3. Adding puddle welds or olher shear connectors al
SDI. Where allowablc slresses are given, Ihese may be panel perimelers;
multiplied by 2.0 in lieu of information provided by 4. Adding diagonal sleel bracing lo form a horizonlal
the manufacturer or other knowledgeable sources. Iruss LO supplement diaphragm slrenglh;
Connections between metal decks and sleel fI'am- . 5. Adding structural concrele; and
ing commonly use puddle welds. Conneclion capaci­ 6. Adding connections belween deck and supporting
lies are provided in ICC-ES repons, manufacturers' members.
dala, Ihe SDI Diaphragm Design Manual (SDI 1981),
or AWS D 1.3 (AWS 1998). Other attachmem systems,
5.8.2 Metal Deck Diaphragms with Strudural
such as clips, are somelimes used.
Concrete Topping
5.8.1.4 Acceptance Criteria 5.8.2.1 General
Connections of bare melal deck diaphragms shall
Metal deck diaphragms with struclural concrele top­
be considered force-conlrolled. Conneclion capacity
ping, consistíng of either a composile deck wilh indenta­
shalJ be cheeked for the abiJily to transfer the total
lions, or a noncomposile form deck and the concrele lOp­
diaphragm reaction into the steel framing. Diaphragms
píng slab with reinforcement acling together, shall be per­
(hat are governed by the capacily 01' the connections
miued to resist diaphragm loads. The concrete till shall
shall also be considered force-controlled. Bare metal
be either normal or lightweight structural concrete, with
deck diaphragms not governed by the capacity of the
reintorcing composed of wire mesh or reiníorcing sleel.
connections shall be considered deformation-con­
Decking unils shall be attached to each other by welds,
lrolled. The m-factors for shear yielding or plale buck­
crimping, or mechanícal fasleners and shall be attached
ling shall be laken from Table S-S.
to structural sleel supports by welds or by mechanical
For the Life Safety Structural Performance Level,
fasteners. The steel frame elements to which the lopped
a loss ol' bearing support or anchorage of the deck
metal deck diaphragm boundaries are auached shall be
shall nol be permitted. For higher performance levels,
consideced the chord and colJector elemenls.
the amount 01' damage lo the connections shall not
Criteria shall apply to existing diaphragms as well
impair the load Iransfer belween the diaphragm and
as new and rehabiJilated diaphragms. Interaclion of
the steel frame. De1'ormations shaJl not exceed (he
new and exisling elements of rehabilitaled diaphragms
Ihreshold of detleclions Ihal cause unacceplable dam­
shall be evalualed tor slrain compatibility. Load trans­
age lo other elements (either struclural or nonslruc­
fer mechanisms belween new and exisling diaphragm
tural) at specified performance levels.
components shall be considered in determining the
tlexibilíty 01' the diaphragm.
CS. 8.1.4 Acceptance Criteria
Ir bare deck capacity is controlIed by connections
C5.8.2.1 General
lo frame members or panel buckling, Ihen inelaslic
Metal deck diaphragms with structural concrete
action and ductility are Jimited and the deck should be
topping are frequently used on tloors and roofs of
considered lo be a force-controlled member.
buildings where there are typical l100r gravity loads.
Concrele has structural properties that signiticantly
5.8.1.5 Rehabilitation Measures add Lo diaphragm sliffness and strength. Concrele rein­
Bare metal diaphragms Ihat do 'nol meet the
forcing ranges from lighl mesh reinforcement to a reg­
acceptance criteria for the selected Rehabilitation
ular grid 01' small reinforcing bars (No. 3 or No. 4).
Objective shall be rehabililated. Rehabilitation meas­
Metal decking is typically composed oí' corrugated
ures shall meet lhe requirements ol' Section 5.3.3 and
sheet steel from 22 ga. down to 14 ga. Rib depths vary
other provisions ol' this standard.
from I~ lo 3 in. in most cases. Auachmen~ of Ihe ~etal
deck 10 the sleel frame is usually accomphshed usmg
C5.8.1.5 Rehabilitation Measures puddle welds at 1 to 2 fl on cenler. For composite
The following measures may be effective in reha­
behavior, shear sluds are welded to the reame before
bilitaling bare metal diaphragms:
lhe concrete is casI.
l. Adding shear conneclOrs for transfer of stress lo Load transfer 10 frame elements lhat acl as chords
chord or collector elements; oc collectors in modern frames is usually lhrough pud­
2. Strenglhening existing chords or colJectocs by dIe welds or headed studs. In older construclion where
the addilion 01' new sleel plales lo exisLing frame the trame is encased for fire protection, load transfer is
componenls; made through bond.

138
 ASCElSEI 41-06

5.8.2.2 Stiffness would be liUle or no inelastic action in steel deck/con­

crele diaphragms, excepl in long span conditions;
5.8.2.2.1 Linear Procedures For existing topped melal however, perimeter transfer mechanisms and collector
deck diaphragms, a rigid diaphragm assumption shall forces must be considered lo be sure lhis is the case.
be permitted if the span-to-depth ratio is not greater SDI calculation procedures or ICC-ES values with a
lhan 5: 1. For greater span-to-depth ratios, and in cases multiplier of 2.0 should be used to bring allowable
wíth plan irregularities, diaphragm tlexibility shall be values lO a strength leveL Connector capacities
explicitly included in the analysis in accordance with may also be found in ICC-ES reports, manufacturers'
Section 3.2.4. Diaphragm stiffness shall be calculated data, or lhe SDI Diaphragm Design Manual
using an approved method with a representa tive con­ (SDI 1981).
crete thickness.
5.8.2.4 Acceptance Criteria
C5.8.2.2.1 Linear Procedures Flexibility factors for Connections of metal deck diaphragms wilh Slruc­
topped metal decks are available from manufacturers' tural concrete lopping shalI be considered force-con­
eatalogs. For combinations for which values are nOl trolled. Connection capacity shall be checked for lhe
available, values can be established by interpolating ability to lransfer the total diaphragm reaction into
between the mosl representative syslems for which lhe sleel framing. Diaphragms lhat are governed
values are available. Flexibility faclors for use in Ihe by the capacily of lhe connectíons shall also be
analysis can also be calculaled using the SDI considered force-controlled. Topped melal deck
Diaphragm Design Manual (SDI 1981). diaphragms nol governed by lhe capacity 01' the con­
nections shall be considered deformation-controlled.
5.8.2.2.2 Nonlinear Procedures Inelastic properLÍes of The m-faclors for shear yielding shall be taken from
diaphragms shall not be Ínc1uded in inelastic seismic Table 5-5.
analyses if the weak link in the diaphragm is connec­ For the Lite Satety StruclUral Performance Level,
lion failure. Procedures for developing models for a loss of bearing support or anchorage shall not be
inelastic response of wood diaphragms in URM build­ permitted. For higher pertormance levels, the amount
ings shall be permitted for use as the basis of an of damage lo lhe conneclÍons or cracking in concrete­
inelastic model of a t1exible metal deck diaphragm filled slabs shall nol impair the load transter between
with structural concrete topping. the diaphragm and the sleel frame. Detormations shall
be limited to be below lhe threshold 01' detleclions that
5.8.2.3 Strength cause damage lo other elemenls (either structural or
Capacities of metal deck diaphragms with struc­ nonstructural) at specified performance levels.
tural concrete topping shall be established by an Aeceptance criteria tor collectors shall be as specified
approved procedure. in SecLion 5.8.6.4.
AlternativeIy. the expecled strenglh. QCE' 01' Shear connectors tor steel beams designed to aCl
topped metal deck diaphragms shall be taken as two compositely with lhe slab shall have the capacity to
limes allowable values specitíed in approved codes transter both diaphragm shears and composite beam
and standards unless a larger value is justitied by test shears. Where the beams are encased in concrete, use
data. Lower-bound strenglhs, QCL, of welded connec­ 01' bond belween lhe sleel and lhe concrete shall be
IOrs shall be as specitied in AWS D1.3 (AWS 1998) or permitted to transt'er loads.
other approved standards. Lower-bound strengths, QCL>
for headed slud connectors shall be as specitíed in CS. 8.2.4 Acceptance Criteria
Load and Resistance Factor Design Specificatiolt for Shear failure of lopped melal deck diaphragms
Structural Steel Buildings (LRFD) (AISC 1999), with requires cracking of lhe concrete or tearing of (he
4> 1.0. metal deck, so m-factors have been sel al conservalive
levels.
C5.8.2.3 Strength
Member capacilies of sleel deck diaphragms with 5.8.2.5 ReluJ.büitation Measures
structural concrele are given in manufacLUrers' cata­ Metal deck diaphragms with struclural concrete
logs, ICC-ES reports, or the SDI Diaphragm Design lopping thal do not meet the acceplance crileria for the
Manual (SDI 1981). If composite deck capacÍly is selected Rehabililation Objective shall be rehabilítated.
controlled by shear connectors, inelastic action and Rehabilitation measures shall meel the requiremenls of
ductility are limited. It would be expecled that there Section 5.3.3 and other provisions of this standard.

139
SEISMIC REHABILITATION OF EXISTING BUILDlNGS

C5.8.2.5 Rehabilitation Measures interaction of new diaphragms with exisling frames

The following measures may be effective in reha­ shaIl be evaluated, as well as lhe load transfer mecha­
bilitating metal deck diaphragms wíth structural con­ nisms between them.
crete topping:
l. Addíng shear connectors lO lransfer torces lo chord C5.8.3.2.J Linear Procedures FlexibililY of lhe
or colleclor e\ements; diaphragm wilI depend on the slrength and thickness
2. Slrenglhening existing chords or collectors by lhe 01' lhe topping. It may be necessary lo bound the solu­
addilion of new steel plates to existing frame com­ LÍon in sorne cases using both rigid and flexible
ponents, or attaching new pIates directly lO lhe slab diaphragm assumptions.
by embedded bolts or epoxy; and
3. Adding diagonal steel bracing to supplemenl 5.8.3.2,2 Nonlinear Procedures Inelastic response 01'
diaphragm slrength. diaphragms shall not be permítted in inelaslic seismic
analyses ir the weak link in lhe diaphragm is connec­
5.8.3 Metal Deck Diaphragms with Nonstructural lion failure. Procedures for deveJoping models for
Topping inelastic response of wood diaphragms in URM build­
ings shall be permiued as the basis of an inelaslic
5.8.3.1 General model of a tlexible bare metal deck diaphragm Wilh
Metal deck diaphragms with nonstructural topping nonstI1lctural topping,
shall be evaluated as bare metal deck díaphragms,
unless the strenglh and stiffness of the nonsLructural 5.8.3.3 Strellgth
topping are substantíated through approved test Capacities of melal deck diaphragms wilh non­
data. structural topping shaIl be laken as specitied for bare
metal deck in Seclion 5.8, l. Capacities for welded and
C5.8.3.1 General headed slud conneclors shall be laken as specified in
Metal deck diaphragms wíth nonstruclUral t1n are SecLion 5.8.2.3.
typically used on roofs of buildíngs where there are
very smalJ gravíty loads. The till, such as very lighl­ 5.8.3,4 Acceptance Criteria
weight insulating concrete (e.g., vermiculile), usually Connections of metal deck diaphragms with non­
does not have usable structural properties and is mosl struclural lopping lo sleel framing shall be considered
often unreinforced. Consideration of any composite force-controlled. Connection capacily shall be checked
action musl be done with caution after extensive inves­ for the abilily 10 lransfcr the lotal diaphragm reaction
tigation of tield conditions. Material properties, force into the slce\ framing. Diaphragms lhat are governed
transfer mechanisms. and other similar factors must be by the capacity 01' lhc conneclions shalI also be con­
verifled in order lo inelude such composite aClion. sidered force-controIled. Topped melal deck
Typically, lhe decks are composed of corrugated sheet diaphragms not governcd by lhe capacity of lhe con­
steel from 22 ga. down lo 14 ga., and the rib deplhs neclions shall be considered deformalion-conlrol1ed.
vary from 9/16 lo 3 in. in most cases. Thc m-factors for shear yielding or plaLe buckling
shall be taken from Table 5-5,
5.8.3.2 Slifflless For lhe Life Safely SlrucLural Performance LeveJ,
a los8 of bearing supporl or anchorage shaIJ not be
5.8.3.2./ Linear Procedures The pOlenlial for compos­ permiUed, For higher performance levels, the amounl
ile action and modification 01' load dislribution shall be of damage lo the connections 01' cracking in concrete
considered if composite action resulls in higher fillcd slabs shall not impair lhe load transfer mecha­
demands on components of the lateral-force-resisting nism between the diaphragm and the steel ti'ame.
system. Otherwise, the composite action shall be per­ Deformations shall be limiled lo be below lhe thresh­
mitted lo be ignored as described in SecLion 5.8.3. L old of detlections lhal cause damage 10 other eJemenls
Inleraclion of new and exisling eJements 01' strength­ (eilher slructural or nonslructural) al specilied per­
ened diaphragms shall be evaluated by maintaining formance levels.
strain compatibility between the lWO, and the load
transfer mechanisms between the new and exisling C5.8.3.4 Acceptallce Criteria
diaphragm elemenls shaIl be consídered in delermin­ GeneralIy, lhere should be liule or no inelastic
íng the Ilexibility of the diaphragm. Similarly, the aClion in lhe diaphragms, provided the conneclions Lo

140
 ASeE/SEI 41-06

the framing members are adequate. SDI calculation C5.8.4.l General

procedures, or International Conference of Building Steel truss diaphragm elements are typicalIy
Officials (ICBO) values with a multiplier of 2, should found in conjunction with vertical framing systems
be used to bring capacities from allowable values to that are of structural steel framing. Steel trusses are
strength levels. more common in long span situations, such as special
roof structures for arenas, exposition halls, auditorí­
5.8.3.5 Rehabilitation Measures ums, and industrial buildings. Diaphragms with large
Metal deck diaphragms with nonstructural topping span-to-depth ratíos may orten be stiffened by the
that do not meet the acceptance criteria for the addition 01' steel trusses. The addition of steel trusses
selected Rehabilitatíon Objective shall be rehabilitated. for diaphragms identified to be deficient may provide
Rehabilitation measures shall meet the requirements of a proper method of enhancement.
Section 5.3.3 and other provisions of this standard. Horizontal steel bracing (steel truss díaphragms)
may be made up of any of the various structural
C5.8.3.5 Rehabilitation Measures shapes. Often, the truss chord elements consist of wide
The following measures may be effective in reha­ tlange shapes that also functíon as tloor beams 10 sup­
bilitating metal deck diaphragms with nonstructural port the gravity loads of the floor. For Iightly loaded
topping: conditions, such as industrial metal deck roofs without
concrete fill, the diagonal members may consist of
l. Adding shear connectors to transfer forces to chord
threaded rod elements, which are assumed to act only
or collector elements;
in tension. For steel truss diaphragms with large loads,
2. Strengthening existing chords or collectors by the
diagonal elements may consist of wide tlange mem­
addition of new stecl plates to existíng frame com­
bers, tubes, or other structural elements that will act in
ponents, or auaching new plates directly to the slab
both tension and compression. Truss element connec­
by embedded bolts or epoxy;
tions are generally concentric, to provide the maxi­
3. Adding puddle welds at panel perimeters of
mum lateral stiffness and ensure thal the truss
diaphragms;
members act under pure axíalload. These connections
4. Adding diagonal steel bracing to supplement
are generally similar to lhose of gravity-Ioad-resisting
diaphragm strength; and
trusses.
5. Replacing nonstructural fill with structural concrete.

5.8.4 Horizontal Steel Bracing (Steel Truss 5.8.4.2 Stiffness

Diaphragms)
5.8.4.2.1 Linear Procedures Truss diaphragm systems
5.8.4.1 General shall be modeled as horizontal truss elements (similar
Horizontal steel bracing (steel truss diaphragms) to braced steel frames) where axial stitfness controls
shall be permitted to act as diaphragms independently detlections. Joints shall be permitted to be modeled as
or in conjunction with bare metal deck roofs. Where pinned except where joints provide moment resistance
Slructural concrete fill is provided over lhe melal deck­ or where eccentricities exist at the connections. In
ing, relalive rigidities belween lhe sleellruss and con­ such cases, joint rigidities shall be modeled. Flexibility
crete systems shall be considered in the analysis. of truss diaphragms shall be explicitly considered in
Criteria shall apply to existing truss diaphragms, distribution of lateral loads 10 vertical elements.
strengthened truss diaphragms, and new diaphragms.
Where steel truss diaphragms are added as parl of 5.8.4.2.2 Nonlinear Procedures Inelastic models simi­
a rehabililation plan, interaction of new and existing lar to those of braced steel frames shall be used for
elements of strengthened diaphragm systems (stiffness truss elements where nonlinear behavior of truss ele­
compatibility) shall be evaluated and the load transfer ments will occur. Elastic properties 01' truss
mechanisms between new and existing diaphragm ele­ diaphragms shall be permitted in the model for ineJas­
ments shall be considered in determining the tlexibíl­ tic seismic analyses where nonlinear behavior of lruss
iIy of the strengthened diaphragm. elements will not occur.
Load transfer mechanisms between new
diaphragm elements and existing frames shalJ be con­ 5.8.4.3 Strength
sidered in determining the tlexibility of the Capacities of truss diaphragm members shall be
diaphragm/frame system. calculated as specitied for steel braced frame members

141
SEISMIC REHABILlTATION OF EXISTING BUlLDINGS

in Section 5.5. Lateral support oí' truss diaphragm 2. Existing chords components strenglhened by the
members provided by metal deck, wilh or without addition 01' shear connectors to enhance composite
concrete fill, shall be considered in evaluation of truss action;
diaphragm capacities. Gravity force effects shalI be 3. Existing steel truss components strenglhened
included in the calculatíons for those members that by methods specified for braced steel frame
support gravity loads. members;
4. Truss connections strengthened by the addítion
5.8.4.4 Acceptance Criteria 01' welds, new or enhanced plates, and bolts;
Force transfer mechanisms betwecn various mem­ and
bers 01' the truss at the connections, and between 5. Structural concrete mi added to act in combina­
trusses and frame elements, shall be evaluated lo ver­ tion with steel Iruss diaphragms after verifying
ify Lhe completion of Lhe load path. the ellects of the added weight 01' concrete till.
For the Lite Safety Structural Performance Level,
a loss 01' bearing support or anchorage shall not be
permitted. For higher performance levels, the amount 5.8.5 Archaic Diaphragms
of damage to lhe connections or bracing elements shall
nol result in the loss of Lhe load transfer between the 5.8.5.1 General
diaphragm and the steel frame. Deformations shall be Archaic diaphragms in steel buildings are those
Iimited lo be below Lhe threshold 01' deflections that consisting of shallow brick arches that span belween
cause damage lo other elemenls (either struclural or steel floor beams, wilh the are hes packed tightly
nonstruclural) at specíJied performance levels. betwecn the beams lo provide the necessary resistance
lo lhrust forces.
5.8.4.4. / Linear Procedures Linear acceptance criteria
for horizontal steel truss diaphragm components shall
be as specified for concentric braced frames in Sec­
cs. 8.5. 1 General
Archaic steel diaphragm elements are almost
tion 5.5.2.4 except that beam and column criteria need
always found in older steel buildings in conjunction
not be used. Use 01' m-factors specitied for diagonal
with vertical systems of structural sleel framing. The
brace components, in lieu of those for beam and col­
brick arches were typically covered wilh a very low­
umn components of braced frames, shall be permitted
strength concrete fill, usually unreinforced. In many
for strut and chord members in the truss.
instances, various archaíc diaphragm systems were
5.8.4.4.2 Nonlinear Procedures Nonlinear acceptance patented by contractors.
criteria for horizontal steel truss diaphragm compo­
nents shall be as specHied for concentric braced 5.8.5.2 St(tfness
frames in Section 5.5.2.4 except that beam and column
criteria need nOI be used. Use 01' plastic del'ormations 5.8.5.2./ Linear Procedures Existing archaic
specified for diagonal brace components, in lieu of diaphragm systems shall be modeled as a horizonlal
those specified for beam and column components of diaphragm with equivalent thickness of brick arches
braced frames, shall be permitted for strut and chord and concrete mI. Modeling of the archaic diaphragm
members in the truss. as a truss with steel beams as tension elements and
are hes as compression elements shall be permitted.
5.8.4.5 Rehabilitation Measures The f1exibility of archaic diaphragms shall be consid­
Steel truss diaphragms that do not meet the ered in calculating the dístribution of lateral loads lo
acceplance criteria for the selected Rehabilitation vertical elements. Analysís results shall be evaluated
Objective shall be rehabiJitated. Rehabilitalion meas­ to verify that diaphragm response remains elastic as
ures shall meet the requirements of Section 5.3.3 and assumed.
other provisions of this standard. Interaction 01' new and existing elements of
strengthened diaphragms shall be evaluated by check­
cs. 8.4.5 Rehabilita/ion Measures ing the strain compatibility 01' lhe two in cases where
The following measures may be effective in reha­
new structural elements are added as part 01' a seismic
bilitaling steel truss diaphragms: rehabilitation. Load transfer mechanisms between new
]. Diagonal components may be added to form addi­ and exístíng díaphragm elements shall be considered
tional horizontal trusses as a method of strengthen­ in determining Ihe tlexibility of the strengthened
ing a weak existing diaphragm; diaphragm.

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 ASeE/SEI 41-06

5.8.5.2.2 Nonlinear Procedltres Archaic diaphragms 3. Removing weak concrete fill and replacing it with a
shall be required to remain in the elastic range unless structural concrete topping slab after verifying the
otherwise approved. eftects of the added weight of concrete til\.

C5.8.5.2.2 Nonlinear Procedures Inelastic properties

5.8.6 Chord and Collector Elements
of archaic diaphragms should be chosen Wilh caution
for seismic analyses. For lhe case of archaic
5.8.6.1 General
diaphragms, inelastic models similar to those of
Steel framing that supports the diaphragm shall be
archaic timber diaphragms in unreinforced masonry
permitted as diaphragm chord and collector elements.
buildings may be appropriate. Inelastic defotmation
Where structural concrete is present, additional slab
Iimits of archaic diaphragms should be lower than
reinforcing shall be permitted to act as the chord or
those prescribed for a concrete-tilled diaphragm.
collector for tensile loads, while the slab carries chord
or collector compression. Where the steel framing acts
5.8.5.3 Strength
as a chord or collector, it shall be attached to the deck
Member capacities of archaic diaphragm compo­
with spot welds or by mechanical fasteners.
nents shall be permitted to be calculated, assuming no
tension capacity exists for all components except steel
C5.8.6.1 General
beam members. Gravity force effects shall be incIuded
Where reinforcing acts as the chord or collector,
for components of these diaphragms. Force transfer
load transfer occurs through bond between the rein­
mechanisms between various members and between
forcing bars and the concrete.
frame elements shall be evaluated to verify the com­
pletion of the load palh.
5.8.6.2 St~Jfness
Modeling assumptions specified for equivalent
5.8.5.4 Acceptance Criterio
steel trame members in this chapter shall be used for
Archaic diaphragms shall be considered force­
chord and collector elements.
controlled. For the Lite Satety Structural Performance
Level, diaphragm deformations and displacements
5.8.6.3 Strength
shall not lead to a loss of bearing support for the ele­
Capacities of structural steel chords and collectors
ments of the arches. For higher performance levels, the
shall be as specified for FR beams and columns in
deformation due to diagonal tension shall not result in
Section 5.4.2.3.2. Capacities for reinforcing steel
the loss of the load transfer mechanism. Deformations
embedded in concrete slabs and acting as chords or
shall be limited below the threshold of det1ections that
collectors shall be determined in accordance with the
cause damage to other elements (either structural or
provisions of Chapter 6.
nonstructural) at specitied performance levels. These
values shall be established in conjunction with those
5.8.6.4 Acceptance Criterio
for steel frames.
Inelastic action in chords and collectors shall be
permitted if it is permitted in the diaphragm. Where
5.8.5.5 Rehabilitation Measures
such actions are permissible, chords and collectors
Archaic diaphragms that do not meet the accept­
shall be considered deformation-controlled. The
ance criteria for the selected Rehabilitation Objective
m-factors shall be taken from Table 5-5 and inelastic
shall be rehabilitated. Rehabilitation measures shall
acceptance criteria shall be taken from FR beam and
meet the requirements of Section 5.3.3 and other pro­
column components in Section 5.4. Where inelastic
visions of this standard.
action is not permitted, chords and collectors shall be
considered force-controlled components. Where chord
C5.8.5.5 Rehabilitation Measures
and collector elements are force-controlled, QUD need
The following measures may be effective in reha­
not exceed the total force that can be delivered to the
bilitating archaic diaphragms:
component by the expected strength of the diaphragm
l. Adding diagonal members to form a horizontal or the vertical elements of the lateral-force-resisting
truss as a method of strengthening a weak archaic system. For the Life Safety Structural Performance
diaphragm; Level, the deformations and displacements of chord
2. Strengthening existing steel members by adding and collector components shall not result in the loss of
shear connectors to enhance composite action; vertical support. For higher performance levels, chords
and and collectors shall not impair the load path.

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SEISMIC REHABILlTATION OF EXISTING BUILDlNGS

Welds and connectors joining lhe diaphragms lO 5.9.2 Stiffness

lhe chords and colleclors shall be considered force­ If lhe píle cap is below grade, lhe foundation sti ff­
conlrolled. If all conneclions meel lhe acceptance crÍ­ ness from the pile cap bcaring against the soil shall be
leria, lhe diaphragm shalI be considered lo prevenl permitted lo be represenled by equivalenl soit springs
buckling of rhe chord member within lhe plane of lhe dcrived as specified in Chapler 4. Additional slitTness
diaphragm. Where chords or colIectors carry gravily 01' Ihe piles shall be pennitted lO be derived through
loads in combinalion with seismic loads, lhey shall be bending and bearing against the soil. For piles in a
checked as members wilh combined axial load and group, lhe reducLÍon in each pile's conlribUlion lo lhe
bending in accordance wÍlh Seclion 5.4.2.4.2. lolal foundation slíffness and strength shall be made lo
account for group eftecls. Additional requiremenlS ror
5.8.6.5 Rehabilitation Measures caJculaling the sliffness shall be as specified in
Chord and collector elemenls thal do not meet the Chapler 4.
acceplance criteria for lhe selecled Rehabilitation
Objeclive shall be rehabilitated. Rehabililalion meas­ 5.9.3 Strength
ures shall meel the requÍrements of Section 5.3.3 and Except in siles subject lo liquefaction 01' soils, it
olher provisions of lhis standard. shall be permitted lo neglect buckling of portions 01'
piles embedded in the ground. Flexural demands in
C5.8.6S RelUlbilitation Measllres piles shall be calculated either by nonlínear methods
The following measures may be effeclive in reha­ or by elaslic melhods for which the pile is lreated
bililaling chord and colIeclor elemenls: as a cantilever column aboye a calculaled poinl 01'
1'ixity.
l. Slrenglhen lhe conneclion between diaphragms and
chords or coIlectors; 5.9.4 Acceptance Criteria
2. Strenglhen sleel chords or collectors with sleel The acceplance criteria for lhe axial force and
plales attached directIy lo Ihe slab wilh embedded maximum bcnding moments for the pile strenglh shall
bolts or epoxy, and slrengthen slab chord 01' colIec­ be as specitied fOl' a sleel cotumn in Seclion 5.4.2.4.2
lors wilh added reinforcing bars; and for linear methods and in Section 5.4.2.4.3 for nonlin­
3. Add chord members. ear melhods, where the lower-bound axial compres­
sion, expected axial tension, and flexural strengths
shall be computed for an unbraced lenglh equal to
5.9 STEEL PILE FOUNDATIONS zero for those porlions of piles lhat are embedded
in nonliquetiable soils.
5.9.1 General Connections between sleel piles and pile caps
Apile shall provide slrenglh and sliffness lo shall be considered force-controlJed.
lhe foundation eilher by bearing direclly on soil or
rock, by friction along lhe pile length in contacl C5.9.4 Acceptance Criteria
wilh lhe soil, or by acombination of these mecha­ Nonlinear mClhods require the use 01' a compulcr
nisms. Foundalions shall be evaluated as specitied programo FEMA 274 (FEMA 1997) is a useful re1'er­
in Chapler 4. Concrete components 01' foundalions ence for additional information.
shaIl conform with Chapler 6. The design of the
steel piles shall comply with lhe requirements 01' lhis 5.9.5 Rehabilitation Measures
section. Steel pile foundations that do not meet lhe accept­
ance criteria 1'or the selected Rehabilitation Objective
C5.9.1 General shall be rehabilitated. Rehabilitalion measures shall
Steel piles 01' wide f1ange shape (H-piles) or struc­ meet lhe requirements 01' Seclion 5.3.3 and other pro­
tural lubes, wilh and without concrete inl1I1s, shall be visions of this standard.
permilled 10 be used lO support foundation loads. Piles
driven in groups should have a pile cap lo transfer C5.9.5 Rehabilitation Measures
loads from lhe superstruclure to the piles. Rehabilitation of the concrete pile cap is specíl1ed
In poor soils or soils subjecl lo lique1'aclion. bend­ in Chapter 6. Criteria for the rehabilitation oí' the foun­
ing 01' the piles may be lhe only dependable resistance dation e\ement are specil1ed in Chapter 4. The following
to lateral toads. measure may be effective in rehabilitating slecl pile

144
 ASeE/SEI 41-06

foundations: driving additional piles near existing groups force-resisting system of an existing building. The
and then adding a new pile cap to increase stiffness and requirements of this chapter shaJl apply to existing
strength of the pile foundation. Monolithic behavior concrete components of a building system, rehabili­
gained by connecting the new and old pile caps with tated concrete components of a building system, and
epoxied dowels may also be effective. In most cases, new concrete components that are added to an existing
it is not possible to rehabilitate the existing piles. building system.
Section 6.2 specifies data coJlection procedures
for obtaining material properties and performing
5.10 CAST AND WROUGHT IRON condition assessments. Section 6.3 specifies general
analysis and design requirements for concrete compo­
5.10.1 General nents. Sections 6.4,6.5,6.6,6.7,6.8, and 6.9 provide
Existing components of cast and wrought iron modeling procedures, component strengths, accept­
shaJl be permitted to participate in resisting seismic ance criteria, and rehabilitation measures for concrete
forces in combination with concrete or masonry walls. and precast concrete moment frames, braced trames,
Cast iron frames, in which beams and columns are and shear walIs. Sections 6.10, 6.11, and 6.12 provide
integralIy cast, shall not be permitted to resist seismic modeling procedures, strengths, acceptance criteria,
forces as primary elements of the lateral-force­ and rehabilitation measures for concrete diaphragms
resisting system. The ability of cast iron elements to and concrete foundation systems.
resist the design displacements at the selected earth­
quake hazard level shaJl be evaluated.
C6.1 SCOPE
5.10.2 Stiffness
The axial and t1exural stitlness of cast iron shaJl
Techniques for repair of earthquake-damaged con­
be ca1culated using elastic section properties and a
modulus of elasticity, E, of 25,000 kips/in.2 unless a crete components are not inc1uded in this standard.
The design professional is referred to FEMA 306
different value is obtained by testing or other methods
(FEMA 1998), FEMA 307 (FEMA 1998), and FEMA
approved by the authority having jurisdiction.
308 (FEMA 1998) for information on evaluation and
repair of damaged concrete waJl components.
5.10.3 Strength and Acceptance Criteria
Axial and t1exural loads on cast iron components
shalI be considered to be force-controlIed behaviors.
Lower-bound material properties for cast iron shaIl be 6.2 MATERIAL PROPERTIES AND CONDITION
based on Table S-l. ASSESSMENT
The lower-bound strength of a cast iron co1umn
shalI be ca1culated as: 6.2.1 General
Mechanical properties of concrete material s and
(Eq.5-36)
components shaJl be obtained from available drawings,
where specificalions, and other documents for the existing
construction in accordance with the requirements of
Ag = gross area of column;
Section 2.2. Where such documents fail to provide
Fa = 12 ksi for lj r:S 108; or
adequate information to quantify concrete material
l.40 X lO'
ksi for lj r > 108. properties or the condition of concrete components of
(lj r)2 the structure, such information shaJl be supplemented
Cast iron columns shalI only be permitted to carry by materials tests and assessments of existing condi­
axial compression. tions in compliance with requirements of this chapter
as specified in Section 2.2.6.
Material properties of existing concrete compo­
6.0 CONCRETE nents shall be determined in accordance with Section
6.2.2. A condition assessment shaJl be conducted in
6.1 SCOPE acconlance with Section 6.2.3. The extent of materials
testing and condition assessment performed shaJl be
This chapter sets forth requirements for the Systematic used to determine the knowledge factor as specified in
Rehabilitation of concrete components of the lateral­ SecLÍon 6.2.4.

145
SEISMIC REHABILITATION OF EXISTING BUILDINGS

Use of default material properties shall be permit­ invaluable and may be elIectively used lo reduce the
ted in accordance with Section 6.2.2.5. Use of material amount of in-place testing required. The design pro­
properties based on historical information as default fessional is encouraged 10 research and acquire all
values shall be permitted as specit1ed in available records from original conslruction.
Section 6.2.2.5.
6.2.2 Properties of In-Place Materials and
C6.2.1 General Components
This section identifies properties requiring consid­
eration and provides guidelines for determining the 6.2.2.1 MaterÚll Properlies
properties of buildings. Also described is the need for
a thorough condition assessment and utiJization 01' 6.2.2.1.1 General The fo\lowing component and con­
knowledge gained in analyzing component and system nection malerial properties shall be obtained for the
behavior. PersonneJ involved in material property as-built structure:
quantification and condition assessment should be Concrete compressive strength; and
experienced in the proper implementation of testing Yield and ultimate strength of conventional and
practices and the interprelation of results. prestressing reinforcing steel and metal connection
The form, function, concrete strength, concrete hardware.
quality, reinforcing steel strength, quality and detail­ Where materials testing is required by Sec­
ing, forming techniques, and concrete placement tech­ tion 2.2.6, the test methods to quantify material prop­
niques have constantIy evolved and have had a signifi­ erties shalI comply wilh the requirements oí' Sec­
cant impact on the seismic resistance of a concrete tion 6.2.2.3. The frequency oí' sampling, including the
building. Innovations such as prestressed and precast minimum number 01' tests for property determination,
concrete, post tensioning, and lift slab construction shall comply with the requirements 01' Section 6.2.2.4.
have created a multivaríant invenlory of exisling con­
crete struclures. C6.2.2.1.1 General Other material properties that may
lt is important to ínvestigate the local practices be of interest for concrete components inelude:
relative to seismic design where trying lo analyze a
l. Tensile strength and modulus 01' elasticity of con­
concrete building. Specitic benchmark years can be
crete, which can be derived from the compressive
delermined for lhe implementation of earlhquake­
strength, do not warrant the damage associated with
resistant design in most locations, but caution should
the extra coring required;
be exercised in assuming optímistic characteristics for
2. Ductility, toughness, and fatigue properties of
any specific building.
concrete;
Particularly with concrete materials, the date of
3. Caroon equivalent present in (he reinforcing steel;
original building construction significantly intluences
and
seismic performance. In the abscnce of deleterious
4. Presence 01' any degradation such as corrosion,
conditions or materials, concretc gains compressive
bond with concrete, and chemical composition.
strength from the time it is originally cast and in­
place. SLrengths typically exceed specitied design val­ The effort required lO dClclmine these properties
ues (28-day or similar). Early uses 01' concrete did not depends on the availability of accurate updated con­
specify any design strength, and low-strength concrete struclion documents and drawings, the quality and
was not uncommon. Also, early use of concrete in type 01' construction (absence 01' degradation), accessi­
buildings often employed reinforcing steel with rela­ bility, and [he condition oí' materials. The method of
tively low strength and ductility, Iimited continuity, analysis selected [e.g., Linear Static Procedure (LSP),
and reduced bond developmenl. Continuity between Nonlinear Static Procedure (NSP)] may a\so inlluencc
specitic existing components and elements (e.g., the scope of the testing.
beams and columns, diaphragms, and shear walls) is The size of the samples and rcmoval practices to
also particularly diflicult to assess, given the presence be followed are referenced in FEMA 274 (FEMA
of concrete cover and othcr barriers to inspcction. 1997). General1y, mechanical properties for both con­
Properties of welded wire fabric for various peri­ crete and reinforcing steel can be established from
ods of construction can be obtained from the Wire combined cme and specimen sampling at similar loca­
Reinforcement Institute. tions, followed by laboratory testing. eore drilling
Documentation of properties and grades of mate­ should minimize damage of the existing reinrorcing
rial used in component and connection construction is steel as much as is practicable.

146
 ASCE/SEI41-06

6.2.2.1.2 Nominal or Specified Properties Nominal examined for physical condition as specified in
material properties, or properties specitied in construc­ Section 6.2.3.2.
tion documents, shall be taken as lower-bound mate­ If the determination ol' material properties is
rial properties. Corresponding expected material prop­ accomplished through removal and testing of samples
erties shall be calculated by multiplying lower-bound for laboratory analysis, sampling shall take place in
values by a factor taken from Table 6-4 to translate primary gravity- and lateral- force-resisting compo­
from lower-bound to expected values. Alternative nents in regions with the least stress.
factors shall be permiued where justified by test Where Section 6.2.2.4.1 does not apply and the
data. coefficient of variation is greater than 14%, the
expected concrete strength shall not exceed the mean
6.2.2.2 Component Properties minus one standard deviation.
The following component properties and as-built
conditions shall be established: 6.2.2.3.2 Sampling For testing of concrete material,
the sampling program shall consist of the removal of
l. Cross-sectional dimensions of individual compo­ standard cores. Core drilling shall be preceded by non­
nents and overall configuration of the structure; destructive location of the reinforcing steel, and core
2. Contiguration of component connections, size of holes shall be located to minimize damage to or
anchor bolts, thickness of connector material, drilling through the reinforcing steel. Core holes shall
anchorage and interconnection of embedments, be filled with concrete or grout of comparable
and the presence of bracing or stifl'ening strength. If conventional reinforcing and bonded pre­
components; stressing steel are tested, sampling shall consist of me
3. Modifications to components or overall configura­ removal of local bar segments and installation of
tion of the structure; replacement spliced material to maintain continuity of
4. Current physical condition of components and con­ the rebar for transfer of bar force.
nections, and the extent ol' any deterioration pres­ Removal of core samples and performance of lab­
ent; and oratory destructive testing shall be permiued as a
5. Presence of conditions that influence building per­ method ol' determining existing concrete strength
formance. properties. Removal of core samples shall employ
the procedures contained in ASTM C42/C42M-03
C6.2.2.2 Component Properties (ASTM 2(03). Testing shall follow the procedures
Component properties may be needed to charac­ contained in ASTM C42/C42M-03, ASTM C39/
terize building performance properly in the seismic C39M-OI (ASTM 2(01), and ASTM C496-96 (ASTM
analysis. The starting point for assessing component 1996). Core strength shall be converted to in situ
properties and condition should be retrieval ol' avail­ concrete compressive strength (fe> by an approved
able construction documents. Preliminary review of procedure.
mese documents should be performed to identify pri­ Removal of bar or tendon length samples and per­
mary gravity- and lateral-force-resisting elements, sys­ formance of laboratory destructive testing shall be per­
tems, and their critical components and connections. miued as a method of determining existing reinforcing
In the absence of a complete set of building drawings, steel strength properties. The tensile yield strength
me design professional must perform a thorough and ultimate strength for reinforcing and prestress­
investigation of the building to identify these ele­ ing steels shall be obtained using the procedures con­
ments, systems and components as indicated in tained in ASTM A370-03 (ASTM 2003). Prestressing
Section 6.2.3. material s also shall meet the supplemental require­
ments in ASTM A4l6/A4l6M-02 (ASTM 2002),
6.2.2.3 Test Methods to Quantify Material ASTM A421/A421M-02 (ASTM 2002), or ASTM
Properties A722/A722M-98 (ASTM 2003), depending on mate­
rial type. Properties of connector steels shall be per­
6.2.2.3.1 General Destructive and nondestructive test miued to be determined by wet and dry chemical com­
methods used to obtain in-place mechanical properties position tests, and by direct tensile and compressive
of materials identitied in Section 6.2.2.1, and compo­ strength tests as specified by ASTM A370-03. Where
nent properties identified in Section 6.2.2.2 shall com­ strengths of embedded connectors are required, in situ
ply with the requirements of this section. Samples of testing shall satisfy the provisions of ASTM E488-96
concrete and reinforcing and connector steel shall be (ASTM 2003).

147
SEISMIC REHABILlTATION OF EXISTlNG BUlLDINGS

C6.2.2.3 Test Methods to Quantify Material The design professional (and subcontracted test­
Properties ing agency) should carefully examine test results to
ACI 318 (ACI 2(02) and FEMA 274 (FEMA verify that suitable sampling and testing procedures
1997) provide further guidance on correlating core were folJowed and that appropriate values ror the
strength to in-place strength and provide references for analysis were selected from the data.
various test methods that may be used to estimate
material properties. The chemical composition may 6.2.2.4.1 Comprehensive Testing Unless specified oth­
also be determined from the retrieved samples. FEMA erwise, a minimum of three tests shall be conducted to
274 provides references for these tests. determine any property. If the coefficient of variation
Usually, the reinforcing steel system used in the exceeds 14%, additional tests shall be performed until
construction of a specific building is of a common the coefficient of variation is equal to or les s than
grade and strength. Occasionally, one grade of rein­ 14%.
forcement is used for small-diameter bars (e.g., those
used for stirrups and hoops) and another grade for 6.2.2.4.2 Concrete Materials For each concrete ele­
large-diameter bars (e.g., those used for longitudinal ment type (such as a shear wall), a minimum of three
reinforcement). Furthermore, it is possible that a num­ core samples shall be taken and subjected to compres­
ber of difIerent concrete design strengths (or "elasses") sion tests. A minimum of six total tests shall be per­
have been employed. Historical research and industry formed on a building for concrete strength determina­
documents also contain insight on material mechanical tion, subject to the limitations 01' this section. If vary­
properties used in difIerent construction eras. ing concrete elasses/grades were employed in the con­
struclÍon of the building, a minimum of three samples
6.2.2.4 Minimum Number 01 Tests and tests shall be performed for each elass. The modu­
Materials testing is not required if material proper­ lus of elasticity shall be permitted to be estimated
ties are available from original construction documents from the data of strength testing. Samples shall be
that inelude material test records or material test reports. taken from randomly selected components critical to
The minimum number of tests necessary to structural behavior of the building. Tests al so shall be
quantify properties by in-place testing for comprehen­ performed on samples from components that are dam­
sive data collection shall be as specified in Sec­ aged or degraded, if such damage or degradation is
tions 6.2.2.4.1 through 6.2.2.4.4. The minimum identitied, to quantify their condition. Test results shall
number of tests for usual data collection shall be as be compared with strength values specitied in the con­
specitied in Section 6.2.2.4.5. If the existing gravity­ struction documents. If test values less than the speci­
or lateral-force-resisting system is being replaced fied strength in the construclÍon documents are found,
in the rehabilitation process, material testing shall be further strength testing shall be performed to deter­
required only to quantify properties of existing materi­ mine the cause or identify the extent of the condition.
als at new connection points. The minimum number of tests to determine com­
pressive and tensile strength shall conform to the fol­
C6.2.2.4 Minimum Number 01 Tests lowing criteria:
In order to quantify in-place properties accurately, For concrete elements for which the specitied
it is important that a minimum number of tests be con­ design strength is known and test results are not avail­
ducted on primary components of the lateral-force­ able, a minimum of three cores/tests shall be con­
resisting system. The minimum number of tests is dic­ ducted for each floor level, 400 yd 3 of concrete, or
tated by the data available from original construction, 10,000 sf of surface area, whichever requires the most
the type of structural system employed, the desired frequent testing; and
accuracy, and the quality and condition of in-place For concrete elements for which the design
materials. The accessibility of the structural system strength is unknown and test results are not available,
may also intluence the testing program scope. The a minimum of six cores/Lests shall be conducted for
focus of this testing shall be on primary lateral-force­ each tloor level, 400 yd 3 01' concrete, or 10,000 sf of
resisting components and on specific properties surface area, whichever requires the most frequent
needed for analysis. The test quantities provided in testing. Where the results indicate that different elasses
this section are minimum numbers; the design profes­ 01' concrete were employed, the degree 01' testing shall
sional should determine whether further testing is be increased to contirm class use.
needed to evaluate as-built conditions. Quantification of concrete strength via ultrasonics
Testing generally is not required on components or other nondestructive test methods shall not be sub­
other than those of the lateral-rorce-resisting system. stituted for core sampling and laboratory testing.

148
 ASCElSET 41-06

C6.2.2.4.2 Concrete Materials lJltrasonics and non de­ pIes of each differenl concrele slrength used in the
struclive test methods should not be substituted for conslruction of the building, with a minimum ol'
cme sampling and laboratory testing since they do not three cores taken ror the enlire building;
yield accurate strength values directly. 2. If the specified design strength ol' the concrete is
not known, at least one core shall be laken from
6.2.2.4.3 Conventional Reinforcing and COl/necto/'
each type of component, with a minimum 01' síx
Steels The minimum number of tests required 10 deler­
cores taken for the entire building;
mine reinforcing and conneclor steel strength proper­
3. If the specified design strength of the reinforcing
lies shall be as 1'ollows. Connector steel shall be
steel is known, use of nominal or specified material
detined as addilional slruclural steel or miscellaneous properties shall be permitted without additional
metal used lo secure precasl and other concrele shapes
testing; and
lo the building structure. Tests shall determine both
4. If Ihe specitied design strength of the reinforcing
yield and ultimate slrengths 01' reinforcing and connec­
sleel is nol known, al least two strength coupons of
lor steel. A mínimum of three tensile tests shall be
reinforcing steel shall be removed from the build­
conducted on conventional reinforcíng steel samples
ing for testing.
1'rom a building for strength determination, subject to
lhe 1'ollowing supplemental conditions: C6.2.2.4.5 Usual Testing For other material properties,
such as hardness and ductilily, no minimum number 01'
l. lf original construction documents detining proper­
lests is prescribed. Simílarly, standard test procedures
ties existo at least three strength coupons shall be
may not exist. The design professional should examine
randomly removed from each element or compo­
the particular need ror Ihis type of testing and establish
nent type and tested; and
an adequate protocol.
2. lf original construction documents defining proper­
líes do not exisl bUl the approximate date of con­ 6.2.2.5 DeJault Properties
struction is known and a common material grade is Use 01' default material properties to determine
contirmed, at least three strenglh coupons shall be component strengths shall be permitted in conjunction
randomly removed from each element or component with the linear analysis procedures of Chapter 3.
Iype l'or every Ihree floOl's of the building. Tf the date Default lower-hound concrete compressive
of construction is unknown, at least six 8uch samples/ strengths shall be taken from Table 6-3. Default
tests, for every three tloors, shall be performed. expected concrele compressive strengths shall be
AH sampled steel shall be replaced with new fully determined by multiplying lower-bound values by an
spliced and connected malerial unless an analysis con­ appropriate factor selected from Table 6-4 unless
firms that replacement of original components is nol another factor is justified by test dala. The appropriale
required. default compressive strength-Iower-bound or
expecled strength, as specitied in Section 2.4.4-shall
6.2.2.4.4 Prestressing Steels The sampling of pre­ be used lo establish olher strength and performance
slressing steel tendons for laboratory testing shall be characteristics for lhe concrete as needed in the slruc­
required only for those prestressed components Ihat lural analysis.
are a pan of the lateral-force-resisting system. Default lower-bound values for reinforcing sleel
Prestressed components in diaphragms shall be permit­ shall be taken from Table 6-1 or 6-2.
led 10 be excluded l'rom testing. Default expected strenglh vaJues 1'01' reinforcing
Tendon or prestress removal shall be avoided il' sleel shall be determined by multiplying lower-bound
possible by sampling of either Ihe tendon grip 01' the values by an appropriate factor seJected from Table 6-4
extension beyond the anchorage. unless another faclor is justitied by test data. Where
AH sampled prestressed sleel shall be replaced default values are assumed for existing rein1'orcing
with new l'ully connected and stressed material and sleel, welding or mechanical coupling 01' new re­
anchorage hardware unless an analysis conl1rms Ihat inforcement to Ihe exisling reinforcíng steel shall
replacement of original components is not required. nol be used.
The defauh lower-bound yield strength for steel
6.2.2.4.5 Usual Testing The minimum number of tests
connector material shall be taken as 27,000 psi. The
lO determine concrete and reinforcíng steel material
defauIt expected yield strength for steel conneclor
properties for usual data collection shall be based on
material shall be determined by multiplying lower­
the following criteria:
bound values by an appropriale factor selected from
l. If the specified design strength 01' the concrele is Table 6-4 unless another value is justífied by test
known, al leasl one core shall be laken from sam- data.
149
SEISMIC REHABILlTATION OF EXISTING BUILDlNGS

Table 6-1. Default Lower-Bound Tensile and Yield Properties of Reinforcing for Various Periods l

StructuraF Intermediate2 Hard 2

Grade 33 40 50 60 65 70 75
Minimum YieJd2 (psi) 33,000 40,000 50,000 60,000 65,000 70,000 75,000

Year Mínimum Tensile 2 (psi) 55,000 70,000 80,000 90,000 75,000 80,000 100,000

1911-1959 x x x x
1959-1966 x x x x x x x
1966-1972 x x x x x
1972-1974 x x x x x
1974-1987 x x x x x
1987- Present x x x x x X

1An entry al' "x" indicaIes the grade was available in those years.
'The terms SlruclUral, Intenl1ediate, and Hard became obsolete in 1968.

Table 6-2. Default Lower-Bound Tensile and Yield Properties of Reinforcing for
Various ASTM Specifications and Periods·

Structural' Intermediateí Hard í

ASTM
Grade 33 40 50 60 65 70 75
Minimum
Yíeld
(psi) 33,000 40,000 50,000 60,000 65,000 70,000 75.000
Minimum
ASTM Steel Year Tensile
55,000 70,000 80,000 90.000 75,000 80,000 100,000
Al; Bitlel 1911-1966 x x x
AJ6 Raíl4 1913-1966 x
A61 Raíl· 1963-1966 x
AI60 Axle 1936-1964 x x x
AI60 Axle 1965-1966 x x x x
Allí5 WWF I936-Present x
M08 Billet 1957-1966 x x x
A431 Billet 1959-1966 x
M32 Billet 1959-1966 x
A497 WWF 1964-Present x
A615 Billet 1968-1972 x x x
A615 BiI1e. 1974-1986 x x
A615 BiI1et 1987 - Presenl x x x
A616' Raíl' 1968-Present
A617 Axle 1968 - Present x x
A706 Low- 1974 - Presenl x x
Allay
A955 Slmnless 1996- Presenl x x x

1An entry of "x" indicates the grade was available in those yeat·s.
2The terms Structural. Intermediate, and Hard hecame obsolele in 1968.
)ASTM steel is marked with lhe leuer W."
4Raíl bars are marked with the leuer "R."
5Bars marked "s!" (ASTM 616) have supplementary requirements for hend tesIs.
6ASTM A 706 has a minimum tensile strength 01' 80 ksi. but not less than 1.25 times the actual yield slrength.

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 ASCE/SEI 41-06

Table 6-3. DeCault Lower-Bound Compressive Strength oC Structural Concrete (psi)

Time Frame Footings Beams Slabs Columns Walls

1900-\919 1,000-2,500 2,000-3,000 \ ,500-3,000 \ ,500-3,000 \ ,000-2,500
\920-1949 1,500-3,000 2,000-3,000 2,000-3,000 2,000-4,000 2,000-3,000
1950-1969 2,500-3,000 3,000-4,000 3,000-4,000 3,000-6,000 2,500-4,000
1970- Present 3,000-4,000 3,000-5,000 3,000-5,000 3,000-1,0000 3,000-5,000

Table 6-4. Factors to Translate Lower-Bound 6.2.3 Condition Assessment

Material Properties to Expected Strength
Material Properties 6.2.3.1 General
A condition assessment of lhe existing building
Material Property Factor and sile condilions shall be performed as specified in
lhis seclion.
Concrete Compressive Strength 1.50
The condilion assessmenl shall inelude the following:
Reinforcing Stee\ Tensile and Yield Strength 1.25
Connector Steel Yield Strength 1.50 l. The physical condilion of primary and secondary
components shall be examined and the presence of
any degradation shall be nOled;
2. The presence and configuralion of components and
their conneclions, and lhe continuity of load paths
between components, elements, and syslems shall
Default values for prestressing steel in prestressed be verified or eSlablished;
concrete construction shall not be used. 3. Other condilions, including neighboring party walls
and buildings, presence of nonslructural compo­
nenls, prior remodeling, and limitations for rehabil­
C6.2.2.5 Default Properties ilalion lhal may intluence building performance
Default values provided in this standard are shall be reviewed and documented;
generally conservative. While the strength of reinforc­ 4. Information needed lo select a knowledge factor in
ing steel may be fairly consistent throughout a build­ accordance wilh Section 6.2.4 shall be obtained; and
ing, the strength of concrete in a building could be 5. Componenl orienlation, plumbness, and physical
highly variable, given variability in concrete mix dimensions shall be confirmed.
designs and sensitivity to water/cement ratio and cur­
ing practices. It is recommended to conservatively 6.2.3.2 Scope and Procedures
assume the minimum value of the concrete compres­ The scope of the condition assessment shall
sive strength in the given range unless a higher inelude aH accessible slructural componenls involved
strength is substantiated by construction documents, in laleral load resislance.
lest reports, or material testing; it would be conserva­
uve lO assume the maximum value in a given range C6.2.3.2 Scope and Procedures
where dctermining the force-controlled actions on The degree to which the condition assessment is
olher components. performed will affect the knowledge factor (K) as
Until about 1920, a variety of proprietary rein­ specified in Section 6.2.4.
forcing steels was used. Yield strengths are likely to be
in the range of 33,000 to 55,000 psi, but higher values 6.2.3.2.1 Visual Conditioll Assessment Direct visual
are possible and actual yield and tensile strengths may inspection of accessible and representative primary
exceed minimum values. Once commonly used to des­ components and connections shall be performed to
ignate reinforcing steel grade, the terms structural, identify any configurational issues, determine whether
intermediate, and hard became obsolete in 1968. Plain degradation is present, establish continuity of load
and twisted square bars were sometimes used between palhs, establish the need for other test melhods to
1900and 1949. quantify the presence and degree of degradation, and
Factors to convert default reinforcing steel measure dimensions of existing constructÍon to com­
slrength to expected strength inelude consideration of pare with available design information and reveal any
malerial overstrength and strain-hardening. permanent deformalÍons.

15\
SEISMIC REHABILITATION OF EXISTING BUILDlNGS

Visual inspection of the building shall inelude vis­ lhe concrete. Further guidelines and procedures for
ible portions of foundations, lateral-force-resisting deslruclÍve and nondestructive tests that may be used
members, diaphragms (slabs), and connections. As a in lhe condition assessment are provided in FEMA
minimum, a representative sampling of at leasl 20% of 274 (FEMA 1997) and FEMA 306 (FEMA 1998). The
lhe components and connections shall be visually following paragraphs identify those nondestructive
inspected at each tloor leve\. If significant damage or examination (NDE) methods having the greatest use
degradation is found, the assessment sample of aH crit­ and applicabilily to condition assessment.
ical componenls of similar type in the building shall
• Surface NDE methods inelude infrared thermogra­
be increased to 40%.
phy, delamination sounding, surface hardness meas­
If coverings or olher obstructions exist, parlial
urement, and crack mappíng. These methods may be
visual inspeclion through lhe obstruclion, using drilled
used lo find surface degradation in components such
holes and a tiberscope, shall be permitted.
as service-induced cracks, corrosion, and construc­
tion defects.
6.2.3.2.2 Comprehensive Co\ndition Assessment Expo­
• Volumetric NDE methods, including radiography
sure is defined as local minimized removal 01' cover
and ultrasonics, may be used to identify the presence
concrete and olher malerials lo allow inspeclion of
of internal discontinuities, as well as to identify loss
rein1'orcing syslem details. AIl damaged concrete cover
of section. Impact-echo ultrasonics is particularly
shall be replaced after inspeclion. The tollowing crite­
useful because oí" case of implementation and
ria shall be used for assessing primary connections in
proven capability in concrele.
lhe building for comprehensive data collection:
• Structural condition and performance may be
l. If delailed design drawings exist, exposure of at assessed through on-Hne monitoríng using acoustic
least three differcnt primary connections shall emíssíons and slrain gauges, and in-place static or
oceur, with the conncclion sample ineluding differ­ dynamic load tests. Monitoring is used 10 determine
ent types 01' conneclions. Jf no deviations from Ihe if active degradation or de1'ormations are occurring,
drawings CXiSI, il shall be permilted to consider lhe whíle nondestructive load tesling provides direct
sample as being representative of installed condi­ insight on load-carrying capacily.
lions. If devialions are noted, then al least 25% of • Locating, sizing, and initial assessment of the rein­
the specitic connectíon type shall be ínspected lo forcing steel may be completed using electromag­
ídentify lhe extenl of devíation; and netic methods (such as a pachometer) 01' radiogra­
2. In the absence of delaíled desígn drawings, at least phy. Further assessment of suspected corros ion
lhree conneclions of each primary connectíon type actívity should use electrical half-cell potential and
shall be exposed for ínspection. If common delaíl­ resistivity measuremems.
ing among lhe three connections is observed, it • Where it is absolutely essential, the leve\ 01' prestress
shal1 be permiued 10 consider lhis condition as rep­ remaining in an unbonded prestressed system may
resentative of installed conditions. If variations are be measured using lift-off testíng (assuming original
obscrved among like connections, additional con­ design and installation dala are available), 01' another
nections shall be inspected until an accurate under­ nondestructive method such as "coring stress relief'
standing of building conslruction is gained. specified in ASCE lI (ASCE 1999).

6.2.3.2.3 Additional Testing If additional destruclive

6.2.3.3 Basis for Ihe Mathematical Buildillg Model
and nondestructive testing are required to determine
The results 01' the condition assessment shall be
the degree of damage or presence oí' delerioralion or to
used to quantify the following items needed to creme
undersland lhe internal condition and quality 01' con­
the mathemalical building model:
crete, approved test methods shall be used.
l. Componenl section properties and dimensions;
C6. 2.3.2. 3 Additional Testing The physical condition 2. Component configuration and the presence of any
of componems and connectors will af1'ecl lheir per­ ecccntricities or permanenl delormation;
formance. The need to accurately idemify lhe physical 3. Connection configuration and Ihe presence of any
condition may also dictate lhe need ror certain addi­ eccentricities;
tíonal destructive and nondestructive test merhods. 4. Prcsence and effect 01' alterations to the struclural
Such methods may be used 10 determine Ihe degree of system since original conslruction; and
damage or presence of delerioration, and lo improve 5. Interaction of nonstructural components and their
understanding of the internal condilion and qualíty of involvement in lateral load resislance.

152
 ASCElSEI41-06

AII deviations between available construction C6.3.J.1 General Approach

records and as-buih conditions obtained from visual Briule or low-ductility failure modes typically
inspection shall be accounled for in the slructural inelude behavior in direct or nearly-direct compres­
analysis. sion, shear in slender components and in component
Unless concrete cracking, reinforcing corrosion, connections, torsion in slender components, and rein­
or other mechanisms are observed in the condition forcement development, splicing, and anchorage. It is
assessment to be causing damage or reduced capacity, recommended that the stresses, forces, and moments
the cross-scctionaJ area and other sectionaJ properties acting lo cause these 1'ailure modes be determined
shall be taken as those from the design drawings. If from a limit-state analysis considering probable resis­
sorne sectional material loss has occurred, the loss tances at locations of nonlinear action.
shall be quanlitied by direct measurement and sec­
tional properties shall be reduced accordingly, using 6.3.1.2 Stiffness
principIes of structural mechanics. Component stiffnesses shaU be caIculated consid­
ering shear, flexure, axial behavior, and reinforcement
6.2.4 Knowledge Factor slip deformations. Consideration shaU be given to the
A knowledge factor, K, for computation of state 01' stress on the componenl due to volumetric
concrete component capacities and permissible changes from temperature and shrinkage, and lo defor­
deformations shall be selected in accordance with mation levels lo which the component will be sub­
Section 2.2.6.4, with the following additional require­ jected under gravity and earthquake loadíng.
menls specitic to concrete components.
A knowledge factor, K, equal to 0.75 shall be used C6.3.1.2 Stiffness
if any of the folJowing criteria are me!: For columns with low axial loads, deformations
due to bar slip can account for as mueh as 50% 01' the
l. Components are found damaged or deteriorated total deformations at yield. The design protessional is
during assessment, and further tesling is not per­ referred to Elwood and Eberhard (2006) 1'or 1'urther
formed to quantify lheir condition or justify the use guidance regarding caJculation 01' effective stiffness 01'
of K = 1.0; rein1'orced concrete columns to inelude the e1'1'ects 01'
2. Component mechanical properties have a coetIí­ flexure, shear, and bar slip.
cienl of variadon exceeding 25%; and
3. Componenls contain archaic or proprielary malerial 6.3.1.2.1 Linear Procedures Where design actions are
and the condition is uncertain. determined using the linear procedures of Chapter 3,
component etfeclive stiffnesses shalJ correspond to the
secant value to the yield point of the componen!. The
6.3 GENERAL ASSUMPTlONS AND use 01' higher stiffnesses shall be permiUed where it is
REQUIREMENTS demonstrated by analysis lO be appropriate for the
design loading. Alternatively, the use of effective stiff­
6.3.1 Modeling and Design ness values in Table 6-5 shall be permitted.

6.3.1.1 General Approach 6.3.1.2.2 Nonlinear Procedures Where design actions

Seismic rehabililation of concrete structural com­ are determined using the nonlinear procedures of
ponents of existing buildings shall comply with the Chapter 3, component 10ad-de1'ormation response
requirements of ACI 318 (ACI 2002), except as mher­ shalJ be represented by nonlinear load-deformation
wise indicated in this standard. Seismic evaluation relations. Linear relations shall be permitted where
shaIl identify brittle or low-ductílity failure modes of nonJinear response will not occur in the component.
force-controlled actions as defined in Section 2.4.4. The nonlinear Joad-de1'ormation relation shall be
Evaluation of demands and eapacities 01' rein­ based on experimental evidence or taken 1'rom quanti­
forced concrete components shaIl inelude considera­ líes specitied in Sections 6.4 through 6.12. For the
ñon 01' locations along the length where lateral and Nonlinear Static Procedure (NSP), use of the general­
gravity loads produce maximum ef1'ects, where ized load-de1'omlation relalion shown in Fig. 6-1
changes in cross section or rein1'orcement result in or other curves detlning behavior under monotoni­
reduced strength, and where abrupt changes in cross caJly increasing deformation shaU be permilted. For
sectÍon or reinforcement, including splices, may pro­ Ihe Nonlinear Dynamic Procedure (NDP), load­
duce stress concentrations, resulting in premature deformalion reJations shall define behavior under
failure. monotonicalJy increasíng lateral deformation and

153
SElSMIC REHABILlTATION OF EXlSTING BUILDINGS

Table 6-5. Effective Stiffness Values'

Component Flexura} Rigidity Shear Rigidity Axial Rigídity

Beams-Non-prestressed O.5E,Ig OAE,A w

Beams- Prestressed EJg OAE,A w
Columns with Compression Due 10 Design Gravily Loads ;?: O.5Ag!' e O.7E)g OAE,A w
Columns with Compression Due 10 Design Gravily O.5EJg OAE,A..
Loads :S O.3A g!" or wilh Tension
Walls-Uncracked (on inspection) O.8EJg O.4E,A..
Walls-Cracked O.5E,Ig O.4E,A..
Flal Slabs-Non-prestressed See Section 6.5.4.2 O.4E,A g
Flat Slabs-Preslressed See Section 6.5.4.2 OAE,A g

I Jt shall be pennitted 10 take Ig for T-beams as twice the value of l. of the web alooe. Otherwise, 1, shall be based 00 the effective width as defioed
in Section 6.3.1.3. For columns with axial compression falling between the Iímits provided, linear interpolation shall be pcrmittcd. Altematively,
the more conservative effective stiffoesses shall be used.

~----------e --------------~

1----- d -----1
1.0
1.0
B e
B e

Li
(J or Li h
(a) Deformation (b) Deformation ratio
FIGURE 6-1. Generalized Force-Deformation Relations for Concrete Elements or Components.

under multiple reversed deformalion cycles as speci­ deformalíon relalion by poinls A, B, and C only (ralher
fied in Seclion 6.3.2.1. Ihan all poinls A-E) shall be permitted jf the calcu­
The generalized load-deformation relation shown laled response does nol exceed point C. Numerical
in Fig. 6-1 shalJ be described by linear response from values for the points identitied in Fig. 6-1 shall be as
A (unloaded component) lo an effective yield B, then a specified in Sections 6.4 through 6.12. Othcr
linear response al reduced stiffness from poinl B to C, load-deformation relations shaIl be permiued ifjusli­
lhen sudden reduction in lateral load resistance to fied by experimental evidence or analysis.
point D, lhen response al reduced resislance lo E, and
final loss of resistance thereafter. The slope from C6.3./.2.2 Nonlinear Procedllres Typically, Ihe
point A lo B shall be determined according lo Sec­ responses shown in Fig. 6-1 are associated wÍlh flex­
lion 6.3.1.2.1. The slope from poinl B lo C, ignoring ural response or tension response. In this case, the
effecls of gravity loads aCling Ihrough lateral displace­ resistance al Q/Qy 1.0 is the yield value, and subse­
ments, shall be taken between zero and 10% of the ini­ quent strain-hardening accommodales strain hardening
lial slope unless an aIternate slope is juslified by in (he load-deformation relation as Ihe member is
experiment or analysis. Poinl C shall have an ordinate deformed toward Ihe expected strength. Where Ihe
equal to Ihe strength of (he component and an abscissa response shown in Fig. 6-1 is associated wilh com­
equal lo the deformalion al which significant strength pression, (he resislance at Q/Qy 1.0 typically is
degradation begins. Representation of the load­ the value al which concrete begins lo spaIl, and

154
 ASeE/SEI 41-06

strain-hardening in well-contined sections may be width of the web shaIl be assumed ineffective in resist­
associated with strain-hardening of the longitudinal ing shear.
reinforcement and the confined concrete. Where lhe In walls, effective flange width shall be in accor­
response shown in Fig. 6-1 is associated with shear. dance with Chapter 21 of ACI 318 (ACI 2002).
the resistance at Q/Qy = 1.0 lypically is the value at
which Ihe design shear strenglh is reached, and no
6.3.2 Strength and DeformabUity
slrain-hardening follows.
'fhe deformalÍons used for lhe load-deformalion
6.3.2.1 General
relaLion of Fig. 6-1 shall be defined in one of lwo
Actions in a strllcture shall be classitied as being
ways, as follows:
either deformation-controlled or force-controlled,
l. Deformation, or Type I. In this curve, detorma­ as defined in Section 2.4.4. Design strengths for
¡ions are expressed direcdy using terms such as deformation-controlled and force-controIled aClions
strain, curvature, rotation, or elongation. 'fhe shall be calculated in accordance with Sections 6.3.2.2
parameters a and b shall refer lo lhose pOrlions of and 6.3.2.3, respectively.
the deformalÍon Ihal occur after yield; thal is, the Components shall be classified as having low,
plastic deformation. 'fhe parameler e is the reduced moderate, or high duclility demands according lo
resislance after the sudden reducLion fmm e to D. Section 6.3.2.4.
ParameLers a, b, and e are detlned numerically in Where strength and deformation capacities are
various tables in this chapter. AIternatively, it shaIl derived from test data, lhe tests shalI be representative
be permitted to determine the parameters a, b, and oí' proportions, details, and stress levels for the compo­
e direcdy by analytical procedures juslitied by nent and comply with requirements specified in
experimental evidence. Section 2.8.1.
2. Deformation Ratio, or Type 11. In this curve, The strenglh and deformation capacÍties of con­
deformalions are expressed in lerms such as shear crete members shall correspond to values resulting
angle and langenlial drift ralio. 'fhe paramelers d 1'mm earthquake loadings involving three fully
and e refer lo total deformations measured from the reversed cycJes lo lhe design deformation level unless
origino Parameters e, d, and e are defined numeri­ a larger or smaller number ol' deformation cycles is
cally in various tables in lhis chapler. Alternatively, determined considering earthquake duration and lhe
il shall be permiued 10 determine lhe parameLers e, dynamic properties 01' the structure.
d, and e directly by analylical procedures justified
by experimental evidence. C6.3.2.1 General
Strengths and deformation capacities given in this
Provisions for determining alternative modeling chapter are for earthquake loadings involving three
paramelers and acceptance crítería based on experi­ l'ulIy reversed de1'ormation cycles to the design defor­
mental evidence are given in Sectíon 2.8. malÍon levels, in addition to similar cycles to lesser
deformation levels. In some cases-including sorne
6.3.1.3 Fkmged Construction short-period buildings and buildings subjecled to a
In beams consisting of a web and t1ange that act long-duration design earthquake-a building may be
integrally, the combined stiffness and strength for t1ex­ expected to be subjected to additional cycles lo the
ural and axial loading shaIl be calculated considering design de1'ormation levels. 'fhe ¡ncreased number 01'
a width of etl'ective tlange on each side of the web cycles may lead to reductions in resistance and defor­
equal to the smaller of: (1) the provided t1ange widlh; mation capacity. 'fhe effects on strength and deforma­
(2) eight times the tlange thickness; (3) hall' the dis­ tÍon capacity of addilionaJ deformatiun cycles should
tance lo the next web; or (4) one-tifth of the span for be considered in designo Large earthquakes will cause
beams. Where the tlange is in compression, bolh the additional cycles.
concrete and reinforcement within lhe effective width
shaIl be considered effective in resisting tlexure and 6.3.2.2 Deformation.Controlled Actions
axial load. Where lhe t1ange is in tension, longitudinal Strengths used tor deformation-controlled actions
reinforcement within the effective width and what is shall be taken as equal lO expected strengths, QC¡;;'
developed beyond the critica) section shall be consid­ obtained experimentally, or calculated using accepted
ered fully effective for resisting flexural and axial principIes of mechanics. Expected slrengLh is defined
loads. The portion of the flange extending beyond lhe as the mean maximum resistance expected over the

155
SEISMIC REHABILlTATION OF EXISTING BUILDINGS

range ol' deformations to which the concrete compo­ Table 6-6. Component Ductility
nem is Iikely to be subjected. Where calculations are Demand Classiflcation
used to define expected strength, expected material
properties shall be used. Unless other procedures are Maximum Value of DCR 01'
specítied in this standard, procedures specitied in Displacement DlIclility Descriptor
ACI 318 (ACI 2002) to calculate design strengths shall
<2 Low DucLility Demand
be permined except that the strength reduction faclor,
2 to 4 Moderale Duclilily Demand
cp , shall be talcen equal to unity. Deformation capaci­ >4 High Ductility Demand
ties ror acceptance of deformation-conlrolled actions
calculated by nonlinear procedures shall be as speci­
tied in Sections 6.4 to Section 6.12. For components calculated according lO lhe procedures of ACI 318
conslructed 01' lightweight concrete, QCE shall be mod­ (ACI 2002) or by other approvcd melhods. Slrenglhs
iticd in accordance with ACI 318 procedures for lighl­ and deformation capacities of components with mono­
weighl concrete. lilhic tlanges shall be calculated considering concrete
and developed longitudinal reinforcement within the
C6.3.2.2 DeformatiOl,-Controlkd Actwns effective ilange widlh as detined in Seclion 6.3.1.3.
Expected yield strenglh of reinl'orcing steel, as Strength and deformation capacilies shall be
specitied in this standard, ineludes consideration of determined considering available development of lon­
material overstrength and strain-hardening. gitudinal reinforcement. Where longitudinal reinforce­
ment has embedment or developmcnt lenglh Ihat is
6.3.2.3 Force-Controlkd ActiollS insuflicient ror development of reinforcement slrength,
Strenglhs used for force-controlled actions shall flexural strenglh shalJ be calculatcd based on limiling
be taken as lower-bound strengths, QCL' obtained stress capacity ol' the embedded bar as delined in
experimentally, or calculated using established princi­ Section 6.3.5.
pIes of mechanics. Lower-bound strength is detined as Where Ilexural deformalion capacities are caIcu­
the mean minus one standard deviation of resislance lated from basic principIes 01' mechanics, reductions in
expected over the range of del'ormations and loading deformation capacity due to applíed shear shall be
cyeles to which the concrete component is likely lo be talcen into consideration. Where using analytical mod­
subjecled. Where calculations are used to define els for tlexural deformability lhat do not directly con­
lower-bound slrengths, lower-bound eSlimales of mate­ sider effect 01' shear, and where design shear equals or
rial properties shall be used. Unless other procedures exceeds 6v'J: Al.' wheret' is in psi and Al! is gross
are specitied in this slandard, procedures specitíed in area 01' web in in. 2, the design value shall not exceed
ACI 318 (ACI 2002) to calculale design strengths shall 80% 01' the value calculated using the analytical
be permitted, except that the strength reduction factor, modeL
4>, shaIl be taken equal to unity. For components con­ For concrete columns under combined axial load
structed of lightweight concrete, QCL shall be moditied and biaxial bending, the comhined strenglh shall be
in accordance with ACI 318 procedures for light­ evaluated considering biaxial bending. Where using
weight concrete. linear procedures, the design axial load, P ilF, shall be
calculated as a force-conlrolled action in accordance
6.3.2.4 Component Ductility Demand Classification with Section 3.4. The design momenls, M ilD , shall be
Where procedures in Ihis chapter require classifi­ calculated about each principal axis in accordance
cation ol' component ductility demand, componems with Section 3.4. Acceplance shall be based on the
shall be c1assitied as having low, moderate, or high folIowing equation:
ductility demands, based on the maximum value ol' the
demand capacity ratio (DCR) defined in Section 2.4.1
(Eq.6-1)
for linear procedures, or the caJculated displacement
ductility ror nonlinear procedures in accordance with
where
Table 6-6.
M ilDx design bending moment about x-axis l'or axial
6.3.3 Flexure and Axial Loads load P ilF, kip-in.;
F1exural slrength and deformation capacity of M UDY design bending momenl about y-axis for axial
members with and wilhout axialloads shall be load PUF' lcip-in.;

156
 ASCFlSEI 41-06

M CEJ. = expected bending moment strength about e1astic response such as the provisions in Chapter 11
x-axis, kip-in.; of ACl 318 shall be permitted.
M CEy = expected bending moment strength about Where the longitudinal spacing of transverse rein­
y-axis, kip-in.; forcement exceeds hall' the component effective depth
m, = m-factor for column for bcnding about x-axis measured in the direction of shear, transverse rein­
in accordance with Table 6-12; and forcement shall be assumed not more than 50% etTec­
m)' = m-factor for column for bending about y-axis tive in resisting shear or torsion. Where the longitudi­
in accordance with Table 6-12. nal spacing of transverse reinforcement exceeds the
component effective depth measured in the direction
Alternative approaches based on principIes of of shear, transverse reinforcement shall be assumed
mechanics shall be permitted. ineffeclÍve in resisting shear or torsion. For beams and
columns in which perimeter hoops are either lap­
C6.3.3 Flexure and Axial Loads spliced or have hooks lhat are not adequately anchored
Laboratory tests indicate lhat flexural deformabil­ in the concrete core, transverse reintorcement shall be
ity may be reduced as coexisting shear forces increase. assumed not more than 50% effeclÍve in regions of
As tlexural ductility demands increase, shear capacity moderate ductility demand and shall be assumed inef­
decreases, which may resuIt in a shear failure before fective in regions of high ductility demando
theoretical flexural deformation capacilies are reached. Shear friction strenglh shall bc ca1culated accord­
Caution should be exercised where flexura) deforma­ ing to ACI 318, taking into consideration the expected
tion capacities are determined by calculation. FEMA axial load due to gravity and earthquake eff'ccts.
306 (FEMA 1998) is a resource ror guidance regard­ Where rehabilitation involves the addition 01' concrete
ing the interaction between shear and tlexure. requiring overhead work with dry-pack, the shear fric­
tion coefficient, Ji, shall be taken as equal to 70% of
6.3.3.1 Usable Strain Limits the value specitled by ACI 318.
Wilhout contining lransverse reinforcemenr, the
maximum usable strain al lhe extreme concrete com­ 6.3.5 Development and Splices of Reinforcement
pression tiber shall not exceed 0.002 for components Development oí' straight bars, hooked bars, and
in nearly pure compression and 0.005 for other com­ lap-spliced bars shall be calculated according to the
ponents unless larger strains are substanliated by provisions of ACI 318 (ACI 2002), with the following
experimental evidence and approved by the authority moditicalÍons:
having jurisdiction. Maximum usable compressive
l. Deformed straight bars, hooked bars, and lap­
strains for confined concrete shall be based on experi­
spliced bars shall meet the dcvelopment require­
mental evidence and shall consider Iimítatíons posed
ments of Chapler 12 of ACI 318 except require­
by fracture 01' transverse reinforcement, buckling of
menls for lap splices shall be the same as lhose for
longitudinal reinforcement, and degradadon 01' compo­
straight development oí' bars in tension without
nent resistance at large deformation levels. Maximum
consideralÍon 01' lap splice c1assitications;
compressive strains in longitudinal reinforcement shall
2. Where exisling deformed straighl bars, hooked
not exceed 0.02, and maximum (ensile strains in longi­
bars, and lap-spliced bars do nol meet the develop­
tudinal reinforcement shall not exceed 0.05.
ment requirements 01' (1) aboye, the capacity of
existing reinforcement shall be ca1culated usíng
6.3.4 Shear and Torsion
Eq.6-2:
Strengths in shear and (orsion shall be caIculated
according to ACI 318 (ACI 20(2) except as moditied
in this standard. (Eq.6-2)
Within yielding regions of components with mod­
erate or high ductility demands, shear and torsional
strength shall be calculated according to procedures where.t = maximum stress that can be developed
for ductile components, such as the provisions in in the bar for the straight devc10pment, hook, or lap
Chapter 21 of ACI 318. Within yielding regions of splice length h provided;/y yield slrength of
components with low ductility demands and outside reinforcemenl; and Id = length required by Chap­
yielding regions for al! ductilíty demands, calculation ter 12 of ACI 318 for straight development, hook
of design shear strength using procedures for etTective development, or lap splice length, except required

157
SEISMIC REHABILITATION OF EXISTlNG BUlLDlNGS

splíce lengths may be taken as straight bar develop­ ensure design strengths are developed in
ment lengths in tensíon. Where transverse rein­ accordance with Section 6.3.
forcement is distributed along the development
length with spacing not exceeding one-third of the C6.3.5 Development and Splices oC ReinCorcement
effectíve depth 01' the component, it shaII be per­ Developmenl requirements in accordance wilh
mitted to assume lhe reinforcement retains the cal­ Chapter 12 of ACI 318 (ACI 2(02) will be applicable
culated maximum stress to high ductility demands. to development 01' bars in all components. Chapter 21
For larger spacings 01' transverse rein1'orcemenl, the 01' ACI 318 provides development requirements that
developed stress shall be assumed lo degrade from are only intended for use in yielding components of
f. al a ductilíty demand or DCR equal to 1.0 to 0.2f. reinforced concrete moment frames thal comply wilh
al a ductility demand or DCR equal to 2.0; the cover and continement provisions 01' Chapter 21.
3. Strength of deformed straight, discontinuous bars Chapter 12 permits reductions in Jengths if mini­
embedded in concrete sections or beam-column mum cover and confinement exist in an existing
joints, with clear cover over the embedded bar not component.
less than 3db , shall be calculated according lO Experimental tests by Melek and Wallace (2004)
Eq.6-3: and Lynn (2001) have demonstrated that lap splices
can achieve a higher flexural capacity than that calcu­
(Eq. 6-3) lated using the effective steel stress given in Eq. 6-2.
The possibility 01' a shear failure in lap-spliced
where columns may go undetected if the tlexural capacity ís
underestimated. Cho and Pincheira (2006) suggest an
f. = maximum stress (in psi) that can be devel­ alternative model for the effective steel stress in lap­
oped in an embedded bar having embedment splice bars which provides a beUer estimate of the
length 1, (in in.); mean tlexural strength observed in experimental tests.
db = diameter of embedded bar (in in.); and For buildings constmcted prior to 1950, the bond
J; = bar yield stress (in psi). strength developed between reinforcing steel and con­
crete may be less lhan present-day strength. Current
Where j, is less than 1;., and the calculated stress in equations for development and splices ol' reinforcement
the bar due to design loads equals or exceeds L the account l'or mechanical bond due to deformations pres­
maximum developed stress shall be assumed to ent in deformed bars in addition to chemical bond. The
degrade l'romJ: to 0.2f, at a ductility demand or length required lO develop plain bars will be much
DCR equal to 2.0. In beams with short bottom bar greater than that required for deformed bars, and will be
embedments into beam-column joints, flexural more sensitive 10 cracking in the concrete. Procedures
strength shall be calculated considering the stress for testing and assessment 01' tensile lap splices and
Iimitalion of Eq. 6-3; developmenllenglh of plain reinforcing sleel may be
4. For plain straight bars, hooked bars, and lap-spliced found in Evaluation 01 Reinlorcíng Steel Systems in Old
bars, development and splice lengths shall be taken Reinlorced Concrete Srructures (CRSI 1981).
as twice the values determined in accordance
wíth ACI 318 unless other lengths are justitied by
approved tests or calculations considering only the 6.3.5.1 Square Reinforcing Bars
chemical bond between the bar and the concrete; Square reinforcing bars in a building shall be clas­
5. Doweled bars added in seismic rehabilitation shall sitied as either twisted Of straight. The developed
be assumed to develop yield stress where all the strength 01' lwisted square bars shall be as specified for
following conditions are satislied: deformed bars in Scction 6.3.5, using an etl'ective
5.1. Drilled holes for dowel bars are cleaned with a diameter calculated based on the gross area 01' the
stiff brush that extends the length 01" lhe hoJe; square bar. Straight squal'e bars shall be considered as
and plain bars, and the developed strcngth shall be as
5.2. Embedment length le is not less than 10d,¡; amI specified 1'01' plain bars in Section 6.3.5.
5.3. Minimum spacing of dowel bars is not less
than 4/f and minimum edge distance is not 6.3.6 Connections to Existing Concrete
less than 2/e' Design values for dowel bars nO[ Connections used to connect two 01' more compo­
salisl'ying these conditions shall be verilied by nents shall be classitied according lo their anchoring
test data. Field samples shall be obtained 10 systems as cast-in-place 01' as posl-installcd.

158
 ASeE/SE! 41-06

6.3.6.1 Casi-In-Place Systems 6.4 CONCRETE MOMENT FRAMES

Component actions on cast-in-place connection
systems, including shear forces, tension torces, bend­ 6.4.1 Types of Concrete Moment Frames
ing moments, and prying actions, shall be considered Concrele moment trames shall be defined as ele­
force-controlled. Lower-bound strength of connections ments comprising primarily horizontal framing com­
shall be ultimate values as specified in an approved ponents (beams and/or slabs), vertical framing compo­
building code with <P = 1.0. nents (columns) and joints connecting horizontal and
The capacity of anchors placed in areas where vertical framing components. These elements resist
cracking is expected shall be reduced by a factor lateralloads acting alone, or in conjunction with shear
ofO.5. walls, braced frames, or other elements.
Frames that are cast monolithically, including
6.3.6.2 Drilled-In Anchors monolithic concrete frames created by the addition of
Component actions on drilled-in anchor connec­ new material, shall meet the provisions of this section.
tion systems shall be considered force-controlled. The Frames covered under this section inelude reinforced
lower-bound capacity of drilled-in anchors shall be concrete beam--<:olumn moment frames, prestressed
mean minus one standard deviation of ultimate values concrete beam--<:olumn moment frames, and slab--col­
published in approved test reports. umn moment frames. Precast concrete frames, con­
crete frames with infílls, and concrete braced frames
6.3.6.3 Quality Assurance shall meet the provisions of Sections 6.5, 6.6, and 6.9,
Connections between existing concrete compo­ respectively.
nents and new components added lO rehabilitate the
structure shall be subject to the quality assurance pro­ 6.4.1.1 Reinforced Concrete Beam-Column Moment
visions specified in Section 2.7. The design profes­ Frames
sional shall specify the required inspection and testing Reinforced concrete beam--<:olumn moment
of cast-in-place and post-instaIled anchors as part of frames shall satisfy the following conditions:
the Quality Assurance Plan.
L Framing components shall be beams (wilh or with­
out slabs), columns, and their connections;
6.3.7 Rehabilitation
2. Beams and columns shall be of monolitruc con­
struction that provides for moment transfer between
6.3.7.1 General Requirements
beams and columns; and
Upon determining that concrete components in an
3. Primary reinforcement in components contributing
existing building are deficient for the selected
lo lateral load resistance shall be nonprestressed.
Rehabilitation Objeclive, these components shall be
rehabilitated or replaced or the slructure shall be other­
Special Moment Frames, Intermediate Moment
wise rehabilitated so that the component is no longer
Frames, and Ordinary Moment Frames as defined in
deticient for the selected Rehabilitation Objective. 1f
ASCE 7 (ASCE 2005) shall be deemed to satisfy the
replacement 01' the component is selected, the new
aboye conditions. This c1assificalion shall include
component shall be designed in accordance with this
existing construction. new construction. and existing
standard and detailed and constructed in accordance
constructÍon that has becn rehabilitated.
with a building code approved by the authority having
jurisdíction.
6.4.1.2 Post- Tensioned Concrete Beam-Column
Rehabilitation measures shall be evaluated in
Moment Frames
accordance with the requiremenls of this standard, lo
PosHensioned concrete beam--<:olumn moment
assure that the completed rehabilitalion achieves the
frames shall satisfy lhe following conditions:
selected Rehabilitation Objective. The effects 01' reha­
bilitation on stiffness, strength, and deformability shall l. Framing components shall be beams (with or wíth­
be taken into account in an analytical model of the out slabs), columns, and their connections;
rehabilitated structure. The compatibility of new and 2. Frames shall be of monolithic construction that
existing components shall be checked at displacements provides tor moment transfer between beams and
consistent with the selected performance level. columns; and
Connections required between existing and new 3. Primary reinforcement in beams contributing lo lat­
components shal1 satisfy the requirements of Section eral load cesistance shall inelude post-tensioned
6.3.6 and other requirements of this standard. reintorcement with oc without mild reinforcement.

159
SEISMIC REHABILlTATION OF EXISTING BUILDlNGS

This classitication shall include existing construc­ The beam-column joint in monolithic construc­
tion, new construction, and existing construction that tion shaIl be represented as a stiff or rigid zone having
has been rehabilitated. horizontal dimensions equal to the column cross-sec­
tional dimensions and vertical dimension equal lO lhe
6.4.1.3 Slab-Column Moment Frames beam depth, except thal a wider joint shall be permit­
Slab-column moment 1'rames shaJI satis1'y the 1'01­ ted where the beam is wider lhan the column and
lowing conditions: where justitled by experimenlal evidence. The model
01' the conneclion between lhe coJumns and foundation
1. Framing componenls shall be slabs (with or with­ shall be selected based on the details 01' the column­
out beams in [he transverse direction), columns, foundaLion connection and rigidity of Lhe foundation­
and their conneclions; soil system in accordance with Section 6.12.
2. Frames shall be 01' monolithic conslruction thal Action of the slab as a diaphragm interconnecting
provides for moment transfer between slabs and vertical components shall be represented. Action of the
columns; and slab as a composite beam tlange shall be considered in
3. Primary reinforcement in slabs contributing to lat­ developing stiffness, strength, and deformation capad­
eral load resistance shall include nonprestressed tíes of the beam component model, according to
rein1'orcement, prestressed rein1'orcement, 01' Section 6.3.1.3.
both. Inelastic aClion shall be restricted lO those compo­
nents and actions listed in Tables 6-7 through 6-9,
This classification shall inc\ude frames inlended except where it is demonstrated by experimental evi­
as part of the laLeral-force-resisting system and frames dence and analysÍs that other inelaslÍc action is accept­
not intended as pan of the lateral-force-resisting sys­ able for the selected performance leve\. AccepLance
tem in the original design, including existing construc­ criteria shall be as specified in Section 6.4.2.4.
tion, new construclion, and exisling construction that
has been rehabilitated.
6.4.2.2 StiHness for Analysis
6.4.2 Reinforced Concrete Beam-Column Moment
Frames 6.4.2.2.1 Linear Static aruJ Dynamic Procedures Beams
shall be modeled considering flexural and shear stijf­
6.4.2.1 General Considerations nesses, including the eftect 01' the slab acting as a flange
The analylical model for a beam-column frame in monolithic construction. eolumns shall be modeled
element shall represent strength, stitrness, and defor­ considering flexural, shear, and axial stiffnesses. Joints
mal ion capacity of beams, columns, beam-column shall be modeled as either stiff or rigid components.
joinls, and other components of the frame, inc1uding Effective stiffnesses shall be according to Section 6.3.1.2.
connections with other elemenls. Potenlial failure in
tlexure, shear, and reinforcement development at any 6.4.2.2.2 Nonlinear Static Procedure NonIínear
section along the component length shall be consid­ load-deformation relations shall follow the require­
ered. Interaction wilh other elements, including non­ ments of Section 6.3.1.2.
structural components, shall be inc\uded. Beams and columns shall be modeled using con­
AnalyLical models representing a beam-column centrated plastic hinge models or distributed plaslic
frame using line elements wíth properties concentrated hinge models. Other models whose behavior has been
at component centerlines shall be permitted. Where demonslrated to represent (he behavior 01' reinforced
beam and column centerlines do not intersect, the concrete beam and eolumn components subjected Lo
effects of the eccentricÍly between centerlines of fram­ lateralloading shall be permitted. The beam and col­
ing shall be taken into account. Where lhe centerline umn model shall be capable 01' representing ine\astic
of the narrower component falls within the middle response along the componenl length, except where it
Lhird of lhe adjacent framing component measured is shown by equilibrium Iha! yielding is restricted to
transverse to the framing direction; however, lhis the component ends. Where nonlinear response is
eccentricity need not be consídered. Where larger expecled in a mode other than tlexure, lhe model shall
eccenlricities occur, the effect shall be represented be established to represenl these etrects.
either by reductions in eflective stítlness, strength, Monotonic load-deformation relations shall be
and deformatÍon capacity, or by direct modeling of according to the generalized 10ad-deformatÍon relation
the eccentricity. shown in Fig. 6-1, except Ihat different relalions shall be

160
 ASCE/SEI 41-06

Table 6-7. Modeling Parameters and Numerical Acceptance Criteria for Nonlinear Procedures-Reinforced
Concrete Beams

Modeling Paramelers l Acceptance Criterial.2

Plastíc Rotations Angle, radians
Performance Level
Residual
Component Type
Plastic Rotations Strength
Angle, radians Ratio Prirnary Secondary
Conditions a b e 10 LS CP LS CP
i. Beams Controlled by Flexure1
Transverse V
Po.1 Reinforcement4 b,..dV'j}
s 0.0 C s3 0.025 0.05 0.2 0.010 0.02 0.025 0.02 0.05
s 0.0 C 2:6 0.02 0.04 0.2 0.005 0.01 0.02 0.02 0.04
2: 0.5 C s3 0.02 0.03 0.2 0.005 0.01 0.02 0.02 0.03
2: 0.5 C 2:6 0.015 0.02 0.2 0.005 0.005 0.015 0.015 0.02
s 0.0 NC s3 0.02 0.03 0.2 0.005 0.01 0.02 0.02 0.03
s 0.0 NC 2:6 0.01 0.015 0.2 0.0015 0.005 0.01 0.01 0.015
2: 0.5 NC s3 0.01 0.015 0.2 0.005 0.01 0.01 0.01 0.015
2: 0.5 NC 2:6 0.005 0.01 0.2 0.0015 0.005 0.005 0.005 0.01
ii. Beams Controlled by Shear3
Stirrup Spacing s d/2 0.0030 0.02 0.2 0.0015 0.0020 0.0030 0.01 0.02
Stinup Spacing > d/2 0.0030 0.01 0.2 0.0015 0.0020 0.0030 0.005 0.01
¡ii. Beams Controlled by Inadequate Development or Splicing along the Span1
Stirrup Spacing s d/2 0.0030 0.02 0.0 0.0015 0.0020 0.0030 0.01 0.02
Stirrup Spacing > d/2 0.0030 0.01 0.0 0.0015 0.0020 0.0030 0.005 0.01
¡v. Beams Controlled by Inadequate Embedment into Beam-Column Joim 3
0.015 0.03 0.2 0.01 0.01 0.015 0.02 0.03

'Linear interpolation belween values Iisted in the table shall be permitted.

lPrimary and secondary component demands shall be withín secondary component acceptance criteria where the full backbone curve is explicitly
modeled íncluding strength degradation and residual slrenglh in accordance wilh Section 3.43.2.
lWhere more Ihan one of Ihe conditíons i, ii, iii, and iv occurs for a gíven component, use lhe mínimum appropriate numerica! valoe from Ihe
table.
'''C'' and "NC" are abbreviatíons foc conforming and nonconforming transverse reintorcement. A component is conforming if, within Ihe flexura!
plaslic hillge region, hoops are spaced at s d/3, and if, for components of moderate and high dllctility demand, Ihe slrength provided by Ihe
hoops (V,) is al leasl Ihree-follnhs of the design shear. Olherwise. the component is considered nonconforming.

permitted where veritied by experiments. The overall points B, C, and D shall be derived from experi­
load-deformation relation shall be established so thal ments or rational analyses, and shall take into
!he maximum resistance is consistent with the design accounl the interactions between tlexure, axial load,
strength specifications of Sections 6.3.2 and 6.4.2.3. and shear.
For beams and columns, the generalized de­
formation in Fig. 6-1 shall be either the chord rota­ C6.4.2.2.2 Nonlinear Static Procedure Refer to
lion or the plastic hinge rotation. For beam-column Sections C6.3.1.2 and C6.4.2.3.l for discussion of
joinls, the generalized deformation shall be shear ahernative modeling paramelers for reinforced con­
strain. Values of the generalized deformatíon al crete columns.

161
SEISMIC REHABILlTATION OF EXISTING BUILDINGS

Table 6-8. Modeling Parameters and Numerical Acceptance Criteria for Nonlinear Procedures­
Reinforced Concrete Columns

Modeling Parameters 1 Acccptance Critería l ,2

Plastic Rotations Angle, radians

Performance Level
Residual
Componenl Type
Plastic Rotations Strength
Angle, radians Ratio Primary Secondary

Conditions a b e 10 LS CP LS CP

i. Columns Controlled by Flexure'

P Transverse V
AJ': Reinforcement6 b",dV]}
:5 0.1 C :53 0.02 0.03 0.2 0.005 0.015 0.02 0.02 0.03
:5 0.1 C 2:6 0.016 0.024 0.2 0.005 0.012 0.016 0.016 0.024
2: 0.4 C :53 0.015 0.025 0.2 0.003 0.012 0.015 0.018 0.025
2: 0.4 C 2:6 0.012 0.02 0.2 0.003 0.01 0.012 0.013 0.02
:5 0.1 NC 3 0.006 0.015 0.2 0.005 0.005 0.006 0.01 0.015
0.1 NC 2:6 0.005 0.012 0.2 0.005 0.005 0.005 0.008 0.012
2: 004 NC :53 0.003 0.01 0.2 0.002 0.002 0.003 0.006 0.01
2: 004 NC 2:6 0.002 0.008 0.2 0.002 0.002 0.002 0,005 0.008
ii. Columns Controlled by ShearM
AH cases 5 0.0030 0.0040
¡ji. Columns Controlled by lnadequate Development or Splicing along the Clear HeightJ.4
Hoop Spacing :5 d/2 0.01 0.02 004 0.005 0.005 0.01 0.01 0.02
Hoop Spacing d/2 0.0 0.01 0.2 0.0 0.0 0.0 0.005 0.01
iv. Columns with Axial Loads Exceeding 0.70P},4
Conforming Hoops over the 0.015 0.025 0.02 0.0 0,005 0.01 0.01 0.02
Entire Length
AH Other Cases 0.0 0.0 0.0 0.0 0.0 0.0 0.0· 0.0

ILinear interpolation between values listed in the table shall be permítted.

JWhere more than one of the conditions i, ii, í¡j, and iv occurs for a given componen!, use the mínimum appropríale numerícal value from the
table.
4To qualify, columns must have transverse reinforcement consisting of hoops. Otherwisc, actions shall be treated as force-contmlled,
;For columns controlled by shear. see Section 6.4.2.4,2 for prímary componen! acceptance crileria. Primary and secondary component demands
shall be within secondary componen! acceptanee criteria where the full baekbone curve is explíeítly modeled including strength degradatíon and
residual strength in aeeordanee with Seetion 3.4.3.2.
"'C" and "NC" are abbreviations for eonforming and noneonforming transverse reinforeemenl. A component is conforming ir, within the tlexural
plastíc hinge region, hoops are spaeed al :5 d13. and if, rOl' componenls of moderale ami high duetility demando tbe slrenglh províded by the
hoops (V,) is at least Ihree-fourths of the desígn shear. Otherwise, tbe component is eonsidered nOllconforming.

162
 ASCE/SEI 41-06

Table 6-9. Modeling Parameters and Numerical Acceptance Criteria for Nonlinear Procedures-Reinforced
Concrete Beam-Column Joints

Modeling Parameters' Acceptance Criteria l ,2

Plastic Rotations Angle, radians
Performance Leve\
Residual
Component Type
Plastic Rotations Strenglh
Angle, radians Ratio Primary Secondary
Condítions a b e 10 LS CP LS CP
j, Interior Joints1,4
4
V
P , Transverse Reinforcement5
Ac!e V.
s: 0.1 C s: 1.2 0.015 0,03 0.2 0.0 0.0 0.0 0.02 0.03
s: 0.1 C 2:: 1.5 0.015 0.03 0.2 0.0 0.0 0.0 0.015 0.02
2:: 0.4 C s: 1.2 0.015 0.025 0.2 0.0 0.0 0.0 0.015 0.025
2:: 0.4 C 2:: 1.5 0.015 0.02 0.2 0.0 0.0 0.0 0.015 0.02
s: 0.1 NC s: 1.2 0.005 0.02 0.2 0.0 0.0 0.0 0.015 0.02
s: 0.1 NC 2:: 1.5 0,005 0.015 0.2 0.0 0,0 0.0 0.01 0.015
2:: 0.4 NC s: 1.2 0.005 0.015 0.2 0.0 0.0 0.0 0.01 0.015
2:: 004 NC 2:: 1.5 0.005 0.015 0.2 0.0 0.0 0.0 0,01 0,015
ij, Other Joints3.4
P V4
Transverse Reinforcemenl5 -
As!: V.
s: 0.1 C s: 1.2 0.01 0.02 0.2 0.0 0.0 0.0 0.015 0.02
s: 0.1 C 2:: 1.5 0.01 0.015 0.2 0.0 0.0 0.0 0,01 0,015
2:: 0.4 C s: 1.2 0.01 0.02 0.2 0.0 0.0 0.0 0,015 0.02
2:: 0.4 C 2:: 1.5 0,01 0.015 0.2 0.0 0.0 0.0 0,01 0.015
s: 0.1 NC 2:: 1.2 0.005 0.01 0.2 0.0 0.0 0.0 0.0075 0.01
s: 0.1 NC 2:: 1.5 0.005 0.01 0.2 0.0 0.0 0.0 0.0075 0.01
2:: 0.4 NC s: 1.2 0.0 0.0 0.0 0.0 0.0 0.005 0.0075
2:: 0.4 NC 2::1.5 0.0 0.0 0.0 0.0 0.0 0.005 0.0075

'Linear interpolation between values listed in tbe table shall be permilted.

2Primary and secondary component demands shall be within secondary component acceptance eriteria where the full backbone curve is explicitly
modeled including strength degradation and residual strength in accordance with Section 3.4.3.2.
'P is the desígn axial force on the column aboYe the joint calculated using limit-state analysis procedures in accordance with Section 6.4.2.4 and
Ag is the gross cross-sectional area of tbe joint.
'V is the design sbear force and V. is the shear strength for the joint. The shear strength shalJ be calculated according lo Section 6.4.2.3,
;"C" and "NC" are abbreviatíons for confornúng and nonconforming transverse reinforcement. A joint is conforming if hoops are spaced at
:s; hJ3 within Ihe joint. Otherwise. the component is considered nonconforming.

6.4.2.2.3 Nonlinear Dynamic Procedure For Ihe NDp, 6.4.2.3 Slrength

lhe complele hyslerelic behavior of each componenl Componenl strengths shaIl be computed according
shall be modeIed using properlies verified by experi­ to the general requirements of Sections 6.3.2 as modi­
mental evidence. The use of the generalized load­ tied in Ihis section.
deformation relalion described by Fig. 6-1 lo represent The maximum component strength shall be deler­
me envelope relation for the analysis shaIl be permitted. mined consídering potential faílure in tlexure, axial
Unloading and reloading propenies shalI represent load, shear, torsion, development, and other actions
signiticanl slÍrfness and strenglh degradation at all points along the length of the component under
characterislics. lhe actions of design gravity and earthquake load
combinations.

163
SEISMIC REHABILlTATION OF EXISTING BUILDINGS

6.4.2.3. / Columns For columns, the shear strength, V", 2002), the shear strength equations of ACI 318 shaIl
calculated according to Eq. 6-4 shall be permiued. be permiued to be used.
For beam-column joints, the nominal cross­
~, )0.8A
+ Ák(6VJ[
-y11 + 6Vj[
V = k A.j;.d sectional area, Aj, shall be dctined by a joint depth
11 s M/Vd Ag g equal to the column dimension in the direction of
(Eq. 6-4) framing and a joint width equal to the smallest of
where (1) the column width, (2) the beam width plus the
joint depth, and (3) twice the smaller perpendicular
k = 1.0 in regions where displacement ductility is distance from the longitudinal axis o .. the beam LO the
less than or equal to 2, 0.7 in regions where column side. Design lorces shall be calculated based
displacement ductility is greater than or equal on development of tlexural plaslic hinges in adjacenl
to 6, and varies linearly for displacement framing members, inc1uding etfective slab width, but
ductility between 2 and 6; need not exceed values calculated from design gravity
Á = 0.75 for Iightweight aggregate concrete and and earlhquake-Ioad combinations. Nominal joint
1.0 for normal weight aggregate concrete; shear strength, Vn, shall be calculaled according to the
N" = axial compression force in pounds O for general procedures o.. ACI 318, as moditied by Eq. 6-5:
tension force);
M/Vd = lhe largest ratio ofmoment lo shear times (Eq.6-5)
etTective depth under design loadings for the
column but shall not be taken greater than 4 in which Á = 0.75 for lightweight aggregate concrete
or less than 2; and 1.0 for normal weight aggregate concrete, Aj is the
d = the effective depth; and etrective horizontal joint area with dimensions as
Ag = (he gross cross-sectional area of the column. detined aboye, and y is as delined in Table 6- JO.

It shall be permitted to assume d = 0.8h, where h C6.4.2.3. / Columns As discussed in C6.3.3, experi­
is the dimension of the column in the directÍon of mental evidence indicates Ihat flexural defonnability
shear. Where axial force is calculated from Ihe linear may be reduced as coexisting shear force s increase. As
procedures of Chapter 3, the maximum compressive tlexural ductility demands increase, shear capacity
axial load for use in Eq. 6-4 shalI be taken as equal to decreases, which may result in a shear failure before
the value calculated using Eq. 3-.4 considering design theoretical flexural dcl"ormation capacities are reached.
gravity load only, and lhe minimum compression axial CautÍon should be exercised when tlexural deforma­
load shall be calculaled according to Eq. 3-18. tion capacities are determined by calculation.
Alternatively, limit analysis as specitied in Section The modeling paramctcrs and acceptance crileria
3.4.2.1.2 shall be permitted lo be used to delermine in Table 6-8 are generally conservative, and may be
design axialloads ror use wilh Ihe linear analysis pro­ relaxed based on experimental evidence. The design
cedures of Chapter 3. Alternative formulations for col­ professional is referred to reports by Berry and
umn strength thal consider effects of reversed cyclic, Eberhard (2005); Elwood and Moehle (2oo5a;
inelastic deformations and thal are veritied by experi­ 2oo5b); Fardis and Biskinis (2003); Biskinis et al.
mental evidence shall be permitted. (2004); Panagiotakos and Fardis (2001); Lynn et al.
For columns satisfying the detailing and pro por­ (1996); Sezen (2002); and Elwood and Moehle (2004)
tioning requirements of Chapter 21 of ACI 318 (ACI ror further guidance regarding determination of model-

Table 6-10. Values of ')' for Joint Strength Calculation

Value of Y
Knee Joint with
Interior Joint wilh Interior Joint wilhout Exterior Joint with Exterior Joint without or without
p"l Transverse Beams Transverse Beams Transverse Beams Transverse Beams Transverse Beams

< 0.003 12 10 8 6 4
2: 0.003 20 15 15 12 8

Ip" = volumetric ratio of horizontal confinement reinforcement in the joint.

164
 ASCElSEI 41-06

ing parameters and acceptance criteria for reinforced controlled actions sball be restricled lo tlexure in beams
concrete columns. (with or without slab) and columns. In secondary com­
Elwood and Moehle (2005a) have demonstrated ponents, deformation-controlled actions shall be
based on experimental evidence that Eq. 6-4 does not restricted to tlexure in beams (with or without slab),
provide a reliable estimate of the displacement ductil­ plus restricted actions in shear and reinforcement
ity al shear failure. development, as identified in Tables 6-11 through 6­
13. AH other actions shall be detined as being force­
6.4.2.4 Accept6llee eriteria controlled actions.
Design actions on components shall be deter­
6.4.2.4.1 Linear Static and Dynamic Procedures AIl mined as prescribed in Chapter 3. Where the calcu­
actions shall be classiJied as being either deformation­ lated DCR values exceed unity, the folIowing design
cOnlrolled or force-controlled, as defined in Sec­ actions shall be determined usíng límil analysis princi­
tion 2.4.4. In primary components, deformation­ pies as prescribed in Chapter 3: (l) moments, shears,

Table 6-11. Numerical Acceptance Criteria for Linear Procedures­

Reinforced Concrete Beams

m-Factors l
Performance Level
Component Type
Primary Secondary
Condilions 10 LS CP LS CP
i. 8eams Controlled by Flexure2
4
p p' Transverse JI'
Reinforcement 3
Pbal b,.4VJ:
$ 0.0 C $3 3 6 7 6 10
$ 0.0 C :2:6 2 3 4 3 5
:2: 0.5 C $3 2 3 4 3 5
:2: 0.5 C :2:6 2 2 3 2 4
$ 0.0 NC $3 2 3 4 3 5
$ 0.0 NC :2:6 1.25 2 3 2 4
:2: 0.5 NC $3 2 3 3 3 4
:2: 0.5 NC :2:6 1.25 2 2 2 3
ii. Beams Controlled by Shear1
Stirrup Spacing $ d/2 1.25 1.5 1.75 3 4
Stirrup Spacing > d/2 1.25 1.5 1.75 2 3
iii. Beams ControUed by lnadequale Development or Splicing along the Span 2
Stirrup Spacing $ d/2 1.25 1.5 1.75 3 4
Stirrup Spacing > d/2 1.25 l.5 1.75 2 3
IV. Beams Controlled by Inadequate Embedment into Beam-Column Joint2
2 2 3 3 4

'Linear interpolation between values listed in the table shall be permitted.

2Where more than one of the conditions i, ii, iii, and iv occurs for a given component, use the mínimum
appropriate numerical value from the table.
'''C'' and uNC" are abbreviations for conforming and nonconforming transverse reinforcement. A com­
ponent is confocming if, within the flexural plastic hinge region, hoops are spaced at,,; d13, and if, foc
components 01' moderate and high ductility demand, the strenglh provided by the hoops (V,) is at leasl
three-fourths of the design shear. OtheJWise, the component is considered nonconforrning.
4V is the design shear force calculated using limil-slate analysis procedures in accordance with
Section 6.4.2.4.1.

165
-----------""'" .. _-_. _..­

SEISMIC REHABlLlTATION OF EXISTING BUILDlNGS

torsions, and development and splice actions corre­ Design actions shall be compared with design
sponding to development of component strength in strenglhs in accordance with Seclion 3.4.2.2. m-factors
beams and columns; (2) joint shears corresponding lo shall be selected from Tables 6-11 through 6-13.
development of strength in adjacenl beams and Those componenls lhat satisfy Eq. 3-20 or 3-21, as
columns; and (3) axial load in columns and joints, applicable, shall comply Wilh lhe performance crÍleria.
considering likely plastic aclion in componenls above Where lhe average OCR of coJumns al a level
the level in question. exceeds the average value of beams al the same level, and

Table 6-12. Numerical Acceptance Criteria for Linear Procedures­

Reinforced Concrete Columns

m-Factors 1
Performance Level
Component Type
Primary Secondary
Conditions 10 LS CP LS CP
i. Columns Controlled by Flexure1
~4 Transverse V
Ag¡; Reinforcemenl' b.dVjj
~ 0.1 C ~3 2 3 4 4 5
~ 0.1 C ~6 2 2.4 3.2 3.2 4
0.4 C ~3 1.25 2 3 3 4
~ 0.4 C ~6 1.25 1.6 2.4 2.4 3.2
~ 0.1 NC ~3 2 2 3 2 3
~ 0.1 NC ~6 2 2 2.4 1.6 2.4
~ 0.4 NC ~3 1.25 1.5 2 1.5 2
~ 0.4 NC ~6 1.25 1.5 1.75 1.5 1.75
ii. Columns Controlled by Shear1,6
Hoop Spacing ~ d/2, or ~ ~ 0.1 2 3
Agle
Other Cases L5 2
¡j¡. Columns Controlled by Inadequate Developmenl or Splícing along the Clear Heigh(2·6
Hoop Spacing ~ d/2 1.25 1.5 1.75 3 4
Hoop Spacing > d/2 2 3
¡v. Columns wilh Axial Loads Exceeding 0.70P}·6
Conforming Hoops over the Entire Lenglh 1 2 2 2
AlI Other Cases

JLinear ioterpolalion belween values lisled in Ihe table shall be permilled.

'Where more Ihan one of Ihe conditions i, ií, iii, and iv occurs for a given componenl, use Ihe mínimum
appropriale numerical value from Ihe table.
)"C" and "NC" are abbreviations for eonforming and nonconforming lransverse reinforeemem. A com­
ponenl is eonforming if, wilhin Ihe flexural plaslic hinge region, hoops are spaced at :;; d13, and if, for
components of moderale and high duclílíty demand, the strength provided by the hoops (Vs) is atleast
three-foUl1hs of Ihe design shear. Olherwise, the componenl is considered nonconforming.
4p is Ihe design axial force in Ihe member. Allernalively, use ofaxialloads delermined based on a limil­
slate analysis shall be permitted.
'V is Ihe design shear force calculated using Iimit-stale analysis procedures in accordance with Sec­
lion 6.4.2.4.1.
óTo qualify, columns must have transverse reinforcement consisling of hoops. Otherwise, actions shall
he Ireated as force-cofllrolled.

166
 ASCE/SEI 41-06

exceeds lhe grealer of 1.0 and ml2 for all columns, lhe dure, or the struclure shall be rehabililated lo elimi­
level shall be detined as a weak slory e1ement. For weak nale Ihis deficiency;
story elemenls, one of lhe following shall be satisfied: 2. The slruclure shall bc reanalyzed using eilher lhe
NSP or lhe NDP of Chapter 3; and
1. The check of average DCR values al lhe level shall 3. The slruclure shall be rehabilitated to remove Ihe
be repealed, considering all primary and secondary weak story element.
componenls al Ihe level Wilh a weak slory element.
Ir lhe average of Ihe DCR values for vertical com­ 6.4.2.4.2. Nonlinear Statie and Dynamic Proeedures
ponenLs exceeds Ihe average value for horizontal Calculated component actions shalJ satisfy Ihe require­
componenls at the level, and exceeds 2.0, lhe struc­ menls of Secuon 3.4.3.2. Where Ihe generalized defor­
lUre shall be reanalyzed using a nonlínear proce­ mation is taken as rotalion in the flexural plastic hinge

Table 6-13. Numerical Acceptance Criteria for Linear Procedures­

Reinforced Concrete Beam-Colurnn Joints

m-Factors l
Performance Level

Component Type
Primary2 Secondary

Condítíons 10 LS CP LS CP
i. Interior Joints 3.4
p Transverse V
AJ; Reinforcement5 v"
s 0.1 C 1.2 3 4
s 0.1 C 1.5 2 3
~ 0.4 C 1.2 3 4
~ 0.4 C 1.5 2 3
s 0.1 NC 1.2 2 3
s 0.1 NC 1.5 2 3
~ 0.4 NC 1.2 2 3
~ 0.4 NC 1.5 2 3
ii. Other Joints3.4
p Transverse V
A~f: Reinforcement'
v"
s 0.1 C s 1.2 3 4
s 0.1 C 1.5 2 3
~ 0.4 C 1.2 3 4
~ 0.4 C ~ 1.5 2 3
s 0.1 NC 1.2 2 3
s 0.1 NC 1.5 2 3
~ 0.4 NC s 1.2 1.5 2.0
~ 0.4 NC 1.5 1.5 2.0

'Linear interpolation between yalues Iisted in lhe rabie shall be permitted.

2For linear procedures, all primary joints shall be force-controlled; m-factors shall not apply.
3p is the design axial force on lhe column aboye lhe joint caIculated using limil-state analysis proce­
dures in aceordanee with $celion 6.4.2.4. Ag is the gross cross-sectional area of the joint.
'v is the design shear force and Vn is the shear strength for the joint. The design shear force and sbear
strenglh shall be calculated according \O Section 6.4.2.4.1 and Section 6.4.2.3, respectiyely.
5"C" and uNC" are abbreyiations for confonning and nonconforming transyerse reinforcements. Ajoinl
is conforming if hoops are spaced at oS hc/3 within fbe joint. Otherwise, the componen! is considered
nonconforming.

167
SEISMIC REHABILlTATION OF EXISTING BUILDlNGS

zone in beams and columns, the plastic hinge rotation and should be dcsigned considcring possible force
capacities shall be as detined by Tables 6-7 and 6-8. variations due to earthquakc loading;
Where lhe generalized deformation is shear distortion 3. Modification of the element by selective material
01' the beam-column joint, shear angle capacilies shall removal from the existing element. Examples
be as delíned by Table 6-9. For columns designated as indude: (1) where nonstructural componcnts inter­
primary components and for whích calculated design ferc with the frame, removing or separating the
shear exceeds design shear strenglh, the permissible nonstrucLUral components to eliminale Ihe interfer­
deformation for lhe Collapse Prevenlion Performance ence; (2) weakening, due to removal 01' concrete 01'
Level shall not exceed the defOlmation at whieh shear severing of longiludinal reinforcement, to change
strength is calculated to be reached; the permissible response mode from a nonductile mode to a more
de1'ormation 1'or lhe Life Safety Performance Level ductile mode (e.g., weakening of beams to pro mote
shaIl nm exceed lhree-quarters of that value. Where formation of a strong-column, weak-beam system);
inelaslic aclion is indicated for a component or action and (3) segmenting wall s to change still'ness and
nol listed in these tables, the performance shall be strength;
deemed unacceptable. Alternative approaches or val­ 4. Improvement of defident existing reinforcement
ues shall be permitted where juslified by experimental details. Removal of cover concrete ror modiJica­
evidence and analysis. tion of existing reinforcement details should avoid
damage to core concrete and the bond bel ween
C6.4.2.4.2 Nonlinear Static and Dynamic Procedures existing reinforcement and cme concrete. New
Refer to Section C6.4.2.3.1 for discussion of aILerna­ cover concrete should be designed and conslructed
tive acceptance criteria for reinforced concrete to achicve fully composite actíon wilh lhe existing
columns. malerials;
5. Changing the building system to reduce the
6.4.2.5 Relwbilitation Measures demands on the existing element. Examplcs
Concrete beam-column moment frame compo­ indude addilion of supplementary lateral-force­
nenls that do not meet the acceptance crileria for the resistíng elements such as walls or buttresses, seis­
selected rehabilitation objective shall be rehabilitaled. mic isolation, and mass reduction; and
RehabiJitation measures shall meet lhe requirements of 6. Changing the frame element to a shear wall,
Section 6.3.7 and other provisions of this standard. infilled frame, or braced frame elernent by addi­
tion of new material. Connections betwcen new
C6.4.2.5 Rehabilitation Measllres and exisling materials should be designed to lrans­
The folJowing rehabilitalion measures may be fer the forces anticipated for lhe design load combi­
effective in rehabilitating reinforced concrete nations. Wherc the existing concrete frame columns
beam-column moment frames: and beams act as boundal'Y componcnts and coIlec­
tors for the new shear wall or braced frame, these
l. Jacketing existing beams, columns, or joints
should be checkcd for adequacy, considering
with new reinforced concrete, steel, or fiber
strength, reinforcemenl developmcnt, and defofma­
wrap overlays. The new malerials should be
bility. Diaphragms, including lies and colleclors,
designed and constructed to acl compositely with
should be evaluated and, if necessary, rehabílilated
the existing concrete. Where reinforced concrete
to ensure a complete load path to the new shcar
jackets are used, the design should provide dctail­
waJl or braced frame elemcnt.
ing to enhancc ductility. Component slrength
should be taken to not exceed any limiting slrenglh
01' conneclions with adjacenl cornponents. Jackels 6.4.3 Post-Tensioned Concrete Beam-Column
should be desígned to provide increased conneclion Moment Frames
strength and improved continuity between adjacent
components; 6.4.3.1 General COIIsiderations
2. Post-tensioning existing beams, columns, or The analytical rnodel for a posHensioned con­
joints using external post-tensioned reinforce­ crete beam-column frame element shall be eslablished
mento Post-tensioned reinforcement should be foJlowing the criteria specitied in Section 6.4.2.1 for
unbonded within a dístance equal lo twice lhe reinforced concrete beam-column moment trames. In
etl'ectÍve depth frorn sections where inelastic action addition lo potential failure modes described in
is expected. Anchorages should be localed away Seclion 6.4.2.1, the analysis model shall consider
from regions where inelastic action is anticipaled, potential failure 01' lendon anchorages.

168
 ASeE/SEI41-06

The analysis procedures described in Chapter 3 shall be modeled using properties verified by experi­
shall apply to frames with post-tensioned beams satis­ mental evidence. The relation of Fig. 6-1 shall be
fying the folJowing conditions: taken to represent the envelope relation fór the analy­
siso Unloading and reloading properties shall represent
1. The average prestress,Jpc, caJculated for an area
significant stiffness and strength degradation charac­
equal to the product of the shortest cross-sectional
teristics as influenced by prestressing.
dimension and the perpendicular cross-sectional
dimension of the beam, does not exceed the
6.4.3.3 Strength
greater of 750 psi or¡;/ 12 at locations of nonlinear
Component strengths shall be computed according
action;
to the general requirements of Sections 6.3.2 and the
2. Prestressing tendons do not provide more Ihan one­
additional requirements of Section 6.4.2.3. Effects of
quarter of the strenglh for both positive moments
prestressing on strength shall be considered.
and negative moments at the joint face; and
For deformation-controlled actions, prestress shall
3. Anchorages for tendons are demonstrated to have
be assumed to be effective for the purpose of deter­
performed satisfactorily for seismic loadings in
mining the maximum actions that may be developed
compl iance wilh the requirements of ACI 318
associated with nonlinear response of the frame. For
(ACI 2002). lbese anchorages occur outside hing­
force-controlled actions, the effecls on strength 01' pre­
ing areas or joints, except in existing components
stress loss shall also be considered as a design condi­
where experimental evidence demonstrates that the
tion, where these losses are possible under design
connection will meet the performance objectives
load combinations including inelastic deformatíon
under design loadings.
reversals.
Alternative procedures shall be provided where
these conditions are not satistied. 6.4.3.4 Acceplance Criteria
Acceptance criteria for post-tensioned concrete
beam-column moment frames shall foJlow the criteria
6.4.3.2 Stiffness
for reinforced concrete beam-column trames specified
in Section 6.4.2.4.
6.4.3.2.1 Linear Static and Dynamic Procedures
Modeling parameters and acceptance criteria shall
Beams shall be modeled considering tlexural and
be based on Tables 6-7 through 6-9 and 6-11 through
shear stiffnesses, including the effect of the slab acting
6-13.
as a f1ange in monolithic and composite construction.
Columns shall be modeled considering f1exural, shear,
6.4.3.5 Rehabilitation Measures
and axial stitfnesses. Joints shall be modeled as eilher
stiff or rigid components. Effective stiffnesses shall be Post-tensioned concrete beam~olumn moment
frame components that do not meet the acceptance cri­
according to Section 6.3.1.2.
(ería for (he selected Rehabilitation Objective shaIl be
rehabilitated. Rehabilitation measures shall meet the
6.4.3.2.2 Nonlinear Static Procedure Nonlinear
requirements of Section 6.3.7 and other provisions of
10ad-<1eformation relalÍons shall comply with the
this standard.
requirements of Section 6.3.1.2 and the reinforced
concrete trame requirements of Section 6.4.2.2.2.
C6.4.3.5 Rehabilitation Measures
Values of the generalízed deformation at points B,
The rehabilitation measures described in C6.5.2.5
e, and D in Fig. 6-1 shalI be either derived from
for reinforced concrete beam~olumn moment frames
experiments or approved rational analyses, and shall
may also be effective in rehabilitating post-tensioned
rake into account the interactions between flexure
axial load, and shear. Alternatively, where the gen~ral­
concrete beam~olumn moment frames.
ized deformation is taken as rotation in the flexural
plastic hinge zone, and where the three conditions of 6.4.4 Slab-Column Moment Frames
Sectíon 6.4.3.1 are satisfied, beam plastic hinge rota­
tion capacities shaU be as defined by Table 6-7. 6.4.4.1 General COlIsiderations
Columns and joints shall be modeled as described in The analytical model for a slab-column frame ele­
Section 6.4.2.2. ment shall represent strength, stiffness, and deforma­
tion capacity of sIabs, columns, slab-column connec­
6.4.3.2.3 Nonlinear Dynamic Procedure For the NDP, tions, and other components of Ihe trame. Potential
the complete hysteretic behavior of each component failure in f1exure, shear, shear-momenl transfer, and

169
SEISMIC REHABILlTATION OF EXISTING BUILDlNGS

reinforcemenl developmenl al any seelion along lhe 6.4.4.2.2 Nonlinear Static Procedure Nonlinear
componenllenglh shall be consídered. Inleraetion wilh load-deformalion relalions shall comply Wilh lhe
olher componenls, including nonslruelural eompo­ requiremenls of Seclion 6.3. I .2.
nents, shall be included. Slabs and columns shall be modeled using con­
The analytical model lhal represents lhe slab-col­ cenlraled plaslic hinge models, dislribuled plaslic
umn frame, using eilher line elemenls wilh properties hinge models, or olher models whose behavior has
concenlraled al eomponent centerlines or a combina­ been demonstraled lo adequalely represent behavior of
lion oí" line elemenls (lO represenl columns) and plale­ reinforced concrele slab and column componenls sub­
bending elements (to represent lhe slab), based on any jected lO laleralloading. The model shall be capable of
of lhe füllowing approaches, shall be permitted: represenling ¡nelastic response along lhe componenl
length, excepl where it ís shown by equilibrium lhal
l. An effeetive beam width model, in which lhe
yielding is reslricled lo the component ends. Slab-­
columns and slabs are represenled by line elemenls
column conneclions shall be modeled separalely from
that are rigidly inlereonnecled allhe slab-column
lhe slab and column componenls in order to idenlify
joint. The etl'eelive widlh shall be ca\culated in
pOlential 1'ailure in shear and moment lranSrer; alterna­
accordance wilh the provisions ofACI 318
lively, lhe potential for connection failure shall be
(ACl2002);
olherwise checked as parl of lhe analysis. Where non­
2. An equivalenl frame model in which lhe columns
linear response is expected in a mode other lhan flex­
and slabs are represented by line elemenls thal
ure, the model shall be established lo represent lhese
are inlerconnecled by conneclíon springs;
effecls.
and
Monolonic load-deformalion relalions shall be
3. A finile elemenl model in which lhe coJumns are
aecording to lhe generalized relation shown in
represented by line elements and lhe slab is repre­
Fig. 6-1, wilh detinilions according 10 Seclion 6.4.2.2.2.
senled by plate-bending elemenls.
The overall load-deformalion relalíon shall be estab­
lished so that lhe maximum resistance is consistent
In any model, lhe effects 01' changes in cross sec­
with the design strenglh specítications of Seclions 6.3.2
tíon, including slab openings, shall be consídered.
and 6.4.4.3. Whcre the generalized deformalion shown
The conneclion between lhe columns and founda­
in Fig. 6-1 is laken as lhe flexural plaslic hinge rola­
lion shalI be modeled based on lhe details of lhe
lion for lhe column, lhe plaslic hinge rolalion capaci­
column-foundation conneclion and rigidily of lhe
lies shall be as defined by Table 6-8. Where lhe
foundalíon-soíJ syslem.
generalized deformalion shown in Fig. 6-1 is taken
Aclion of lhe slab as a díaphragm inlerconnecting
as lhe rolalion of lhe slab-column conneclion, lhe
vertical elemenls shall be represenled.
plaslic rOlalinn capacities shall be as detined by
In lhe desígn model, inelaslic deformations in
Table 6-14.
primary componenls shaJ1 be restricted to flexure in
slabs and columns, plus nonlinear response in slab-­
column conneclions. Other inelastic dcí'ormations 6.4.4.2.3 Nonlinear Dynamic Procedure The require­
shall be permiued as part oí' lhe design in secondary ments of Seclions 6.3.2 and 6.4.2.2.3 for reinforced
components. Acceptance criteria shall be as specitied concrete beam-column moment trames shall apply lo
in Sectíon 6.4.4.4. slab-column momen! frames.

6.4.4.2 Stiffness 6.4.4.3 Slrellgth

Componenl slrenglhs shall be compuled according
6.4.4.2. J Linear Sta tic and Dynamic Procedures S labs lO the general requiremenls 01' Seclions 6.4.2, as modi­
shalI be modeled considering flexural, shear, and tor­ fied in lhis seclÍon.
sional (in lhe slab adjacent lo the column) stiffnesses. The maximum componenl slrenglh shall be deler­
Columns shalI be modelcd considering tlexural, mined consideríng pOlenlial failure in tlexure, axial
shear, and axial slítl'nesses. Joints shall be modeled load; shear, lorsion, developmenl, and olher aclions at
as eíther stíff or rigid components. The effectíve all poinls along lhe lenglh of lhe componenl under lhe
sliffnesses of components shall be determined accord­ actions of design gravity and earlhquake load combi­
ing to lhe general principies of Seclion 6.3.1.2, bul nalÍons. The slrenglh of slab-column connections also
adjustmenls on the basis of experimenlal evidencc shall be delcrmined and incorporaled in the analytical
shall be permilled. model.

170
 ASCE/SEI 41-06

Table 6-14. Modeling Parameters and Numerical Acceptance Criteria for Nonlinear Procedures-Two-way
Slabs and Slab-Column Connections

Modeling Parameters! Acceptance Criteria !,2

Plastic Rotations Angle, radians

Performance Level
Residual
Component Type
Plastic Rotations Strength
Angle, radians Ratio Primary Secondary
Conditions a b e 10 LS CP LS CP
i. Slabs Controlled by Flexure, and Slab-Column Connections 3
~4 Continuity
Vo Reinforcement5
0.2 Yes 0.02 0.05 0.2 0.01 0.015 0.02 0.03 0.05
2:?: 0.4 Yes 0.0 0.04 0.2 0.0 0.0 0.0 0,03 0.04
s 0.2 No 0.02 0.02 0.01 0.015 0.02 0.015 0.02
0.4 No 0.0 0.0 0.0 0.0 0.0 0.0 0.0
ii. Slabs Controlled by lnadequate Development or Splicing a10ng the Span3
0.0 0.02 0.0 0.0 0.0 0.0 0.01 0.02
iii. Slabs Controlled by Inadequate Embedment into Slab-Column Joint3
0.015 0.03 0.2 0.01 0.01 0.015 0.02 0.03

'Línear ínlerpolalion belween values listed in lhe table shall be permitted.

2Primary and secondary component demands shall be wilhin secondary component acceplance criteria where the full backbone curve is explicitly
modeled, including slrenglh degradation and residual slrenglh in accordance wilh Seclion 3.4.3.2.
3Where more Ihan one oflhe conditions i, íi, and íií occurs for a given componenl, use Ihe minimum appropriale numerical value from lhe table.
'Vg = the gravíly shear aCling on the slab crilical seclion as defined by ACI 318 (ACI 2002); Vo = Ihe direct punching shear strength as defined by
AC1318.
5Under the heading "Continuity Reinforcement," use "Yes" where al least one of the majn bottom bars in each direction is effectively continuous
through the column cage. Where Ihe slab is post-tensioned, use "Yes" where at lea si one of lhe posl-tensioning tendons in each directíon passes
through the column cage. Olherwise, use "No."

The flexural slrength of a slab to resist moment moment transfer strength calculated as the mínimum
due lo lateral deformalions shall be calculaled as of the following strengths shall be permitted:
M.cs Mgcs, where Mncs is the design flexural strength The strength calculaled considering eccentricity of
of the column strip and MgcS is the column strip shear on a slab crilical section due to combined shear
moment due to gravity loads. MgcS shall be calculated and moment, as prescribed in ACI 318;
according to the procedures of ACI 318 (ACI 2(02) The moment transfer strength equal to "EMn/,y¡.
for the design gravity load specitied in Chapter 3. where "EM. = the sum of positive and negative flex­
For columns, the evaluation of shear strength ural strengths of a section of slab between Iines that
according to Section 6.4.2.3 shall be permitted. are two and one-half slab or drop panel thicknesses
Shear and moment Iransfer strength of the (2.5h) outside opposite faces of the column or capital;
slab-column connection shall be calculated consider­ "tI the fractíon of the moment resisted by flexure per
ing the combined action of flexure, shear, and torsion ACI 318; and h = slab thickness.
acting in the slab at the connectíon wíth the column. For moment about an axis parallel to the slab edge
The procedures described below shall be permüted to at exterior connections without transverse bearns,
salisfy this requirement. where the shear.on the slab critical section due to
For interior connections without transverse beams, gravity loads does not exceed O,75Vc• or the shear at
and for exterior conneclions with moment about an a corner support does nol exceed O.5Vc' the moment
axis perpendicular to the slab edge, the shear and transfer strength shall be permitted to be taken as

171
SEISMIC REHABILlTATION OF EXISTING BUILDlNGS

equa) to the flexura) strength 01' a section of slab actions shall be determined using Iimit analysis princi­
between línes that are a dislance, el' oulside opposite pies as prescríbed in Chapter 3: (1) momenlS, shears,
faces of lhe column or capital. Ve is lhe direct punch­ lorsions, and developmem and splice aclions corre­
ing shear slrenglh defined by ACI 318. sponding lo developmenL of componenL slrengLh in
slabs and columns; and (2) axial load in columns, con­
6.4.4.4 Acceptance Criteria sidering likely plaslic aCLion in componenls aboye the
level in question.
6.4.4.4. J Linear Statie and Dynamie Procedures AH Design actions shalI be compared Wilh design
componenl actions shall be classified as being either slrenglhs in accordance wilh Seclion 3.4.2.2 and
deformalion-conlrolled or force-controlled, as detined Tables 6-12 and 6-15. Those components LhaL
in Section 2.4.4. In primary componenls, deformation­ salisfy Eqs. 3-20 and 3-21 shall salisfy the per­
controlled actions shall be restricted lo tlexure in slabs formance criteria. Components that reach
and columns, and shear and momenl lransfer in lheir design strenglhs shall be further evalualed
slab-column conneclions. In secondary components, according lo this seclion lo delermine performance
deformation-controlled actions shalJ also be permitted acceplabilily.
in shear and reinforcement development, as idenlitied Where Ihe average 01' lhe DCRs for columns al a
in Table 6-15. AH olher actions shall be detined as level exceeds lhe average value for slabs al the same
being force-controlled actíons. level, and exceeds lhe grealer of 1.0 and m/2, rhe ele­
Design actíons on components shall be deter­ menL shall be defined as a weak story elemenL and
mined as prescribed in Chapler 3. Where me calcu­ shall be evalualed by the proce-dure for weak slory
laled OCR values exceed uníty, lhe following design elemenls described in Section 6.4.2.4.1.

Table 6-15. Numerical Acceptance Criteria for Linear Procedures- Two-way

Slabs and Slab-Column Connections

m-Factors 1

Performance Level

Component Type
Primary Secondary
Conditions 10 LS CP LS CP
1
i. Slabs Controlled by F1exure, and Slah-Column Connections
~3 Conlinuity
Va Reinforcemenr
~ 0.2 Yes 2 2 3 3 4
2: OA Yes 1 1 1 2 3
~ 0.2 No 2 2 3 2 3
2: OA No 1
ii. Slabs CoOlrolled by Inadequate DevelopmeOl or Splicing along the Span1
3 4
iii. Slabs Controlled by Inadequate Embedment iOlo Slah-Co\umn Joint 2
2 2 3 3 4

JUnear interpolation belwccn values listed in the lable ,hall be permitted.

2Where more than one of tite conditions i, il, and iil occurs for a given component, use the minimum
appropriate numerical value from the tahle.
1 Vg the gravity ,Itear aCling on lite slah critical section as defined by ACI 318 (ACI 20(2); Vo = lhe
direct punching shear slrength as defincd by ACl 318.
4Under lite heading "Continuily Reinforcemcnt," use "Yes" wherc alleast one of Ihe main bOIlOIll bars
in each direction is eflectively continuous through tite colurnn cage. Where lite slab is post-tensioned,
use "Yes" where al least one of tite post-tensioning lendons in each direclion passes through tite column
cage. Otlterwise, use "No."

J72
 ASCE/SEI 41-06

6.4.4.4.2 Nonlinear Static and Dynamic Procedures In lÍon with shear walls, braced trames, or other lateral­
the design model, inelastic response shall be restricted load-resisting elements.
to those components and actions listed in Tables 6-8
and 6-14, except where it is demonstrated by experi­ C6.5.1.1 Precast Concrete Frames Expected to Resist
mental evidence and analysis that other inelastic Lateral Load
action is acceptable for the selected performance These systems are recognized and accepted by
levels. FEMA 450 (FEMA 2004) and are based on ACI 318
Calculated component actions shall satisfy the (ACI 2002), which specities safety and serviceability
requirements of Chaptcr 3. Maximum permissible levels expected from precast concrete trame construc­
inelastic deformations shaJl be as listed in Tables 6-8 tion. In the referenced documents, precast trames are
and 6-14. Where inelastic action is indicated for a cJassitied not by the method of construction (wet or
component or action not Iisted in these tables, the per­ dry joints) but by the expected behavior resulting from
formance shall be deemed unacceptable. Alternative the detailing used. In addition to recognizing varying
approaches or values shall be permitted where justitied levels of ductile performance as a result of overall
by experimental evidence and analysis. frame detailing, ACI 318 (in Section 2 \.6) acknowl­
edges three types of unÍt-to-unit connections that can
6.4.4.5 Rehabilitation Measures result in the highest level of performance. Such con­
Reinforced concrete slab-column moment frame nections are either "strong" or "ductile" as detined in
components that do not meet the acceptance criteria Sections 21.1 and 21.6 of ACI 318, or have demon­
for the selected Rehabilitation Objective shall be reha­ strated acceptable performance where tested in accOf­
bilitated. Rehabilitation measures shall meet the dance with ACI T\.I-Ol (ACI2ool).
requirements of Section 6.3.7 and other provisions of
this standard. 6.5.1.2 Precast Concrete Frames Not Expected to
Resist Lateral Load Directly
C6.4.4.5 Rehabilitation Measures Frames of this cJassification shall be assembled
The rchabilitation measures described in C6.5.2.5 using dry joints in a way that does not result in signiti­
for reinforced concrete beam-column moment frames cant lateral force resistance in the framing element.
may also be effective in rehabilitating reinforced con­ Shear walls, braced frames, Of moment frames provide
crete slab-column moment frames. the entire lateral load resistance, with the precast con­
crete frame system deforming in a manner that is com­
patible with the structure as a whole.
6.5 PRECAST CONCRETE FRAMES
6.5.2 Precast Concrete Frames Expected to Resist
6.5.1 Types oC Precast Concrete Frames Lateral Load
Precast concrete frames shall be detined as those
elements that are constructed from individually made 6.5.2.1 General Considerations
beams and columns that are assembled to create The analytical model for a frame element of this
gravity-Ioad-canying systems. These systems shall cJassitication shall represent strength, stiffness, and
incJude those that are considered in design to resist deformation capacity of beams, columns, beam­
design lateral loads, and those that are considered in column joints, and other components of the frame.
design as secondary elements that do not resist design Potential failure in flexure, shear, and reinforcement
lateral loads but must resist the effects of deformations development at any section along the component
resulting from design lateralloads. length shall be considered. Interaction with other com­
ponents, incJuding nonstructural components, shall be
6.5.1.1 Precast Concrete Frames Expected to Resist incJuded. All other considerations of Section 6.4.2.1
Lateral Load shall be taken into account. In addition, the effects of
Frames of this cJassitication shall be assembled shortening due to creep, and other effects of prestress­
using either reinforcement and wet concrete or dry ing and post-tensioning on member behavior, shall be
joints (connections are made by bolting, welding, post­ evaluated. Where dry joints are used in assembling the
tensioning, or other similar means) in a way that precast system, consideration shall be given to the
results in signiticant lateral force resistance in the effect of those joints on overall behavior. Where con­
framing elemen!. Frames of this cJassitication resist nections yield under design lateral load s, the analysis
lateral loads either acting alone, or acting in conjunc­ model shall take this into account.

173
 SElSMIC REHABILlTATION OF EXISTlNG BUILDlNGS

6.5.2.2 Stiffness 6.5.3 Precast Concrete Frames Not Expected to

Stitfness for analysis shall be as detined in Resíst Lateral Loads Directly
Section 6.4.2.2. The ctfects 01' prestressing shall be
considcred whcre computing Ihe effective stitTness 6.5.3.1 General COllsiderations
values using Table 6-5. Flexibilities associated The analylical model ror precast concrete rrames
with conneclions shall be included in the analytical Ihat are nol expecled lo resisa lateralloads direclly
model. shall comply wilh the requirements 01' Section 6.5.2.1
and shall incJude lhe effects 01' deformalÍons that
6.5.2.3 Strength are ca\culated to occur under the design earlhquake
Component strength shall be computed according loadings.
to the requiremenls 01' Seclion 6.4.2.3, with the addi­
tional requiremenl Ihat Ihe folJowing effccIs be 6.5.3.2 Stifflless
inc1uded in the analysis: The analytical model'shaJl inelude eilher realistic
lateral stif1'ness of Ihese rrames 10 evaluate Ihe effects
l. EtIecIs 01' prestressing thal are present, includíng, 01' deformations under laleral loads or, if the lateral
bUI nol limiled 10, reduclion in rotalion capacity, sli¡l'ness is ignored in Ihe analytical model, Ihe elTects
secondary stresses induced, and amount 01' effeclive of calculaled building drift on lhese trames shall be
preslress force remaining; evaluated separately. The analytical model shall con­
2. Effecls of conslruction sequence, inc1uding the pos­ sider the negative effecls 01' connectíon stítl'ness on
:~:
sibilily 01' construction 01' Ihe momenl conneclions component response where that stiffness resulls in
occurring after portions of the slruclure are sub­ aClions that may cause component failure.
jcclcd lo dead loads; and
3. E1'fects 01' restraint due lo ínleraction with Íntercon­
~6.5.3.2 StljrjJless
necled wall or brace componenls.
The sliffness used in the analysis should consider
possible resistance Ihal may develop under laleral
EtTects of connectíon strength shall be considcred deformalion. In some cases, it may be appropriate to
in accordance with Section 6.3.6. assume zero laleral sliffness. However, the NOflhridge
earthquake graphically demonslrated thal there are
6.5.2.4 Acceptance Criteria few instances where the precast column can be con­
Acceplance crileria for precast concrete frames sidered to be completely pinned top and boUom
cxpccted lo resisl laleral load shall be as specitied and, as a consequence, nol resisl any shear fmm
in Section 6.4.2.4, exccpl Ihal Ihe factors defined in building drifl. Several parking structures collapsed
Section 6.4.2.3 shall also be considercd. Connec­ as a result of this defect. COllservative assumptions
tions shalJ comply with the requirements 01' should be made.
Section 6.3.6.
6.5.3.3 Strengtlz
6.5.2.5 Rehabilitation Measures Componenl strength shall be computed accord­
Precast concrele 1'rame components thal do nol ing lo the requirements oí' Section 6.5.2.3. Al!
meetthe acceplance critería for Ihe selected Rehabili­ componenls shall have sufficienl strength and ducli­
tation Objective shall be rehabilitaled. Rehabilitalion Iily to transmít induced forces from one member lo
measures shall meel the requirements of Section 6.3.7 another and to the designaled lateral-force-resisting
and other provisions of Ihis standard. syslem.

C6.5.2.5 Rehabilitation Measures 6.5.3.4 Acceptallce Criteria

The rehabilitalion measures described in Acceptance criteria 1'or components in precast
C6.5.2.5 ror rein1'orced concrele beam-column concrete rrames not expected lO resist lateral loads
moment frames may also be ef1'ective in rehabilitat­ directly shall be as specified in Seclion 6.5.3.4. AII
ing precast concrete moment trames. When moments, shear forces, and axial loads induced
installing new components or materials [O the exist­ through the deformation 01' lhe structural syslem shaJl
ing system, existing prestressing strands should be checked using appropriate criteria in the referenced
be protected. section.

174
 ASeE/SEI 41-06

6.5.3.5 Rehabilitation Measures the infills were constructed to fin the space within the
Precasl concrete trame components that do bay of a complete gravity frame wilhoUI spedal provi­
not meet the acceptance criteria for the selected sion for conlinuity from story to story. The concrele of
Rehabilitation Objectíve shaJl be rehabilitated. the ¡nfill shall be evaluated separalely from lhe con­
Rehabilitarían measures shall meer the requiremenrs of crete ol' lhe l'rame.
Section 6.3.7 and orher provisions of this standard.
C6.6.1.3 Concrete Itifills
C6.5.3.5 Rehabilitation Measures The construction ol' concrete-infilJed frames is
The rehabilitaríon measures described in C6.4.2.5 very similar to that of masonry-infilled trames, except
for reínforced concrete beam-column moment frames that lhe ¡nfill is ol' concrete inslead of masonry unils.
may also be effective in rehabilitating precast concrete In older existing buildings, the concrete infill com­
trames not expected lO resist lateral loads directly. monly contains nominal reinforcement, which is
When instalJing new components or malerials to the unlikely to extend into lhe surrounding frame. The
existing system, existing prestressing strands should concrete is likely to be ol' lower quality than that used
be protected. in the frame, and should be investigated separately
l'rom investigations ol' the trame concrete.

6.6 CONCRETE FRAMES WITH INFILLS 6.6.2 Concrete Frames with Masonry Infills

6.6.1 Types oC Concrete Frames with Infills 6.6.2.1 General Considerations

Concrete frames wíth ínfills are elements with The analytical model for a concrete frame with
complete gravity-Ioad-carrying concrete frames masonry inlills shall represent strength, stíffness, and
infilled with masonry or concrete, constructed in such deformatíon capacity of beams, slabs, columns,
a way that the infill and the concrete frame interact beam-column joints, masonry infills, and all connec­
when subjected to vertical and laleral loads. tions and components 01' the elemenl. PotenlÍal failure
Isolated infills are intills isolated from lhe sur­ in tlexure, shear, anchorage, reinforcement develop­
rounding n'ame complying with the minimum gap ment, or crushing at any section shall be considered.
requirements specified in Section 7.5.1. If aIl infills in Interaction with nonstructural components shall be
a frame are isolated infills, lhe frame shaIl be analyzed íncluded.
as an isolaled frame according to provisions given For a concrete frame with masonry intill resistíng
elsewhere in this chapler, and rhe isolated intill panels lateral forces within its plane, modeling of the
shall be analyzed according lo the requirements of response using a linear elastic model shaJl be permit­
Chapter 7. led provided that the infill will not crack when sub­
The provisions of SecLion 6.6 shall apply to con­ jecled lo design lateral forces. If the infiII will nol
crete trames with existing íntills, frames that are reha­ crack when subjected to design lateral forces, model­
bilitared by addition or removal of material, and ing the assemblage of trame and intill as a homoge­
concrete frames Lhat are rehabilitated by the addition neous medium shall be permitted.
of new intills. For a concrete frame with masonry infills that wi\l
crack when subjecled to design lateral forces, model­
6.6.1.1 Types 01 Frames ing of (he response usíng a díagonally braced l'rame
The provisions of Section 6.6 shall apply 10 con­ model, in which the columns act as vertical chords, the
crete frames as detined in Sections 6.4, 6.5, and 6.9, beams act as horizontal ties, and the infiJl acts as an
where those frames interacl wilh infills. equivalent compression strut, shalJ be permitted.
Requirements tor the equivalent compression strut
6.6.1.2 Masonry InflUs analogy shall be as specified in Chapter 7.
The provisions of Seclion 6.6 shaIl apply to Frame components shall be evaluated l'or forces
masonry inmls as detlned in Chapter 7, where those imparted lO them through interactíon of the trame wilh
infills interact with concrete frames. the infiJl, as specified in Chapler 7. In frames with
full-height masonry intills, the evaluation shall inelude
6.6.1.3 Concrete Infllls the effect of strut compression torces applied lO the
The provisions of Section 6.6 shall apply lO con­ column and beam, eccentric from the beam-coJumn
crete intilIs that interact with concrete frames, where joint. In frames with partial-height masonry infills,

175
 SEISMIC REHABILlTATION OF EXISTING BUILDlNGS

the evaluation shall inelude the reduced etfective 6.6.2.2.2 Nonlinear Statk Procedure Nonlinear
length of the columns aboye the intilled portion ol' load-deformation relations for use in analysis by NSP
the bay. shall follow the requirements ol' Seetion 6.3.1.2.2.
Modeling beams and columns using nonlinear
C6.6.2.1 General Considerations truss elemenLs shalI be permiued in infilled portions ol'
The design professional is rel'erred to FEMA 274 (he frame. Beams and columns in non-infilled portions
(FEMA 1997) and FEMA 306 (FEMA 1998) l'or addi­ of [he frame shall be modeled using the relevant speci­
lional information regarding the behavior ol' masonry fications oí' Sectíons 6.4, 6.5, and 6.9. The model shall
infills. be capable of representing inelastic response along the
component lengths.
6.6.2.2 Stiffness Monotonic load-deformation relations shall be
according to the generalized relation shown in
6.6.2.2.1 Linear Static and Dynamic Procedures In Fig. 6-1, except different relations shaI1 be permiued
frames having intil1s in sorne bays and no infill in where verified by tests. Numerical quantities in
olher bays, the restraint 01' the infill shall be repre­ Fig. 6-1 shaI1 be derived from tests or by analyses pro­
senled as described in Section 6.6.2.1, and the non­ cedures as speeified in Chapler 2, and shall take into
infilled bays shall be modeled as frames as specified accounL Lhe interactions between frame and intilI com­
in appropriate portions of Sections 6.4, 6.5, and 6.9. ponents. Alternatively, the following procedure shall
• Where infills create a discontinuous wall, the effects be permiued for monolithic reinforced concrete frames:
of the discontinuity on overall building performance l. For beams and columns in non-infilled porlions of
shall be evalualed. Effective stiffnesses shall be in frames, where the generalized del'ormation is taken
accordance with Section 6.3.1.2. as rotaLion in the flexural plastic hinge zane, the

Table 6-16. Modeling Parameters and Numerical Acceptance Criteria for Nonlinear Procedures­
Reinforced Concrete Intilled Frames

Modeling Paramt::tt::rs l Acceptance Criteria l ,2

Total Slrain

Performance Level
Residual
Component Type
Plastic Rotatíons Strength
Angle, radíans Ratio Primary Secondary

Conditions d e e 10 LS CP LS CP

i. Columns Modeled as Compression Chords 3

Columns Confined along Entire Length4 0.02 0.04 0.4 0.003 0,015 0.020 0.03 0.04
Al! Other Cases 0.003 0.01 0.2 0.002 0.002 0.003 0.01 0.01
ii. Columns Modeled as Tension Chords 3
Columns with Well-Contined Splices, 0,05 0.05 0,0 0.01 0.03 0.04 0.04 0.05
or No Splices
AII Other Cases See 0.03 0.2 See Note 5 0.02 0.03
Note 5

'Interpolatioo shall oot be permiued.

'Primary aod secoodary componenl demands shall be withio secoodary component acceptance crÍleria where Ihe full backbone curve is explicitly
modeled including slrenglh degradatioo and residual slreng1h io accordance wilh Sectioo 3.4.3.2 .
.llf load reversals will result in both conditioos i and ii applying te a single eolumn. both cooditions shall be ehecked.
4A column shall be permitted 10 be considered to be confined along ils elltire lenglh where the quantity of hoops along the entire story height
including the joint is equal to Ihree-quarters of Ihal required by ACI 318 (ACI 2002) for boundary componenls of concrete shear walls. The maxi­
mum loogitudinal spacing 01' sets of hoops shall nOI exceed either h/3 or 8db •
sPolenlial for spliet! failun: shall be evalualed directly 10 determint! lht! modding and aceeplance crílt!l"ia. For thest! cases, r!!lec lo Ihe geoeralized
procedure 01' Seclions 6.3.2. Fo!' primary components, Collapse Prevenlion Pt!rformaocc Levcl shall be deJiocd as the delormatioll at which
slrength degradation begins. Life Salety Performance Levcl shall he taken as three-quarters oí' that value.

176
 ASCEJSEI 41-06

plastic hinge rotation capacities shall be as defined component strength in beams, columns, or masonry
by Table 6-18; infills; and (2) column axial load corresponding to
2. For masonry infills, the generalized deformations development of the flexural capacity 01" the infilled
and control points shall be as defined in Chapter 7; frame acting as a cantilever wall.
and Design actions shall be compared with design
3. For beams and columns in infilled portions of strengths in accordance with Section 3.4.2.2.
frames, where the generalized deformation is taken Values 01" m-faclors shall be as specitied in
as elongation or compression displacement 01' the Section 7.4.2.3 for masonry infills; applicable por­
beams or columns, the tension and compression tions of Sections 6.4, 6.5, and 6.9 for concrete frames;
strain capacities shall be as specified in Table 6-16. and Table 6-17 for columns modeled as lension and
compression chords. Those components that have
design actions less than design strengths shall be
6.6.2.2.3 Nonlinear Dynamic Procedure Nonlinear
assumed to satisfy the performance criteria for those
load-deformation relations for use in analysis by NDP
components.
shall modellhe complete hysteretic behavior of each
component using properties verified by tests.
6.6.2.4.2 Nonlinear Static and Dynamic Procedures In
Unloading and re10ading properties shall represent
the design model, inelastic response shall be restricted
stitl"ness and strength degradation characterislics.
to those components and actions that are permitted for
isolated frames as specified in Sections 6.4, 6.5, and
6.6.2.3 Strength 6.9, as well as for masonry infills as specitied in
Strengths of reinforced concrete componenls shalI Section 7.4.
be calculated according to the general requirements of Calculated component actions shall satisfy the
Sections 6.3.2, as moditied by other specifications of requirements of Section 3.4.3.2, and shall not exceed !he
this chapter. Strengths 01' masonry infills shall be cal­ numerical values listed in Table 6-16, the relevant tables
culated according to the requirements of Chapter 7. for isolated frames given in Sections 6.4, 6.5, and 6.9,
Strength calculations shall consider: and the relevant tables for masonry infills given in
l. Limitations imposed by beams, columns, and joints Chapter 7. Component actions not listed in Tables 6-7
in non-infilled portions of frames; through 6-9 shall be treated as force-controlled.
2. Tensile and compressive capacity of columns acting Alternative approaches or values shall be permitted
as boundary components of intilled frames; where justified by experimental evidence and analysis.
3. Local rorces applied from the infill to the frame;
4. Strength of the infill; and 6.6.2.5 RehabilitaRon Measures
5. Connections with adjacent components. Concrete frames with masonry infill that do not
meet the acceptance criteria for the selected
Rehabilitation Objective shall be rehabilitated.
6.6.2.4 Acceplance Criteria
Rehabilitation measures shall mect the requirements of
Section 6.3.7 and other provisions of this standard.
6.6.2.4./ Linear Static and Dynamic Procedures All
component actions shall be classitied as either
C6.6.2.5 Rehabilita/ion Measures
deformation-controlled or force-controlled, as defined
in Section 2.4.4. In primary components, deformation­ The rehabilitation measures described in relevant
commentary of Sections 6.4, 6.5, and 6.9 for isolated
controlled actions shall be restricted to flexure and
frames, and rehabilitation measures described in rele­
axial actions in beams, slabs, and columns, and lateral
vanl commentary or Section 7.4 for masonry infills,
deformations in masonry in fin panels. In secondary
may also be eftective in rehabilitating concrete frames
components, deformation-controlled actions shall be
with masonry infills. The design professional is
restricted to those actions identified for the isolated
referred to FEMA 308 (FEMA 1998) for further infor­
frame in Sections 6.4, 6.5, and 6.9, as appropriate, and
mation in this regard. In addition, !he following reha­
for the masonry ¡nfill in Section 7.4.
bilitation measures may be effective in rehabilitating
Design actions shal1 be determined as prescribed
concrete frames with infills:
in Chapter 3. Where calculated DCR values exceed
unity, the following design actions shall be determined 1. Post~tensioning existing beams, columns, or
using limÍl analysis principIes as prescribed in Chap­ joints nsing externa) post-tensioned reinforce­
ter 3: (1) moments, shears, torsions, and development mento Vertical post-tensioning may be effective in
and splice actions corresponding to development of increasing tensile capacity of columns acting as

177
SEISMIC REHABlLITATION OF EXISTING BUILDINGS

Table 6-17. NumericalAcceptance Criteria for Linear Procedures­

Reinforced Concrete Infilled Frames

m-Factors 1
Performance Level
Component Type

Primary Secondary

Conditions 10 LS CP LS CP
2
i. Columns Modeled as Compression Chords
Columns Confined along Entire Length 3 3 4 4 5
AlI Other Cases
ii. Columns Modeled as Tension Chords2
Columns with Well-Confined Splices, 3 4 5 5 6
or No Splices
AII Other Cases 2 2 3 4

'Interpolation shall not be permitted.

'If load reversals will result in both conditions i and ii applying to a single column, both conditions shall
be checked.
3 A colurnn may be considered to be confined along its entire length where the quantity of hoops along

the entire story height including the joint is equal 10 three-quarters of that required by ACI 3 J 8
(ACI 2(02) for boundary components of concrete shear walls. The maxirnurn longitudinal spacing of
sets of hoops shall not exceed either h/3 or 8db •

boundary zones. Anchorages should be located The analytical model shall be established consid­
away from regions where inelastic action is antici­ ering the relative stiffness and strength of the frame
pated, and should be designed considering possible and the intill, as well as the level of deformations and
force variations due to earthquake loading; associated damage. For low deformation levels, and
2. Modification of the element by selective material for cases where the frame is relatively t1exible, the
removal from the existing elemento Either the intilled frame shall be permitted to be modeled as a
infill should be completely removed from the shear wall, with opcnings modeled where they occur.
frame, or gaps should be provided between the In other cases, the frame-intill system shall be permit­
frame and the intill. In the latter case, the gap ted to be modeled using a braced-frame analogy such
rcquirements of Chapter 7 should be satistied; as that described for concrete frames with masonry
and intills in Section 6.6.2.
3. Changing the building system to reduce the Frame components shall be evaluated for forces
demands on the existing elemento Examples imparted to them through interaction of the trame with
include the addition of supplementary lateral-force­ the inlill as specitied in Chapter 7. In frames with full­
resisting elements such as walls, steel braces, or height intills, the evaluation shall include [he effect of
buttresses; seismic isolation; and mass reduction. strut compression torces applied to the column and
beam eccentric from the beam--column joint. In frames
6.6.3 Concrete Frames with Concrete Infills with partial-height intills, the evaluation shall inelude
the reduced effective length of the columns aboye the
6.6.3.1 General Considerations intilled portion of the bayo
The analytical model for a concrete frame with con­ In frames having intills in some bays and no
crete intills shall represent the strength, stiffness, and intills in other bays, the restraint of [he intill shall be
deformation capacity of beams, slabs, columns, beam­ represented as described in this section, and the non­
column joints, concrete intills, and all connections and intilled bays shall be modeled as trames as specified
components of the elements. Potential failure in tlexure, in appropriate portions of Sections 6.4, 6.5, and 6.9.
shear, anchorage, reinforcement development, or crush­ Where intills create a discontinuous wall, the effects
ing at any section shall be considered. Interaction with of the discontinuity on overall building performance
nonstructural components shall be included. shall be evaluated.

178
 ASCE/SE! 41-06

Table 6-18. Modeling Parameters and Numerical Acceptance Criteria for Nonlinear Procedures­
Reinforced Concrete Shear Walls and Associated Components Controlled by Flexure

Acceptable Plastic Hinge Rotation l •2 (radians)

Performance Level
Plastic Hinge Residual
Component Type
Rotation Strength
(radians) Ratio Primary Secondary

Conditions a b e 10 LS CP LS CP

i. Shear Walls and Wall Segments

(A,. - A;)fy + P V Contined
lu.lu·f:· t)wvJ: Boundary 3

:s 0.1 :s 3 Yes 0.015 0.020 0.75 0.005 0.0\0 0.0\5 0.015 0.020
:s 0.1 2:6 Yes 0.0\0 0.015 0.40 0.004 0.008 0.0\0 0.0\0 0.015
2: 0.25 :s3 Yes 0.009 0.012 0.60 0.003 0.006 0.009 0.009 0.012
2: 0.25 2:6 Yes 0.005 0.010 0.30 0.0015 0.003 0.005 0.005 0.0\0
:s 0.1 :s3 No 0.008 0.015 0.60 0.002 0.004 0.008 0.008 0.015
:s 0.1 2:6 No 0.006 0.010 0.30 0.002 0.004 0.006 0.006 0.010
2: 0.25 :s3 No 0.003 0.005 0.25 0.001 0.002 0.003 0.003 0.00
2: 0.25 2:6 No 0.002 0.004 0.20 0.001 0.001 0.002 0.002 0.004
ii. Columns Supporting Discontinuous Shear Walls
Transverse Reinforcement4
Conforming 0.0\0 0.015 0.20 0.003 0.007 0.0\0 n.a. n.a.
Nonconforming 0.0 0.0 0.0 0.0 0.0 0.0 n.a. n.a.
iii. Shear Wall Coupling Beams5
V
Longitudinal Reinforcement
and Transwrse Reinforcement 6 tw1wvJ:
Conventional Longitudinal :s3 0.025 0.050 0.75 0.0\0 0.02 0.025 0.025 0.050
Reinforcement with Conforming 2:6 0.020 0.040 0.50 0.005 0.0\0 0.020 0.020 0.040
Transverse Reinforcement
Conventional Longitudinal :s3 0.020 0.035 0.50 0.006 0.012 0.020 0.020 0.035
Reinforcement with 2:6 0.0\0 0.025 0.25 0.005 0.008 0.010 0.010 0.025
Nonconforming Transverse
Reinforcement
Diagonal Reinforcement n.a. 0.030 0.050 0.80 0.006 0.018 0.030 0.030 0.050

IPllmary and secondary component demands shaJl be within secondary component acceptance criteria where the fuJl backbone curve is explicitly
modeled including strength degradation and residual strength in accordance with Section 3.4.3.2.
'Linear imerpolaIion belween values Iisted in lhe table shall be permitted.
JRequirements for a confined boundary are the same as those given in ACI 318 (ACI 2(02).
4Requirements for conforming transverse reinforcement in colunills are: (a) hoops over lhe entire length of the column at a spacing:s d/2, and
(b) strength of hoops V, :;=: required shear strength of column.
5For secondary coupling beams spanning < 8 ft, O in., with bottom reinforcement continuous into the supponing walls, secondary values shall be
perrnitted to be doubled.
·Conventional longitudinal reinforcement consists of top and bottom steel parallel to the longitudinal axis of the coupling beam. Conforming
transverse reinforcement consists of: (a) c10sed stirrups over lhe entire length of the coupling beam al a spacing:s dl3, and (b) strength of c10sed
stirrups V, 2: three·fourths of required shear strength of the coupling beam.

6.6.3.2 Stiffness 6.6.3.2.2 Nonlinear Static Pmcedure Nonlinear

load-deformation relations for use in analysis by
6.6.3.2.1 Linear Sta tic and Dynamic Procedures NSP shaIl folIow the requirements of Sec-
Effective stitl'nesses shall be caJculated according to tion 6.3.1.2.2.
the principIes of Section 6.3.1.2 and the procedure of Monotonic load-deformation relations shall be
Section 6.6.2.2.1. according to the generalized relation shown in Fig. 6-1,

179
 SEISMIC REHABlLITATION OF EXISTING BUILDlNGS

except different relalions shall be permitted where veri­ C6.6..1.5 Rehabilitation Measltres
fied by tests. Numerical quantities in Fig. 6-1 shall be RehabilitaLion measures described in C6.6.2.5 for
derived from tests or by analysis procedures specified in concrele n'ames with masonry infills may also be effec­
Section 2.8, and shall take into account the interactions tive in rehabilitating concrete r.·ames with concrete
between frame and ínlill components. Alternatively, the infills. In addition, application of sholerete to Lhe face
procedure ol' Seetion 6.6.2.2.2 shall be permiued for the of an existing wall to increase the thíckness and shear
development 01' nonlinear modeling parameters for con­ slrength may be etfeclive. For this purpose, the face of
crete trames with concrete íntills. lhe existing wall should be roughened, a mat 01' rein­
forcing sleel should be doweled into the existing slruc­
6.6.3.2.3 Nonlinear Dynamic Procedure Nonlinear ture, and shotcrele should be applied lo lhe desircd
load-deformation relations for use in analysis by NDP thickness. The design professional is referred to FEMA
shall model lhe complete hysteretic behavior of each 308 (FEMA 1998) for further information regarding
component using properties verified by tests. rehabiJilation 01' concrete frames wilh concrete infil!.
Unloading and reloading properties shall represent
stil'fness and strength degradalion characteristics.
6.7 CONCRETE SHEAR WALLS
6.6.3..1 Strength
6.7.11Ypes of Concrete Shear Walls and Associated
Strengths of reinforced concrete components
Components
shall be calculaled according lo the general require­
The provisions 01' Seclion 6.7 shalI apply to alI
ments of Seclions 6.4.2, as modi11ed by other specili­
..,. cations 01' this chapter. Strength calculations shall
consider:
shear walIs in all types 01' structural syslems thal
incorporate shear walls. This inc\udes isolated shear
,d
,1
walls, shear waJls used in wall-frame systems, cou­
l. Límitations imposed by beams, columns, and joints pled shear walls, and diseontinuous shear walls. Shear
in unfilled portions of frames; walls shall be permitted to be considered as solid walIs
2. Tensile and compressive capacity 01' columns acting if they have openings that do not signíticanlly intlu­
as boundary components of intilled trames; ence the strenglh or inelastic behavior of the wall.
3. Local forces applied from the infiII to the frame; Perforated shear walls shall be defined as walls having
4. Strength oí' the inlill; and a regular pattern 01' openings in both horizontal and
5. Connections with adjacent componenls. vertical directíons thal crea Les a series 01' wall pier and
deep beam componenLs referred to as wall segments.
Strengths oí' existing concrete intills shall be Coupling beams and columns thal support discon­
determined considering shear strength oí' the infill Linuous shear walls shall comply with provisions of
panel. For lhis calculation, procedures specitied in Section 6.7.2. These specíal frame componenls assocí­
Seclion 6.7.2.3 shaJl be used for calculation of the aled with shear walls shall be cxempted from Lhe pro­
shear strength of a wall segment. visions for beams and columns 01' trame components
Where the frame and concrete infill are assumed covered in SecLion 6.4.
to act as a monolithic wall, flexural strength shall be
based on continuity of vertical reinl'orcement in boLh C6.7.1 Types of Concrete Shear Walls and
( 1) lhe columns acting as boundary components, and Associated Components
(2) the intill wall, including anchorage 01' the intilI Concrete shear walls are planar vertical elements
reinforcement in the boundary frame. or combinalions of inlerconnecled planar elements that
serve as lateral-load-resisting elements in concrete
6.6..1.4 Accepttmce Criteria structures. Shear walls (or wall segmenls) shall be
The acceptance criteria for concrete trames with considered slender i1' their aspeel ralio (heighl/lenglh)
concrete intills shall comply with relevant acceptance is > 3.0, and shall be considered short or squat if their
críleria 01' Sections 6.6.2.4,6.7, and 6.8. aspect ratio is < 1.5. Slender shear walls are normally
controlJed by I1cxural behavior; short walls are nor­
6.6.3.5 Rehabilitation Measllres mally controlled by shear behavior. The response 01'
Concrete trames with concrete infills that do nOI walls with intermediale aspect ratios is inlluenced by
meet the acceptance criteria for lhe selected Rehabili­ bOlh Ilexure and shear.
tation Objective shall be rehabilitaled. RehabiJitation IdentificaLion oí' component lypes in concrete
measures shall meet the requirements 01' Section 6.3.7 shear wall elements depends, lo some degrec, on
and other provisions of lhis standard. lhe relative strengths 01' the wall segments. Vertical

180
 ASCEJSEI 41-06

segments are often (ermed wall piers, while horizontal Iban 0.0025, but with reinforcemenl spacings less than
segmenls may be calIed coupling beams or spandrels. 18 in., shaJl be permiued where the shear force
The design professional is referred lo FEMA 306 demand does not exceed lhe reduced nominal shear
(FEMA 1998) for addítional information regarding strength of the walI calculaled in accordance with
the behavior of concrete walI componenlS. Selected Section 6.7.2.3.
informatíon from FEMA 306 has been reproduced in
the commentary of Ihis standard, in Table C6-1 and C6.7.1.1 Monolithic Reinforced Concrete Shear
Fig. C6-l lo c1arify wall component identificalÍon. Walls and Wa/l Segments
The walI reinforcement is normally continuous in
6.7.1.1 Monolithic Reinforced Concrete Shear Walls both the horizontal and vertical direclions, and bars
and Wall Segments are typically lap spliced for lension continuity. The
Monolithic reinforced concrete shear walls shaIl reinforcement mesh may also contain horizontal lÍes
consist of vertical cast-in-place elements, either around vertical bars that are concentrated either near
uncoupled or coupled, in open or closed shapes. These the vertical edges of a wall with constant thickness, or
walls shall have relatively contÍnuous cross sections in boundary members formed at the wall edges. The
and reinforcement and shall pro vide both vertical and amount and spacing of Ihese lies is important for
lateral force resistance, in contrast with infilled walls determining how well the concrete at the wall edge is
detined in Section 6.6.1.3. confined, and thus for determining the lateral deforma­
Shear walls or wall segments with axial loads tion capacity of the wall.
greater than 0.35Po shall not be considered effective in In general, slender reinforced concrete shear walls
resisting seismic forces. For Ibe purpose of determin­ will be governed by tlexure and will tend to form a
ing effectiveness of shear walls or wall segments, the plasüc tlexural hinge near the base of the wall under
use ofaxialloads based on a limit state analysis shall severe lateralloading. The ductilily of the wall will be
be permitted. The maximum spacing of horizontal and a function oí' the percentage of longitudinal reinforce­
vertical reinforcement shall not exceed 18 in. Walls ment concentrated near the boundaries of the wall, the
with horizontal and vertical reinforcement ratios les s level ofaxial load, (he amount ol' lateral shear required

Table C6-1. Reinforced Concrete Sbear Wall Component Types1

Component Type
per FEMA 306 Description ASCE 41 Designation

RCl Isolated Wall or Stronger than beam or spandrel components that may Monolíthíc reínforced concrete
Stronger Wall Píer frame into it so that nonlinear behavior (and damage) wall or vertical wall segment
is generally concentrated at the base, with a tlexural
plastic hinge, shear failure, etc. lncludes isolated
(cantilever) walls.lf the component has a major set­
back or cutoff of reinforcement above the base, this
section should be also checked for nonlinear behavior.
RC2 Weaker Wall Pier Weaker than the spandrels to which it connects; char­
acterized by flexural hinging top and bottom, or shear
failure, etc.
RC3 Weaker Spandrel or Weaker than the wall píers to which it connects; char­ Horizontal wall segment or
Coupling Seam acterízed by hinging at each end, shear faHurc, sliding coupling beam
shear failure, etc.
RC4 Stronger Spandrel Should no! suffer damage because it is stronger than
attached wall piers. If this component is damaged, it
should probably be reclassitied as RC3.
RC5 Píer-Spandrel Panel Typically not a critical area in RC walls. Wall segment
Zone

'Source: FEMA. (1998). "Evaluatioll of eaI1hquake-damaged concrete and masonry wall buildings-Basic procedures manuaJ." FEMA 306, pre­
pared by lhe Applied Technology Council (ATC-43 Project), for ¡he Federal Emergency Management Agency, Washington, D.e.

181
SEISMIC REHABILITATION OF EXISTING BUILDING S

Wall component types

Beam and column (see Table C6-1) r=-~~"

\
components

Slenderwall Squatwall Strongly coupled

perforated wall

(a) Cantilever Wa/l Mechanísms

Strong piar I Weak pier I Weakly coupled

weak spandrel strong spandrel perforated wall

(b) Pier I Spandrel Mechanisms

(e) Mixed Mechanisms

FIGURE C6-1. Identification of Component Types in Concrete Shear Wall Elements.
From: FEMA. (1998). "Evaluation of earthquake-damaged concrete and masonry walI buildings-Basic procedures
manual." FEMA 306, prepared by the Applied Technology Council (ATC-43 Project), for the Federal Emergency
Management Agency, Washington, D.C.

to cause nexural yielding, and lhe thickness and rein­ designed either as displacernent-controlled compo­
forcement used in lhe web portion of the shear wall. In nents with Jow ductiJity capacities 01' as force­
general, higher axial load stresses and higher shear controlled components.
stresses will reduce lhe flexural ductility and energy­
absorbing capabilily ol' Ihe shear wall. Short or squat 6.7.1.2 Reinforced Concrete Columm SlIpportillg
shear walls will norrnally be governed by shear. Discontimwus Shear Walls
These walls will normally have a limited ability to Reinforced concrete columns supporling discon­
deform beyond the elastic range and continue lO tinuous shear walls shall be evaluated and rehabilitated
carry lateralloads. Thus, these walls are typically to comply with lhe rcquiremcnts of Section 6.7.2.

182
 ASCE/SEI 41-06

C6.7.1.2 Reinforced Concrete Columns Supporting the shear wall shall be considered. Interaction with
Disconlinuous Shear Walls other structural and nonstructural components shall
In shear wall buildings it is nol uncommon lO find be included.
that sorne walls are terminated either to crea te commer­ Slender shear waIls and waIl segments shaIl be
cíal space in the first slory or to create parking spaces permiued to be modeled as equivalent beam-column
in the basemenl. In such cases, the waJls are commonly elements that indude both flexural and shear deforma­
supported by columns. Such designs are not recom­ tions. The flexural strength of beam-column elements
mended in seismic zones because very large demands shall include the interaction ofaxialload and bending.
may be placed on these columns during earthquake The rigíd-connection zone at beam connections to this
loading. In older buildings such columns will often equivalent beam-column element shall represent the
have "standard" longitudinal and transverse reinforce­ distance from the wall centroid to the edge or the wall.
ment; lhe behavior of such columns during pasl earth­ Unsymmetrical wall sectÍons shall model the different
quakes indicates that tightly spaced closed ties with bending capacities ror the two loading directions.
well-anchored 135-degree hooks will be required for A beam element that incorporales bOlh bending
Ihe building to survive severe earthquake loading. and shear deformations shall be used 10 model cou­
pling beams. The element inelastic response shall
6.7.1.3 Reinforced Concrete Coupling Beams account ror the loss of shear strength and stiffness dur­
Reinforced concrete coupling beams used to ing reversed cyclic loading to large deformations. For
link two shear walls together shall be evaluated and coupling beams that have diagonal reinrorcement sat­
rehabilitated to comply with the requirements of isfying ACI 318 (ACI 2(02), a beam element repre­
Section 6.7.2. senting t1exure only shall be permitted.
For columns supporting discontinuous shear
C6.7.1.3 Reinforced Concrete Coupling Beams walls, the model shall account for axial compression,
The coupled walls are generally much stiffer and axial tension, flexure, and shear response, including
stronger than they would be if they acted indepen­ rapid loss 01' resistance where this behavior is likely
dently. Coupling beams typically have a small span-to­ under design loadings. The diaphragm action of con­
depth ratio, and their inelastic behavior is normally crete slabs that interconnect shear walls and frame
affected by the high shear forces acting in these com­ columns shall be represented in the model.
ponenls. Coupling beams in mosl older reinforced
concrete buildings will commonly have "conventional" C6.7.2.1 General Considerations
reinforcement that consists of longitudinal flexural For rectangular shear walls and wall segments
steel and transverse steel for shear. In sorne, more with h/l", ::s; 2.5, and flanged wall sections with
modern buildings, or in buildings where coupled shear h/t", ::s; 3.5, either a moditied beam-wlumn analogy
walls are used fm seismic rehabilitation, the coupling or a multiple-node, multiple-spring approach should
beams may use diagonal reinforcement as the primary be used. Because shear walls usually respond in single
reinforcement for both flexure and shear. The inelastic curvature over a story height, the use 01' one muItiple­
behavior of coupling beams lhat use diagonal rein­ spring element per story should be permitted ror mod­
forcement has been shown experimentally to be much eling shear walls. Wall segments should be mode1ed
better with respect 10 relention of strength, stiffness, with either the beam-<:olumn element or with a
and energy dissipalion capacily than the observed multiple-spring model with two elements over the
behavior of coupling beams with conventional length 01' the wall segment.
reinforcement. Coupling beams that have diagonal reinforcement
satisfying FEMA 450 (FEMA 2004) will commonly
6.7.2 Reinforced Concrete Shear Walls, Wall have a stable hysteretic response under large load
Segments, Coupling Beams, and Reinforced reversals. Therefore, these members could adequately
Concrete Columns Supporting Discontinuous be modeled with beam elements used for typical 1'rame
ShearWalls analyses.

6.7.2.1 General Considerations 6.7.2.2 Stiff"ess

The analytical model for a shear waIl element The effective stiffness of all the elements discussed
shall represent the stiffness, strength, and deformation in Section 6.7 shall be defined based on Ihe material
capacity of the shear wall. Potential failure in t1exure, properties, component dímensions, reinforcement
shear, and reinforcement development at any point in quantities, boundary conditions, and current state of

183
 SEISMIC REHABILlTATION OF EXISTING BUILDINGS

the member wilh respect lo cracking and stress levels. where

Alternatively, use of values for etTective slitTness given
in Table 6-5 shall be permiued. To oblain a proper dis­ M)' = yieId moment capacity of the shear waIl or wall
lribulion of lateral forces in bearíng wall buildings, all segment;
of lhe walls shall be assumed lo be eilher cracked or Ec = concrete modulus;
uncracked. In buíldings where lateral load resistance is J = member moment of inerlia; and
provided by either structural walls only, or a combina­ lp = assumed plastic hinge lenglh.
tion of walls and frame members, aH shear walls and For anaIytical models of shear walls and wall seg­
wall segments discussed in this section shall be con­ ments, the vaIue oí' lp shall be set equaI to 0.5 times
sidered 10 be cracked. the Ilexural deplh of the element, bul less than one
For couplíng beams, the effective stiffness values story height for shear walIs and less than 50% of the
given in Talile 6-5 for non-prestressed beams shall be eIement Iength for wall segments. For columns sup­
used unless alternative stitTnesses are determined by porling discontinuous shear walIs, lp shaJl be set equal
more detailed analysis. The effective stiffness of lo 0.5 times the Ilexural depth of the component.
columns supporting discontinuous shear walls shall VaIues for lhe variables a, b, and e required
change between the values given for columns in ten­ lo define the localion 01' points e, D, and E in
sion and compressíon, depending on the direction of Fig. 6-1 (a), shall be as specified in Table 6-18.
lhe lateral load being resisled by the shear wall. For shear walls and wall segments whose ineIastic
response is controlled by shear, the following approach
6.7.2.2.1 Linear Static and Dynamic Procedures Shear shall be permitted. The load-deformalion reIation­
-•'" walIs and associated components shaIl be modeled
considering axial, flexural, and shear stitTness. For
ship in Fig. 6-1 (b) shall be used, wilh the x-axis of
Fig. 6-1 (b) taken as laleral dri fl. For shear walls, this
~ closed and open waJl shapes, such as box, T, L, 1, and drift shall be lhe story dríft as shown in Fig. 6-3. For
e sections, the etTective tension or compression flange wall segments, Fig. 6-3 shall represent the member dríft.
widths shall be as specified in Section 6.3.1.3. The For coupling beams, the foHowing approach shall
ca1culated stiffnesses lO be used in analysis shall be in be permitted. The Ioad-deformation reIalionship in
accordance with the requirements of Section 6.3.1 .2. Fig. 6-1 (b) shall be used, with the x-axis of Fig. 6-] (b)
Joints between shear walls and frame elements laken as the chord rotat.ion as detined in Fig. 6-4.
shall be modeled as stiff components or rigid compo­ Values for the variables d, e, and e required to
nents, as appropriate. tind the points e, D, and E in Fig. 6-1(b), shall be as
speci fied in Table 6-19 for the appropriate members.
6.7.2.2.2 Nonlinear Static Procedllre Nonlinear Linear interpolation between tabulated vaIues shalI be
load-deformation relations for use in analysis by non­ used if lhe member under analysís has conditions that
linear stalic and dynamic procedures shall comply are between the limits given in Ihe tables.
with the requirements of Section 6.3.] .2.
Monotonic load-deformation relationships for
analytical models that represent shear walls, wall ele­
Plastic Hinge Rotation =(J
ments, coupling beams, and columns that support dis­
continuous shear walls shall be in accordance with the
generalized relation shown in Fig. 6-1.
For shear walls and wall segments having inelas­
tic behavior under lateralloading that is governed by

J
flexure, as well as columns supporting discontinuous
shear walls, the following approach shall be permitted.
The load-deformation relationship in Fig. 6-1 shalI be
used with the x-axis of Hg. 6-1 taken as the rotation 8 ~._--- =iF====---==1I:::
over the pIastic hinging region al the end of the mem­
ber shown in Fig. 6-2. The hinge rotation at point B in
Fig. 6-1 corresponds to the yield point, O" and shall be
calculated in accordance with Eq. 6-6:
~

(Eq.6-6) FIGURE 6-2. Plastic Hinge Rotation in Shear Wall

where Flexure Dominates Inelastic Response.

184
 ASCE/SEI 41-06

Choro Rolation:
0= A
L

'~"'.

~,., ......,..... .. .... ,.

, ,

L
..1
FIGURE 6-3. Story Drift in Shear Wall where FIGURE 6-4. Chord Rotation for Shear Wall
Shear Dominates Inelastic Response. COllpling Beams.

Table 6-19. Modeling Parameters and Nllmerical Acceptance Criteria for Nonlinear Procedllres­
Reinforced Concrete Shear Walls and Associated Components Controlled by Shear

Acceptable Total Drift (%) or Chord l

Rotatíon (radíans)2

Total Dríft Ratio Performance Level

(%), or Chord Residual
Componem Type
Rotatíon Slrength
(radians)2 Ratio Primary Secondary

Conditions el e e 10 LS CP LS CP
L Shear Walls and Wall Segments
AH Shear Walls and Wall Segments J 0.75 2.0 0.40 0.40 0.60 0,75 0.75 1.5
iL Shear wall coupling beams4

Longitudinal Reinforcement
v
and Transverse
Reinforcement5
Conventional Longitudinal s; 3 0.02 0.030 0.60 OJlO6 0.015 0.020 0,020 0.D30
Reinforcement with Conformíng 6 0.016 0.024 0.30 0.005 0.012 0.016 0.016 0.024
Transverse Reinforcement
Conventional Longitudinal s; 3 0.012 0.025 0.40 0.006 0.008 0.010 omo 0.020
Reinforcement wíth 2:! 6 0.008 0.014 0.20 0.004 0.006 0.007 0.007 0.012
Nonconforming Transverse
Reínforcement

lPrimary and secondary component demands shall be within secondary component acceptance crítería where the full backbone curve is explícitly
modeled including strength degradation and residum strength in accordance wilh Section 3.4.3.2.
2pOl' shear walls and wall segmenls, use drift; for coupling beams, use chord rotalion; refer 10 Figures 6-3 and 6-4.
'Por shear walls and wall segrnenls where inelaslic behavior i8 governedby shear, tbe axial load on the member musl be '" O. [5 A.f:; otherwise,
the member musl be treated as a force-controlled component.
4Por secondary coupling beams spanning <8 ft, O in" with bottom reinforcement continuous into Ihe supporting wmls. secondary values shall be
perrnitted 10 be doubled.
5ConvenlÍonal longitudinal reinforcement consisls of top and bottorn sleel para/le! 10 [he longitudinal axis of the couplíng heam. Conforming
Iransverse reinforcemenl consiSls of: (1) cJosed stirrups over the entire Jength of Ihe coupling beam al a spacing d13, and (2) slrength of closed
stirrups V, ;;, three-fouflhs of required shear strenglh of the coupling beam,

185
 SElSMIC REHABILlTATION OF EXlSTING BUILDING S

6.7.2.2.3 Nonlinear Dynamic Procedure For Ihe NDP, Where a shear wall or wall segment has a Irans­
lhe complete hysteretic behavior of each componenl verse reinfórcemenl percentage, Pn' les s than the
shall be modeled using properties veritied by experi­ minimum value of 0.0025 but greater than 0.0015 and
mental evidence. Use of the generalized load­ reinforcement is spaced no greater than 18 in., the
deformation relalion shown in Fig. 6-1 to represenl shear strength 01' the wall shall be analyzed using the
the envelope relalion for lhe analysis shall be permiL­ ACI 318 equations noted aboye. For transverse rein­
ledo The unloading and reloading sliffnesses and forcement percentages less than 0.00 15, the contri bu­
strengths, and any pinching of the load-versus-rotation tion from the wall reinforcemem lo lhe shear slrengfh
hysteresis loops, shall retlecl lhe behavior experimen­ oí' the wall shall be held constant at the value obtained
tally observed for wall elemenls similar to the one using Pn = 0.0015.
under invesligalion. Splice lengths ror primary longitudinal reinforce­
ment shall be evaluated using the procedures given in
Section 6.3.5. Reduced flexural strengths shaIl be eval­
6.7.2.3 Slrenglh
uated at locations where splices govern the usable
Component strenglhs shall be compuled according
stress in lhe reinforccment. The need for conlinement
lo the general requirements of Seclions 6.3.2, wilh Ihe
reinforcement in shear wall boundary members shall
addilional requirements of this section. Strenglh shall
be evaluated by the procedure in ACI 318 or other
be delermined considering lhe potential for failure in
tlexure, shear, or developmenl under combined gravity approved procedure.
1; Thc nominal tlexural and shear strcnglhs 01' cou­
ami lateral load.
, pling beams shalI be evaluated using the principIes and

...
..r.

II
r!
~
Nominal tlexural slrenglh of shear walls or wall
segmenls, M n , shall be determined using Ihe funda­
menlal principIes given in Chapter 10 of ACI 318
equations contained in Chapler 21 01' ACI 318. The
expected strength of longitudinal or diagonal rein­
forcement shall be used.
(ACI 2002). For calculalion of nominal tlexural
The nominal shear and llexural strenglhs of
strength, the effective compression and tension tlange
columns supporting discontinuous shear walls shall be
widths detined in Seclion 6.7.2.2 shall be used, except
lhal lhe tirsl limil shall be changed lo one-Ienth of Ihe evaluated as delined in Section 6.4.2.3.
wall height. Where determining Ihe flexural yield
slrenglh of a shear wall, as represenled by poinl B in C6.7.2.3 Strenglh
Fig. 6- J (a), only Ihe longitudinal steel in lhe boundary Data presented by Wood (1990) indicatc thal wall
of Ihe wall shall be inc\uded. Ir Lhe wall does not have strength is insensitive lo lhe quantity of transverse
a boundary member, then only Ihe longitudinal sleel in reinforcement whcre it drops below a steel ralio of
Ihe ouler 25% of the wall seclion shall be included in 0.0015.
lhe calculalion oí' the yield strength. Where calculaling The nced for continement reinforcement in shear
Ihe nominal flexural slrength of the waIl, as repre­ wall boundary mcmbers may be evalualed by the
senled by point C in Fig. 6-1 (a), alllongitudinal sleel method recommended by Wallace and Thomsen
(including web reinforcement) shall be included in lhe (1995) for determining maximum laleral deformations
calculation. For all moment strength calculations, the in the wall and the resulting maximum compression
strength of the longitudinal reinforcemem shall be strains in the walI boundary.
taken as the expected yield slrength lo accounl for Strength calculations based on ACI 318 (ACI
malerial overstrength and strain-hardening, and the 2002), excluding Chapter 22, assume a maximum
axial load acting on lhe wall shaIl inelude gravily spacing of wall reinforcemcnt. No dala are available lo
loads as defined in Chapler 3. justify performance for walIs that do not meet Ihe
The nominal shear slrength of a shear wall or wall maximum spacing requirements. If plaín concrete is
segment, V"' shall be determined based on the princi­ encountered in an existing building, Chapter 22 of ACI
pIes and equalions given in Chapter 21 01' ACI 318. 318 can be used to derive capacities, while Section 2.8
The nominal shear strength of columns supporting dis­ of this standard can be used lo develop acceptance
continuous shear walls shall be determined based on criteria.
the principIes and equations given in Chapler 21 of
ACI 318. For aIl shear strength calculations, 1.0 times 6.7.2.4 Acceplauce Crileria
the specitied reinforcement yield strength shall be
used. There shaIl be no dií'ference between lhe yield 6.7.2.4. J Linear Static and Dynamic Procedures Shear
and nominal shear strengths, as represented by points walls, walI segments, coupling beams, and columns
B and C in Fig. 6-1. supporting disconlinuous shear walls shall be cIassi­

186
 ASeE/SE) 41-06

tied as either deformation- or force-controlled, as Components experiencing inelastic response shalI

detined in Section 2.4.4. For columns supporting dis­ satisfy the requirements of Section 3.4.3.2, and the
continuous shear walls, deformation-controlled actions maximum plastic hinge rotations, drifts, or chord
shall be restricted to tlexure. In other components, rotation angles shall not exceed the values given in
deformation-controlled actions shall be restricted to Tables 6-18 and 6-19, for the selected performance
tlexure or shear. AII other actions shall be detined as leve!. Linear interpolation between tabulated values
being force-controlled actions. shall be used if the member under analysis has
The nominal tlexukral strength of a shear wall or conditions that are between the limits given in the
wall segment shall be used to determine the maximum tables.
shear force in shear walIs, wall segments, and columns
supporting discontinuous shear walls. For cantilever 6.7.2.5 Rehabilitatio" Measures
shear walIs and columns supporting discontinuous Reinforced shear walls, wall segments, coupling
shear walls, the design shear force shalI be equal to beams, and columns supporting discontinuous shear
the magnitude of the lateral force required to develop walls that do not meet the acceptance criteria for the
the nominal tlexural strength at the base of the wall, selected Rehabilitation Objective shall be rehabilitated.
assuming the lateral force is distributed uniformly Rehabilitation measures shall meet the requirements of
over the height of the wal!. For wall segments, the Section 6.3.7 and other provisions of this standard.
design force shall be equal to the shear correspond­
ing to the development of the positive and negative C6.7.2.5 Rehabilitatio" Measures
nominal moment strengths at opposite ends of the The following measures may be effective in reha­
waJl segmento bilitating reinforced shear walls, wall segments, cou­
Design actions (flexure, shear, axial, or force pling beams, and reinforced concrete columns support­
transfer at rebar anchorages and splices) on compo­ ing discontinuous shear walls:
nents shall be determined as prescribed in Chapter 3.
l. Addition oC wall boundary components. Addition
Where determining the appropriate value for the
of boundary components may be an etTective meas­
design actions, proper consideration shall be given to
ure in strengthening shear walls or wall segments
gravity loads and to the maximum forces that can be
that have insufticient flexural strength. These mem­
transmitted considering nonlinear action in adjacent
bers may be either cast-in-place reinforced concrete
components. Design actions shall be compared with
components or steel sections. In both cases, proper
design strengths in accordance with Section 3.4.2.2.
connections should be made between the existing
Tables 6-20 and 6-21 specify m values for use in
wall and the added components. The shear capacity
Eq. 3-20. Alternate m values shall be permitted where
of the rehabilitated wall should be reevaluated;
justitied by experimental evidence and analysis.
2. Addition oC confinement jackets at wall bound­
aries. Increasing the confinement at the wall
C6.7.2.4.J Linear Static and Dynamic Procedures For boundaries by the addition of a steel or reinforced
shear-controlled coupling beams, ductility is a func­ concrete jacket may be an efl'ective measure in
lion of the shear in the member as determined by the improving the flexural deformation capacity of a
expected shear capacity of the member. In accordance shear wal!. For both types of jackets, the longitudi­
with Section 6.3.2, expected strengths are calculated nal steel should not be continuous from story to
using the procedures specitied in ACI 318 (ACI 2002). story unless the jacket is also being used to
For coupling beams, Ve is nearly always zero. increase the tlexural capacity. The minimum thick­
ness tor a concrete jacket should be 3 in. Carbon
6.7.2.4.2 Nonlinear Static and Dynamic Procedures In fiber wrap should be permitted for improving the
the design model, inelastic response shalI be restricted continement of concrete in compression;
10 Ihose components and actions listed in Tables 6-18 3. Reduction oC flexura. strength. Reduction in the
and 6-19, except where it is demonstrated that other flexural capacity of a shear wall to change the gov­
ioelastic actions are justified for the selected perform­ erning failure mode from shear to tlexure may be
ance levels. For members experiencing inelastic an effective rehabilitation measure. It may be
behavior, the magnitude of other actions (torces, accomplished by saw-cutting a specitied number of
moments, or torque) in the member shall correspond longitudinal bars near the edges of the shear wall;
lo the magnitude of the action causing inelastic behav­ 4. Increased shear strength of wall. Increasing the
ior. The magnitude of these other actions shall be shear strength of the web ol' a shear wall by casting
shown to be below their nominal capacities. additional reinforced concrete adjacent to the wall

187
 SEISMIC REHABILlTATION Of EXISTING BUlLDINGS

web may be an etfective rehabilitalion measure. to the exísting web of the shear wall. The .use of
The new concrete should be at least 4 in. thick and carbon fiber sheets, epoxied to the concrete surface,
should contain horizontal and vertical reinforce­ should also be permitted to increase the shear
mem. The new concrete should be properly bonded capacity of a shear wall;

Table 6·20. Numerical Accepiance Criteria for Linear Procedures­

Reinforced Concrete Shear Walls and Associated Components
ControUed by Flexure

m-factors J
Performance Level
Component Type
Primary Secondary
Conditions 10 LS CP LS CP
i. Shear Walls and Wall Segments
(A, - A's)/,. + P 2 V Contlned
,,:~~
t,l•./; v7:.
t.l w Boundary4
~~i¡ $ 0.1 $3 Yes 2 4 6 6 8
a" $ 0.1 2!6 Yes 2 3 4 4 6
2! 0.25 $3 Yes 1.5 3 4 4 6
J" 2!6
'11 2! 0.25 Yes 1.25 2 2.5 2.5 4
$ 0.1 3 No 2 2.5 4 4 6
$ 0.1 6 No 1.5 2 2.5 2.5 4
2! 0.25 $3 No 1.25 1.5 2 2 3
0.25 2!6 No 1.25 1.5 1.75 1.75 2
ii. Columns supporting Discontinuous Shear Walls
Transverse Reinforcement 5
Conforming 1.5 2 n.a. n.a.
Nonconforming 1 n.a. n.a.
Hí. Shear Wall Couplíng Beams6
V
Longitudinal Reinforcement and
Transverse Reinforcement7 t).vJ'f
Conventíonal Longitudinal $3 2 4 6 6 9
Reinforcement with Conforming 2!6 1.5 3 4 4 7
Transverse Reinforcement
Conventional Longitudinal $3 1.5 3.5 5 5 8
Reinforcement with Nonconform­ 2!6 1.2 1.8 2.5 2.5 4
ing Transverse Reinforcement
Diagonal Reinforcement n.a. 2 5 7 7 10

JLinear interpolation between values lisled in the lable shall be pemlitted.

2p is me design axial force in ¡he member. Allernatively, use ofaxialloads determined based on a limil­
state anal ysis shall be permitted.
JV ls lhe dcsign shear force calculaled using limil-state analysis proeedures in aecordance wilh
Section 6,7.2.4,
4Requirements fur a eonfined boundary are lhe same as those given in ACI 31 S (ACI 2(02).
5Requirements fur conforming lransverse reinforcement in eolumns are: (1) hoops over the entice length
of Ihe eolumn al a spacing ~ d/2, aod (2) slrenglh of hoops V, ~ required shear slrenglh of eolumn.
"For seeondary couplíng beams spanning <8 fl, O in., with bottom reinforcemenl eontinuous into lhe
supporting walls, seeondal'y values shall be permitted 10 be doubled.
7Conventionallongiludinal reinforeemenl consisls of 10p and bOllom steel parallel 10 lhe longitudinal
axis of Ihe coupling beam. Conforming lransverse reinforcemenl consiSls of: (1) closed slirrups over lhe
enlirc lenglh of Ihe couplíng beam al a spaeing ~ d/3, and (2) strenglh of c10sed slirrups V, ~ lhree­
fourms of required shear slrenglh of Ihe coupling beam.

188
 ASCE/SEI 41-06

5. Continement jackets to improve delormation increased confinement. The opening below a dis­
capacity 01 coupling beams and columns sup­ continuous shear wall should also be permitted to be
porting discontinuous shear walls. The use of "infilled" with steeJ bracing. The bracing members
confinement jackets specified earlier as a reha­ should be sized to salisfy all design requirements
bilitatíon measure for wall boundaríes, and in and the coJumns should be strengthened with a steel
Section 6.4 for frame elements, may also be effec­ or a reinforced concrete jacket.
tive in increasing both the shear capacity and the
deformation capacity of coupling beams and AIl of the aboye rehabilitation measures require
columns supporting discontinuous shear walls; and an evaluation of the wall foundation, diaphragms, and
6. Inrdling between columns supporting discontinu­ connections between existing structuraJ elements and
ous shear waUs. Where a discontinuous shear walJ any eJements added for rehabilitation purposes.
is supported on columns that lack eilher sufticienl
strenglh or deformatíon capacity to satisfy design
críteria, making the wall continuous by infilling the 6.8 PRECAST CONCRETE SHEAR WALLS
opening between these columns may be an effective
rehabilitation measure. The infill and existing 6.8.1 Types 01 Precast Shear Walls
coJumns should be designed to satisfy all the Precast concrete shear walls shall consist of story­
requirements for new wall construction, including high or half-story-high precast wall segments !ha! are
any strengthening ol' the existing columns required made contínuous through the use 01' either mechanicaJ
by adding a concrete or steeJ jacket for strength and connectors or reinforcement splicing techniques with

Table 6-21. Numerical Acceptance Criteria lor Linear Procedures­

Reinforced Concrete Shear Walls and Associated Components
Controlled by Shear

m-Factors
Performance Level
Component Type
Primary Secondary
Conditions ro LS CP LS CP
i. Shear Walls and Wall Segments
Al! Shear Walls and WaLl Segments 1 2 2 3 2 3
íi. Shear Wall Coupling Beams 2

V
Longitudinal Reinforcement
and Transverse Reinforcement 3
Conventional Longitudinal ,,;3 1.5 3 4 4 6
Reinforcement with Conforming 2:6 1.2 2 2.5 2.5 3.5
Transverse Reinforcernent
Conventional Longitudinal ,,;3 l.5 2.5 3 3 4
Reinforcement with Nonconform­ 2:6 1.2 1.2 1.5 1.5 2.5
ing Transverse Reinforcement

IThe shear shall be considered lO be a force-conlrolled action for shear walls and wall segments where
inelastic behavior is govemed by sbear and tbe design axial load is grcaler Ihan 0.15 A8f~. It shall be
permilled to calculate tbe axial load based on a Iimit-state analysis,
2For secondary coupling beams spanning <8 ft, O in., with bottom reinforcement continuous into lbe
supporting walls, secondary values shall be permitted to be doubled,
3Conventional longitudinal reinforcement consists of top and bottom steel parallel to tbe longitudinal
axis of lhe coupling beam. Conforming transverse reinforccment consists of: (1) c10sed stirtups over (he
enlire length of the coupling beam at a spacing:S dj3, and (2) slrength of c10sed Slirmps V, 2! Ihree­
fourths of required sbear strength of the coupling beam,
• For the purpose of determíning m, Vis lbe coupling beam expccted shear sttength.

189
SEISMIC REHABILlTATlON OF EXISTING BUILDINGS

01'wilhout a cast-ín-place connectíon strip. Connec­ buildings have often exhibited brittle behavior during
tions between precast segments shall be permitted inelastic load reversals, jointed construction had not
along both the horizomal and vertical edges of a wall been permitted in high-seismic zones. Therefore.
segment. where evaluating older buildings that contain precast
The design of the following types of precast shear shear walIs that are likely to respond as jointed con­
walls shall meet the requirements of Section 6.8: struction, the permissible ductilities and rotation
capacities given in Secrion 6.7 should be reduced.
l. Efl'ectiveIy monolithic construction, defined as that
For sorne modern struclures, precast shear walls
construction in which lhe reinforcemenl connec­
have been constructed with special conneclors that are
tions are made to be slronger lhan lhe adjacem pre­
detailed lo exhibir duclíle response and energy absorp­
casI panel s so that the laleral load response of the
lion characlerislics. Many 01' these conneetors are pro­
precast wall system will be comparable lO lhat 1'or
prietary and onIy Iimited experimental evidence con­
monolithic shear walls;
cerning their inelastic behavior is available. Although
2. Joimed construction, defined as construction in
lhis lype of construclion is clearly safer than jointed
whích inelastic action is permitted to occur al the
construclion in older buíldings, the experimental evi­
connections between precast paneIs; and
dence is not sufticient lo permíl the use of the same
3. Tílt-up construction, defined as a special lechnique
ductility and rotarion capacities given ror casl-in-place
for precast wall construclion where there are verti­
construction. Thus, the permissible values given in
cal joints between adjacent panel s and horizontal
Section 6.7 should be redueed.
joinls at the foundation level, and where rhe rool' or
Section 9.6 of FEMA 450 (FEMA 2004) provides
l100r diaphragm connects with lhe tih-up panel.
testing criteria that may be used to validale design val­
ues consistent with Lhe highest performance of mono­
6.8.1.1 Effectively Monolithic Constrllction
For this type oí' precast wall, the connections lithic shear wall construction.
between precast wall elemenlS shall be designed and
detailed to be slronger than the panels they connecr. 6.8.1.3 Tilt-Up Construction
Precasl shear walls and wall segmenls ol' effeclively Shear waIls and walI segments of lilt-up type 01'
monolilhic construction shall be evaluated by the crile­ precast walls shall be evaluated by the crÍleria detined
ria detined in Section 6.7. in Section 6.8.2.

C6.8.1.1 Effectively Monolithic Constrllction C6.8.1.3 Tilt-Up Constmctioll

When lhe precast shear wall is subjected lo lateral Tilt-up construction should be considered to be a
loading, any yielding and inelaslic behavíor should special case ofjointed construction. The walls for
lake place in the panel elemenls away from the con­ most buildings construcred by the tilt-up method are
nections. If rhe reinforcemenl delailing in the panel is longer than rheir height. Shear would usually govern
similar lo that for casL-in-place shear walls, then lhe their in-plane designo The major concern for most
inelastic response ol' a precasl shear wall should be tilt-up construction is the connection betwecn the lilt­
very similar to that for a cast-in-place wall. up waH and the roof diaphragm. That connection
Modern building codes permit the use of pre­ should be analyzed carefully to be sure the diaphragm
casl shear wall conslruction in high-seismic zones if forces can be transmined safely to the precasl wall
it satisfies lhe criteria 1'01' cast-in-place shear wall system.
construction.
6.8.2 Precast Concrete Shear Walls and Wall
6.8.1.2 Jointed Construction Segments
Precast shear walls and wall segments of jointed
construction shall be evaluated by lhe criteria detined 6.8.2.1 General Considerations
in Section 6.8.2. The analytieal model for a precasr concrete shear
wall or wall segment shall represem the slifl'ness,
C6.8.1.2 Jointed Construction strength, and deformation capacity of the overall mem­
For moSl older structures thal conlain precast ber, as weJl as the connections and joints between any
shear walls, and for sorne modern construclion, inelas­ precast panel components thal comprise the wall.
tic activity can be expected in the connections between Potential failure in tlexure, shear, and reinforcement
precast wall paneIs during severe lateralloading. development at any poinl in Ihe shear wall panel s or
Because joints between precast shear walls in older conneclions shall be considered. Interaclion with other

190
 ASeE/SEI 41-06

struclural and nonstructural components shall be For precast shear walls and wall segments whose
ineluded. inelastic behavior under lateral loading is governed by
Modeling of precast concrete shear walls and wall flexure, the general load-deformation relationship
segments within the precast panels as equivalent shall be detined as in Fig. 6-1 (a). For these members,
beam-columns that ¡nelude both flexural and shear the x-axis of Fig. 6-1 (a) shall be taken as the rotation
deformations shalJ be permitted. The rigid-connection over the plaslic hinging region al the end 01' the mem­
zone at beam connections to these equivalent beam­ ber as shown in Fig. 6-2. If the requirements 1'or effec­
columns shall represent the distance ti'om the wall tively monolithic conslruction are salisíied, Ihe value
centroid lo lhe edge of lhe wall or wall segment. The of the hinge rolalion al point B shall correspond lo the
different bending capacities for the lwo loading direc­ yieId rotal ion, 0y' and shall be calculaled by 6-6.
tions of unsymmetrical precast wall sections shall be The same expression shall also be used for wall seg­
modeled. ments wilhin a prccast panel if tlexure conlrols the
For precast shear walls and wall segments where inelastic response of Ihe segment. If Ihe precasl
shear deformations have a more significan! elJect on walJ is of jointed construcLÍon and tlexure governs
behavior Ihan tlextural deformarion, a multiple spring Ihe inelastic response 01' the member, then lhe value
model shall be used. of Oy shall be increased to accounl ror rolation in
The diaphragm action of concrete slabs inlercon­ the joints between panels or between lhe panel and lhe
nccting precast shear walls and frame columns shall be foundation.
represenled in the model. For precast shear walIs and wall segments whose
inelastic behavior under lateralloading is governed by
6.8.2.2 Stiffiaess shear, lhe general load-deformalion relalionship shall
The modeling assumptions detined in Section be defined as in Fig. 6-] (b). For these members, the
6.7.2.2 for monolithic concrete shear walls and wall x-axis of Fig. 6-1 (b) shall be laken as the story drift
segments shall also be used for precast concrele walls. for shear walls, and as lhe eIement drifl for wall seg­
In addition, the analytical model shall model the axial, menls as shown in Fig. 6-3.
shear, and rotational deformations of the connecLÍons For etl'eclively monolíthic conslruction. the values
between lhe precast components Ihat comprise Ihe for lhe variables a, b, and e required 10 define the loca­
wall by either soflening the model used lo represent tion 01' points e, D, and E in Fig. 6-1 (a), shall be as
the precasl panels or by adding spring elements specilied in Table 6-18. For construc¡ion c1assiíied as
between panels. joinled construction, the values oí' a, b, and e specified
in Table 6-18 shall be reduced to 50% of ¡he given val­
6.8.2.2.1 Linear Static and Dynamic Procedures The ues, unless experimental evidence available lO justify
modeling procedures given in Seclion 6.7.2.2.1, com­ higher values is approved by the authority having
bined with a procedure for including conneclÍon defor­ jurisdiction. In no case, however, shall values larger
malions as noled aboye, shall be used. than Ihose specitied in Table 6-18 be used.
For effectively monolilhic conslruclion, values for
6.8.2.2.2 Nonlinear Static Procedure Nonlinear ¡he variables d, e, and e required lo tilld ¡he poinls e,
load-deformation relations shall comply with lhe D, and E in Fig. 6-1 (b), shall be as spccified in
requiremenls of Section 6.3.1.2. The monotonic Table 6-19 for the appropriale member conditions. For
load-deformation relalionships for analylicaI mooels conslruclion c\assified as jointed conslruclion, the val­
that represent precast shear walls and wal1 elements ues 01' d, e, and e specified in Table 6-19 shall be
within precast panels shall be in accordance with the reduced to 50% 01' the specified values unless experi­
generalized relalion shown in Fig. 6-1, except that mental evidence available lo justify higher values is
alterna!ive approaches shall be permitted where veri­ approved by the authority having jurisdiction. In no
fied by experiments. Where the relations are according case, however, shall values larger than those specified
lo Fig. 6-1, the following approach shall be permitted. in TabIe 6- 19 be used.
Values 1'or pIastic hinge rotalions or drifts al For Tables 6-18 and 6-19, linear interpoIation
points B, e, and E for Ihe Iwo general shapes shall be between tabulated values shall be permitted if the
as defíned below. The slrength levels al poims B and e member under analysis has conditions that are
shall correspond lo the yield strenglh and nominal between the limils given in the tables.
strength, as detined in Section 6.7.2.3. The residual
strength 1'or ¡he line segment D-E shall be as defined 6.8.2.2.3 Nonlinear Dynamic Procedure Nonlinear
below. load-deformation relations for use in analysis by NDP

191
SEISMIC REHABlLITATlON OF EXISTING BUILDlNGS

shall modcl the complete hysteretic behavior of each and in no case shall be taken larger than the values
component using propcrties verified by experimental specified in these tables.
evidence. The generalized relation shown in Fig. 6-1
shall be taken 10 represent the envelope for the anal y­ 6.8.2.4.2 Nonlinear Static and Dynamic Procedures
siso The unloading and reloading stiffnesses and Inelastic response shall be restricted to those shear
strengths, and any pinching of the load versus rotation walls (and wall segments) and actions listed in
hystercsis loops, shall retlect the behavior experimen­ Tables 6-18 and 6-19, except where it is demonstrated
lally observcd for wall clements similar lo thc onc by experimental evidence and analysis that other
under investigation. ine1astic action is acceptable for the selccted perform­
ánce levels. For components experiencing inelaslic
6.8.2.3 Strength behavior, the magnitude oi' [he other aetions (rorces,
The strength of precast concretc shear walls and moments, or torques) in the component shall corre­
wall segments within the panel s shall be computed spond to the magnitude 01' the action causing the
according to the general requirement 01' Section 6.3.2, inelastic behavior. The magnitude of these other
except as moditicd here. For effectively monolithic actions shall be shown lo be below their nominal
construction, the strength calculation procedures given capaeities.
in Section 6.7.2.3 shall be followed. For precast shear walls that are effeetively mono­
For jointed conslruction, calculations ofaxial, lithic and wall segments within a precast panel, the
shear, and l1exural slrength 01' the connections between maximum plastic hinge rotation angles or drifls during
panels shall be bascd on fundamental principies of inelastic response shall not exceed the values speeified
structural mechanics. Expected yield strength for steel in Tables 6-18 and 6-19. For prceast shear walls of
rcÍnforcement 01' connection hardwarc used in the con­ jointed construclion, the maximum plastic hinge rota­
nections shall be used where calculating the axial and lion angles or drifts during inelastic response shall not
f1exural strength of the conneclion region. The unmod­ exceed one-halr of the values specified in Tables 6-18
itíed speciticd yield strength of the reinforcement and and 6-19 unless experimental evidence justifies a
connection hardware shall be used where calculating higher value. However, in no case shall deformation
the shear strength of the conneclÍon region. values larger than those specified in these tables be
For all precast concrete shear walls 01' jointed con­ used for jointed type construction.
struction, no difference shall be taken between the 11' the maximum deformation value exceeds the
computed yield and nominal strenglhs in flexure and corresponding tabular value, the clement shall be con­
shcar. The values for slrength represented by the sidered to be deíicient, and either the element or struc­
points B and C in Fig. 6-1 shall be computed follow­ ture shall be rehabilitated.
ing the procedurcs given in Section 6.7.2.3. Alternative approaches or values shall be pennit­
ted where justified by experimental evidence and
C6.8.2.3 Strength analysis.
In older conslruction, particular atlention must be
given lO the technique used for splicing reinrorcement C6.8.2,4 Acceptance CriterÚl
extending from adjacent panels into lhe connection. The procedures outlined in Section 9.6 of FEMA
These connections may be insuffícient and often can 450 (FEMA 2004) may be used 10 establish accept­
govern the strength of the preeast shear wall system. ance criteria for preeast shear walls.

6.8.2.4 Acceptance CriterÚl 6.8.2.5 Rehabilitation Measures

Linear Sta tic and Dynamic Procedures Precast concrete shear walls or wall segments that
For precast shear wall construction that is effec­ do not meet the acceptance criteria for the selected
tively monolithic and for wall segments within a pre­ Rehabilitation Objective shall be rehabilitated. Re­
cast panel, the aceeptance criteria defined in Section habilitation measures shall meet [he requirements 01'
6.7.2.4.1 shall be followed. For precast shear wall eon­ Section 6.3.7 and other provisions 01' this standard.
struction defined as jointed construction, the accep­
tan ce criteria proeedure given in Sectíon 6.7.2.4.1 C6.8.2.5 Rehabilitation Measures
shall be followed; however, the m values specitied in Precast concrete shear wall systems may sulTer
Tables 6-20 and 6-21 shall be reduced by 50%, unless from sorne of the same deficiencies as cast-in-place
experimental evidence justifies the use of a larger walls. These may inelude inadequate tlexural capaeily,
value. An m value need not be taken as less than 1.0, inadequate shear capacity with respeet to flexural

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capacity, lack 01' continement at wall boundaries, and diagonal braces that are coincident at beam-column
inadequate splice lengths 1'or longitudinal rein1'orce­ joints and that resist lateralloads primarily through
ment in wall boundaries. A 1'ew deficiencies unique to truss action.
precast wall construction are inadequate connections Where masonry infills are present in concrete­
between panels, to the 1'oundation, and to tloor or roo1' braced 1'rames, requirements 1'or masonry intilled
diaphragms. 1'rames as specitied in Section 6.6 shall also apply.
The rehabilitation measures described in Sec­ The provisions 01' Section 6.9 shall apply to exist­
tion 6.7.2.5 may be effective in rehabilitating precast ing rein1'orced concrete-braced 1'rames and existing
concrete shear walls. In addition, the 1'ollowing reha­ rein1'orced concrete-braced 1'rames rehabilitated by
bilitation measures may be effective: addition or removal 01' material.
1. Enhancement oC connections between adjacent
6.9.2 General Considerations
or intersecting precast wall panels. Mechanical
The analytical model 1'or a rein1'orced concrete­
connectors such as steel shapes and various types
braced 1'rame shall represent the strength, sti1'1'ness, and
01' drilled-in anchors, or cast-in-place strengthening
de1'ormation capacity 01' beams, columns, braces,
methods, or a combination 01' the two, may be
and al! connections and components 01' the element.
effective in strengthening connections between
Potential 1'ailure in tension, compression (inc1uding
precast panels. Cast-in-place strengthening methods
instability), tlexure, shear, anchorage, and rein1'orce­
may inc1ude exposing the reinforcing steel at
ment development at any section along the component
the edges of adjacent panels, adding vertical and
length shall be considered. Interaction with other
transverse (tie) rein1'orcement, and placing new
structural and nonstructural components shall be
concrete;
included.
2. Enhancement oC connections between precast
The analytical model that represents the 1'raming,
wall panels and Coundations. Increasing the shear
using line elements with properties concentrated at
capacity 01' the wall panel-to-1'oundation connection
component centerlines, shall be permitted. The analyti­
by using supplemental mechanical connectors or by
cal model also shall comply with the requirements
using a cast-in-place overlay with new dowels into
specified in Section 6.4.2.1.
the 1'oundation may be an effective rehabilitation
In 1'rames having braces in sorne bays and no
measure. Increasing the overturning moment capac­
braces in other bays, the restraint 01' the brace shall
ity 01' the panel-to-1'oundation connection by using
be represented in the analytical model as specitied
drilled-in dowels within a new cast-in-place con­
aboye, and the nonbraced bays shall be modeled as
nection at the edges 01' the panel may al so be an
1'rames in compliance with the applicable provisions
effective rehabilitation measure. Adding connec­
in other sections of this chapter. Where braces create
tions to adjacent panels may al so be an effective
a vertically discontinuous ti'ame, the effects 01' the
rehabilitation measure in eliminating sorne 01' the
discontinuity on overall building performance shall
1'orces transmitted through the panel-to-1'oundation
be considered.
connection; and
Inelastic de1'ormations in primary components
3. Enhancement oC connections between precast
shall be restricted to tlexure and axial load in beams,
wall panels and noor or rooC diaphragms.
columns, and braces. Other inelastic de1'ormations
Strengthening these connections by using either
shall be permitted in secondary components. Accep­
supplemental mechanical devices or cast-in-place
tance criteria 1'or design actions shall be as specitied
connectors may be an e1'1'ective rehabilitation meas­
in Section 6.9.5.
ure. Both in-plane shear and out-01'-plane 1'orces
should be considered where strengthening these
6.9.3 StitTness
connections.
6.9.3.1 Linear Static and Dynamic Procedures
Modeling 01' beams, columns, and braces in
6.9 CONCRETE-BRACED FRAMES braced portions of the frame considering only axial
tension and compression tlexibilities shall be permit­
6.9.1 Types oC Concrete-Braced Frames ted. Nonbraced portions of frames shall be modeled
Reinforced concrete-braced trames shall be according to procedures described elsewhere for
detined as those 1'rames with monolithic, non­ frames. Effective stiffnesses shall be according to
prestressed, rein1'orced concrete beams, columns, and Section 6.3.1.2.

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SEISMIC REHABILITATION OF EXISTING BUILDINGS

6.9.3.2 Nonlillear Static Procedure concrete frames shall be as specitied in other applica­
Nonlinear load-deformation relations shall com­ ble sections of this chapter, and m-factors for beams,
ply with the requirements of Section 6.3.1.2. columns, and braces modeled as tension and compres­
Beams, columns, and braces in braced portions sion components shall be as specitied for columns in
shall be modeled using nonlinear truss components or Table 6-17. The m-factors shall be reduced to one-half
other models whose behavior has been demonstrated the values in that lable, but need not be les s than 1.0,
to adequately represent behavior of concrete compo­ where component buckling is a consideralion.
nents dominated by axial tension and compression Alternate approaches or values shall be permitted
loading. Models for beams and columns in nonbraced where justitied by experimenlal evidence and analysis.
portions shall comply with requirements for trames
specified in Section 6.4.2.2.2. The model shall be 6.9.5.2 NOlllinear Static and Dynamic Procedures
capable of representing inelaslic response along the Calculated component actions shall satisfy the
component lengths, as well as within connections. requirements of Section 3.4.2.2 and shall not excecd
Monotonic load-deformation relations shall be the numerical values listed in Table 6-16 or the rele­
according to lhe generalized load-deformation relation vant tables for isolated frames specitied in other sec­
shown in Fig. 6-1, except that different relations are tions of this chapter. Where inelastic action is indi­
permitted where veritied by experiments. The overall cated for a component or action not listed in these
load-deformation relation shall be established so that tables, the performance shall be deemed unacceptable.
the maximum resistance is consistent with the design Alternate approaches or values shall be permitted
strength specitications of Sections 6.3.2 and 6.4.2.3. where justitied by experimental evidence and analysis.
Numerical quantities in Fig. 6-1 shall be derived from
tests, rational analyses, or criteria of Section 6.6.2.2.2, 6.9.6 Rehabilitation Measures
with braces modeled as columns in accordance with Concrete-braced frame components that do not
Table 6-16. meet the acceptance criteria for the selected
Rehabilitation Objective shall be rehabililaled.
6.9.3.3 Nonlinear Dynamic Procedure Rehabilitation measures shall meet the requirements of
Nonlinear load-deformation relations for use in Section 6.3.7 and other provisions of this standard.
analysis by NDP shall model the complete hysteretic
behavior of each component using properties veritied C6.9.6 Rehabilitation Measures
by experimental evidence. Unloading and reloading Rehabilitation measures that may be etl'ective in
properties shall represent stiffness and strength degra­ rehabilitating concrele-braced frames include the gen­
dation characteristics. eral approaches listed for other concrete elements in
this chapter, plus other approaches based on rational
6.9.4 Strength principIes.
Component strengths shall be computed according
to the general requirements of Sections 6.3.2 and the
addilional requirements of Section 6.4.2.3. The possi­ 6.10 CAST-IN-PLACE CONCRETE
bility of instability of braces in compression shall be DIAPHRAGMS
considered.
6.10.1 Components oC Concrete Diaphragms
6.9.5 Acceptance Criteria Cast-in-place concrete diaphragms transmit iner­
tial forces within a structure to vertical lateral-force­
6.9.5.1 Linear Static and Dynamic Procedure resisting elements.
AlI actions shall be classitied as being either Concrete diaphragms shall be made up of slabs,
deformation-controlled or force-controlled, as detined struts, collectors, and chords. Alternatively, diaphragm
in Section 2.4.4. In primary components, deformation­ action may be provided by a structural lruss in the
controlled actions shall be restricted to t1exure and horizontal plane. Diaphragms consisting of slructural
axial actions in beams and columns, and axial actions concrete topping on metal deck shall comply with the
in braces. In secondary components, deformation­ requirements of Section 5.9.2.
controlled actions shall be restricted to those actions
idenLilied for the braced or isolated Irame in tbis chapter. 6.10.1.1 Slabs
Calculated component actions shall satisfy lhe Slabs shall consist of cast-in-place concrete sys­
requirements of Section 3.4.2.2. The m-factors for lems that, in addition to supporling gravity loads,

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transmit inertial loads developed within the structure 6.10.2.2 Stiffness

from one verticallateral-force-resisting element to Diaphragm stitfness shall be modeled according
another, and provide out-of-plane bracing to other por­ to Section 6.10.2.1 and shall be determined using a
tions of the building. linear elastic model and gros s section properties. The
modulus 01' elasticity used shall be that of the concrete
6.10.1.2 Struts and Collectors as specitied in ACI 318 (ACI 2002). Where the length­
Collectors are components that serve to transmit to-width ratio 01' the diaphragm exceeds 2.0 (where the
the inertiaJ forces within the diaphragm to elements of length is the distance between vertical elements), the
the lateral-force-resisting system. Struts are compo­ etfects 01' diaphragm flexibility shall be considered
nents 01' a structural diaphragm used to provide conti­ where assigning lateral t'orces to the resisting vertical
nuity around an opening in the diaphragm. Struts and elements.
collectors shall be monolithic with the slab, occurring
either within the slab thickness or being thicker than C6.10.2.2 Stiffness
the slab. The concern is 1'or relatively flexible vertical
members that may be displaced by the diaphragm, and
6.10.1.3 Diaphragm Chords 1'or relatively sti1'1' vertical members that may be over­
Diaphragm chords are components along loaded by the same diaphragm displacement.
diaphragm edges with increased longitudinal and
transverse reinforcement, acting primarily to resist ten­ 6.10.2.3 Strength
sion and compression forces generated by bending in Strength 01' cast-in-place concrete diaphragm
the diaphragm. Exterior walls shall be permitted to components shall comply with the requirements 01'
serve as chords provided there is adequate strength to Sections 6.3.2 as moditied in this section.
trans1'er shear between the slab and walI. The maximum component strength shalI be deter­
mined considering potential failure in flexure, axial load,
C6.10.1.3 Diaphragm Chords shear, torsion, development, and other actions at alI
When evaluating an existing building, special care points in the component under the actions of design
should be taken to evaluate the condition of the lap gravity and lateral load combinations. The shear strength
splices. Where the splices are not contined by c\osely shalI be as specified in Chapter 21 01' ACI 318 (ACI
spaced transverse reinforcement, splice 1'ailure is pos­ 2002). Strut, collector, and chord strengths shall be as
sible i1' stress levels reach critical values. In rehabilita­ determined for 1'rame components in Section 6.4.2.3.
tion construction, new laps should be confined by
c\osely spaced transverse rein1'orcement. 6.10.2.4 Acceptance Criteria
Diaphragm shear and flexure shalI be considered
6.10.2 Analysis, Modeling, and Acceptance Criteria de1'ormation-controlled. Acceptance criteria t'or slab
componenl aclions shall be as specitied 1'or shear walIs
6.10.2.1 General Considerations in Seclion 6.7.2.4, with m-values taken according lo
The analytical model for a diaphragm shaIl repre­ similar componenls in Tables 6-20 and 6-21 1'or use in
sent the strength, stiffness, and de1'ormation capacity Eq. 3-20. Acceplance crileria t'or struls, chords, and
01' each component and the diaphragm as a whole. collectors shall be as specified 1'or 1'rame componenls
Potential failure in tlexure, shear, buckling, and rein­ in Section 6.4.2.4. Connections shaJl be considered
1'orcement development shall be considered. t'orce-controlIed.
Modeling of the diaphragm as a continuous or
simple span horizontal beam supported by elements 01' 6.10.3 Rehabilitation Measures
varying stiffness shall be permitted. The beam shall be Concrele diaphragms lhal do nol meel lhe accepl­
modeled as rigid, stiff, or flexible considering the ance crileria 1'or lhe selecled Rehabililalion Objeclive
de1'ormation characteristics 01' the actual system. shall be rehabililated. Rehabililation measures shall
meellhe requirements of Section 6.3.7 and other pro­
C6.10.2.1 General Considerations visions 01' this standard.
Sorne computer models assume a rigid diaphragm.
Few cast-in-place diaphragms would be considered C6.10.3 Rehabilitation Measures
flexible; however, a thin concrete slab on a metal deck Cast-in-place concrele diaphragms can have a
might be stiff depending on the length-to-width ratio wide variety of deficiencies; see Chapler lO and ASCE
01' the diaphragm. 31 (ASCE 2002).

195
SElSMIC REHABILlTATION OF EXISTING BUILDING S

Two general alternatives may be effective in cor­ Sorne precasl roof systems are constructed as
recting deficiencies: either improve the strength and untopped syslems. Unlopped precasl concrele
ductility, or reduce lhe demand in accordance with diaphragms have been limited to lower seismic zones
FEMA 172 (FEMA 1992). Providing addilional rein­ by recenl versions 01' the Uniform Building Code
forcement and encasemenl may be an effeclive meas­ (ICBO 1997). This Iimilation has been imposed
ure to strengthen or improve individual componenls. because ol' (he brittleness of conneclions and lack of
Increasing the diaphragm thickness may also be effec­ lest data concerning the various precasl syslems.
ti ve, but the added weight may overload the foolings Special consideration shall be given to diaphragm
and increase the seismic loads. Lowering seismic chords in precasl conslruclion.
demand by providing addilionallateral-force-resisling
elements, introducing additional damping, or base­ 6.11.2 Analysis, Modeling, and Acceptance Criteria
isolating the structure may also be effective rehabilita­ Analysis and modeling of precasl concrete
tion measures. diaphragms shall conform lo Section 6.10.2.2, wilh the
added requiremenl lhallhe analysis and modeling shall
account for the segmenlal natufe of lhe individual
6.11 PRECAST CONCRETE DIAPHRAGMS componenls.
Component slrenglhs shall be determined in accor­
6.11.1 Components of Precast Concrete dance with Section 6.10.2.3. Welded connection
Diapbragms strength shall be based on ralional procedures, and con­
Precast concrete diaphragms are elements com­ neclions shall be assumed to have liule duclilily capac­
prising primarily precasL components with or with­ ily unless lesl dala verify higher ductilily values. Precasl
out topping, that transmit shear forces from within concrele diaphragms with reinforced concrele topping
a structure to vertical lateral-force-resisting elemenls. slabs shall be considered deformalion-controlled in
Precast concrete diaphragms shaIl be elassitied as shear and tlexure. m-faclors shall be taken as 1.0, 1.25,
topped 01' untopped. A lopped diaphragm shall be and 1.5 for Immediate Occupancy, Life Safety, and
detined as one that ineludes a reinforced structural Collapse Prevention Performance Levels, respeclively.
concrete topping slab poured over the compleled pre­ Untopped precast concrete diaphragms shall be
caSl horizontal system. An unlopped diaphragm shall considered force-conlrolled.
be detined as one construcled 01' precasl componenls
wilhout a structural cast-in-place topping. C6.11.2 Analysis, Modeling, and Acceptance
Criteria
C6.11.1 Components of Precast Concrete Welded conneclion strenglh can be delermined
Diaphragms using lhe latesl version of the Precast Concrete
Seclion 6.10 provided a general overview 01' con­ Institute (PCI) Handbook (PCI 1999). A discussion oí'
crete diaphragms. Components of precast concrete design provisions for unlopped precast diaphragms can
diaphragms are similar in nalUfe and function lo lhose be found in the Appendix lo Chapler 9 01' FEMA 368
01' cast-in-place diaphragms, with a few critical differ­ (FEMA 200 1).
ences. One is that precast diaphragms do not possess The appendix lo Chapler 9 of FEMA 450 (FEMA
lhe inherent unity of casl-in-place monolithic con­ 2004) provides discussion of the behavior of untopped
struction. Additionally, precast components may be precasl diaphragms and outlines a design approach
highly slressed due lo prestressed forces. These that may be used for such diaphragms to satisfy the
forees cause long-term shrinkage and creep, which requiremenls of this standard.
shorlen lhe componenl over lime. This shortening
tends lO fracture conneclions that restrain the 6.11.3 Rehabilitation Measures
component. Precast concrete diaphragms thal do nol meel the
MOSl floor systems have a topping system, bul acceplance crileria for the selected Rehabilitation
sorne hollow-core floor systems do no1. The lopping Objective shall be rehabilitated. Rehabililation meas­
slab generally bonds to the lop of the precast compo­ ures shall meellhe requirements of Section 6.3.7 and
nents, bul may have an inadequate thickness al the olher provisions of lhis slandard.
center of the span, or may be inadequately reinforced.
AIso, exlensive cracking ofjoinls may be present C6.11.3 Rehabilitation Measures
along the panel joinls. Shear lransfer at lhe edges of Seclion 6.10.3 provides guidance for rehabilita­
precast concrete diaphragms is especially crilical. tion measurcs for concrete diaphragms in general.

196
 ASCElSEI 41-06

Special care should be laken lo overcome Ihe seg­ piles by the pile cap. Pile 1'oundalion resistance lo ver­
mental nature of precasl concrele diaphragms, and lo tical loads shall be calculated based on the direct bear­
avoid damaging prestressing slrands when adding ing of Ihe pile lip in Ihe soil, lhe skin fríction or cohe­
conneclions. sion of Ihe soil on the sur1'ace area ol' (he pile, or based
on a combination of these rnechanisms. Lateral loads
resistance shall be calculated based on passive pres­
6.12 CONCRETE FOUNDATION COMPONENTS sure ol' (he soil on the vertical face of the pile cap, in
combinalion with interaction of the piles in bending
6.12.1 Types 01 Concrete Foundations and passive soíl pressure on the pile surface.
Foundalions shall be detined as lhose components
Ihat serve to transmit loads from the vertical structural 6.12.1.2.2 Cast-in-Place Pi/e Foundations Cast-in­
subsystems (columns and walls) of a building to the place concrete pile foundations shall consist of rein­
supporling soil or rock. Concrete foundalions for forced concrete placed in a drilled or excavated shaft.
buildings shall be classified as either shallow or deep Casl-in-place pile or pier l'oundations resistance lO ver­
foundalions as defined in Chapler 4. Requirements of tical and lateral loads shall be calculaled in the same
Seclion 6.12 shall apply lo shallow foundations thal manner as that 01' driven pile foundations specitied in
inelude spread or isolated footing. strip or line footing, Section 6.12.1.2.1.
combinalion fooling, and concrele mal footing; and lO
deep foundalions Ihat inelude pile foundations and C6.12.1.2 Deep Foundations
casl-in-place piers. Concrele grade beams shall be
permiued in both shallow and deep foundalÍon sys­ C6. 12.1.2.1 Driven Pite Foundations In poor soils, or
tems and shall comply wilh the requiremenls of soils subject lo liquefaclion, bending of the piles may
Seclion 6. l 2 be the only dependable resistance to laleralloads.
The provisions of Section 6.12 shall apply lo
existing foundalÍon componenls and LO new malerials C6. 12.1.2.2 Cast -in- Place Pite Foundatiolls
or componenls Ihat are required lo rehabililale an Segmemed steel cylindrical liners are available lo forrn
existing building. the shaft in weak soils and allow lhe liner to be
removed as the concrete is placed. Various slurry
6.12.1.1 Shallow Foundations mixes are often used lo prolect the drilled shal't from
Existing spread foolings, strip l'oolings, and com­ caving soils. The slurry is then displaced as the con­
binalion footings are reinforced or unreínl'orced. crete is placed by the tremie method.
Verlical loads are transmitted by Ihese foolÍngs lO Ihe
soil by direCI bearing; lareral loads are transmitted by 6.12.2 Analysis 01 Existing Foundations
a combination of friction between the boUom of the For concrete buildings, components shall be con­
footing and Ihe soil, and passive pressure of the soil on sidered fixed against rotation at the top of the founda­
the verlical face of the footing. tion if Ihe connections belween componenls and foun­
Concrete mal foorings shall be reinforced lo resist dalions, Ihe foundalions and supporting soil are shown
Ihe flexural and shear slresses resulting from Ihe to be capable 01' resisting the induced moments. Where
superimposed concentrated and line slructural loads components are nol designed lo resist flexural
and Ihe distribuled resisting soil pressure under the momenls, or Ihe conneclions between components and
fooling. Lateral loads shall be resisled by l'riclion foundations are not capable 01' resisting lhe induced
belween Ihe soil and Ihe boltom ol' Ihe fooling, and by moments, they shall be modeled wilh pinned ends. In
passive pressure developed against l'oundalion walls such cases, the column base shall be evaluated for the
Ihat are parl of Ihe system. resulting axial and shear forces as well as Ihe abilily lo
accommodate the necessary end rolalÍon ol' lhe
6.12.1.2 Deep Foundations columns. The eftects 01' base tixily of columns shall be
taken into account at the point of maximum displace­
6.12.1.2. J Driven Pite Foundations Concrete pile ment of the superstructure.
foundations shall be composed 01' a reinforced con­ If a more rigorous analysis procedure is used,
crete pile cap supported on driven piles. The piles appropriate vertical, lateral, and rotational soil springs
shall be concrete (wilh or without prestressing), sted shall be incorporated in the analytical model as
shapes, steel pipes, or composite (concrete in a driven described in Section 4.4.2. The spring characteristics
steel shell). Verticalloads shall be transmined lo the shall be as specified in Chapler 4. Rigorous analysis ol'

197
SEISMIC REHABILlTATION OF EXISTING BUILDlNGS

struclures with deep foundalions in soft soils shall C6.12.4.1 Rehabilitatioll Measures for Shallow
be based on specjal soil-pile interaclion studies to FoUlldatiolls
determine lhe probable loeation oí' lhe pojnt 01' íixity
l. Enlarging the existing footing by lateral
in the 1'oundation and lhe resuIting dislribution 01'
additions. Enlarging Ihe existing footing may be an
1'orces and displacements in the superstruclure. In
efrective rehabililation meaSure. The enlarged 1'oot­
lhese analyses, lhe appropriate representation 01' lhe
ing may be considered to resist subsequenl aclÍons
connection of lhe pile lO the pile cap shall be included
produced by the design loads, provided thal ade­
in the model. Piles with less lhan 6 in. of embedment
quate shear and moment transfer capacily are pro­
wilhoul any dowels into lhe pile cap shall be modeled
víded across the joint belween the cxisting fooling
as being "pinned" lo lhe cap. Unless lhe pile and
and lhe additions;
pile cap conneetion detail is identified as otherwise
2. Underpinning the footing. Underpinning an exist­
from the available construetion documents, the
ing footing involves the removal 01' unsuitable soiJ
pinned connection shall be used in the analytical
underneath, couplcd with replacement using con­
mode!.
crete, soil cement, suitable soil, or other material.
Where lhe 1'oundations are included in lhe anal yti­
Underpinning should be staged in sl11all increments
cal model, lhe responses of the foundalion components
to prevent cndangering the stability 01' the structure.
shall be considered. The reaclions 01' struclural compo­
This technique may be used to enlarge an existing
nents attached at the foundation (axial load s, shears,
footing or lo extend it lo a more competent soil
and moments) shall be used to evaluate the individual
stratum;
components of the foundation syslem.
3. Providing tension tie-downs. Tension tíes (soil
and rock anchors-preslressed and unslressed) may
C6.12.2 Analysis of Existing Foundations be drilled and grouled il1to competenl soils and
Overturning momenls and eeonomics may diclale anchored in lhe existing footing lo resisL uplift.
lhe use 01' more rigorous analysis procedures. Increased soil bearing pressures produced by lhe
ties should be checked against Ihe acceplance crÍle­
6.12.3 Evaluation of Existing Condition ria 1'01' the sclcctcd Performance Level specitied in
Allowable soil capacilies (subgrade modulus, Chapter 4. Piles 01' drilled picrs may also be e1'fec­
bearing pressure, passive pressure) and foundalion live in providing lension tie-downs of exisling
displacements for Ihe scJected performance level foolings;
shall be as prescribed in Chapler 4 or as established 4. Increasing effective depth of footing. This method
with project-speciíic dala. AII components 01' exist­ involves pouring new concrete lo increase shear
ing foundation syslems and all new material, compo­ and momenl capacity 01' Ihe existing footing. The
nenls, 01' components required 1'or rehabililation new concrete must be adequately dowcled or other­
shall be evaluated as 1'orce-conlrolled aClions. How­ wise connected so that it is integral with the exist­
ever, the capacity 01' Ihe foundalion componenls need ing 1'ooting. New horizontal reinforcement should
not exceed ] .25 times the capacily 01' lhe supporled be provided, if required, to resis! increascd
verlical slructural componenl or eIemenl (column momenls;
or wall). 5. Increasing the effective depth of a concrete mat
foundation with a reinforced concrete overlay.
This melhod involves pouring an integral topping
6.12.4 Rehabilitation Measures slab over the existing mat lo increase shear and
Exislíng foundations that do nol meet the accep­ moment capacity;
lance criteria 1'or the seIected Rehabilitation Objective
6. Providing pile supports for concrete footings or
shaU be rehabilitaled. Rehabilitalion measures shall
mat foundations. Adding ncw piles may be cflcc­
meet the requiremenls of Seclion 6.3.7 and olher pro­
live in providing support for exisling concrele t'ool­
visions 01' this slandard.
ing or mat foundalions, provided lhe pile locations
and spacing are designed to avoid overslrcssing lhe
C6.12.4 Rehabilitation Measures existing foundations;
Rehabililalion measures descríbed in Sec­ 7. Changing the building structure to reduce the
tion C6. J2.4.1 for shallow foundations and in Sec­ demand on the existing elements. This melhod
Lion C6.12.4.2 1'or deep 1'oundalions may be etl'ective involves removing mass or heighl 01' the building or
in rehabililating existing foundalions. adding other material s or components (such as

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 ASCE/SEI 41-06

energy dissipation devices) lO reduce the load trans­ 7.0MASONRY

fer at the base level. New shear walls or braces
may be provided to reduce the demand on existing 7.1 SCOPE
foundations;
8. Adding new grade beams. This approach invoIves This chapter sets forth requirements for the Systematic
the addition of grade beams to tie existing footings Rehabilitation of concrete- or clay-unit masonry com­
together where poor soil exists, to provide fixity to ponents of the lateral-force-resisting system of an
column bases, and to distribute lateralloads existing building. The requirements of this chapter
between individual footings, pile caps, or founda­ shall apply to existing masonry components of a build­
tion walls; and ing system, rehabilítated masonry components of a
9. Improving existing soil. This approach involves building system, and new masonry components that
grouting techniques lo improve existing soB. are added to an existing building system.
Section 7.2 specities data collection procedures
C6.12.4.2 Rehabilitation Measures for Deep 1'or obtaining material properties and performing
Foundations condition assessments. Sections 7.3 and 7.4 provide
modeling procedures, component strengths, accep­
1. Providing additional piJes or piers. Providing
tance criteria. and rehabilitation measures 1'or masonry
addilional piles or piers may be ef1'ective, provided
walls and masonry infills. Section 7.5 specifies
extension and additional reinforcement of existing
requirements 1'or anchorage to masonry walls. Sec­
pile caps comply wilh the requirements for extend­
tion 7.6 specifies requirements for masonry foundation
ing existing footings in Section C6.12.4.1;
elements.
2. Increasing the effective depth of the piJe cap.
New concrete and reinforcement ro the top of the
pile cap may be effective in increasing its shear and
moment capacity, provided the interface is designed C7.1 SCOPE
to transfer actions between the existing and new
materials; The provisions 01' this chapter should be applied lO
3. Improving soil adjacent to existing pDe cap. Soil solid or hollow clay-unit masonry, solid or holJow
improvement adjacent to existing pile caps may be concrete-unit masonry, and hoUow clay tile. Slone or
effective if undertaken in accordance with guidance glass block masonry is not covered in this chapter.
provided in Section 4.3; Porlions of masonry buildings that are not subject
4. Increasing passive pressure bearing area of pile to syslematic rehabilitation provisions indude para­
cap. Addition of new reinforced concrete ex ten­ pels, cladding, and partition walls.
sions to the existing pile cap may be effective in If the Simplified Rehabilitation Method of
increasing the vertical foundation bearing area and Chapter 10 is followed, unreinforced masonry build­
load resistance; ings with tlexible tloor and roof diaphragms may be
5. Changing the building system to reduce the evalualed using lhe procedures given in ASCE 31
demands on the existing elements. New lateral­ (ASCE 2(02).
load-resistíng elements may be effective ín reduc­ Techniques 1'or repair of earthquake-damaged
ing demand; masonry components are not induded in this standard.
6. Adding batter pUes or piers. Adding batter piles The design professional is referred to FEMA 306
or piers to existing pile or pier foundation may be (FEMA 1998), FEMA 307 (FEMA 1998), and FEMA
effectíve in resistíng lateral loads. It should be 308 (FEMA 1998) for in1'ormation on evaluation and
noted that batter piles have performed poorly in repair 01' masonry wall components.
recent earthquakes where Iiqueiiable soils were
present. This is especially important to consider
around wharf structures and in areas having a high
water tableo Additíon of batter piles to foundations 7.2 MATERIAL PROPERTIES AND CONDlTION
in areas of such seismic hazards should be in accor­ ASSESSMENT
dance with requirements in Section 4.4; and
7. Increasing tension tie capacity from pile or pier 7.2.1 Genera)
to superstructure. Added reinforcement should Mechanical properlies for masonry materials and
satisfy the requirements of SecLÍon 6.3. components shall be based on available drawings,

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SEISMIC REHABILITATION 01" EXlSTING BUILDINGS

specifications, and other documents for the existing 7.2.2 Properties of In-Place Materials
construction in accordance with requirements of
Section 2.2. Where such documents fail to provide 7.2.2.1 General
adequate information 10 quantify masonry material The following component and eonneclion material
properties or Ihe condilion of masonry components of properties shall be obtained for the as-built structure in
the structure, such information shall be supplemented accordance with Sections 7.2.2.1 through 7.2.2.1 O:
by materials tests and assessmenlS of existing condi­
l. Masonry eompressive strength;
tions as required in Section 2.2.6.
2. Masonry tensile strength;
Material properties of existing masonry compo­
3. Masonry shear strength;
nents shall be determined in accordance with Sec­
4. Masonry elastic modulus;
tion 7.2.2. A condilion assessmenl shall be conducted
5. Masonry shear modulus; and
in accordance with Seclion 7.2.3. The extent of materi­
6. Strength and modulus of elasticity of reinforcing
als testing and condition assessment performed shall
steel.
be used to determine the knowledge factor as specified
in Section 7.2.4. Where material tesling is required by Section
Use of default material properties shall be permit­ 2.2.6, test melhods to quantify masonry material prop­
ted in accordance with Section 7.2.2.l0. erties shall eomply with Sections 7.2.2.2 through
Use of material properties based on historieal 7.2.2.8. The minimum number of tests shall comply
information as default values shall be as specitied in with the requirements 01' Section 7.2.2.9.
Section 7.2.2.10. Other values of material properties Expected material propelties shall be based on
shall be permitted if rationally justitied, based on mean values from test data unless specitied otherwise.
available historieal information for a particular type Lower-bound material properties shall be based on
of masonry construction, prevailing codes, and assess­ mean values from test data minus one standard devia­
ment of existing conditions. tion unless specified otherwise.
Procedures for detlning masonry structural systems The condition of exisling masonry shall be cIassi­
and assessing masonry condition shall be conducted in fied as good, fair, or poor as defined as follows, or
accordance wilh the provisions stated in Section 7.2.3. based on olher approved procedures that consider the
nature and extenl of damage or deterioration present.
Good Condition: Masonry found during condi­
C7.2.1 General tion assessment lo have mortar and units intacl with no
Construction of existing masonry buildings in visible cracking.
the United States dates back lO lhe 1500s in the south­ Fair Condition: Masonry found during condition
eastern and southweslern regions, to the 1770s in assessment to have mortar and units intaet but with
the central and eastern regions, and LO the 1850s minor cracking.
in the western half of the nation. The stock of Poor condition: Masonry found during condition
existing masonry buildings in the UnÍled Slales is assessment lo have degraded mortar, degraded
composed largely of structures constructed in lhe masonry units, or signiticant cracking.
last 150 years. Since the types of units, mortars, and
construction methods changed during this time, C7.2.2.1 Gelleral
knowing the age of a masonry building may be The design professional is referred lo FEMA 306
userul in idenlifying the characterislics of ilS con­ (FEMA 1998), FEMA 307 (FEMA 1998), and FEMA
struction. Ahhough structural properties cannol be 308 (FEMA 1998) for additional informalÍon regard­
inferred solely from age, sorne background on typical ing the condition of masonry. The classitication of the
materials and methods for a given period can help to condition of masonry requires consideration of the
improve engineering judgment and provide sorne type of component, the anticipated mode of inelastic
direction in the assessment of an existing building. behavior, and lhe nature and extent 01" damage or dele­
The design professional should be aware that values rioration. These documents also contain extellsíve
given in sorne existing documents are working stress information regarding lhe effecls of damage on
values ralher lhan the expected or lower-bound strength, stitrness, and displacement Iimits for
strengths used in lhis standard. masonry components. Included are damage classitica­
As indicated in Chapter 1, great care should be tion guides with visual representalions of typical
exercised in selecting the appropriate rehabilitation earthquake-related damage of masonry components,
approaches and techniques for applicalion to historie which may be useful in classifying the condition of
buildings 10 preserve their unique charaeteristics. masonry ror lhis slandard. The severity 01" damage

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 ASCElSEl 41-06

described in FEMA 306, FEMA 307, and FEMA 308 [ions shall be measured to determine modulus val­
is calegorized as Insignificanl, Slight, Moderate, ues;or
Heavy, and Extreme. Masonry in good condilion has 2. For solid unreinforced masonry, lhe modulus can
severily of damage not exceeding Insignificant or be measured using a tlatjack lest in accordance
Slighl, as defined by FEMA 306. Masonry in fair con­ withASTM C1l97-03 (ASTM 2003).
dition has severily of damage not exceeding Moderate.
Masonry with Heavy or Extreme damage is c1assified
C7.2.2.4 Masonry Elastic Modulus in
as Poor.
Compression
Both methods measure vertical strain belween two
7.2.2.2 Nominal or Specified Properties gauge points to ínfer slrain, and lhus elastic modulus.
Nominal material properties, or properties specified They are furlher described in FEMA 274 (FEMA
in construction documents, shall be taken as lower­ 1997), Section C7.2.2.2.
bound material properties. Corresponding expecled
material properties shall be calculaled by muItiplying
lower-bound values by a factor as specitied in Table 7-2 7.2.2.5 Masonry Flexural Tensile Strength
10 translale from lower-bound to expecled values. Expecled tlexurallensile slrength,f"" for out-of­
plane bending shall be measured using one of lhe fol­
7.2.2.3 Masonry Compressive Strength lowing lhree methods:
Expected masonry cornpressive slrenglh,lme' shall
be measured using one of Ihe following three melhods: l. Test samples shall be extracted from an existing
wall and subjected to minor-axis bending using the
l. Test prisms shall be eXlracled frorn an existing wall bond-wrench melhod of ASTM CIOn-oo (ASTM
and tested in accordance with Seclion L4.B.3 of 2000);
ACI 530.11ASCE 6fTMS 602, Specificatianslar 2. Test samples shall be tested in situ using the bond­
Masoflry Structures (ACI 2002); wrench method; or
2. Prisms shall be fabricaled frorn actual extracted 3. Sample wall panel s shall be extracted and subjected
masonry units, and a surrogate mortar designed on 10 minor-axis bending in accordance with ASTM
Ihe basis of a chemical analysis of actual mortar E518-02 (ASTM 2002).
samples. The test prisms shall be tested in accor­
dance with Section 1.4.B.3 of ACI 530.IIASCE F1exural tensile strength for unreinforced masonry
6rrMS 602; or (URM) walls subjecled lo in-plane laleral torces shall
3. For solid unreinforced masonry, lhe strenglh of lhe be assumed 10 be equal lo Ihal for oUI-of-plane bend­
masonry can be estimaled using a flaljack tesl in ing, unless lesting is done to define the expected ten­
accordance with ASTM CI196-03 (ASTM 2003). sile strength for ín-plane bending.

For each of lhe Ihree methods enurnerated in Ihis C7.2.2.5 Masonry Flexural Tensile Strength
section, the expected compressive strength shall be The flexurallensile strength of older brick
based on lhe nel mortared area. masonry walls constructed with lime rnortars may
often be neglected. The tensile strength of newer con­
C7.2.2.3 Masonry Compressive Strength crete- and clay-unit masonry walls can result in appre­
The three test methods are further described in dable flexural strengths.
Section C7.2.2.1 of FEMA 274 (FEMA 1997). As an The three test methods for out-of-plane bending
alternative to the test rnethods given in this section of are further described in Section C7.2.2.3 of FEMA
Ihis standard, the expected masonry compressive 274 (FEMA 1997). For in-plane bending, flexural
strength rnay be deduced from a nominal value pre­ stress gradients across lhe seclion width are much
scribed in ACI 530.IIASCE 6rrMS 602 (ACI 2002). lower than for out-of-plane bending. Thus, dala from
tests described in tbis section will be very conservative
7.2.2.4 Masonry Elastic Modulus in Compression and should be used only in lieu of data on in-plane
Expected values of elastic modulus for masonry in tensile slrength.
compression, Eme, shall be measured using one of the
following two methods:
7.2.2.6 Masonry Shear Strength
l. Test prisms shall be extracted from an existing wall For URM componenls, lower-bound shear
and lested in compression. Stresses and deforma­ strength shall be measured using an approved in-place

201
SEISMIC REHABILlTATION OP EXISTINO BUlLDINOS

shear test. Lower-bound masonry shear strength, V mú Section C7.3.2.5 for additional in1'ormation regarding
shall be determined in accordance with Eq. 7-1: masonry shear modulus.

0.7S( 0.7SV'L + 1,) 7.2.2.8 Strmgth and Modulus of Reinforcillg Steel

The expected yield strength 01' reinforcing bars,
V mL =
1.5
(Eq.7-1) J;c' shall be based on mili test data, or tension tests 01'
actual reinforcing bars taken from the subject building.
where Tension tests shall be performed in accordance with
ASTM A615/A615M-03 (ASTM 2003).
Po superimposed dead load al the top of the wall or The modulus of elasticity 01' steel rein1'orcement,
wall pier under consideration; E.\<" shal1 be assumed to be 29,000,000 psi.
An area of net mortared/grouled section of a wall or
wall pier; and 7.2.2.9 Mínimum Nwnber of Tests
V,L lower-bound bed-joint shear strength detíned as Materials testing is not required if material prop­
lower 20th percentile of vu" given in Eq. 7-2. erties are available from original construction docu­
Values for the lower-bound mortar shear strength, ments that include material test records or material test
V'L' shall n01 exceed 100 psi for the determination of reports. Otherwise, minimum number of tests shall be
VOl" in Eq. 7-1.
performed as specified in 7.2.2.9.1 or 7.2.2.9.2, as
Individual bed joint shear strength test values, VIO' applicable.
shalJ be delermined in accordance with Eq. 7-2:
7.2.2.9. J Usual Testillg The minimum number 01' tests
to determine masonry and reinforcing steel material
(Eq.7-2) properties for usual data collection shall be based on
lhe following criteria:
where
l. lf the specitled design strcngth of the masonry is
V,,,s, = test load at tirst movement of a masonry unit; known, and the masonry is in good or fair condi­
Ab sum 01' net mortared arca 01' bed joints aboye tion, al least one test shall be per1'ormed on samples
and below the test unit; and of each different masonry strength used in the con­
PO+L gravity compressive stress at the test location struction of the building, with a minimum 01' three
considering actual dead plus Uve loads in tests per1'ormed for the entire building. If the
place at the time 01' testing. masonry is in poor condition, additional tests shall
The in-place shear test shall not be used to esti­ be performed to determine the extent of the
mate shear strength of rein1'orced masonry compo­ reduced material properties;
nents. The expected shear slrength of rein1'orced 2. If the specitied design strength 01' the masonry is
masonry components shal1 be determined in accor­ not known, at least one test shall be perforrned on
dance with Section 7.3.4.2. each type 01' component, with a minimum of six
tests performed on the entire building;
C7.2.2.6 Masonry Shear Strength 3. If the specificd design strength 01' the reinforcing
The available standard 1'or masonry shear strength steel is known, use of nominal or speciJied material
test is UBC 21-6 (lCBO 1997a). Section C7.3.2.4 01' properties shall be permitted wilhout additional
FEMA 274 (FEMA 1997) further describes this test testing; and
and also an alternate procedure. 4. If the specified design strength of the reinforcing
steel is not known, at least two strength coupons of
7.2.2.7 Masonry Shear Modulus reinforcing steel shall be removed from a building
The expected shear modulus of masonry (unrein­ for testing.
forced or reinforced), Cm., shall be permitted
to be taken as 0.4 times the elastic modulus in 7.2.2.9.2 Comprehensive Testing Thc minimum num­
compression. ber 01' tests necessary to quantify properties by in­
place testing ror comprehensíve data colJection shalJ
C7.2.2.7 Masonry Shear Modulus be based on lhe following criteria:
Shear stiffness of post-cracked masonry should
be taken as a fraction of the inilial uncracked l. For masonry in good or faír condition as detined in
masonry shear stiffness value. The design profes­ this standard, a mínimum 01' three tests shall be per­
sional is referred to FEMA 274 (FEMA 1997), 1'ormed for each masonry type, and ror each three

202
 ASCFlSEI 41-06

tloors 01' construclion 01' 3,000 s1' of wall surface, If mean values from in situ material tests are less
if original construction record s are availabJe that Ihan the defauIt values prescribed in Section 7.2.2.10,
specify material properties; six tests shall be per­ the number 01' tests performed shall be doubled.
formed i1' original construclion record s are nol
available. At least two tesIS shall be performed C7.1.1.9 Mí"imum Number of Tests
for each wall 01' line 01' wall elements providing a The number and location 01' material tests should
common resislance to lateral rorces. A mínimum be selected lo provide sufficienl information lo ade­
of eight teSIS shall be performed 1'01' each building; qualely define Ihe exisling condilion 01' materials in
and Ihe building. Test locations should be identified in
2. For masonry in pOOl' condition as defined in Ihose masonry componenls thal are determined to be
Ihis standard, addiLional tesIs shall be done lo critical lo lhe primary palh 01' lateral-force resislance.
eSlimate material strengths in regions where
7.1.1.10 Default Properties
properlies differ, or nondeslruclive condition
Use of default material properties lo determine
assessment tests in accordance with Section 7.2.3.2
component strengths shall be permitted with the linear
shaIl be used to quanlify variations in material
analysis procedures in Chapter 3.
strengths.
Defaull lower-bound values for masonry compres­
Samplcs for tests shall be taken at locations repre­ sive strength, elastic modulus in compression, flexural
sentative 01' the material condilions Ihroughoul Ihe tensile strength, and masonry shear strength shall be
entire building, taking in lo accounl varialÍons in work­ based on Table 7-1. Default lower-bound masonry
manship at differenl slory levels, variations in wealher­ properlies for fair condilion shall be equal lo two­
ing of the exterior surfaces, and variations in the con­ Ihirds of Ihe values for masonry in good condilion.
dition 01' the interior surfaces due lo deterioration Default lower-bound masonry properlies for poor Con­
caused by leaks and condensation 01' water aml/or the dilion shall be equal lo one-third of Ihe values for
deleterious effecLs of oLher substances contained good condition. Default expected strenglh values fOl'
within the building. masonry compressive strength, elastic modulus in
An increased sample size shall be permitted to compression, t1exural tensile strenglh, and masonry
improve the contidence leve!. The relation belween shear strength shaIl be determined by mulliplying
sample size and contidence shall be as detined in lower-bound values by an appropriate factor taken
ASTM E 139-00 (ASTM 2000). from Table 7-2.
lf Ihe coefficient 01' variation in test measuremenls Default lower-bound and expecled slrength yield
exceeds 25%, the number 01' tests performed shall be stress values for reinforcing bars shall be determined
doubled. in accordance with SecLion 6.2.2.5.

'rabie '-l. Default Lower-Bound Masonry Properties

Masonry Condition l

Properly Good Pair Poor

Compressive Strength (/'.,)' 900 psi 600 psi 300 psi
Elastíe Modulus in Compression 550/,,,, 550/'m 550/,,,,
F1exural Tensile Strength J 20 psi 10 psi O
Shear Strength 4
Masonry with a Running Bond Lay-Up 27 psi 20 psi 13 psi
Pully Grouted Masonry with a Lay-Up Other Than Running Bond 27 psi 20 psi 13 psi
Partially Grouted or Ungrouted Masonry with a Lay-Up Other JI psi 8 psi 5 psi
Than Running Bond

j Masonry condilion shall be c1assitied as good, tilir, or poor as detined in Section 7.2.2.1
'JI shall be pernútted 10 lalce default lower-bound values for masonry compressive stfenglh in good condítion from TOOle 1 and 2 from Section 1.4
of ACI 530.I/ASCE 6/TMS 602 (ACI2002).
lit shall be permiued 10 talce default Iowefebound values fOf masonry flexural tensile strength in good oondition /'rom TOOle 3.1.7.2.1 of
ACI 5301ASCE SffMS 402 (ACl 2002).
411 shall be permitted lo talce default lower-bound shear strenglh of unreinforced masonry in good condilion from Sectíon 3.3.4 of ACI 5301
ASCE 5ffMS 402 (ACI 2002).

203
SEISMIC REHABILlTATION OF EXISTING BUILDlNGS

Table 7-2. Factors to Translate Lower-Bound 3. Other conditions, inc\uding the presence and
Masonry Properties to Expected Strength Masonry attachment of veneer, neighboring party walls and
Properties' buildings, presence of nonslructural components,
prior remodeling, and limitations for rehabilitation
Property Factor that may intluence building performance, shall be
Compressive Strength U",e) 1.3 identified and documented.
Elastic Modulus in Compression 2
The condition of the masonry shall be c\assified
Flexural Tensile Strength 1.3
Shear Strength 1.3 as good, fair, 01' poor as deJined in lhis standard, based
on lhe resuIts of visual examinalÍon conducted in
'See Chapler 6 for properties of reinforcing steel accordance wilh Section 7.2.3.1.
'The expected elastic modulus in compression shall be laken as
SSQf;", where/;", is the expected masonry compressive slrcngth. C7.2.3 Condition Assessment
Buildings are often conslructed wilh vencer as an
architectural linish, which may make the wall appear
thicker than lhe actual structural thickness. In many
areas of the country, the veneer wythe is separated
C7.2.2.10 Default Properties
from the structural wall by an air space to provide ven­
Default properties for masonry based on the tables
tilation and moisture control. This is called cavity walI
in current code provisions are applicable to buildings
conslruction. In this case, lhe vencer may be anchored
built with material s similar to those specified in cur­
but does not add any strenglh to the assembly.
rent codeso Where materials are different (i.e., type oi'
In areas of the soulhwest United States and along
mortar, unit strength, air-entrainment), defauIt proper­
the California coast (as well as other regions), the
ties should be based on Table 7-1.
vencer is placed directly against lhe building walJ. It
DefauIt values of compressive strength are set at
will be in a running bond pattern without a header
very low stresses to retlect an absolute lower bound.
course. Other patterns are also seen. If the veneer is
Masonry in poor condition is given a strength equal to
not anchored or has a layer 01' building paper belween
one-third of that for masonry in good condition, to
it and the inner wythe, it cannot be considered as part
reflect the influence oi" mortar deterioration and unit
of the structural wall.
cracking on compressive strength. The coefticient of
Veneer on modern buildings may be adhered or
550 for default values of elastic modulus in compres­
anchored. In either case, the veneer is a weight to be
sion in Table 7-1 is set lower than values given in the
considered but does not contri bu te to a wall's strength.
lnternational Building Code (ICC 2(03) to compen­
In all cases, the veneer must be anchored to prevent its
sate for larger values of expected strength. Default val­
detaching during an earthquake. Requiremenls for
ues for flexural tensile strength are set low even for
veneer are specified in Chapler 11.
masonry in good condition because of its dependence
Face brick bonded to the inner wythes with a reg­
on the unit-mortar bonding, which can be highly vari­
ular pattern of header eourses is not veneer. In this
able due to the variability of the condition oi' the mor­
case, the outer wythes are part of the structural wall
tar. Comparison oi" default masonry shear values with
and can be used in evaluating the height-to-thickness
values that may be obtained from Eq. 7-1 shows thal if
ratio of the wall.
in-place shear tests are done, a significant increase in
See Section C7.2.2.1 regarding the use of FEMA
strength over default values is possible.
306 (FEMA 1998), FEMA 307 (FEMA 1998), and
7.2.3 Condition Assessment FEMA 308 (FEMA 1998) for additional information
A condition assessment of the existing building in c\assifying the condition of masonry.
and site conditions shall be performed as specified in
7.2.3.1 Visual COllditioll Assessmellt
Sections 7.2.3.1 through 7.2.3.3.
The size and 10calÍon 01" alI masonry shear and
A condition assessment shall include the following:
bearing walIs shalI be determined by visual examina­
1. The physical condition of primary and secondary tion. The orientation and placement of lhe waIls shalI
components shall be examined and the presence of be noted. OveraIl dimensions of masonry components
any degradation shall be noted; shalI be measured or determined from plans, including
2. The presence and configuration of components and wall heights, lengths, and thicknesses. LocatÍons and
their connections, and the continuity of load paths sizes of window and door openings shalI be measured
between components, elements, and systems shall or determined from plans. The distribution of gravity
be veriJied or eSlablished; and loads to bearing walIs shaIl be estimated.

204
 ASCEJSEI 41-06

Walls shall be cJassified as reinforced or unrein­ C7.2.3.2 Comprehensive Condition Assessment

forced, composite or noncomposite, and grouted, par­ Nondestructive tests may be used to supplement
tially grouted, or ungrouted. For reinforced masonry the visual observations required by Section 7.2.3.1.
(RM) construction, the size and spacing of horizontal
and vertical reinforcement shall be estimated. For C7.2.3.2.1 Ultrasoníc Pulse Velocíty Measurement of
multi-wythe construction, the number of wythes shall the velocity of ultrasonic pulses through a wall can
be noted, as well as the distance between wythes, detect variations in the density and modulus 01'
and the placement of inter-wythe tieso The condition masonry materials as weIJ as the presence of cracks
and aUachment of veneer wythes shall be noted. and discontinuities. Transmission times for pulses
For grouted construction, the quality of grout traveling through a wall (direct method) or between
placement shall be assessed. For partially grouted two points on the same side of a wall (índirect
walls, the locations of grout placement shall be method) are measured and used to infer wave
identified. velocity.
The type and condition of the mortar and mortar Test equipment with wave frequencies in the
joints shall be determined. Mortar shall be examined range of 50 kHz has been shown to be appropriate for
for weathering, erosion, and hardness, and to identify masonry walls. Use of equipment with higher fre­
the condition of any repointing, including cracks, quency waves is not recommended because the short
internal voids, weak components, andJor deteriorated wave length and high attenuation are not consistent
or eroded mortar. Horizontal cracks in bed joints, ver­ with typical dimensions of masonry units. Test loca­
tical cracks in head joints and masonry units, and tions should be sufficiently c10se to identify zones
diagonal cracks near openings shall be noted. with different properties. Contour maps of direct trans­
Vertical components that are not straighl shall be mission wave velocities can be constructed to assess
identified. Bulging or undulations in walls shall be the overall homogeneity of a wall elevation. For indi­
observed, as well as separation of exterior wythes, out­ rect test data, vertical or horizontal distance can be
of-plumb walls, and leaning parapets or chimneys. ploued versus trave) time to identify changes in wave
Connections between masonry walls and tloors or velocity (slope of the curve). Abrupt changes in slope
roofs shall be examined to identify details and condi­ will identify locations of cracks or tlaws.
tion. If construction drawings are available, a mini­ U1trasonic methods are not applicable for
mum of tbree connections shall be inspected for each masonry of poor quality or low modulus, or with many
connection type. If no deviations from the drawings tlaws and cracks. The method is sensitive to surface
are found, the sample shall be considered representa­ condition, the coupling material used between the
tive. If drawings are unavailable, or if deviations are transducer or receiver and lhe brick, and lhe pressure
noted between the drawings and constructed work, applied to the transducer.
then a random sample of connections shall be The use of ultrasonic pulse velocity methods with
inspected until a representative pattern of connections masonry walls has been researched eXlensively by
is identified. Calvi (1988), Epperson and Abrams (1989), and
Kingsley el al. (1987). A standard for the use of ultra­
7.2.3.2 Comprehensive CondiJion Assessment sonic melhods for masonry is currently under develop­
The following nondestructive tests shall be per­ menl in Europe with RILEM Committee 76LUM.
miued to quantify and confirm the uniformity of con­
struction quality and the presence and degree 01' deterí­ C7.2.3.2.2 Mechanical Pulse Velocity The mechanical
oration for comprehensive data collection: pulse velocity test consisls of impacting a wall wilh a
hammer blow and measuring the travel time of a sonic
l. Ultrasonic or mechanical pulse velocity to detect
wave across a specified gauge distance. An impacl
variations in the density and modulus of masonry
hammer is equipped with a load cell or accelerometer
materials and lO detect the presence of cracks and
to detect the time of impact. A distanl accelerometer is
discontinuities;
fixed lO a wall lo detect the arrival time of the pulse.
2. Impact-echo test to confirm whether reinforced
Wave velocity is delermined by dividing the gauge
walls are grouted; and
length by the lravel lime. The form and duration of the
3. Radiography to contirm location of reinforcing
generated wave can be varied by changing the material
steel.
on the hammer cap.
The location and number of nondestructive tests The generated pulse has a lower frequency and
shall be determined in accordance with the require­ higher energy content than an ultrasonic pulse, result­
ments of SectÍon 7.2.2.9.2. ing in longer lravel distances and less sensitivity to

205
 SElSMIC REHABILlTATION OF EXlSTlNG BUILDlNGS

small variations in masonry properties and minor masonry material properties or to assess condition.
cracking. The mechanical pulse method should be Possible supplemental tests are described as follows.
used in lieu of the uHrasonic pulse method where
overall mean properties of a large portio n of masonry
C7.2.3.3. J Surface Hardness The surface hardness of
are ol' interest.
exterior wythe masonry can be evaluated using the
The use of mechanical pulse velocity measure­
Schmidt rebound hammer. Researeh has shown that
ments for masonry condition assessments has been
the technique is sensitive to differenees in masonry
confirmed through research by Epperson and Abrams
strength, but cannot by itself be used to determine
(1989) and Kingsley et al. (1987). Allhough no stan­
absolute strength. A Type N hammer (5,000 lb.) is rec­
dard exiS1S for mechanical pulse velocity tests with
ommended for normal-strength masonry, while a
masonry, a standard l'or concrete materials [ASTM
Type L hammer (1,600 lb.) is recommended for lower­
C597-02 (ASTM 2002)] does exist.
strength masonry. Impacts at the same test location
should be eonlinued until consistent readings are
C7.2.3.2.3 Impact Echo The impact-echo technique
obtained, because surface roughness can affect ¡nitial
can be use1'ul for nondestructive determination of
readings.
the location 01' void areas within grouted reinforced
The method is Iimited 10 tests of only the surfaee
walls, as reported by Sansalone and Carino (1988).
wythe. Tuckpointing may intluence readings and the
Commercial devices are available or systems can be
method is not sensitive lo cracks.
I assembled using available electronic components.
Measurement of surface hardness for masonry
r. Since this technique cannot distinguish between a
walls has been studied by Noland et al. (1987).
shrinkage crack at the grout-unit interface and a com­
plete void in the grout, drilJing of small holes in the
'1
• bed joint or examination using an optical boreseope C7.2.3.3.2 Vettical Compressíve Stress In situ vertical
should be performed to veri1'y the exact eondition. compressive stress resisted by Ihe masonry can be
measured using a thin hydraulic l1atjack Ihal is
C7.2.3.2.4 Radiography A number of eommereial inserted into a removed mortar bed joint. Pressure in
radiographic (x-ray) devices exist that can be used to the tlatjack is increased until distortions in the briek­
identify the loeation 01' reinforcing steel in masonry work are reduced to the precut condilion. Existing ver­
walls. They are also useful for locating bed-joint rein­ tical compressive stress is inferred from the jack
forcing sleel, masonry ties and anchors, and eonduits hydraulic pressure, using correction factors for the
and pipes. The better devices can locate a No. 6 bar at shape and stiffness of the tlatjack.
depths up lo approximalely 6 in.; however, this means The method is userul for measurement of gravity
that 1'or a 12-in.-lhick concrete masonry wall, a bar load distribution, l1exural stresses in out-of-plane
located otr-center cannot be found where access is walls, and stresses in masonry veneer walls that are
limited to only one side of the wall. These devices are compres sed by a surrounding concrete rrame. The test
not able lo locate or determine the length of reinforc­ is Jimiled to only the faee wythe of masonry.
ing bar spliees in walls in most cases. They work best Not less than three tests should be done 1'or each
ror identi1'ying the localion 01' single isolated bars and section of the building 1'or which it is desired lo
become less userul where the congestion of reinforc­ measure in situ vertical stress. The number and loca­
ing bars inereases. tion 01' tests should be determined based on the build­
ing confíguration and the Iikelihood of overstress
7.2.3.3 Supplemental Tests condilions.

Supplemental tests shaJl be permitted lo enhanee

the level 01' contidenee in masonry material properties, C7.2.3.3.3 Diagonal Compressiofl Test A square panel
or the assessmenl 01' masonry condition for justifying of masonry is subjected to a compressive force applied
the use of a higher knowledge factor, as specitied in at two opposite corners along a diagonal until the
Section 7.2.4. panel cracks. Shear strength is inferred from the meas­
ured diagonal compressive force based on a theoretical
e7.2.3.3 SlIpplemental Tests distribution of shear and normal stress for a homoge­
neous and elastic continuum. Using the same theory,
Ancillary tests are recommended, but not shear modulus is inferred from measured diagonal
required, lo enhance the level 01' eonfidence in compressive stress and strain.

206
 ASeE/SE( 41-06

Extrapolation of the test data to actual masonry Large-scale tests are expensive and limited to a
walls is difficult because the ratio of shear to normal single or few samples. They may result in considerable
stress is fixed at a constanl ratio of 1.0 for the test local damage and may require substantial reconstruc­
specimens. Also, the distribution 01' shear and normal tion near the sample location. Test data must be
slresses across a bed joint may not be as uniform for a extrapolated to the remainder of the system, based on
test specimen as for an actual wall. Laslly, any redis­ a low confldence leve!.
tribution of stresses after the firsl cracking will not be
represented with the theoretical stress distributions. 7.2.4 Knowledge Factor
Thus, the test data cannot be useful to predict nonlin­ A knowledge factor for computation of masonry
ear behavior. component capacities and permissible deformalÍons
Ir the síze of lhe masonry unils relative to the shall be selectOO in accordance with Section 2.2.6.4.
panel dimension is large, masonry properties will be
not continuous, bUl discreteo Test panel s should be
a minimum of four ft square. The high cost and dis­ 7.3 MASONRY WALLS
ruption 01' extracting a number of panels this size
may be impracticaL The standard test method The procedures set forth in this section for determina­
specitied in ASTM E519-02 (ASTM 2002) may tion of stitIness, strength, and deformation of masonry
be used. walIs shall be appliOO to building systems comprising
any combination of existing masonry walls, masonry
walls enhanced for seismic rehabilitation, and new
C7.2.3.3,4 Large-Scale Load Tests Large-scale walls added to an existing building for seismic
destructive tests may be done on portions of a rehabilitation.
masonry component or element lo (1) increase the Actions in a structure shall be classified as being
confidence level on overall structural properties; either deformation-controllOO or force-controlled as
(2) obtain performance data on archaic building mate­ deíined in Section 2.4.4.3. Design strengths for defor­
rials and construction materials; (3) quantify effects of mation-controlled and force-controlled actions shall be
complex edge and boundary condilions around open­ caIculated in accordance with this sectíon.
ings and two-way spanning; and (4) verify or calibrate Strengths used for deformation-controlled actions
analytical models. Large-scale load tests do not are denoted QCf and shall be taken as equal to expected
necessarily have lo be run to the ultimate Iimit state. strengths obtainOO experimentally, calculated using
They may have value for simply demonstrating accepted mechanics principIes, or based on defauIt val­
structural integrilY up lo sorne specitic performance ues listed in Section 7.2.2.10. Expected strength is
leve\. defined as the mean maximum resistance expected over
Out-of-plane strength and behavior of masonry the range of deformations to which the component is
walls can be determined with air-bag tests. Behavior Iikely to be subjectOO. Where calculations are used to
of test panels incorporating connections and edge define expectOO strength, expected material properties
details can be determined from such a test, in addition shall be used. Unless otherwise specified in this stan­
to flexural and arching properties of a solid or perfo­ dard, use of strength design procedures specified in ACI
ratOO wall. Strength and deformation capacity under 530/ASCE 5rrMS 402 (ACI 2002) to calculate design
in-plane lateral forces can be determined by loading an strengths shall be permitted except that the strength
individual portion of wall that is cut free of the sur­ reduction factor, 4>, shall be taken equal to unity.
rounding masonry. Loading actuators are reacted Force-controllOO actions shall be as defined in
againsl adjacent and stronger portions of masonry. Section 2.4.4. Strengths used in design for force­
Such testing is particularly useful where the waIl is controlled actions are denoted QCL and shall be
composed of different materials that cannot be evalu­ taken as equal to lower-bound strengths obtained
ated by testing an individual unil of an individual experimentally, caIculated using establishOO mechanics
wythe. principIes, or basOO on default values listed in Sec­
Visual and nondestructive surveys should be used tion 7.2.2.10. Lower-bound strength is defined as the
to identify locations for test samples. mean minus one standard deviation of resistance over
Standards for laboratory test methods are pub­ the range oí" deformations and loading cycles to which
Iished by ASTM. ProcOOures for removal and trans­ the component is subjected. Where calculations are
portation of masonry samples are given in Building usOO 10 define lower-bound strengths, lower-bound
Science Series 62 (NBS 1977). material properties shalI be used. It shalI be permitted

207
SEISMIC REHABILlTATION OF EXISTING BUILDINGS

to calculate lower-bound properties from expected Component drift ralios are the ratio of dítTerential
properties using the conversion l'actors in Table 7-2. displacement, !le1J' between each end of the component
Unless otherwise specitied in this standard, use ol' oyer the effective height, h'jj' of the component.
strength design procedures specified in ACI 5301 Depending on the geometry of the wall nr wall pier
ASCE 5n'MS 402 lO calculate design strengths shaIl contiguration, the eleyations at which these parameters
be permitted except that the strength reduction factor, are determined may vary within the same wall ele­
cp, shall be taken equal lo unity. Where aHernative def­ ment, as shown in Fig. C7 -l.
initions of design strength are used, they shall be justi­ Materials haying briUle behayior as shown in
tied by experimental evidence. Fig. 7-1(b) should be considered force-controlled
Where design actions are determined using the actions. Rocking of unreinforced masonry walls and
nonlinear procedures of Chapter 3, component force­ waJl piers haye a limited s emiductile behayior similar
deformation response shall be represented by nonlin­ to that shown in Fig. 7- J(a) i1' an components in a line
ear force-de1'ormation relations. Force-deformation of resistance haye an in-plane shear capacity greater
relations shall be based on experimental eyidence or than their rocking capacity.
the generalized l'orce-deformation relation shown
in Hg. 7- 1, with parameters e, d, and e as defined in 7.3.1 Types of Masonry Walls
Tables 7-4 and 7-7. Masonry walls shall be categorized as unrein­
forced or reinforced; ungrouted, partially grouted,
C7.3 MASONRY WALLS or 1'ully grouted; and composite or noncomposite.
Masonry walls shall be capable of resisting forces
Expected yield strength of reinforcing steel, as speci­ applied parallel lo lheir plane and normal to their
fied in Ihis standard, inc\udes consideration 01' material plane, as described in Sections 7.3.2 through
overstrength and strain-hardening. 7.3.5.

Q
Qy

1.0

Drift ratio, A,."

he"
(a)

Q
Qy
1----- e ------"*1

···-d----..j
1.0 ...... ------:Cr:\

Drlft ratio, A,."

h eff
(b)
FIGURE 7·1. (a) Generalized Force-Deformation Relation for Reinforced Masonry Elements or Components;
(b) Generalized Force-Deformation Relation for Unreinforced Masonry Elements or Components.

208
 ASCElSEI41-06

C7.3.1 Types of Masonry Walls (BOCAl 1999), Standard Building Code (SBCCI
Any of these calegories of masonry elements can 1999), and the Uniform Building Code (ICC 2(03).
be used in combination with existing, rehabilitated, or Guidelines for seismic design of new buildings are
new lateral-force-resisting elements of other materials found in FEMA 302 (FEMA 1997).
such as steel, concrete, or tÍmber.
7.3.1.3 E"hanced Masonry Walls
7.3.1.1 Existing Maso1lry Walls Enhanced masonry walls shall inelude existing
Exisling masonry walls shall ¡nelude all slructural walls thal are rehabililaled by an approved method.
walls of a building system thal are in place prior 10
seismic rehabilítation. C7.3.1.3 Ellhanced Masonry Walls
Existing masonry walls shall be assumed 10 Methods of enhancing masonry walls are in tended
behave in lhe same manner as new masonry walls, lo improve performance of masonry walls subjecled 10
provided Ihat the masonry is in fair or good condition bOlh in-plane and out-of-plane lateral forces.
as detined in Ihis standard. Possible rehabilitation melhods are described in
SeclÍons C7.3.1.3.1 through C7.3.I.3.IO.
7.3.1.2 New MaSlJIlry Walls
New masonry walls shaIl inelude all new wall C7.3./.3.l Jnfilled Openings An infilled opening may
elements added lO an existing lateral-1'orce-resisling be considered 10 acl compositely with the surrounding
system. New walls shall be designed in accordance masonry if new and old masonry units are interlaced at
wilh lhe requirements sel forth in this standard and the boundary wilh full lOothing, or attached wilh
delailed and construcled in accordance wilh a building anchorage that provides compatible shear slrength al
code approved by the authority having jurisdiction. the interface of new and old units.
Sliffness assumptions, strength criteria, and
C7.3.1.2 New Masonry Walls acceptable deformations for masonry walls with
Codcs for new buildings inelude the lnternational intilled openings should be the same as given for non­
Building Code (ICC 2003), National Building Code rehabilitated solid masonry walls; differences in elastic
moduli and slrengths for the new and old masonry
waIls should be considered for the composile
section .
.....,.-••?"
I
/

/ í ~eff C7.3.l.3.2 Enlarged Openings Openings in unrein­

/ forced masonry (URM) shear waIls may be enlarged

heff ¡ 1
I I
I h'ff 1 {D
! 2
by removing portions of masonry aboye or below win­
dows or doors.
Openings are enlarged lO ¡ncrease the heighl-Io­
length aspect ratio of waIl piers so Ihal Ihe limit slate
may be altered from shear lo tlexure. This melhod is
only applicable lo URM walls.
Sliffness assumptions, strength criteria, and
acceptabJe deformations for URM walls with enlarged
openings shaIl be reassessed to retlect the tinal condi­
tíon 01' the walL

C7.3.].3.3 Shotcrete An existing masonry wal1 with an

he/! = The effective height of the component application of sholcrete may be considered 10 behave
under consideration as a composite section if anchorage is provided al the
,1.,ff ;:: The differenlíal displacamenl belween Ihe shotcrete-masonry interface to lransfer the shear
top and botlom of the componenl
forces calcuJated in accordance with Chapler 3.
Depending on the waU and píer geometry, the Slresses in the masonry and shotcrete should be deter­
elevatíons al whích these parameters are defíned mined considering the difference in elastic moduli f'i.)r
may vary in Iha sama wall assembly.
each material, or the existing masonry wall should be
FIGURE C7-1. Effective Height and Differential neglected and the new shotcrete layer should be
Displacement of Wall Components. designed lO resísl all of the force.

209
SEISMIC REHABILlTATION OF EXISTlNG BUILDINGS

StitIness assumplions, slrenglh criLeria, and e7.3.].3.7 Grout /njections Grout used for tílling
acceplable deformations for masonry componenls wílh voids and cracks should have strength, modulus, and
sholcrete should be lhe same as Ihal for new rein­ thermal properties compatible with the existing
forced concrete components. Variations in boundary masonry.
conditions should be considered. Inspections should be conducted in accordance
with Chapter 2 during the grouting process to ensure
C7.3./.3.4 Coatings for Unreinforced Masonry Walls that voids are completely filled wÍlh grout.
A coated masonry wall may be considered a compos­ Stiffness assumptions, strength criteria, and
ite section as long as anchorage is provided al the acceptable deformations for masonry walls with grout
inlerface between Ihe coating and lhe masonry wall lo injections should be the same as that for existing URM
Irans1'er shear forces. Stresses in lhe masonry and coal­ or RM walls.
ing should be determined considering the ditTerence in
elastic moduli for each material. If stresses exceed C7.3./.3.8 Repointillg Bond strength 01' new mortar
expected slrenglhs of lhe coatíng material, then lhe should be equal to 01' greater than that 01' the original
coating should be considered inetIective. mortar. Compressive strength 01' new mortal' should be
StitTness assumptíons, slrenglh crilería, and equal lo 01' less lhan that 01' the original mortal'.
acceptable deformatíons 1'01' coated masonry walls StitTness assumptions, strength crileria, and
should be lhe same as thal for existing URM walls. acceptable derormations for repointed masonry
walls should be the same as that for exisling masonry
C7.3./.3.5 Reinforced Cores for Unreinforced Masonry walls.
Walls A reinforced-cored masonry wall should be con­
sidered to behave as a reinforced masonry (RM) wall, C7.3./.3.9 Braced Masonry Walls Masonry walls with
provided Ihat the bond betwecn Ihe new reinforcement height-to-thickness ratios in excess 01' those permiued
and the grout and between the groul and lhe cored sur­ by Table 7-5, or out-of-plane bending stresses in
face are capable 01' transferring seismic forces com­ excess of those permitted by Section 73.3.2, may be
puted in accordance with Chapter 3. Vertical reinforce­ braced with external structural elements. Adequate
ment should be anchored at the base ol' lhe wall 10 strength should be provided in the bracing e\ement
resisl lhe full tensile slrenglh 01' lhe wall. and connections lO resist the transfer oí' forces 1'rom
Grout in new reinforced cores should consist 01' the masonry wall to the braeing elemenL Out-of­
cementilious materials whose hardened properties are pláne deflections oí' braced walls rcsulting from the
compatible wilh those 01' the surrounding masonry. transfer 01' vertical l100r 01' rool' loadings should be
Adequate shear strength must exisl, or should be considered.
provided, so Ihal lhe strength of the new vertical rein­ Stiffness assumptions, strength criteria, and
forcement can be developed. acceptable deformations ror braced masonry walls
Slilfness assumptions, strength criteria, and should be the same as that I'or existing masonry walls.
acceptable deformations for URM walls wilh rein­ The reduced span 01' the masonry wall should be con­
forced cores should be lhe same as thal 1'01' existing sidered.
reinforced walls.
C7.3./.3. JO StijJening Elements Masonry walls with
e7.3./.3.6 Prestressed eoresfor Unreinlorced inadequale out-of-plane sti1'fness 01' strength may be
Masonry Walls A prestressed-cored masonry wall with stiffened wilh external structural members. The stitl'en­
unbonded tendons should be considered 10 behave ing members should be proportioned to resis! a tribu­
as a URM wall with increased verlical compressive tary portion of lateral load applied llormalto the plane
stress. 01' a masonry wall. Connections at the ends of the stiff­
Losses in preslressing force due to creep and ening element should be provided lO transl'er the reac­
shrinkage 01' lhe masonry should be accounted tion force. F1exibility of the stiiTening element should
ror in analyses conducted in accordance with be considered where eslimating lateral drift 01' a
Chapter 3. masonry wall panel.
StitTness assumplions, slrength criteria. and Stitl'ness assumptions. strength criteria, a-nd
acceptable del'ormalíons for URM walls with acceplable deformations ror stitTened masonry walls
unbonded prestressing tendons should be the same as should be lhe same as Ihal rOl' existing masonry walls.
1'01' exisling URM walls subjecled to vertical compres­ The stiffening action that the new element provides
sive stress. shall be considered.

210
 ASeE/SEl 41-06

e7.3./.3.! J Veneer Attachment Veneer not bonded to where

the structural core of a masonry wall may be rehabili­
heff = wall height;
tated by the use of pins inserted through the joints and
A. = shear area;
into the brick substrate. Spacing of píns should match
Ig = momenl of inerlia for lhe gross section repre­
current code requiremems given the seismicity of the
senting uncracked behavior;
region.
Em = masonry eIaslic modulus; and
Cm = masonry shear modulus.
7.3.2 Unreinforced Masonry Walls and WaU Piers
In-Plane
Correspondingly, the lateral in-plane stiffness of a
Engineering properlies of URM walls subjecled to
wall pier between openíngs wilh full restraint againsl
laleral forces applied parallel to lheir plane shall be
rotalion al ils lOp and bonom can be calculated using
determined in accordance Wilh lhis section. Requíre­
Eq. C7-2:
ments of thís section shall apply to cantilevered shear
walls that are fixed against rotatíon at their base, and to
wall piers belween window or door openings that are k=--:c---- (Eq. C7-2)
tixed against rotation top and bottom. +
12Emlg A.Cm
Stiffness and strength crileria presented in this
seclion shall apply lo both the Linear Static Procedures The design professional should be aware that a
(LSP) and Nonlinear Stalíc Procedures (NSP) pre­ completely fixed condition is often not present in
scribed in Chapter 3. actual buildings.
The eXlerior wythe of bríck in a URM wall is
7.3.2.1 Stiffness commonly a veneer thal is not bonded to the wall.
The lateral stiffness of masonry walls subjected to This veneer should not be used where computing the
lateral in-pIane force s shall be determíned considering lateral resistance of the wall.
both tlexural and shear deformations.
The masonry assemblage of units, mortar, and 7.3.2.2 Strength
groul shall be considered to be a homogeneous
medium for stiffness computations with an expected 7.3.2.2.1 Expected Lateral Strength 01 Unreinlorced
elastic modulus in compression, Eme' as specified in Masonry Walls and Wall Píers Expected lateral
Section 7.2.2.4. strength, QCE' of existing and enhanced URM walls or
For linear procedures, the stiffness of a URM wall wall pier components shall be the expected rocking
or wall pier resisting laleral forces parallel to its plane slrength, calculated in accordance wilh Eq. 7-3:
shall be consídered to be linear and proportional with
the geometrical properlies of lhe uncracked section,
excluding veneer wythes. (Eq.7-3)
Story shears in perforated shear walls shall be dis­
tributed to wall piers in proportion to the relative lat­ where
eral uncracked stiffness of each wall pier.
heff = height to resultant of lateral force;
Stiffnesses for existing and enhanced walls shall
L = length of wall or wall pier;
be delermined using principies of mechanics used for
PD = superimposed dead load at lhe top of the wall
new walls.
or wall pier under consideration;
V, = slrength of wall or wall pier based on rocking;
C7.3.2.1 Stiffness
and
Laboratory tests of solid shear walls have shown
a = factor equal to 0.5 for tixed-free cantilever wall,
that behavior can be depicted at low force levels using
or equal to 1.0 for tixed-tixed wall pier.
conventional principies of mechanics for homoge­
neous malerials. In such cases, the lateral in-plane
7.3.2.2.2 Lawer-Bound Lateral Strength 01 Unrein­
stiffness of a solid cantilevered shear wall, k, can be
lorced Masonry Walls and Wall Piers Lower-bound
calculated using Eq. C7 -1:
lateral strength, QCL> of existing and enhanced URM
walls or wall pier components shall be taken as the
(Eq. C7-1) lesser of the lateral strength values based on lower­
bound shear strength or toe compressive stress calcu­
lated in accordance with Eqs. 7-4 and 7-5, respec­

211
SEISMIC REHABILlTATION OF EXISTING BUILDINGS

tively. L/heff shall not be taken less than 0.67 for 7.3.2.3 Acceptance Cr;teria
use in Eq. 7-5. In-plane lateral shear of unreinforced masonry
walIs and wall piers in a single line of resistance shall
(Eq.7-4) be considered a deformation-controlled action if lhe
expecled lateral rocking slrenglh of each wall or wall
pier in the line of resislance, as specitied in Sec­
fa ) (Eq.7-5)
0.7f~ tion 7.3.2.2.1, is less lhan lhe lower-bound lateral
strength of each wall or wall pier limited by shear or toe
where h,jfr L, and a are the same as given for Eq. 7-3 compressive Slress, as specitied in Section 7.3.2.2.2.
and: Unreinforced masonry walls nol meeting lhe crileria for
deformalion-conlrolIed componenls shall be considered
Vn/L = lower-bound masonry shear strength, force-controlled componenls. Expecled rocking
Eq.7-1; strength, V" as specitied in Section 7.3.2.2.1 shall
An = area of net mortaredlgrouted seclion; be neglected in lines of resistance nol considered
la axial compressive stress due to gravily loads deformation-controlled. Axial compression on URM
specified in Eq. 3-2; wall components shall be considered a force-controlled
f~, lower-bound masonry compressive slrenglh action.
delermined in accordance wilh Section 7.2.2.3;
Qo = lower-bound axial compressive force due lo 7.3.2.3. J Linear Procedures For lhe linear procedures
gravity loads specified in Eq. 3-3; in Sections 3.3.1 and 3.3.2, componenl aClions shall
VCL lower-bound shear strength for wall or walI be compared with capacities in accordance with
pier; and Section 3.4.2.2. The m-faclors for use with corre­
V" ]ower-bound shear strength based on toe com­ sponding expected strenglh shall be obtained from
pressive stress for wall or walI pier. Table 7-3.

7.3.2.2.3 Lower-Bound Vertical Compressive Strength

7.3.2.3.2 Nonlinear Procedures For Ihe NSP given
of Unreínforced Masonry Walls and WaU Piers Lower­ in Seclion 3.3.3, wall and wall pier componenls
bound vertical compressive strength of existing URM shall meet the requirements 01' Section 3.4.3.2.
walls or wall pier components shall be limited by For deformation-controlled components, nontinear
lower-bound masonry compressive stress in accor­ deformations shall not exceed the values given in
dance with Eq. 7-6. Table 7-4. Variables d and e, represenling nontinear
deformalion capacilies for primary and secondary
QCL = PCL = 0.80(O.85f~An) (Eq. 7-6)
componenls, shall be expressed in lerms of drifl ratio
percentages as defined in Fig. 7-I(a).
where: For Ihe Nonlinear Dynamic Procedure (NDP)
f~ lowel'-bound compressive strength determined given in Seclion 3.3.4, wall and wall pier components
in accordance with Section 7.2.2; shall meet Ihe requiremenls of Seclion 3.4.3.2.
P CL = lower-bound masonry compressive stress; Nonlinear force-<lefleclion relations for deformation­
and cOnlrolled wall and wall pier components shall
An area of net mortaredlgrouted seclion. be established based on Ihe information given in

Table 7-3. Linear Static Procedure-m-factors for URM In-Plane Walls and Wall Píers
m-factors
Performance Level
Limiting
Behavioral Mode Primary Secondary
10 LS CP LS CP
Rocking I.Sh.glL 3heg/L 4heglL 6hfjj / L Sheu/ L
(not less Ihan 1) (not less Ihan 1.5) (not Iess than 2) (not less than 3) (not less than 4)

212
 ASCE/SEI 41-06

Table 7-4. Nonlinear Static Procedure-Simplified Force-Deflection Relations for URM

In-Plane Walls and Wall Piers 1

Acceptance Criteria 2
Performance Level
Limiting
Behavioral Mode Primary Secondary
e (%) d (%) e(%) 10% LS% CP% LS% CP%
Rocking 0.6 0.1

lInterpolation shall be used between table values.

'Primary and secondary component demands shall be within secondary component acceptance criteria where the full backbone curve is explicitly
modeled including strength degradation and residual strength in accordance with Section 3.4.3.2.

Table 7-4, or an approved procedure based on a com­ or have an etIective void ratio greater than 50% shall
prehensive evaluation of the hysteretic characteristics not be considered part of the effective thickness of
of those components. the wall.

C7.3.3.2 Strength
7.3.3 Unreinforced Masonry Walls
This section applies to treatment of veneer for
Out-of-Plane
out-of-plane behavior of walls only. For in-plane
As required by Section 2.6.7, URM walls shall be
resistance, effective thickness is the sum of all wythes
evaluated for out-of-plane inertial torces as isolated
without consideration of the condition of the collar
components spanning between floor levels, and/or
joints.
spanning horizontally between columns or pilasters.
URM walls shall not be analyzed out-of-plane with the
7.3.3.3 Acceptance Criterio
LSP or NSP prescribed in Chapter 3.
For the Immediate Occupancy Structural
Performance Level, flexural cracking in URM walls
7.3.3.1 Stiffness due to out-of-plane inertial loading shall not be per­
The out-of-plane stiffness of walls shall be ne­ mitted as limited by the tensile stress requirements of
glected in analytical models of the global structural Section 7.3.3.2. For the Life Safety and Collapse
system in the orthogonal direction. Prevention Structural Performance Levels, flexural
cracking in URM walls due to out-of-plane inertial
7.3.3.2 Strength loading shall be permitted provided that cracked
Unless arching action is considered, flexural wall segments will remain stable during dynamic
cracking shall be Iimited by the expected tensile stress excitation. Stability shall be checked using analyti­
values given in Section 7.2.2.5. cal time-step integration models considering
Arching action shall be considered only if sur­ acceleration time histories at the top and base of a
rounding floor, roof, column, or pilaster elements wall panel. For the Life Safety and Collapse Preven­
have sutlicient stitIness and strength to resist thrusts tion Structural Performance Levels, stability need
from arching of a wall panel, and a condition assess­ not be checked for walls spanning vertically with a
ment has been performed to ensure that there are height-to-thickness (hIt) ratio less than that given in
no gaps between a wall panel and the adjacent Table 7-5.
structure.
The condition of the collar joint shall be consid­ C7.3.3.3 Acceptance Criteria
ered where estimating the effective thickness of a For further information on evaluating the stability
wall tor out-of-plane behavior. The effective void of unreinforced masonry walls out-of-plane, refer
ratio shall be taken as the ratio of the collar joint area to Methodology for Mitigation of Seismic Hazards
without mortar to the total area of the collar joint. in Existing Unreinforced Masonry Buildings
Wythes separated by collar joints that are not bonded, (ABK 1984).

213
SEISMIC REHABILlTATION OP EXISTING BUlLDlNGS

Table 7-S. Permissible hIt Ratios for URM Out-of-Plane Walls

Wall Types SXI :5 0.24 g 0.24 g < SXI :5 0.37 g SXI > 0.37 g
WaIls of One-Story Buildings 20 ló 13
Pirst-Story WalI ol' Multistory
Building 20 18 15
Walls in Top Story ol'
Multistory Building 14 14 9
Al! Other WaIls 20 16 13

7.3.4 Reinforced Masonry Walls and Wall Piers ering gravity loads and the maximum force s that can
In-Plane be transmiUed based on a limit-state analysis.

7.3.4.1 Stifflless
7.3.4.2.3 Vertical Compressive Strength ofWalls
The stiffness of an RM wall or wall pier compo­
and Wall Píers Lower-bound vertical compressive
nent in-plane shall be determined as follows:
strength 01' existing RM walI or wall pier components
l. The shear stitl'ness 01' RM wall components shall be shall be detennined based on strength design proce­
based on uncracked section properties; and dures specitied in ACl530/ASCE 5HMS 402
2. The flexural stiffness of RM wall components shaIl (ACI2002).
be based on cracked section properties. Use of a
cracked moment of inertia equal to 50% of 18 shall
7.3.4.2.4 Strength Considerations for Flanged Walls
be pennitted.
Wall intersections shall be considered effective in
In either case, veneer wythes shall not be consid­ transferring shear where either condition (1) or (2)
ered in Ihe calculation of wall component properlies. and condition (3) are mer:
Stiffnesses for existing and new walls shall be l. The face shells of hollow masonry units are
assumed to be the same.
removed and the intersection is fully grouted;
2. Solid units are laid in running bond, and 50% of
7.3.4.2 Strength the masonry units at the intersection are inter­
The strength of existing, enhanced, and new locked;
RM waJl or wall pier components in tlexure, shear, 3. Reinforcemenl from one intersecting wall continues
and axial compression shall be determined in accor­ past lhe interseclion a distance not less than 40 bar
dance with Sectíon 7.3.4.2. The strength of tlanged diameters or 24 in.
RM walls shall also be in accordance with Sec­ The width of tlange consídered effective in com­
tion 7.3.4.2.1 and 7.3.4.2.2. pression on each síde of the web shall be taken as the
lesser of six times the thíckness of the web, half lhe
7.3.4.2.1 Flexural Strength ofWalls and Watl Piers distance lo the next web, or lhe actual flange gn either
Expected flexural strength oi' an RM wall or waIl pier side of lhe web wall.
shall be determined based on strength design proce­ The width of tlange considered effective in ten­
dures specified in ACI 530/ASCE 5fTMS 402 sion on each side of the web shall be taken as the
(ACT 2002). lesser of three-fourths of the wall heighl, half lhe dis­
tance lO an adjacent web, or the actual tlange on eilher
7.3.4.2.2 Shear Strength ofWalls and Wali Piers The side of the web wall.
lower-bound shear streng¡h of RM wall or wall pier
components, VeL, shall be determined based on 7.3.4.3 Acceptance Críteria
strength design procedures specitied in ACI 5301 The shear requíred 10 develop (he expected
ASCE 5fTMS 402 (ACI 2002). Design actions (axial, strength of reínforced masonry walls and walI piers in
tlexure, and shear) on components shall be determined tlexure shall be compared to the lower-bound shear
in accordance with Chapter 3 of Ihis standard consid­ strength. For reinforced masonry wall componenls

214
 ASCElSEI 41-06

Table 7-6. Acceptaoce Criteria for Linear Procedures-Reinforced Masoory

lo-Plane Walls
m-faclors 1
Performance Level
Component Type

Primary Secondary

!uel!"" L/helf pg/yel!",e 3

10 LS CP LS CP
Wall Components Controlled by Flexure
0.00 :5 0.5 :5 0.01 4.0 7.0 8.0 8.0 10.0
0.05 2.5 5.0 6.5 8.0 10.0
? 0.20 1.5 2.0 2.5 4.0 5.0
1.0 :5 0.01 4.0 7.0 8.0 8.0 10.0
0.05 3.5 6.5 7.5 8.0 10.0
? 0.20 1.5 3.0 4.0 6.0 8.0
? 2.0 :5 0.01 4.0 7.0 8.0 8.0 10.0
0.05 3.5 6.5 7.5 8.0 10.0
? 0.20 2.0 3.5 4.5 7.0 9.0
0.038 :5 0.5 :5 0.01 3.0 6.0 7.5 8.0 10.0
0.05 2.0 3.5 4.5 7.0 9.0
;? 0.20 1.5 2.0 2.5 4.0 5.0
1.0 :5 0.01 4.0 7.0 8.0 8.0 10.0
0.05 2.5 5.0 6.5 8.0 10.0
? 0.20 1.5 2.5 3.5 5.0 7.0
? 2.0 :5 0.01 4.0 7.0 8.0 8.0 10.0
0.05 3.5 6.5 7.5 8.0 10.0
? 0.20 1.5 3.0 4.0 6.0 8.0
0.075 :5 0.5 :5 0.01 2.0 3.5 4.5 7.0 9.0
0.05 1.5 3.0 4.0 6.0 8.0
? 0.20 1.0 2.0 2.5 4.0 5.0
1.0 :5 0.01 2.5 5.0 6.5 8.0 10.0
0.05 2.0 3.5 4.5 7.0 9.0
? 0.20 1.5 2.5 3.5 5.0 7.0
? 2.0 :5 0.01 4.0 7.0 8.0 8.0 10.0
0.05 2.5 5.0 6.5 8.0 10.0
? 0.20 1.5 3.0 4.0 4.0 8.0

Wall Componenls Controlled by Shear

AH Cases 2 AH Cases1 AH Cases 2 2.0 2.0 3.0 2.0 3.0

'Interpolation shall be used between table values.

'For wall components governed by shear, the axial load on the member must be less than 01" equal to
0.1 S Agf;", othel"wise the component shall be treated as force-controlled.
"Pg =p,. + p".

governed by flexure, flexural actÍons shall be consid­ with capacities in accordance with Section 3.4.2.2.
ered deformation-controlled. For reinforced masonry The m-factor for use in Eq. 3-20 ror those components
components governed by shear, shear actions shall be cIassified as deformation-controlled shaH be as speci­
considered deformation-controHed. Axial compression fied in Table 7-6.
on reinforced masonry wall or wall pier components For determination of m-factors from Table 7-6, the
shall be considered a force-controlled action. ratio of vertical compressive stress to expected com­
pressive strength,.t:uIf,,¡e, shall be based on gravity
7.3.4.3. J Linear Pmcedures For the linear procedures compressive force determined in accordance with the
of Section 3.3.2, component actions shall be compared load combinations given in Eqs. 3-2 and 3-3.

215
SEISMIC REHABILITATION OF EXISTING BUILDlNGS

7.3.4.3.2 Nonlinear Procedures For the NSP of The out-of-plane stiffness of walls shall be neg­
Section 3.3.3, wall and wall pier componenls shall lected in analytical models 01' the global struclural
meet the requiremenls 01' Seclion 3.4.3.2. Nonlincar system.
deformations on deformation-conlrolled components Stillness shall be based on the nel mortarcdl
shall not excced the values given in Table 7-7. grouted arca of the uncrackcd seclion, provided tha!
Variables d and e, representing nonlinear deformatíon ncl Ilexural tensile slress does not exceed thc expecled
capacities for primary and secondary components, tensile slrength, L, in accordance with Seclion 7.2.2.5.
shall be expressed in terms 01' story drift ratio percent­ StitTness shall be based on lhe cracked seclion 101'
ages as defined in Fig. 7-1. a wall where the net tlexural tensile stress excecds the
For determination of the e, d, and e values and the expected tensile strength.
acceptable drift levels using Table 7-7, the vertical Stitrnesses for existing and new rcinforccd out-of­
comprcssive stress,!"" shall be based on gravity eom­ plane walls shall be assumed lo be lhe same.
pressíve force delermined in accordance wilh the load
combinations given in Eqs. 3-2 and 3-3.
7.3.5.2 Strength
For lhe NDP of Section 3.3.4, wall and wall
Expccted tlexural strength shall bc based on
piel' eomponents shalI meet the requirements 01'
Section 3.4.3.2. Nonlinear force--detlection relations Section 7.3.4.2.1. For walls wilh an hit ratio exceed­
for deformation-conlrolled wall and walI pier compo­ ing 20, second-order momenl effects due 10 out-of­
nents shall be eslablished based on lhe information plane detleclions shall be considered.
given in Tablc 7-7, or an approved procedure based on 111e strenglh of new and existing walls shall be
comprehensive evaluatíon of the hysteretie eharaeteris­ assumed lo be lhe same.
líes 01' those components.
Aeceptable deformations for existíng and new 7.3.5.3 Acceptallce Criteria
walls shall be assumed to be the same. Oul-of plane forces on reinrorced masonry walls
shal1 be considered rorce-controlled actions. Oul-of­
C7.3.4.3.2 Nonlinear Procedures For primary eompo­ plane RM walls shall be sufticiently slrong in l1exure
nents, eollapse is eonsídered at lateral drift pereent­ to resist the out-of-plane loads prescribed in Sec­
ages exceeding values of d in Table 7-7, and the Lile tion 2.6.7.
Safety Struclural Performance Leve! is considered al Ir the NDP Ís used, the following performance cri­
approximate!y 75% of d. For secondary eomponenls, teria shall be based on the maximum out-ot:'plane
collapse is considered al lateral drift percenlages del1ection normal to the plane 01' a wall:
exceeding the values of e in the lable, and the Life
Safely (LS) Structural Performance Leve) is consid­ l. For lhe Immediate Occupancy Structural
en:d al approximately 75% 01' e. Story drifl ratio Performance Level, the out-of-plane story drift
pereentages based on these eriteria are given in ratio shall be cquallo or less Ihan 2%;
Table 7-7. 2. For lhe Life Salely Struclural Performance Level,
the out-of-plane story drift ratio shaJl be equal to 01'
less lhan 3%; and
7.3.5 Reinforced Masonry Walls Out-of-Plane
3. For lhe Collapse Prevention Structural Performance
RM walls shall be capable of resisting out-of­
Level, lhe oUl-of-plane story drift ralio shall be
plane inertial forces as isolaled componenls spanning
equal to or less than 5%.
between floor levels, and/or spanning horizontally
belwcen columns or pilasters. Walls shall not be ana­
Acceptable detormations foc exisling and new
Iyzed out-of-plane with the LSP or NSP prescribed in
walls shall be assumed to be the same.
Chapler 3, but shalJ be capable of resisling out-oí:'
plane inertial torces as given in Seclion 2.6.7, or be
capable 01' responding to earthquake motions as deler­ C7.3.5.3 Deformation Acceptance CriterÚl
mined using the NDP, while satisfying lhe detlection The limit slatcs specified in this scclion are based
criteria given in Section 7.3.5.3. on lhe masonry units having significant cracking rOl"
Immediate Occupaney (10), masonry unÍls at a poinl
7.3.5.1 StijJness 01' being dislodged and falling out of the wall 101' LS,
RM walls shall be considered local elemenls and masonry units on lhe verge of collapse for
spanning oUI-of-plane belwcen individual slory levels. Collapse Prevcntion (CP).

216
 ASCElSEI 41-06

Table 7-7. Modeling Parameters and Acceptance Criteria for Nonlinear Procedures-Reinforced
Masonry In-Plane Walls

Acceptable Dríft Ratio (%)1.3

Performance Level

Component Type

Prímary Secondary

!../!me L/he/f Pg/Yel!me e (%) d(%) e(%) 10 (%) LS (%) CP(%) LS(%) CP(%)

Wall Components Controlled by Flexure

0.00 :<;; 0.5 0.01 0.5 2.6 5.3 1.0 2.0 2.6 3.9 5.3
0.05 0.6 1.1 2.2 004 0.8 1.1 1.6 2.2
0.20 0.7 0.5 1.0 0.2 004 0.5 0.7 1.0
1.0 0.01 0.5 2.1 4.1 0.8 1.6 2.1 3.1 4.1
0.05 0.6 0.8 1.6 0.3 0.6 0.8 1.2 1.6
0.20 0.7 0.3 0.6 0.1 0.2 0.3 0.5 0.6
:;:::: 2.0 0.01 0.5 1.6 3.3 0.6 1.2 1.6 2.5 3.3
0.05 0.6 0.6 1.3 0.2 0.5 0.6 0.9 1.3
0.20 0.7 0.2 004 0.1 0.2 0.2 0.3 004
0.038 :<;; 0.5 0.01 004 1.0 2.0 004 0.8 1.0 1.5 2.0
0.05 0.5 0.7 lA 0.3 0.5 0.7 1.0 lA
0.20 0.6 004 0.9 0.2 0.3 004 0.7 0.9
1.0 0.01 004 0.8 1.5 0.3 0.6 0.8 1.1 1.5
0.05 0.5 0.5 1.0 0.2 004 0.5 0.7 1.0
0.20 0.6 0.3 0.6 0.1 0.2 0.3 004 0.6
:;:::: 2.0 0.01 004 0.6 1.2 0.2 004 0.6 0.9 1.2
0.05 0.5 004 0.7 0.1 0.3 004 0.5 0.7
0.20 0.6 0.2 004 0.1 0.1 0.2 0.3 004
0.075 :<;; 0.5 0.01 0.3 0.6 1.2 0.2 0.5 0.6 0.9 1.2
0.05 004 0.5 1.0 0.2 004 0.5 0.8 1.0
0.20 0.5 004 0.8 0.1 0.3 0.4 0.6 0.8
1.0 0.01 0.3 0.4 0.9 0.2 0.3 0.4 0.7 0.9
0.05 0.4 004 0.7 0.1 0.3 004 0.5 0.7
0.20 0.5 0.2 0.5 0.1 0.2 0.2 004 0.5
:;:::: 2.0 0.01 0.3 0.3 0.7 0.1 0.2 0.3 0.5 0.7
0.05 0.4 0.3 0.5 0.1 0.2 0.3 004 0.5
0.20 0.5 0.2 0.3 0.1 0.1 0.2 0.2 0.3

Wall Components Controlled by Shear

AH Cases2 AH Cases 2 Al! Cases 2 004 0.75 2.0 004 0.6 0.75 0.75 1.5

'InterpoJation shall be used between table val ues.

2For wall components governed by shear, the ax.ialload on the memher must be less Ihan or equal 100.15 Ag/,m, olberwise lhe component shall
be treated as force-controlled.
JPrimary and secondary component demands shall be wilhin secondary componenl acceptance crítería where lbe full backbone curve is ex.plicitly
modeled, including strength degradation and residual slrenglh in accordance with Section 3.4.3.2.

217
 SEISMIC REHABILlTATlON OF EXISTlNG BUlLDlNGS

7.4 MASONRY INFILLS 7.4.1.1 Existing Masonry Infills

Existing masonry intills eonsidered in this section
The requirements of this section shall apply to shall include all structural intills of a building system
masonry intill panel s composed of any combination that are in place prior to seismic rehabilitation. Intill
of existing panels, panel s enhanced for seismic types included in this seetion eonsist of unreinforced
rehabilitation, and new panels added to an existing and ungrouted panels, and composite or noncomposite
building for seismic rehabilitation. The procedures panels. Existing intill panel s subjected to lateral
for determination of stitl"ness, strength, and deforma­ forces applied paralJel with their plane shall be
tion of masonry intills shall be based on this section eonsidered separately from infills subjected to forces
and used with the analytical methods and acceptanee normalto their plane, as described in Sections 7.4.2
eriteria prescribed in Chapter 3, unless noted and 7.4.3.
otherwise. Existing masonry intills shall be assumed to
Masonry intill panel s shall be considered as pri­ behave the same as new masonry intills, provided that
mary elements of a lateral-foree-resisting system. For the masonry is in good or rair eondition as detined in
the Collapse Prevention Structural Performance Level, this standard.
if the analysis shows that the surrounding frame will
remain stable following the loss of an infill panel, sueh
intill panel s not meeting the aceeptance eriteria of this 7.4.1.2 New Masonry Infills
,­e section shall be permilled. New masonry intills shall include all new panel s
added to an existing lateral-toree-resisting system tor
struetural rehabilitation. Intill types shall include unre­
inforced or reinforeed, grouted, ungrouted, or partially
C7.4 ENGINEERING PROPERTIES OF grouted, and composite or noncomposite. New elements
MASONRY INFILLS shall be designed in aeeordanee with this standard and
detailed and eonstructed in accordance with a building
The design professional is reterred to FEMA 306 eode approved by the authority having jurisdietion.
(FEMA 1998), FEMA 307 (FEMA 1998), and FEMA
308 (FEMA 1998) for additional information regard­
ing the engineering properties of masonry infills. 7.4.1.3 Enhanced Masonry Infills
Enhaneed masonry intill panels shall inelude
7.4.1 Types oC Masonry Infills existing intills that are rehabilitated by an approved
Intills shall inelude panels built partially 01" fully method.
within the plane of steel or concrete frames, and
bounded by beams and columns.
Intill panel types eonsidered in this standard C7.4.1.3 Enhanced Masollry Infills
include unreinforeed elay-unit masonry, concrete Masonry infills may be rehabilitated using the
masonry, and hollow-c1ay tile masonry. Intills made methods described in rhis section. Masonry intills
of stone or glass block are not addressed in this enhaneed in aecordanee wirh this section should be
standard. analyzed using the same proeedures and performance
Intill panels considered isolated from the sur­ eriteria used for new intills.
rounding frame shall have gaps at top and sides to Unless stated otherwise, methods are applieable to
aecommodate maximum expected lateral frame detlec­ unreinforeed intills and are intended to improve per­
tions. Isolated panel s shall be restrained in the trans­ formance of masonry infills subjected to both in-plane
verse direction to ensure stability under normal forces. and out-of-plane lateral forces.
Panels in full contaet with the frame elements on all Guidelines from the following sections pertaining
four sides are termed "shear inlill panels." to enhancement methods tor reinforeed masonry walls
Frame members and conneetions surrounding listed in Section C7.3.1.3 may also apply to URM
intill panel s shall be evaluated for frame-intill interac­ inlill panels: (1) Intilled Openings, (2) Shoterete,
tion effeets. These etl"ects shall include torces trans­ (3) Coatings for URM Walls, (4) Grout Injections,
ferred from an infill panel to beams, eolumns, and (5) Repointing, and (6) Stiftening Elements. In addi­
eonneetions, and braeing of trame members across a tion, the following two enhancement methods may
partial length. apply to masonry intill panels.

218
 ASeE/SEI 41-06

C7.4.l.3.l Boundary Restraíntsfor lnfill Panels Intill r in! diagonallength of intill panel (in.);
panels not in tight COnlact with perimeter frame mem­ 'in! thickness of in1'ill panel and equivalenl
!lers should be restrained for oUI-of-plane forces. This strut (in.);
may be accomplished by installing sleel angles or (J = angle whose tangent is the inlill heighl-to­
plales on each side of the infills, and welding or length aspect ralio (radians); and
bolting the angles or plates to the perimeter trame Al = coefficient used to determine equivalenl width
members. of intill Sl.rut.
For noncomposite infill panels, only the wythes in
C7.4.l.3.2 Joints Around lnfill Panels Gaps between full contact with lhe rrame elements shall be consid­
an ¡ntill panel and the surrounding frame may be tilled ered where computing in-plane stiffness unless posi­
ir integral ¡ntill-frame action is assumed for in-plane tive anchorage capable of transmitting in-plane forces
response. trom frame members lo all masonry wythes is pro­
vided on aH sides of the walls.
7.4.2 Masonry Infills In-Plane Stiffness of cracked unreinforced masonry infill
The ca\culalion of masonry infiH in-plane stiffness panels shall be represented with equivalent struts; Ihe
and slrength based on nonIinear tinile eIement analysis strut properlies shall be determined trom analyses lha!
of a composite frame substruclure with intiII panel s consider the nonlinear behavior 01' lhe infilled frame
thal account for lhe presence of openings and post­ system al'ter the masonry is cracked.
yield cracking of masonry shall be permitted. The equivalenl compression strul analogy shall be
Alternatively, the methods of SeclÍons 7.4.2.1 and used lo represent Ihe elaslic stiffness of a perforated
7.4.2.2 shall be used. unreinforced masonry intill panel; Ihe equivalenl strul
properties shall be determined from stress analyses of
C7.4.2 Masonry Infills In-Plane íntill walls wilh represenlative opening patterns.
Finite element programs such as FEM/l may be Stiffnesses for existing and new infills shall be
useful in analyzing masonry intills with openings. assumed lo be Ihe same.

7.4.2.1 Stiffness C7.4.2.1 Stiffness

The elastic in-plane stiffness of a solid unrein­ In-piune lateral slitTness 01' an infilled frame sys­
torced masonry infill panel prior to cracking shall be tem is not lhe same as lhe sum of lhe frame and ¡nfill
represenled wilh an equivalent diagonal compression stiffnesses because 01' lhe interactíon of lhe ¡nfiU with
strut of width, a, given by Eq. 7-7. The equivalent strut lhe surrounding I'rame. Experimenls have shown that,
shall have the same thickness and modulus of elastic­ under lateral forces, lhe frame lends lo separa le from
ity as the infin panel it represents. lhe infill near windward lower and leeward upper cor­
ners 01' Ihe infill panels, causing compressive contacl
(Eq.7-7) stresses lo develop between lhe frame and lhe infill al
Ihe other diagonally opposite corners. Recognizing
where
this behavior, Ihe stíffness conlribution 01' Ihe íntill is
represented with an equivalent compressíon strut con­
necting windward upper and leeward lower corners of
the intilled trame. In such an analytical model, if lhe
Ihickness and modulus of elasticily of lhe strut are
and
assumed lo be lhe same as Ihose of the infill, the prob­
hwl column height between centerlines 01' lem is reduced lo delermining the effeclive width 01'
beams (in.); the eompression slrut. Solidly infilled frames may be
hin¡ = height of infill panel (in.); modeled wilh a single compression slrul in lhis
Efe = expected modulus of elasticity of frame fashion.
material (ksi); For global building analysis purposes, lhe com­
Eme = expected modulus of elaslicily of ¡nfill pression struts represenling ¡nli11 stiffness 01' solid
material (ksi); ¡nfill panels may be placed concentrically aeross lhe
leol moment of inertia of column, (in. 4 ); diagonal s of the frame, effeetively forming a coneen­
L¡n! = length 01' infili panel (in.); lrically braced frame syslem (Fig. C7-2). In lhis

219
SElSMIC REHABILlTATION OF EXISTING BUILDlNGS

FIGURE C7-3. Compression Strut Analogy­

Eccentric Struts.

--II!o>

~I~
FIGURE C7-2. Compression Strut Analogy­
Concentric Struts.

configuration, however, the 1'orces imposed on

columns (and beams) 01' lhe 1'rame by the ¡nfill are not
Fx --II!o>

~:~
represented. To account 1'or these effecls, compression
struts may be placed eccentrically within the frames as
shown in Fig. C7-3. If the analytical models incorpo­
rate eccenlrically localed compression struts, the
results should yield intilI etlects on columns direclly.
--II!o>
Alternalively, global analyses may be per1'ormed

~~
using concenlric-braced 1'rame models, and the ¡nfill
effects on columns (or beams) may be evaluated al a
locallevel by applying [he strut loads onto [he
columns (or beams).
Diagonally concentric equivalent struts may also
be used lo incorporale ¡ntill panel stiffnesses into ana­
Iytical models for perforated intilI panels (e.g., intllls
with window openings), provided that the equivalent
stiffness 01' [he inl1n is determined using appropriate
FIGURE C7-4. Compression Strut Analogy­
Perforated Infllls.
analysis methods (e.g., tinite element analysis) in a
consistent fashion with lhe global analytical model.
Analysis of local effects, however, muSl consider vari­
ous possible stress tields that can potentially develop able guidelines; the use of this approach requires judg­
within the intill. A possible representation of these ment on a case-by-case basis.
stress fields with multiple compression struts, as
shown in Fig. C7-4, have been proposed by 7.4.2.2 Slrenglh
Hamburger (1993). Theoretical work and experimental The transfer of story shear across a masonry infill
data for determining multiple strut placement and strul panel confined within a concrete or steel trame shaIl
properties, however, are not sufficient 10 establish reli- be considered a deformation-controlled action.

220
 ASCE/SEI41-06

ExpectOO in-plane panel shear strength shall be deter­ The reduced column length, CjJ' in Eq. 7-9 shall
mined in accordance wíth the requirements of this be equal to the cIear height of opening for a captive
section. column bracOO laterally with a partial height infill.
Expected infill shear strength, Vioe' shall be caleu­ The requirements of this section shall be waived
lated in accordance with Eq. 7-8: il' the lower-bound masonry shear strength, VmU as
measured in accordance with test procOOures ol'
(Eq.7-8) Section 7.2.2.6, is less than 20 psi.
where
7.4.2.3.2 Required Strength o/ Ream Members
Aoí area of net mOrLared/grouted section across intill
Adjacent 10 Jnfill Panels The expected flexural and
panel; and
shear strengths ol' beam members adjacent to an inlill
j;'i< = expectOO shear strength of masonry infill.
panel shall exceed forces resulting l'rom one of the t'ol­
lowing conditions:
Expected shear slrenglh of existing intills,f"ie'
shall not exceed lhe expectOO masonry bed-joinl shear l. The application of the vertical component of the
strenglh, Vme' as determined in accordance with expectOO infill strut force at a distance, l¡,eff, from
Section 7.2.2.6. the top oc bottom ol' the infill panel, where l/Jeff shall
Shear strength 01' new intill panels,f.'ie' shall not be as definOO by Eq. 7-11:
exceOO values specified in an approvOO building code
for zero vertical compressive stress. l=_a_ (Eq.7-11)
/Je{/ sin Ob
For noncomposíte intill panels, only lhe wythes in
l'ull contact with the l'rame elemenls shall be consid­ where tan Ob shall be as detined by Eq. 7-12:
erOO where computing in-plane strength, unless posi­
tive anchorage capable 01' transmitting in-plane t'orces (Eq.7-12)
1'rom l'rame members to all masonry wythes is pro­ a
L in! - . O
vided on all sides ol' the walls. sm b

2. The shear force resulting from development of

expected beam flexural strengths at the ends of a
7.4.2.3 Acceptance Criteria
beam member with a rOOuced length equal lo l/Jeff'
7.4.2.3. J Required Strength o/ Column Members The requirements of this section shall be waived if
Adjacent 10 Jnfill Panels The expected tlexural and the expecled masonry shear strength, V'M' as measurOO
shear strenglhs oí' column members adjacent to an using the test procedures of Section 7.2.2.6, is less
¡ntill panel shall exceed the t'orces resuIting from one than 50 psi.
of lhe following condilÍons:
l. The application oí' the horizontal componenl ol' lhe 7.4.2.3.3 Linear Pmcedures Actions on masonry
expected intm stmt force al a distance (~tJ from the infills shall be considered deformation-conlrolJed. For
top 01' bottom ol' the inlilI panel, where Ca shall be the linear procedures ol' Section 3.3.1, component
as detined by Eq. 7-9: actions shall be compared with capacities in aCCOf­
dance with Section 3.4.2.2. m-factors t'or use in
a Eq. 3-20 shall be as specified in Table 7-8. For an
(eff= --0- (Eq.7-9)
COS e intill panel, QE shall be the horizontal component
of lhe unrOOuced axial t'orce in the equivalent strut
where tan Oc shall be as detined by Eq. 7- \O: member
For determinalion of m-factors in accordance with
Table 7-8, the ratio of frame to intill strengths, {3, shall
tan 0, (Eq,7-\O) be determined considering the expecled lateral
strength of each component.
2. The shear force resulting from developmenl of
expecled column tlexural slrenglhs al the LOp and 7.4.2.3.4 Nonlinear Pmcedures For Ihe NSP given in
boltom ol' a column wilh a reduced heíghl equal Section 3.3.3, ¡ntlll panels shall meel the requiremenls
lo lecff' of Section 3.4.3.2. Nonlinear lateral drifts shall nol

221
SEISMIC REHABILlTATION OF EXISTING BUILOINGS

Table 7-8. Linear Static Procedure-m-Factors for Acceplable deformations for exisling and new
Masonry In611 Panels l intills shall be assumed lo be lhe same.

m-Factors C7.4.2.3 Accepta"ce Criteria

V¡;p Figure C7-5 and Figure C7-6 iIluslrale how lhe
f3 10 LS CP
\{,I<' h¡'if componenls of lhe infill slrut force should be applied
f3 < 0.7 0.5 1.0 4.0 n.a. lO columns and beams, respeclively.
1.0 1.0 3.5 n.a.
2.0 1.0 3.0 n.a. C7.4.2.3.4 Nonlinear Procedures The Immediale
0.7 5': f3 < 1.3 0.5 1.5 6.0 n.a. Occupancy Slruclural Performance Level is assumed
1.0 1.2 5.2 n.a. lo be reached when significant visual cracking uf an
2.0 1.0 4.5 n.a. unreinforced masonry intill occurs. The Life Safety
f3 ~ 1.3 0.5 1.5 8.0 n.a. Slruclural Performance Level is assumeo 10 be reacheo
1.0 1.2 7.0 n.a. when subslantial cracking 01' Ihe masonry inlill occurs
2.0 1.0 6.0 n.a.
and Ihe pOlential is high 1'or lhe panel, or some ponion
'Interpolation shall be used between table values. 01' it, 10 drop out 01' lhe frame.

exceed lhe values given in Table 7-9. The variable d, 7.4.3 Masonry Infills Out-of-Plane
represenling nonlinear deformalion capacities, shall be Unreinforced intill panel s wilh hi,,;ltill! ralios less
expressed in lerms of slory drí1'l ralio in percenl as lhan Ihose given in Table 7-10, and meeting lhe require­
detined in Fig. 7-1. menls 1'or arching action given in Ihe following section,
For determination 01' acceplable drift levels using need not be analyzed 1'or out-of-plane seismic forces.
Table 7-9, lhe ratio 01' frame 10 intill slrenglhs, b, shall
be delermined considering lhe expecled laleral 7.4.3.1 Stifflless
slrenglh nf each component. InfiJl panels shall be considered local elemenLs
For lhe NDP given in Seclion 3.3.4, intill panel s spanning oUI-of-plane verlically belween tloor levcls
shall meet the requirements of Section 3.4.3.2. or horizontally across bays 01' frames.
Nonlincar force-detleclion relalions for intill panels The oUI-of-plane sLitfncss 01' intill panels shall be
shal1 be established based on lhe information given in neglecled in analytÍcal models 01' lhe global slruclural
Table 7-9 or an approved procedure based on a com­ syslem in lhe orLhogonal direclion.
prehensive evalualion 01' lhe hyslerelic characlerislics Flexural stiffness for uncracked masonry infills
of [hose componenls. subjecled LO transverse forces shall be based on lhe

Table 7-9. Nonlinear Static Procedure-Simpli6ed Force-Deflection

Relations for Masonry Infill Panels 1

Acceptance Criteria2

f3 e ('lo) d('lo) e ('lo) LS (%) CP('lo)

f3 < 0.7 0.5 n.a. 0.5 n.a. 0.4 n.a.

1.0 n.a. 0.4 n.a. 0.3 n.a.
2.0 n.a. 0.3 n.a. 0.2 n.a.
0.7 f3 < 1.3 0.5 n.a. 1.0 n.a. 0.8 n.a.
1.0 n.a. 0.8 n.a. 0.6 n.a.
2.0 n.a. 0.6 n.a. 0.4 n.a.
f3 1.3 0.5 n.a. 1.5 n.a. 1.1 n.a.
1.0 n.a. 1.2 n.a. 0.9 n.a.
2.0 n.a. 0.9 n.a. 0.7 n.a.

'Interpolatioll shall be used betweell table values.

2Primary and secondary component demands shall be within secondary component acceptance criteria
where rhe full backbone curve is explicitly modeled, including strength degradarlon and residual
strength in accordance with Section 3.4.3.2.

222
 ASCFlSEI 41-06

FIGURE C7·5. Estimating Forces Applied to Columns.

FIGURE C7-6. Estimating Forces Applied to Beams.

mínimum nel sections of morlared and grouted 3. The frame componenls have sufticienl strength lo
masonry. Flexural stitlness for unreintorced, cracked resisl Ihrusts trom arching of an intill panel; and
infills subjecled 10 Iransverse forces shall be assumed 4. The hin¡/tinf ratio is less than or equal lo 25.
lo be equal lO zero unless arching action is considered.
Ir arching aclion is considered, mid-heighl deflec­
Arching aClion shall be considered only if all of
lion nonual lo Ihe plane of an infill panel, !línf' divided
the following conditions exist.
by the infill heighl, hinf , shall be determined in accor­
dance with Eq. 7-13:
1. The panel is in fuI! contact with the surrounding
frame components;
2. The product of the elastic modulus, Efe' times the ~_
O.OO2(~)
t mL (Eq.7-13)
moment of inertia, JI' of Ihe most flexible trame
component exceeds a value of 3.6 X 109 Ib-in. 2; h
inf
1+ V1 I _ O.OO2(~)2
t in!
223
SEISMIC REHABILITATION OF EXISTING BUILDINGS

Table 7-10. Maximum hin!ltin! Ratios 1 If the NDP is used, Ihe following performance cri­
tería shall be based on the maximum oUI-of-plane
Moderate detlection normal lo the plane 01' the wall:
Low Seismic Seismic High Seismic 1. For the Immediate Occupancy Structural
Zone Zone Zone
Performance Level, the out-of-plane story drift
10 14 13 8 ratio of a panel shalJ be equal to or less than 2%;
LS 15 14 9 2. For the Lite Safety Structural Performance Level,
CP 16 15 10 the out-of-plane story drift ratio of a panel shall be
equal to or less ¡han 3%; and
'Out-of-plane anulysis shall nOl be required ror infills with h ú,¡/ t"!r
ratios less than lhe values Iisred herein. 3. For the Collapse PrevenlÍon Structural Performance
Level, the out-of-plane story drift ratio of a panel
shall be equal to 01' less than 5%.
For infill panel s not meeting the requiremenls for lf the surrounding frame is shown to remain stable
arching action, deflections shall be determined in following the loss of an intill panel, infill panels shall
accordance with Ihe procedures given in SecLÍons 7.3.3 not be subject to Iimits for the Collapse Prevention
or 7.3.5. Structural Performance Level.
Stiffnesses for existing and new infills shall be Acceptable deformations 01' existing and new
assumed to be the same. walls shall be assumed to be Ihe same.

7.4.3.2 Strength
Where arching action is not considered, the lower­ C7.4.3.3 Acceptance Critería
bound strength of a URM intill panels shall be limíled The Immediate Occupancy Structural
by the lower-bound masonry tlexural tension strength, Performance Level is assumed lo be reached when sig­
/:" which shall be taken as 0.7 times the expecled len­ niticanl visual cracking 01' an unreinforced masonry
sile slrength,/,., as determined in accordance with infill occurs. The Lite Safcty Struclural Performance
Section 7.2.2.5. Level is assumed lo be reached when subslanlial dam­
If arching action is considered, Ihe lower-bound age of the URM infilI occurs and Ihe potential is high
out-of-plane strength of an intill panel in Ib/1V, qin> for the panel, or sorne portion 01' il, to drop out 01' the
shall be determined using Eq. 7-14: 1'rame.

Qc¿ = 0.7/:A 2 144 (Eq. 7-14)

q in (!!iEI) X 7.5 ANCHORAGE TO MASONRY WALLS
t in!
7.5.1 Types oC Anchors
where Anchors considered in Section 7.5.2 shall include
/: = lower-bound 01' masonry compressive strength pIate anchors, headed anchor bolts, and bent bar
determined in accordance with Section 7.2.2.3; anchor bolts embedded into c1ay-unit and concrete
and masonry. Anchors in hollow-unit masonry shall be
A2 slenderness parameler as defined in Table 7-11. embedded in grout.
Pullout and shear strength 01' expansion anchors
7.4.3.3 Acceptance Criteria shall be veritied by approved test procedures.
Infill panels loaded out-of-plane shall not be ana­
Iyzed with Ihe LSP or NSP prescribed in Chapter 3. 7.5.2 Analysis oC Anchors
The lower-bound transverse strength of URM Anchors embedded into existing or new masonry
intill panels shall exceed normal pressures as pre­ waJls shall be considered force-controlled components.
scribed in Section 2.6.7. Lower-bound values for strengths 01' embedded
anchors with respect to pullout, shear, and combina­
Table 7-11. Values o( 12 (or Use in Eq. 7-211 lions of pullout and shear. shalI be as specified in an
approved building eode using load and resislance fac­
tor design (LRFD) design procedures taking q; = 1.0.
5 10 15 25
The minimum eftective embedment length or edge
0.129 0.060 0.034 0.013
distance foÍ' considerations of pullout and shear strength
'Imerpolation shall be used. 01' embedded anchors shall be as speci1'ied in the build­

224
 ASeE/SEl 41-06

ing codeo Shear strenglh of anchors with edge dis­ C7.6.3 Rehabilitation Measures
tances equal to or les s than l in. shall be taken as zero. Possible rehabilitation methods inelude:
l. Injection grouting of stone foundations;
C7.5.2 Analysis of Anchors 2. Reinforcing of URM foundations;
Anchors in masonry may be analyzed in accor­ 3. Prestressing of masonry foundations;
dance with FEMA 450 (FEMA 2004). 4. Enlargement of footings by placement of reinforced
shotcrete; and
5. Enlargement of footings with additional reinforced
7.6 MASONRY FOUNDATION ELEMENTS concrete sections.

7.6.1 Types of Masonry Foundations Procedures for rehabilitation should follow provi­
Masonry foundations shall be rehabilítated in sions for enhancement of masonry walls where appli­
accordance with this seclion. cable, according to Section 7.3.1.3.

C7.6.1 Types of Masonry Foundations

Masonry foundations are common in older build­
8.0 WOOD AND LIGHT METAL FRAMING
ings and are stiJI used for sorne modern construction.
Such foundations may inelude footings and foundation
8.1 SCOPE
walls constructed of stone, e1ay brick, or concrete
block. Generally, masonry footings are unreinforced;
This chapter sets forth requirements for the Systematic
foundation walls may or may not be reinforced.
Rehabilitation of wood and light metal frame compo­
Spread footings Iransmil vertical column and wall
nents of the lateral-force-resisting system of an exist­
loads to the soil by direct bearing. Lateral forces are
ing building. The requirements of Ihis chapter shall
transferred through friction between Ihe soil and the
apply to existing wood and líghl melal frame compo­
masonry, as well as by passive pressure of the soil acl­
nents of a building system, rehabilitated wood and
ing on Ihe vertical face of the footing.
light metal frame componenls of a building system,
and new wood and Iighl metal trame components Ihat
7.6.2 Analysis of Existing Foundations are added lo an existing building system.
The deformability of Ihe masonry footings and Ihe Section 8.2 specifies data collection procedures
flexibility of the soil under them shall be considered in for obtaining material properties and performing con­
the lateral force analysis of the building system. The dition assessments. SectÍon 8.3 specifies general
strenglh and stitTness of the soil shall be determined in assumptions and requirements. Sections 8.4 and 8.5
accordance with the requirements of Section 4.4. provide modeling procedures, component strengths,
Masonry footings shall be considered force­ acceptance criteria, and rehabilitation measures for
controlJed components. Masonry footings shall be wood and light metal frame shear walls and wood
modeled as elastic components with no inelastic defor­ diaphragms. Seclion 8.6 specifies requirements for
mation capacity, unless verilication tests are done in wood foundations. Seclion 8.7 specitles requirements
accordance with Section 2.8 to prove otherwise. for other wood components ineluding, but not limiled
Masonry retaíning walls shall be evaluated to to, knee-braced frames, rod-braced frames, and braced
resist sta tic and seismic soil pressures in accordance horizontal diaphragms.
with Section 4.5. Stiffness, strength, and acceptability
criteria for masonry retaining walls shall be the same
as that for other masonry walls subjected to out-of­ C8.1 SCOPE
plane loadings, as specified in Sections 7.3.3 and
7.3.5. The Linear Static Procedure (LSP) presented in
Chapter 3 is most oflen used for the systematic analy­
7.6.3 Rehabilitation Measures sis of wood frame buildings; however, properties of
Masonry foundation elements shall be rehabili­ the idealízed inelastic performance of various compo­
tated in accordance with Section 6.13.4 or by another nents and connections are included so Ihat nonlinear
approved method. New elements shall be designed in procedures can be used if desired.
accordance with this standard and detaíJed and con­ The evaluation and assessment of various slruc­
structed in accordance with a building code approved tural components of wood frame buíldings is found
by the authority having jurisdiction. in Section 8.2. For a description and discussion of

225
SEISMIC REHABILlTATION OF EXlSTING BUILDINGS

conneclions between Ihe various componenls and ele­ future behavior of wood components in Ihe building
menls, see Section 8.2.2.2.2. Properties 01' shear walls system.
are described in Seclion 8.4, along with various reha­ Quantification 01' in-place material properlies and
bilitation or strengthening methods. Horizontal tlaor verification 01' existing system configuration and con­
and roof diaphragms are discussed in Seclion 8.5, dition are necessary lo properly analyze lhe building.
which also covers engineering properties and methods The focus of lhis erforl shall be given lo the primary
of upgrading or strengthening the elements. Wood components of vertical- and laleral-force-resisling sys­
foundations and pole struclures are addressed in lems. Thesc primary eomponents may be identified
Section 8.6. For addilional informalion regarding Ihrough initia) analysis and application 01' loads lo the
foundations, see Chapter 4. building model.
The extent 01' in-place materials tesling and eondi­
tion assessment thal mus! be accomplished is reJated
8.2 MATERIAL PROPERTIES AND CONDITION to availability and accuracy ol' construclion documents
ASSESSMENT and as-built records, the quality of malerials used and
construction performed, and physical condilion. A spe­
8.2.1 General cHie problem wilh wood construction is that structural
Mechanical properties for wood and light metal wood components are orten covered with other com­
framing materials, components, and assemblies shall ponents, malerials, or linishes; in addition, Ihcir
be based on available conslruction documents and as­ behavior is influenced by past loading history.
built conditions fOI" the panicular structure. Where Knowledge of lhe propenies and grades of malerial
such information fails lO provide adequate information used in original component/conneclion fabrication is
10 quantify material propenies, capacities of assem­ invaluable, and may be effectively used lo reduce the
blies, or condition of Ihe structure, such information amounl ol' in-place lesting required. The design pro­
shall be supplemenled by materials tests, mock-up fessional is encouraged 10 research and acquire all
tests of assemblies, and assessments of existing condi­ available record s l'rom the original construClion,
tions as required in Section 2.2.6. including design calculations.
Material properties 01' existing wood and light Connection eonfiguration also has a very impor­
melal framing componenls and assemblies shall be lant influence on response lo applied load s and
determined in accordance with Section 8.2.2. A condi­ mOlions. A large number ol' connector types exist, the
tion assessmenl shall be conducted in accordance with mosl prevalent being nails and through bolts.
Seclion 8.2.3. The extent of malerials testing and con­ However, more recent conSlrUClion has included metal
dition assessment performed shall be used to deter­ straps and hangers, clip angles, and truss plates. An
mine the knowledge factor, K, as speeitied in underslanding of conneclor contiguration and mechan­
Section 8.2.4. ical properties must be gained to properly analyze the
Use of defauil material properties shall be permit­ anlicipaled performance of Ihe building.
ted in aecordance with Section 8.2.2.5. Use of material Wood l'rame conslruclion has evolved over Ihe
properties based on historieal information for use as years; wood is the primary building malerial of most
default values shalI be as specitled in Section 8.2.2.5. residential and small commercial slruclures in the
Olher approved values of material properties shall be United States. It has often been used for Ihe framing
permitted ir based on available historical information 01' roors and tloors, and in combination with other
for a panicular type 01' wood frame construction, pre­ materials.
vailing codes, and assessment 01' existing eondilion. ESlablishing the age and recognizing Ihe localion
of a building can be helpful in dClermining what types
C8.2.1 General of lateral-I'orce-resisting systems may be present.
Various grades and speeies of wood have been As indicated in Chapter 1, greal care should be
used in a cut dimension form, eombined with other exercised in selecting the appropriate rehabilitalion
structural material s (e.g., steel/wood components), or approaches and techniques for application lo
in multiple layers of eonstruction (e.g., glue-Iaminated historie buildings in order lo preserve thdr unique
wood eomponents). Wood malerials have also been characteristics.
manufactured into hardboard, plywood, and particle­ Based on the approximale age 01' a building, vari­
board products, which may have structural or non­ ous assumptions can be made about the design and
structural functions in construction. The condition of features 01' construction. Older wood frame slructures
the in-place wood materials will greatly influence the that predate building codes and standards usually do
 ASeE/SEI 4'·06

nol have the types of elemenls considered essential for framing. This occurs on both balloon-framed and
prediclable seismic performance. These e1ements will plalform-framed buildings. There may be an exlra
generally have lo be added, or the existing elemenlS demand on these cripple walls because most interior
upgraded by the addilion of lateral-Ioad-resisting com­ partition walls do not continue to lhe foundation.
ponents to the existing slruclure in order lo obtain pre­ Special attention is required in these situations.
diclable performance. Adequale bracing musl be provided for cripple walls as
If lhe age of a building is known, lhe code in well as the allachmenl of the síll plate lo Ihe foundation.
effect al lhe time of conslruction and Ihe general qual­ In more recen! times, Iight gage melal studs and
ily of Ihe conslruclion usual for lhe lime can be help­ joists have been used in Iieu of wood framing for some
fui in evaluating an exislÍng building. The level of structures. Lateral·load resistance is either provided by
maintenance of a building may be a useful guide in melal straps auached lo the studs and 10p and bouom
determining the structure's capacity to resist loads. Iracks, or by slruclural panels auached with sheet
Users should be aware thal material slrenglhs pre­ metal screws 10 the studs and the top and bouom track
senled in hislorical information are typically in allow­ in a manner similar 10 that of wood conslruction. The
able stress formal. Users should convert allowable metal studs and joisls vary in size, gage, and configu­
stress values 10 expected slrength values in accordance ralion, depending on the manufacturer and the loading
with ASTM D-5457 (ASTM 1998). conditions.
The earliest wood rrame buildings in the UniLed Por systerns using structural panels for bmcing,
States were buill wíth post and beam or feame con­ see Section 8.4 for analysis and acceptance criteria.
struclion adopted from Europe and the British Isles. Por the all-metal syslerns using steel strap braces, see
This was followed by the development of balloon Chapter 5 for guidance.
framing in about 1830 in Ihe Midwest, which spread
lo the East Coast by (he 1860s. This, in turn, was 1'01­ 8.2.2 Properties oC In-Place Materials and
lowed by lhe development of weslern or platform Components
framing shorlly after the turn 01' the century. Platform
framing is lhe system currently in use for multistory 8.2.2.1 Material Properties
conslruction.
Drywall or wallboard was tirsl introduced in 8.2.2.1.1 General The species and grade 01' wood shall
about 1920; however, ils use was nol widespread until be eSlablished by one of the following methods:
afler World War I1, when gypsum lath (bunon board)
l. Construction documents shall be revíewed;
also carne into eXlensive use as a rcplacement for
2. An inspection shall be conducted to identify grade
wood lalh.
by viewing grade stamps or comparing grading
Wilh lhe exception of public schools in high seis­
rules; or
mic areas, modern wood feame slruclures detailed lo
3. Samples shall be examined by an experienced
resist seismic Joads were generally nol buill prior lo
wood pathologist lo establish the species.
1934. Por most wood frame struclUres, eilher general
seismic provisions were not provided or Ihe codes that Where materials tesling Is required by Section
included them were nol enforced unlillhe mid-1950s 2.2.6, grading shall be performed using the ASTM
or laler, even in Ihe mosl active seismic areas. This D245-oo (ASTM 2000) gmding methodology or an
time trame varies somewhal depending on local condi­ approved grading handbook for the assumed wood
lions and praclice. specíes and applicalion. Samples shall be laken from
Buíldings conslructed afler 1970 in high seismic regions where lhe calculaled stress due lo applied loads
areas usually inc1uded a well-defined lateral-force­ are less than the capacíty of the member with the sample
resisting system as a part of Ihe designo However, sile removed and tesled in accordance wilh SeclÍon 8.2.2.3.
inspet:tions and code enforcement varied greatly. Thus, Use of default properties for wood and Iight melal
the inclusion of various features and details on the frame shear walls, wood diaphragms, components, and
plans does nol necessarily mean thalthey are in place conneclors shall be permitted in accordance with
or fully effective. Veriticalion is needed lo ensure lhat Section 8.2.2.5. Por materials comprising individual
good conslruction practices were followed. components, Ihe use of default properties shall be per­
Until aboul 1950, wood residenlial buildings were mitted where the species and grade 01' wood have been
frequently constructed on eaised foundations and in delermined. Use 01' default properlies for connectors
some cases included a short slud wall, called a "crip­ shall be permitted where lhe species of Ihe connected
pie wall," belween the foundation and lhe tirsl noor members has been determined.

227
 SEISMIC REHABlLlTATION OF EXISTING BUILDlNGS

8.2.2.1.2 Nominal or Specífied Properties Use 01' notching, holes, splits, and cracks. The presence oí"
nominal material properties or properties specitied in decay or deformation should be nOled.
construction documents to compute expccted and These primary component properties are needed
lower-bound material properties shall be permitted in to properly characterize building performance in the
accordance with Section 8.2.2.5. seismic analysis. The starting poinl 1'or establishing
componenl properties should be the avaílable con­
C8.2.2.J.2 Nominal orSpecífied Properties Actions slruclion documents. Preliminary review 01' these
associated with wood and light metal framing compo­ documents shall be pcrformed to identify verlical­
nents generally are de1"ormalion-controlled; thus, (gravity-) and laleral-force-rcsisting elemenlS and sys­
cxpected strenglh material properties will be used tems, and their critical components and conneclions.
most often. Lower-bound values will be used with Site inspcclions should be conducted to verify condi­
components supporting discontinuous shear walls, tions and lO assure that remodelíng has not changed
bodíes 01' conneclions, and axial compression of indi­ the original design concept. In Ihe abscncc of a com­
vidualtimber frame components, which are force­ plete sel 01" building drawings, the design professional
controlled. Malerial properties listed in this chapter must thoroughly inspect lhe building to identify these
are expected strength values. If lower-bound material elements, systems, and components as indicated in
propertíes are needed, they should be taken as mean Seclion 8.2.3. Where reJiable record drawings do nol
minus one standard deviation vaJues, or adjusted from exist, an as-buílt set of plans ror lhe building must
expected strength values in accordance with be crealed.
Section 8.2.2.5.
8.2.2.2.2 COllllections Details 01' lhe folIowing connec­
,.
=: 8.2.2.2 Compollelll Properties tions shall be determined or veritied in accordance
with Section 8.2.3:
8.2.2.2.1 Elements The following component proper­
l. Connections between horizontal diaphragms and
lies shall be determined in accordance wilh
vertical clemenlS of the scismic-1'orce-resisting
Section 8.2.3:
systcm;
l. Cross-sectional shapc and physical dimensions of 2. Size and charaCler of all diaphragm lies, including
the primary componenls and overall contiguration splice connections;
of the structure, including any modifications subse­ 3. Connections at splices in chord mcmbers 01" hori­
quent to original constructÍon; zontal diaphragms;
2. Conliguration of elements, size and thickness 01' 4. Connections 01" horizontal diaphragms lo exterior or
connccted materials, lumber grade, nail size and interior concrete or masonry walls ror both in-plane
spacing, connections, and contínuity of load path; and out-of-plane loads;
3. Location and dimension of seismic-force-resistíng 5. Connections 01' eross-tie membcrs for concrete oc
elcmenls, type, materials, and spacing of tie-downs masonry buildings;
and boundary components; and 6. Connections of shear walls to foundations rOl' trans­
4. Current physical condilÍon of components and fer of shear and overlurning forces; and
extent of any dcterioration present. 7. Method of lhrough-tloor transfer of wall shear and
overlurning forces in multistory buildings.
C8. 2. 2. 2. 1 Elements Structural elements of the lateral­
force-resisting system are composed of primary and C8.2.2.2.2 Connections The melhod 01' con neclÍ ng the
secondary components, which colleclively define ele­ various components of the struclural system is critical
ment strength and resistance to deformation. Behavior lo its performance. The type and character 01' the con­
01' the components-including shear walls, beams, nections must be determined by a rcvicw 01' the plans
diaphragms, columns, and braces-is dictated by and a field veriticalion of the condilions.
physical properlies such as area; malerial grade; thick­
ness, depth, and slenderness ralios; lateral torsional 8.2.2.3 Test MetllOds lo Quantify Material Properties
buckling resistance; and conneclion details. The stitTness and strenglh 01' wood and Jight metal
The actual physical dimensions should be meas­ framing eomponents and assemblies shall be estab­
ured; for example, 2-in. X 4-in. stud dimensions are lished lhrough in situ tcsLing or mock-up tcsLing of
generally 1~ in. X 3~ in. Connected members inelude assemblies in accordanee with Section 2.8, unless
plywood, bracing, slitl"eners, chords, sills, slruts, and defalllt values are used in accordancc with Sec­
lie-down posts. Modilications to members inelude lion 8.2.2.5. The nllmber of tests requíred shall be

228
 ASCE/SEI41-06

based on Section 8.2.2.4. Expected material properties every 100,000 sf of floor area, shalI be randomly
shalI be based on mean values of tests. Lower-bound veritíed by observation for compliance with the
material properties shall be based on mean values of design drawings; and
tests minus one standard deviation. 2. If design drawings are incomplete or not available,
at least lwo locations for each story, or 100,000 sf
C8.2.2.3 Test Methods /0 Quantify Material of tloor area, shalJ be randomly verified by obser­
Properties vation or O[herwise documented.
To obtain the desired in-place mechanical proper­
ties of material s and components, including expected 8.2.2.4.2 Comprehensive Testing The minimum num­
strength, it is often necessary to use proven destructive ber 01' tests necessary to quanti1'y expected strength
and nondestructive testing methods. properties 1'or comprehensive data collection shall be
01' greatest interest to wood building system per­ defined in accordance with the following requirements:
formance are the expected orthotropic strengths 01' the
1. If original construction documents exist that define
installed material s for anticipated actions (e.g., flex­
the grade of wood and mechanical properties, at
ure). Past research and accumulation of data by indus­
least one location for each story shall be randomly
try groups have led to published mechanical properties
verified by observing grade stamps, or by compli­
for most wood types and sizes (e.g., dimensional
ance with grading rules for each component type
solíd-sawn lumber, and glue-laminated or "glulam"
identified as having a different material grade;
beams). Section 8.2.2.5 addresses these established
2. If original construction documents defining proper­
defauIt strengths and distortion properties. This infor­
ties are nol complete or do not exisl but lhe date of
mation may be used, together with tests from recov­
construction is known and single material use is
ered samples or observation, to establish the expected
confirmed, at leasl three locations shall be ran­
properties for use in component strength and deforma­
domly verified-by sampling and testing or by
tion analyses. Where possible, the load history for the
observing grade stamps and condilions-for each
building shall be assessed for possible influence on
component type, 1'or every two tloors in !he building;
component strength and deformatíon properties.
3. If no knowledge 01' the struclural system and mate­
To quantify material properties and analyze the
rials USed exists, al least six locations shall be ran­
performance of archaic wood construction, shear
domly verified-by sampling and lesting or by
walls, and diaphragm action, more extensive sampling
observing grade stamps and conditions-for each
and testing may be necessary. This testing should
element and componen! type, 1'or every two floors
inelude further evaluation of load history and moisture
or 200,000 sf of floor area 01' construction. If il is
effecls on properties, and an examination of wall and
determíned 1'rom testíng or observation Ihal more
diaphragm continuity, and the suitability of in-place
than one material grade exists, additional observa­
connectors.
lions and testing shall be conducled until the extent
Where it is desired to use an existing assembly
of use 1'or each grade in component 1'abrication has
and liule or no information about its performance is
been established;
available, a cyclic load test of a mock-up of the exist­
4. In the absence 01' construction records defining
ing structural elements can be used to determine the
connector 1'eatures present, Ihe configuration of at
performance 01' various assemblies, connections, and
least three connectoes shall be documented for
load transfer conditions. See Section 2.8 foe an expla­
every floor or 100,000 s1' of tloor area in the build­
nadon 01' the backbone curve and the establishment of
ing; and
alternative modeling parameters.
5. A full-scale mock-up test shalI be conducted 1'or
archaic assemblies; at least two cycIic tests 01' each
8.2.2.4 Minimum Number 01 Tests
assembly shall be conducted. A third test shaU be
conducted if the results 01' the two tesIs vary by
8.2.2.4.1 Usual Testing The mínimum number 01' tests
more Ihan 20%.
to quantify expected strength material properties tor
usual data collection shall be based on the following
C8.2.2.4 Mínimum Number 01 Tests
criteria:
In order to quantify expected strength and other
l. If design drawings containing material property and in-place properties accurately, a minimum number of
detailing information for the seismic-force-resisting tests must be conducled on representatíve components.
system are available, at least one elemenl of the The mínimum number 01' tests is dictated by available
seismic-force-resisting system for each story, or for data from original construction, the type of struclural

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 SEISMIC REHABILITATION OF EXISTING BUILDlNGS

system employed, desired accuracy, and quality/condi­ Default expected strength values for wood materí­
tion 01' in-place materials. Visual access to the struc­ als comprísing individual components shall be based
tural system also influences testing program definition. on design resistance values associated with the
As an ahernative, the design professional may elect to AF&PAlASCE 16 Standardfor Load and Resistance
use the default strength propenies in accordance with Factor Design (LRFD)for Engineered Wood
Seclion 8.2.2.5. However, using defaulL values without Construction (ASCE 1996) as determined in accor­
testing is only permitted with the linear analysis proce­ daoce with ASTM D5457-93 (ASTM 1998). AII
dures. It is strongly encouraged that the expected adjustmeot factors, ioeluding the time-etfect factor,
strengths be derived through testing of assemblies in that are applicable io accordaoce with ASCE 16 shall
order to model behavior accurately. be considered. The resistance faclOr, 4>, shalJ be taken
Removal of coverings, ineluding stucco, fireproof­ as unity. If components are damaged, reductions in
ing, and partition malerials, is generally required lO capacity aod stiffness shall be applied, considering lhe
facilitate sampling and observalions. position and size 01' the ineffective cross section.
Component types include solid-sawn lumber, glu­ Default expected strength values for connectors
lam beam, and plywood diaphragm. Element types shall be based 00 design resistance values associated
inelude [hose that are part of gravity- and lateral-load­ with ASCE 16 as determined in accordaoce with
resisting systems. The observations shall consist 01' ASTM D5457-93. AII adjustment factors, ineluding
each connector type present in the building (e.g., nails, the time-ef1'ect factor, that are applicable io accordance
•.. bolts, slraps), such lhat the composite strenglh of the with ASCE 16 shall be considered. The resislance fac­

•...
E
connection can be estimated . tor, 4>, shall be taken as uoity.
Alternatively, expected strength values shall be
permiued to be directly computed from allowable
8.2.2.5 De/outt Properties
!) stress values Iisted in an approved code using the
Use of default properties to delermine component
method contained in ASTM D5457-93.
strengths shall be permitted in conjunction with the
Default deformations al yield of conneclors shall
linear analysis procedures of Chapter 3.
be taken as:
Default expected strength and stiffness values for
wood and light metal frame shear wall assemblies l. 0.03 in. for wood-to-wood and 0.02 in. for wood­
shall be takeo from Table 8-1. Default expected to-metal oailed connectioos;
strength and stiffoess values for wood diaphragm 2. 0.04 io. for wood-to-wood and 0.03 in. for wood­
assemblies shall be taken from Table 8-2 to-steel screw coonections;

Table 8-1. Default Expected Streugth Values for Wood aud Light Frame Shear Walls

Propelty
Shear Stiffness (Gd) Expected Strength (Qn)
Shear Wall Typel (lb/in.) (plt)
Single Layer Horizontal Lumber Shealhing or Siding 2.000 80
Single Layer Diagonal Lumber Shealhing 8,000 700
Double Layer Diagonal Lumber Sheathing 18.000 1,300
Vertical Wood Siding 1,000 70
Wood Siding over Horizontal Shealhing 4,000 500
Wood Siding over Diagonal Sheathing 11,000 1,100
Wood Struclural Panel Sheathing2
Stucco on Sluds, Sheathing, 01' Fiberboard 14,000 350
Gypsum PI aster on Wood Lath 8,000 400
Gypsum Plaster on Gypsum Lalh 10,000 80
Gypsum Wallboard 8,000 100
Gypsum Sheathing 8,000 lOO
PIaster on Metal Lath 12,000 150
Horizontal Lumber Sheathing wÍth Cut-in Braces 01' Diagonal Blocking 2,000 80
Fiberboard 01' Particleboard Sheathing 6,000 100

'As dellned in Seclion 8.4.

'See Seetíon 8.4.9 for shear stiffness and expected strength of wood structural panel walls.

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 ASCE/SEI41-06

Table 8-2. Default Expected Strength Values for Wood Diaphragms

Property

Shear Stiffness (GJ ) Expected Strength (QC/)

Diaphragm Type ' (lb/in.) (pU)

Single Straight Sheathing2 2,000 120

Double Straight Shcathing Chorded 15,000 600
llnchorded 7,000 400
Single Diagonally Sheathing Chorded 8,000 600
llnchorded 4,000 420
Diagonal Sheathing with Straíght Sheathing Chorded 18,000 900
or Flooríng Above llnchorded 9,000 625
Double Diagonal Sheathing Chorded 18,000 900
llnchorded 9,000 625
Wood Structural Panel Sheathingl llnblocked, Chorded 8,000
llnblocked, Unchorded 4,000
Wood Structural Panel Overlays on: llnblocked, Chorded 9,000 450
a. Straight or Diagonal Sheathing4 or Unblocked, llnchorded 5,000 300
b. Existing Wood Structural Panel Sheathing5 Blocked, Chorded 18,000
Blocked, Unchorded 7,000

'As defined in Serlion 8.5.

'Por single straight shealhing, expected strength shall he multiplied by 1.5 where buill-up rooling is present. The value for stiffness shall not be
changed.
3See Section 8.5.8 for shcar sliffness and expected slrength of wood struclural panel diaphl1lgrns.
'See Serlion 8.5.9 tor expected slrenglh of wood struclural panel overlays on slraight or diagonal sheathing.
'See Serlion 8.5.10 for expected slrength of wood struclural panel overlays on exísling wood struclural panel sheathing.

3. 0.04 in. for wood-to-wood and 0.027 in. for wood­ assemblíes. The shear stiffness, G d, for the assemblies
to-steellag boh connections; and should not be confused with the modulus of rigidity,
4. 0.045 in. ror wood-to-wood and 0.03 in. for wood­ G, for wood structural panels.
lo-sleel bolted connections. The LRFD methodology ofASCE 16 (ASCE
1996) is based on the concepls of Jimil state design,
The estimated deformation of any hardware,
similar lo the provisions tor strength design in steel or
including allowance for poor tit or oversized holes,
concrete. The reference resistance values for wood ele­
shalJ be summed lo obtain the total deformation of the
ments and connections associated with this standard
connection.
are contained in the LRFD Manualfor Engineered
Default expected strength values tor connection
Wood Construction, including supplements and guide­
hardware shall be taken as the average ultimate test
lines (AF&PA LRFD 1996). The resistance values in
values from publíshed reports.
these documents were developed using AS1M D5457­
Default lower-bound strength values, where
93 (ASTM 1998), which provides methodologies for
required in this chapter, shall be taken as expected
calculation directly from data or by format conversion
strength values multiplied by 0.85.
from approved alJowable stress values. Use of a format
C8.2.2.5 Default Properties conversion (Le., the LRFD equivaJent of aJlowable
The results of any material testing pertormed stresses) tor computing expected strengths of wood
should be compared to the default values for the par­ material s comprising individual wood components and
ticular era 01' building construction. If signiticantly tor wood connectors (nails, screws, lags, bolts, split
reduced properties from testing are discovered, further rings, and so forth) is permitted. This methodology is
evaluation should be undertaken. nol applicable for wood shear waU and diaphragm
Tables 8-1 and 8-2 contain default values for assembJies covered in Tables 8-1 and 8-2. For use with
strength and stiffness of shear waJl and diaphragm this chapter, capacities tor shear wall and diaphragm

231
SEISMIC REHABlLITATION OF EXISTING BUILDlNGS

assemblies are to be taken directly from the tables or 8.2.3 Condition Assessment
as indicated by the table footnotes.
The LRFO reference resistance is computed as the 8.2.3.1 General
al\owable stress value multiplied by a format conver­ A condition assessmenl 01' lhe existing building
sion factor. The format convcrsion factor is detined as and site shall be performed as specitied in lhis section.
K E; = 2.16/ cp, where cp is the specítied LRFO resist­ A condition assessment shall include the
ance factor: 0.90 for compression, 0.85 for nexure, following:
0.80 for tcnsion, 0.75 for shcarltorsion, and 0.65 for
1. The physical condition of primary and secondary
connections. The allowablc strcss value shall inelude
components shall be examincd and the prescnce of
all applicable adjustment factors, except for the load
degradation shall be noted.
duration factor. If allowable values already inelude
2. The presence and contiguration of components and
consideration of duration effects, the load duration
lheir conncclions, and the continuity of load paths
adjustment factor must be divided out prior 10 format
between components, elements, and systems shall
conversion. Note that the time-effect factor specitíed
be veritied or established.
for LRFO is 1.0 ror load combinations that ¡nelude
3. Other conditions, ineluding neighboring party walls
earthquake loads.
and buildings, presence 01' nonstructural compo­
The NEHRP Recommended Provisionsfor
nents, prior remodeling, and Iimitations 1'or
Seismic Regulations for New Buildings and Other
rehabilitation that may intluence building perform­
Structures (BSSC 2000) conlain strength-based resist­
ance, shall be reviewed and documenled.
ance values for wood structural panel shear walls and
diaphragms. AlIowable stress values ror wood compo­
nents and connections can be found in the National C8.2.3.1 General
Design Specificationfor Wood Cotlstruction (AF&PA The physical condition of existing componenls
NOS 1997) and the ASD Manual for Engineered Wood and elements and their connections must be examined
Construction, including supplements and guide\ines 1'or degradation. Oegradation may inelude environmen­
(AF&PA ASO 2001). tal e1'fects (e.g., decay, splitting, tire damage, and bio­
AF&PA LRFO contains a guideline for calculat­ logical, termite, and chemical attack) or pastlcurrent
ing resistance values for connection hardware for loading etlects (e.g., overload, damage from past
which published report values are in allowable stress earthquakes, crushing, and twisting). Natural wood
formal. Where computing thc cxpected strength 01' also has inherent discontinuities such as knots, checks,
connections, all limit statcs, ineluding that 01' the con­ and splits thai must be noted. Configuration problems
ncetion hardware, must be eonsidered (c.g., in addition observed in recent earthquakes, including ellects of
to the published strength 01' a tie-down device, con­ discontinuous components, improper nailing or bolt­
sider the Iimit states for thc stud bolts, the anchor bolts ing, poor lit-up. and connection problems at the foun­
in the foundation, and so forth). dation level, should also be evaluated. Ofien, unfin­
The connector deformation at yield may be calcu­ ished areas such as attic spaces. basements, and crawl
lated by dividing the load by the load/slip modulus. spaces provide suitable access to wood components
The load/slip modulus for dowel type connections and can give a general indicatÍon 01" the condition of
(bolts, lag screws, screws, and nails) is calculated the rest 01' the structure. Invasive inspection of critical
as (180)(0)15 kip/in. for wood-to-wood connections components and connections is typically required.
and (270)(0)15 kip/in. for wood-lo-steel side plate Neighboring party walls and buildings, the presence of
conncctions. nonstructural components. prior remodeling, and limi­
Actions associated with wood and líght metal lations for rehabilitation should also be noted.
framing components generaJly are de1'ormation­ Connections require special consideration and
controlled, and expected strength material properties evaluation. The load path for the system must be
will be used most often. Lower-bound values are determined and each connection in the load path(s)
needed for actions that are force-controlled. The 0.85 must be evaluated. This indudes diaphragm-to­
factor included in this standard to convert expected component and component-to-component connections.
strength to lower-bound values is based on lhe resu1ts The strength and deformatÍon capacity of connections
of shear wall testing. If more precise lower-bound must be checked where the connection is attached to
material properties are desired, they should be taken as one or more components that are expected to experi­
mean minus one standard deviation from test data ror ence significant inelastic response. Anchorage 01' exte­
the components in question. rior walls to roof and tloors in concrete and masonry

232
 ASCElSEI 41-06

buildings, for which wood diaphragms are used for inspected fiberscopicalIy. If common detailing is
out-of-plane loading, requires detailed inspection. Bolt observed, this sample shall be considered represen­
holes in relatively narrow slraps somelimes preclude talive. If any details or condilions are observed that
lhe ductile behavior of the steel slrap. TwislS and kinks result in a discontinuous load path, all primary con­
in lhe strap can also have a serious impacl on its anlici­ nections shall be exposed.
pated behavior. Cross lies, which are parl of lhe wall
anchorage syslem, need to be inspecled to confirm C8.2.3.2 Scope and Procedures
their presence, along with the conneclion of each Accessibility constraints may necessitate the use
piece, to ensure that a positive load path exists to tie of instruments such as a tiberscope or video probe lo
the building walls together. reduce the amount 01' damage to covering material s
The condition assessmenl also affords an opporm­ and fabrics. The knowledge and insight gained from
nily LO review other conditions thal may intluence the condilion assessment ís invaluable lo understand­
wood elements and syslems and overall building ing load paths and the ability of components lo resist
performance. Of particular ímportance is the identifi­ and transfer loads. The degree of assessment per­
calíon of olher elemenls and componenls Ihal may formed also atl'ects the knowledge factor discussed in
contribute lo or impair [he performance of the wood Section 8.2A.
syslem in question, including intills, neighboring Direct visual inspection provides the most val u­
buildings, and equipment attachments. Limitarions able intormalion, as it can be used lO idemify any con­
posed by exisling coverings, waJl and ceiling space tiguration issues, allows measurement of component
insulation, and other material shall also be defined such dimensions, and identifies the presence 01' degradation.
that prudent rehabilitation measures can be planned. The continuity of load paths may be established by
viewing components and connection condition. From
8.2.3.2 Scope and Procedures visual inspection, the need for other test methods to
AIl primary structural components 01' lhe gravily­ quantify the presence and degree of degradation may
and laleral-load-resislance syslem shall be included in be eSlablished.
lhe condilion assessment. The scope 01' the removal effort is dictated by the
componenI and element design. For example, in a
8.2.3.2.1 Visual Condition Assessment The dimensions braced frame, exposure of several key connections
and fealures 01' all accessible componenls shall be may suftice if the physical condition is acceptable and
measured and compared to available design informa­ the contiguration malches Ihe design drawíngs.
lion. Similarly, lhe contiguration and condition of alI However, for shear walls and diaphragms, it may be
accessible conneclions shall be visually verified, with necessary to expose more connection points because
any det{)rmations or anomalies noted. 01' varying designs and rhe crilical nature of Ihe con­
nections. For encased walls and frames for which no
8.2.3.2.2 Comprehensive Condition Assessment If cov­ drawings exist, il is necessary lo indirectly view or
erings or other obstructions exist, either partial visual expose all primary end connections tor verificalÍon.
inspection through lhe use 01' drilIed holes and a tiber­ The physical conditíon of components and con­
scope shall be used, or visual inspection shall be per­ nectors may also support the need to use certain
focmed by local removal of covering materials based destruclÍve and nondestructive test methods. Devices
Oll lhe following requirements: normally used for the detection of reinforcing steel in
l. If detailed design drawings exist, at leasllhree dif­ concrete or masonry may be used to verify the metal
ferent primary conneclions shall be exposed for straps and hardware located beneath tinish surfaces.
each conneclÍon type. Ir no capacíty-reduc:ing
8.2.3.3 Basis for the Mathematical Building Model
deviations from the drawings exist, the sample shall
The results of the condition assessment shall be
be considered representalÍve. If deviations are
used to quantify the lollowing items needed to create
noted, then all coverings from primary conneclions
(he mathematical building model:
01' that type shall be removed unless the connection
strength is ignored in the seismic evalualion; and J. Component section properties and dimensions;
2. In the absence of accurate drawings, at leasl 50% 2. Component configuration and eccentricities;
of the top and base connections tor each lype 01' 3. Interaction 01' nonstructural components and their
vertical element in the seismic-force-resisting sys­ involvement in lateral-load resístance; and
tem as wall as collectors, boundary components, 4. Presence and effects of aIterations to the structural
and tie-downs, shall be exposed and inspected oc system.

233
SEISMIC REHABILlTATION OF EXISTlNG BUILDlNGS

AII deviations noted between available construc­ Q

tion records and as-built conditions shall be accounted Qy
for in the structural analysis. 1<------ e - - - - - - - . ¡

1+--- d ------+\-1
C8.2.3.3 Basis for the Mathematical Building Model
The acceptance criteria for existing components
1.0
B e
depend on the design professional's knowledge of the ¡
condition of the structural system and material proper­ ¡
¡
ties, as previously noted. Certain damage-such as
water staining, evidence of prior leakage, splitting, L\
cracking, checking, warping, and twisting-may be L1y
acceptable. The design professional must establish a FIGURE 8-1. Generalized Force-Deformation
case-by-case acceptance for such damage on the basis Relation for Wood Elements or Components.
of capacity loss or deformation constraints.
Degradation at connection points should be carefully assemblies. Distance d is considered the maximum
examined; significant capacity reductions may be deflection at the point 01' first loss 01' slrength.
involved, as well as a loss of ductility. Distance e is the maximum detlection at a strength or
capacity equal to value c. Where the yield strength is
8.2.4 Knowledge Factor not determined by testing in accordance with Section
A knowledge factor, K, for computation of wood 2.8, the yield strength at point B shall be taken as the
and light metal framing component capacities and per­ expected strength at point C divided by 1.5.
missible deformations shall be selected in accordance
with Section 2.2.6.4, with the following additional 8.3.2 Strength and Acceptance Criteria
requirements specific to wood components and
assemblies. 8.3.2.1 General
If a comprehensive condition assessment is per­ Actions in a structure shall be classified as being
formed in accordance with Section 8.2.3.2.2, a knowl­ either deformalion-controlled or force-controlled, as
edge factor K = 1.0 shall be permitted in conjunction defined in Section 2.4.4. Design strengths fór defor­
with default properties of Section 8.2.2.5, and testing mation-controlled and force-controlled actions shall be
in accordance with Section 8.2.2.4 is not required. ca\culated in accordance with Sections 8.3.2.2 and
Sections 8.3.2.3, respectively.

8.3 GENERAL ASSUMPTIONS AND 8.3.2.2 Deformatioll-Controlled Actions

REQUIREMENTS Expected strengths 1'or derormation-conlrolled
actions, QlE' shall be taken as the mean maximum
8.3.1 StifTness strengths obtained experimentally or ca\culated using
Component stiffnesses shall be ca\culated in accepted principies of mechanics. Unless other proce­
accordance wilh Sections 8.4 through 8.7. dures are specified in this chapter, expected strengths
Where design actions are determined using the shall be permitted to be based on 1.5 times the yield
linear procedures of Chapter 3, stiffnesses for wood strengths. Yield strengths shall be determined using
material s comprising individual components shalJ be LRFD procedures contained in AF&PAlASCE 16
based on material properties determined in accordance Standard for Load and Resistance Factor Design
with Section 8.2.2. (LRFD)for Engineered Wood Construction (ASCE
Where design actions are determined using the 1996), except thal the resistance factor, 1>, shall be
nonlinear procedures of Chapler 3, component taken as unity and expected material properties shall
force-deformation response shall be represented by be determined in accordance with Section 8.2.2.
nonlinear force-deformation relations. Linear relations Acceptance criteria for deformation-controlled actions
shall be permitted where nonlinear response will shall be as specified in Sections 8.4 through 8.7.
not occur in the component. The nonlinear force­
deformation relation shall be either based on experi­ C8.3.2.2 Deformatioll-Colltrolled Actio/lS
mental evidence or the generalized force-deformation The relative magnitude of the m-factors alone
relation shown in Fig. 8-1, with parameters c, d, and e should not be interpreted as a direct indicator of per­
as defined in Table 8-4 for wood components and formance. The stiffness 01' a componenl and ils

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 ASeE/SEI41-06

expected strength, Qa" must be considered where link pieces of a connection assembly together, are con­
evaluating expected performance. For example, while sidered to have the abilíty to deform in a ductile man­
the m-factors for gypsum plaster are higher than those ner, provided the bodies of the connections or bodies
for wood structural panels, the stiffness assigned to of connectíon hardware do not prematurely fracture.
gypsum plaster is relatively high and the expected Much of lhe ductility in a wood shear walJ or
strength values are much lower than those for wood diaphragm assembly comes from the connectors, such
structural panels. As a result, worse performance for a as bending in the nails prior to point where nails pull
given displacement is predicted. lhrough the sheathing material. In boIted connections,
the connectors, including bolt bending or crushing of
8.3.2.3 Force-Controlled Actions .he wood around the boh hole are ductile sources of
Where determined by testing, lower-bound deformation in an assembly. BriHle failure can occur
strengths for force-controlled actions, QCL' shall be in the bodies of connections, such as net section frac­
taken as mean minus one standard deviation of the ture or spliHing in an end post, or in the bodies of con­
maximum strengths obtained experimentally. Where nection hardware such as tie-downs. For this reason,
calculated using established principIes of mechanics or connectors are considered deformation-controlled and
based on LRFD procedures contained in bodies of connectíons and bodies of connectíon hard­
AF&PAlASCE 16 Standardfor Load and Resistance ware are considered force-controlled. Where determin­
Factor Design (LRFD) for Engineered Wood ing the demand on force-conlrolled portions of lhe
Construction (ASCE 1996), the resistance factor, <P, connection assembly, use of a limit-state analysis to
shalJ be taken as unity, and default lower-bound mate­ determine the maximum force that can be delivered to
rial properties determined in accordance with Section the connection is recommended.
8.2.2.5 shall be used. Where computing the strength of connections, all
Where the force-controlled design actions, QUF' potential limil states should be considered. including
calculated in accordance with Section 3.4.2.1.2 are those associaled with the bodies of connections, the
based on a Iimit-state analysis, the expected strength bodies of connection hardware, and connectors with
of the components delivering load to the component which the assembly may be composed. For example,
under consideration shall be laken as nol less than 1.5 in addition to the strength of a tie-down device itself.
times lhe yield strength. limit states for the slud bolts, foundation bolts. and net
section of the end post should be considered. The con­
C8.3.2.3 Force-Controlled Actions trolJing condition will determine the expected or
The maximum forces developed in yielding shear lower-bound strength of the connection.
walls and diaphragms are consistent1y 1.5 to 2 times
the yield force. Other wood components and connec­
8.3.4 Rehabilitation Measures
tors exhibit similar overstrength.
Ir portions of a wood building struclure are defi­
cient for the selecled Rehabilitation Objective. the
8.3.3 Connection Requirements
structure shall be rehabilitated, reinforced, or replaced.
Unless olherwise specified in this standard, con­
If replacement of the element is selected or if new ele­
nections between wood components of a lateral-force­
ments are added, the new elements shall satisfy the
resisting system shall be considered in accordance
acceptance críteria of lhis standard and shall be
with this section. Demands on connectors, including
detailed and conslructed in accordance with a building
nails, screws, lags, bolts, split rings, and shear plales
code approved by the authority havíng jurisdíetion. If
used to link wood components 10 olher wood or metal
reinforcement of the existing framing system is
components shalI be considered deformation­
selected. the following factors shall be considered:
controlled actions. Demands on bodies of conneclíons,
and bodies of connectíon hardware, shall be consid­ l. Degree of degradation in lhe component from such
ered force-conlrolled actions. mechanisms as biologícal attack, creep, high statíe
or dynamic loading, moisture, or other effects;
C8.3.3 Connection Requirements 2. Level of steady-state stress in the components to be
In considering connectíons belween wood compo­ reinforced and the potenlial lo temporarily remove
nents in this standard, conneclors are dislinguished this stress, if appropriate;
from bodies of conneclions and bodíes of connectíon 3. Elastíe and inelastic properties of existing compo­
hardware. Connectors, which consist of the nails, nents; strain compatibility with any new reinforce­
screws, lags, bolts, Splil rings, and shear plales used to ment materials shall be provided;

235
SElSMIC REHABILITATION OF EXISTING BUILDlNGS

4. Ductility, durability, and suitability of existing con­ For overturning calculations on shear wall ele­
nectors between components, and access for rein­ ments, stabilily shall be evaluated in accordance with
forcement or modification; Section 3.2.10. Net tension due to overturning shall be
5. Efforts necessary to achieve appropriate fit-up for resisted by uplift conneetions.
reinforcing components and connections; The efTects of openings in wood shear walls shall
6. Load path and deformation of the components at be considered. Where required, reinforcement consist­
end connections; and ing of chords and collectors shall be added to provide
7. Presence of components manufactured with archaic suflicient load capacity around openings to meet the
materials, which may conlain material discontinu­ strenglh requirements for shear walls.
ities, shall be examined during the rehabilitation Conneetions between shear walls and other com­
design lO ensure that the selected reinforcement is ponents, including diaphragm ties, colleclors,.
feasible. diaphragms, posls, and toundations, shall be consid­
ered in accordance wilh Section 8.3.3, and designed
C8.3.4 Rehabilitation Measures for forces calculated in accordance with Chapter 3.
Special aHention is required where connections Components supporting disconlinuous shear walls
such as bolts and nails are encountered. shall be considered in accordance wilh Section 8.3.5.
Wood structural panels are used to provide lateral The expected strenglh, QC¡¡' of wood and light
strength and sliffness lo most modern wood I'rame frame shear wall assemblies shaIl be determined in
buildings and are generalIy recommended for the reha­ accordance with Sections 8.4.4 lhrough 8.4.18.
bilitation of horizontal diaphragms and shear walls of
existing buildings. The system reHes on the in-plane C8.4.1 General
strength and stitrness of the panels and their connection The behavior 01' wood and light frame shear walls
lo the framing. Panels are connected together by nailing is complex and influenced by many l'ilctors, the primary
into the same structural member lo create, in effec!, one factor being lhe wall sheathing. Wall shealhings can be
continuous panel. The various panels are described in divided into many calegories (e.g., brillie, elaslic,
Sections 8.4 and 8.5. The performance of the structural strong, weak, good al dissipaling energy, poor al dissi­
panels is dependent to a great degree on the nailing or paling energy). In many exisling buildings, the walls
attachment to the framing. The nail spacing and effec­ were nol expected lo aCl as shear walls (e.g., a wall
tiveness of lhe attachmenl should be investigated if the sheathed with wood lath and plaster). Most shear waIls
existing panel s are expected lO withstand significant are designed based on values from monotonic load
loads. lf nails are to be added lO exisling panels, they tests and historically accepted values. The allowable
should be the same size as the existing nails. shear per unit length used for design was assumed lo
be lhe same for long waJls, narrow walls, walls with
8.3.5 Components Supporting Discontinuous Shear stiU tie-downs, and walls with flexible tie-downs. Only
WaJls recently have shear wall assemblies-framing, cover­
Axial compression on wood posts and tlexure and ing, and anchorage-been tesled using cyclic loading.
shear on wood beams that support discontinuous shear Another major factor influencing the behavior of
walls shall be considered force-controlled actions. shear walls is the aspect ratio 01' the wall. The NEHRP
Lower-bound strengths shall be determined in accor­ Recommended Provisions for Seismic Regulations for
dance with Section 8.3.2.3. New Buildings and Other Structures (BSSC 2000)
limit the aspecl ralio (height-to-widLh) for slructural
8.4 WOOD AND LIGHT FRAME SHEAR WALLS panel shear walls to 2: 1 for full design shear capacity
and permit reduced design shear capacities for walls
8.4.1 General with aspecl ratios up lO 3.5: l. The interaction 01" the
Wood and Iighl frame shear walls shall be catego­ tloor and roof wilh lhe wall, the end conditions of the
rized as primary or secondary components in accor­ wall, and lhe redundancy or number of walls along
dance with Section 2.4.4.2. any waJl line would atIeet lhe wall behavior for walls
Dissimilar wall sheathing malerials on opposite with the same aspect raLio. In addition, the rigidity of
sides of a wall shall be permiued to be combined the lÍe-downs at the wall ends has an ímportam eífecl
where there are test data to substantiate the stiffness in the behavior of narrow walls.
and strength properties of the combined systems. The presence of any but smaII openings in wood
Otherwise, walls sheathed with dissimilar materials shear walls will cause a reduetion in the stiflness and
shall be analyzed based on only the wall sheathing slrenglh due to a reduced length of wall availahle to
with the grealCst capacity. resisl lateral forces. Special analysis lechniques and

236
 AseE/SEI 41-06

delailing are required at lhe openings. The presenee or 8.4.2./.3 Vertical Wood Siding Only Vertical wood
addilion of ehord members around the openings will siding shall inelude vertical boards naiJed directly to
reduce the loss in Oyeran stiffness and limil damage in studs and blocking 2 in. or greater in widlh.
the area 01' openings. See the NEHRP Recommended
Provisíons for Seísmíc Regulations for New Buildings C8.4.2.1.3 Vertical Wood Siding Only Typieally,
and Other Structures for reinforcement requirements I-in. X 8-in., l-in. X 10-in.,or l-in. X 12-in. vertical
around openings in wood shear walls. boards are nailed directly lo 2-in. X or grealer width
For wood and lighl ti'ame shear walls, lhe impor­ studs and blocking with 8d or IOd galvanized nails.
tant limil states are sheathing failure, conneetion fail­ The lateral forces are resisted by nail couples, sirni­
ure, tie-down failure, and excessive detleelion. Limit lar1y lo horizontal siding.
states define the poinl of life safety and, often, of
struetural slabilily. To reduce damage or relain usabil­ 8.4.2.1.4 Wood Siding over Horizontal Sheathing
ity immedialely after an earlhquake, detlection must Wood siding over horizontal sheathing shall inelude
be limited (see Section 2.5). The ultimate eapacily is siding conneeted to horizontal sheathing with nails
!he maximum capacity of the assembly, regardless of that go through lhe sheathing lo the studs.
the detleetion.
C8.4.2.1.4 Wood Siding O\ler Horizontal Sheathing
Typically, siding is nailed wilh 8d or lOd galvanized
8.4.21)pes of Wood Frame Sbear Walls nails lhrough lhe shealhing (O the SLUds. Lateral t'orces
are resisled by naíl couples for both layers.
8.4.2.1 ExislÍlIg Wood Frame Shear WaUs
8.4.2.1.5 Wood Siding over Diagonal Sheathing Wood
8.4.2.1.1 Single-Layer Horizontal Lumber Sheathing siding over diagonal sheathing shall inelude siding
or Siding Single-layer horizontallumber sheathing or connected to diagonal sheathing with nails tha! go
siding shall inelude horizontal shealhing or siding through the sheathing to the studs.
applied direetly 10 studs or horizontal boards nailed to
studs 2 in. or greater in width. C8.4.2.1.5 Wood Siding over Diagonal Sheathing
Typically, siding is nailed Wilh 8d or IOd galvanized
C8.4.2.l.1 Single Layer Horizontal Lumber Sheathing nails to and lhrough !he sheathing inlo the studs.
or Siding TYpieally, l-in. X horizontal sheathing or Diagonal sheathing provides most of the lateral resist­
siding is applied direetiy lo studs. Forces are resisted ance by triangulation (see Section 8.4.2.1.2).
by nail couples. Horizontal boards, from l-in. X 4-in.
lo 1-in. X 12-in., typically are nailed to 2-in. X or 8.4.2.1.6 Wood Structural Panel Sheathing or Siding
grealer width sluds with two or more nails (typically Wood strucLUral panel sheathing or siding shall ¡nelude
8d or IOd) per stud. wood structural panels, as detíned in Ihis standard, ori­
ented vertically or horizontally and nailed lo sluds
8.4.2.1.2 Diagonal Lumber Sheathing Diagonallum­ 2 in. or greater in width.
ber sheathing shall inelude sheathing applied at
approximalely a 45-degree angle lo lhe sluds in a sin­ C8.4.2.1.6 Wood Structural Panel Sheathing or Siding
gle or double layer with lhree or more nails per stud, TYpically,4-ft X 8-ft panel s are applied vertically or
sill, and 10p plates. horizontally lo 2-in. X or greater sluds and nailed with
6d to IOd nails. These panels resis! lateral forees by
C8.4.2.1.2 Diagonal Lumber Sheathing Typically, panel diaphragm aetion.
l-in. X 6-in. lo ] -in. X 8-in. diagonal shealhing,
applied direetly to the sluds, resists lateral t'orces 8.4.2.1.7 Stucco on Studs Stucco on studs (over
primarily by triangulation (i.e., direet tension and sheathing or wire-backed building paper) shall include
compression). Sheathing boards are inslalled al a Porlland cemenl plaster applied tO wire lath or
45-degree angle lo sluds, with three or more nails expanded metal lath. Wire lath or expanded melal lalh
(typically 8d or IOd) per stud, and lo sill and top shall be nailed to !he studs.
plates. A second layer of diagonal sheathing is
sometimes added on 10p of the fírst layer, al 90 C8.4.2.1,? Stucco on Studs TYpicalIy, ~-inch Portland
degrees lo lhe firsl layer (called Double Diagonal cement plaster is applied lo wire lath or expanded
Sheathing), t'or increased load eapaeily and metal lath. Wire lath or expanded metallath is nailed
stiffness. lO the studs Wilh ll-gage nails or 16-gage staples at

237
SEISMIC REHABILlTATION OF EXISTING BUILDlNGS

6 in. on center. This assembly resists lateral force s by C8.4.2.1.12 Plaster on Metal Lath Typically, I-in.
panel diaphragm action. gypsum plaster is applied on expanded wire lath that is
nailcd to the studs. Lateral forces are resistcd by panel
8.4.2.1.8 Gypsum Plaster on Wood Lath Gypsum plas­ diaphragm action.
ter on wood lath shal1 include gypsum plaster keyed
onto spaced wood lath that is nailed to the studs. 8.4.2.1.13 Horizontal Lumber Sheathing with Cut-In
Braces or Diagonal Blocking Horizontallumber
C8.4.2.1.8 Gypsum Plaster on Wood Lath Typ.ically, sheathing with cut-in braces or diagonal blocking shall
I-in. gypsum plaster is keyed onto spaced I-i-in. include I-in. X horizontal sheathing or siding applied
wood lath that is nailed to studs with 13-gage nails. directly to studs or I-in. X 4-in. lo I-in. X l2-in. hori­
Gypsum plaster on wood lath resists lateral forces by zontal boards nailed to studs 2 in. or greater in width.
panel diaphragm-shear action. The wall shall be braced with diagonal cut-in braces or
blocking extending from comer to comer.
8.4.2.1.9 Gypsum Plaster on Gypsum Lath Gypsum
plaster on gypsum lath shall inc\ude plaster that is C8.4.2. l. 13 Horizontal Lumber Sheathing with Cut-In
glued or keyed to gypsum lath nailed to studs. Braces or Diagonal Blocking Horizontal sheathing
with cut-in braces or diagonal blocking is instal1ed in
C8.4.2.1.9 Gypsum Plaster on Gypsum Lath Typically, the same manner as horizontal sheathing, except the
~-in. plaster is glued or keyed to 16"X 48" gypsum walJ is braced with cut-in (or let-in) braces or block­
lath, which is nailed to studs with 13-gage nails. ing. The bracing is usually instal1ed at a 45-degree
Gypsum plaster on gypsum lath resists lateral loads by angle and nailed with 8d or 10d nails at each stud, and
panel diaphragm action. at the top and bottom plates. Bracing provides only
nominal increase in resistance.
8.4.2.1.10 Gypsum Wallboard or Drywall Gypsum
wallboard or drywall shalJ include manufactured pan­ 8.4.2.1.14 Fiberboard or Particleboard Sheathing
els with a paper facing and gypsum core that are Fiberboard or particleboard sheathing walls shall
oriented horizontally or vertical1y and nailed to studs include tiberboard or particleboard paneJs that are
or blocking in a single layer or multiple layers. applied directly to the studs with nails.

C8.4.2.I.JO Gypsum Wallboard or Drywall Typically, C8.4.2.1.14 Fiberboard o,. Particleboard Sheathing
4-ft X 8-ft to 4-ft X 12-ft panel s are laid-up horizon­ Typical1y, 4-ft X 8-ft panel s are applied directly to the
tal1y or vertically and nailed to studs or blocking with studs with nails. Fiberboard requires nails (typically
5d to 8d cooler nails at 4 to 7 in. on center. Multiple 8d) with large heads such as rooting nails. Lateral
layers are used in sorne situations. The assembly loads are resisted by panel diaphragm action.
resists lateral force s by panel diaphragm action.
8.4.2.2 Ellhallced Wood Frame Shear Walls
8.4.2.1.11 Gypsum Sheathing Gypsum sheathing Enhanced wood frame shear walls shall include
shall include manufactured gypsum panels that are existing shear wal1s rehabilitated in accordance with
oriented horizontally or vertically and nailed to studs an approved method. Enhanced wood shear walls con­
or blocking. sisting of wood structural panel sheathing added to
unlinished stud wal1s or wood structural panel sheath­
C8.4.2.1.11 Gypsum Sheathing Typically, 4-ft X 8-ft ing overlay on existing shear walls shal1 be evaluated
to 4-ft X 12-ft panels are laid-up horizontally or verti­ in accordance with Scction 8.4.9. Where wood struc­
cally and nailed to studs or blocking with galvanized tural panel sheathing is applied over existing sheath­
ll-gage ?6-in. diameter head nails at 4 to 7 in. on ing, the expected strength shall be based on the
center. Gypsum sheathing is usually instal1ed on the expected strength of the overlaid material only and
exterior of structures with siding over it in order to reduced by 20% unless a ditlerent value is substanti­
improve tire resistance. Lateral forces are resisted by ated by testing.
panel diaphragm action.
C8.4.2.2 Ellhallced Wood Frame Shear Walls
8.4.2.1.12 Plaster on Metal Lath Plaster on metallath Possible rehabilitation methods for wood shear
shall include gypsum plaster applied to expanded wire wal1s are described in Sections C8.4.2.2.1 through
lath that is nailed to the studs. C8.4.2.2.5.

238
 ASCFJSEI 41-06

C8.4.2.2. J Wood Structural Panel Sheathing Added 10 tion. This rehabilitation procedure can be used on any
Unfinished Stud Walls Wood structural panel sheathing of lhe existing shear wall assemblies. Additional fram­
may be added to one side of untinished stud waHs lo ing members can be added if necessary, and lhe wood
inerease the wall shear capaeity and stiffness. slructural panel s ean be cut to fit existing stud spacings.
Examples of untinished stud walls are eripple
walls and attic end walls. C8.4.2.2.4/ncreased Attachment Additional nailing,
collector straps, splice slraps, tie-downs, or other col­
C8.4.2.2.2 Wood Structural Panel Sheathing Over/ay lectors may be added to existing wood structural
of Existillg Shear Walls The foHowing types of exist­ panel-sheathed walls lo increase their rigidity and
ing shear walls may be overlaid with wood structural capacity.
panel sheathing: Por exisling structural panel-sheathed walls, addi­
tional nailing will result in higher capacity and
1. Single layer horizontal lumber sheathing or siding; increased sliffness. Other connectors-collector slraps,
2. Single layer diagonal lumber sheathing; spliee straps, or tie-downs-are often necessary to
3. Vertical wood siding only; inerease the rigidity and eapacity of existing structural
4. Gypsum plaster or wallboard on studs (also on gyp­ panel shear walls. Increased duetility will not neces­
sum lath and gypsum wallboard); sarily result from the additional nailing. Access to
5. Gypsum sheathing; (hese shear walls will often require the remo val and
6. Horizontal lumber sheathing with cut-in braces or replacement of existing tinishes.
diagonal blocking; and
7. Piberboard or particleboard sheathing. C8.4.2.2.5 Conncctions Where absent, new connec­
tions between shear walls and diaphragms and founda­
The original sheathing should not be inc\uded in lhe
tions may be added. Where needed, blocking between
evaluation condueted in accordance wilh Section 8.4.9
f100r and roof joists at shear walls may be added.
and the expected capacily of the overlay material
Bloeking should be eonnected 10 the shear wall and
should be reduced by 20%.
the diaphragm lo provide a load palh for lateralloads.
This method results in a moderate increase in shear
Wood for framing members or blocking should be
eapacity and stiffness and can be applied in most places
kiln-dried or well-seasoned to prevent it from shrink­
in most structures. For example, plywood sheathing can
ing away from lhe existing framing, or splítting.
be applied over an interior wall tinish. Por exterior
Most shear wall rehabilitation procedures require
applieations, the wood structural panel can be nailed
a check of aH existing connections, especiaHy to
díreclly through the exterior finish to the studs.
diaphragms and foundations. Sheet metal framing
Where existíng shear walls are overlaid with
elips can be used lo provide a verifiable connection
wood structural panels, the connections of the overlay
between the waH framing, the blocking, and the
to the existing framing must be considered. Splitting
diaphragm. Praming clips are also often used for con­
can occur in both Ihe wood sheathing and lhe framing.
necting blocking or rim joists lo sill plates.
The length of nails needed lo achieve full capacity
PrequentIy, bolting between sill plates and foun­
attaehment in the existing framing must be deter­
dations musl be added.
mined. This lenglh will vary wilh the thiekness of lhe
The framing in existing buildings is usually very
existing wall covering. Sometimes staples are used
dry, hard, and easily split. Care must be taken nol 10
inslcad of nails lo prevenl splitting. The overlay is sta­
split the existing framing when adding conneetors.
pled to the wood sheathing instead of the framing.
PredriJIing holes fOI" nails will reduce splitting, and
Nails are recommended for overlay aHachmenl lo the
framing e1ips that use small nails are less likely to split
underlying framing. In some cases, new blocking al
the exisling framing.
wood struclural panel joints may also be needed.

C8.4.2.2.3 Wood Structural Panel Sheathing Added 8.4.2.3 New Wood Frame Shear Walls
lindel' Existing Wall Covering The exisling wall cover­ New wood frame shear walls shall inelude aH new
ing may be removed; wood structural panel sheathing, wood struclural panel shear walls added lo an existing
conneetions, and tie-downs may be added and the wall lateral-force-resisting system. Design of new walls shalI
covering may be replaced. satisfy lhe acceptanee crileria of this standard. Details
This method wi\l resuh in a signiticant inerease in of construction for new shear walls, ineluding sill plate
shear capacity. In some cases, where eaI1hquake loads anchorage details, tie-down anchor details, nailing
are large, this may be the best method of rehabilita­ details for sheathing, and dimensionallímilatÍons for

239
SEISMIC REHABILlTATION OF EXISTING BUILDlNGS

studs and sill plates. shall be in accofdance wilh lhe C8.4.3.].3 Wood Structural Panel Sheathing or Siding
requirements of an approved building codeo Typically, the wood structural panels are applied verti­
cally and screwed to lhe studs and tracks with No. 8 to
C8.4.2.3 New Wood Frame Shear Walls No. 12 self-tapping serews.
New shear waJIs using the existing framing Of
new framing generally are sheathed wilh wood slruc­ 8.4.3.2 Ellhanced Light Cage Metal Frame Shear
tUfal panel s (i.e., plywood or orienled strand board). Walls
According to the NEHRP Recommended Provisions Enhanced light gage metal trame shear walls shall
for Seismic Regulations for New Buildings and Other inelude existing shear walls rehabilitated in aceor­
Structures (BSSC 2000), only wood struclural panel dance with an approved method.
sheathing is permitted for use in wood frame shear
walls in engineered conslruclÍon. The thickness and C8.4.3.2 Enhallced Light-Cage Metal Frame Shear
grade of these panel s can vary. In mOSl cases, lhe pan­ Walls
els are placed vertically and faslened direclly lo the Possible rehabilitation methods for Iight gage
studs and plates. This reduces the need fol' blocking at metal frame shear walls are deseribed in Sections
the joints. AII edges 01' panels must be blocked to C8.4.3.2.1 and C8.4.3.2.2. See Section 8.4.2.2 for
obtain full capacity. The lhiekness, size, and number additional informalion eoncerning enhaneement ol'
of fasleners, and aspect ratio and connections wiJl existing shear walls.
determine the capacily of the new walls. Addilional
infol'mation on the various panel s available and their C8.4.3.2.1 Wood Structural Panel Sheathing Added to
application rOl' shear walls ean be found in documents Existing Metal Stud Walls Any exisling coveríng olher
from lhe American Plywood Associalion (APA) such Ihan wood slructural panels shall be removed and
as Design Capacities ofAPA Pelformance Rated replaced wilh wood struelural panels. Conneelions lo
Structural-Use Panels (APA 1995) and Plywood the diaphragm(s) and the foundation shall be checked
Design Specificatiofl (APA 1997) and Tissell (1993). and slrengthened where not adequate to resíst
enhanced wall capacity.
8.4.3 1)rpes of Light Gage Metal Frame Shear
Walls C8.4.3.2.2 1ncreased Attachment Screws and connec­
tions shall be added to conneet existing wood struc­
8.4.3.1 Existing Light Cage Metal Frame Shear tural panel s to framing.
Walls
8.4.3.3 New Light Cage Metal Frame Shear
8.4.3.1.1 Plaster OH Metal Lath Plasler on metal lalh Walls
shall inelude gypsum plasler applied to metal lath or New Iight gage metal frame shear walls shall
expanded metallath thal is eonnected 10 the melal inelude all new wood structural panel elemenls added
framing wilh wire tieso lo an existing lateral-foree-resisting system. Design of
new walls shall satisfy Ihe aeeeptance critería of this
C8.4.3.I.1 Plaster on Metal Lath Typically, l in. of standard. Details of eonstruelion for new shear walls,
gypsum plaster is applied to metallath or expanded including lrack anehorage details, lie-down anchor
metal that is eonnected 10 Ihe melal framing wilh details, fastening details for shealhing, and dimen­
wire lies. sional limitations for sluds and tracks, shall be in
aecordance with Ihe requirements 01' an approved
8.4.3.1.2 Gypsum Wallboard Gypsum wallboard shear building codeo
walls shall inelude gypsum wallboard panels Ihat are
aHaehed to the slUds.
8.4.4 Single-Layer Horizontal Lumber Sheathing or
C8.4.3.1.2 Gypsum Wallboard TypieaJly, 4-ft X 8-ft Siding Shear Walls
lo 4-fl X 12-ft panels are laid-up horizontally and
screwed wilh No. 6 X I-in.-Iong self-tapping screws 8.4.4.1 Stiffness
lO studs al 4 lo 7 in. on cenler. The del1ection of single-layer horizontal lumber
shcalhing or sidíng shear walls shall be calculated in
8.4.3.1.3 Wood Structural Panel Sheathing 01' Siding aceordanee with Eq. 8-1:
Wood struetural panel shear walls shall ¡nelude slruc­
lural panels Ihat are auached lo the sluds and lraeks. ay Vyh/G(/ + (h/b)d a (Eq.8-1)

240
 ASCFlSEI 4) -06

where 8.4.4.4 Connections

The connections between parts of Ihe shear wall
b = shear wall width (in.);
assembly and other elements of the lateral-force­
h shear wall height (in.);
=
resisting system shall be considered in accordance
v, shear at yield in the direction under considera­
=
with Section 8.4.1.
. tlon (lb/in.);
Gd = shear stiffness from Table 8-1 (lb/in.);
C8.4.4.4 Connections
ay = calculated detlection of shear wall at yield (in.); The capacity and ductility of these connections
and
will often determine the failure mode as well as the
da = elongation of anchorage at end of wall deter­
capacity of the assembly. Ductile connections wilh
mined by anchorage details and load magnitude
sufficient capacity will give acceptable and expected
(in.).
performance (see Section 8.2.2.2.2).
Properties used to compute shear wall detlection
and stiffness shall be based on Section 8.2.2. 8.4.5 Diagonal Lumber Sheathing Shear Walls

C8.4.4.1 Stiffness 8.4.5.1 Stiffness

Horizontal lumber sheathed shear walls are weak The deflection 01' diagonal lumber sheathed shear
and very flexible and have long periods of vibration. walls shall be determined using Eq. 8-1. Properties
The strength and stíffness degrade wíth cyclic loading. used to compute shear wall deflection and stif1'ness
These shear walls are suitable only where earthquake shall be based on Section 8.2.2.
shear loads are low and detlection control is not
required. C8.4.5.1 Stiffness
Diagonal lumber sheathed shear walls are stiffer
8.4.4.2 Strength and stronger than horizontal sheathed shear walls.
The expected strength of horizontal sheathing or They also provide greater stiffness for deflection con­
siding shall be determined in accordance with trol, and thereby greater damage control.
Section 8.2.2.
8.4.5.2 Strength
C8.4.4.2 Strength The expected strength of diagonal sheathing shall
This capacity ís dependent on the wídth of Ihe be determined in accordance with Section 8.2.2.
boards, spacing of the studs, and the size, number, and
spacing of the nails. Allowable capacilies are listed for C8.4.5.2 Strength
various configurations, together with a descríplion of The strength of diagonal sheathing is dependent
the nail couple method, in the WeSlern Woods Use on the width 01' the boards, the spacing of the studs,
Book (WWPA 1996). See also Guidelines lor the the size oí' nails, the number oí' nails per board, and
Design 01 Horizontal Wood Diaphragms, ATC-7 the boundary conditions. Allowable capacities are
(ATC 1981) for a discussion oí' the naíl couple method. listed for various configurations in the Western Woods
Use Book (WWPA 1996).
8.4.4.3 Acceptance Criteria
For linear procedures, m-factors for use with 8.4.5.3 Acceptance Criteria
deformation-controlled aclions shall be taken 1'rom For linear procedures, m-factors for use with
Table 8-3. For nonlinear procedures, the coordinates oí' deformation-controlled actions shall be taken í'rom
the generalized í'orce-deí'ormation relations, described Table 8-3. For non linear procedures, the coordinates oí'
by Fig. 8-1, and deí'ormation acceptance crileria 1'or the generalized force-deformation relation, described
primary and secondary componenls shall be taken by Fig. 8-1, and deformation acceptance criteria for
1'rom Table 8-4. primary and secondary components shalI be taken
from TabIe 8-4.
C8.4.4.3 Acceptance Criter;a
Deformalion acceptance criteria are determined by 8.4.5.4 Connecuons
the capacity 01' lateral- and gravity-Ioad-resisting com­ The connections between parts of the shear wall
ponents and elements to deí'orm with limited damage or assembly and other elements of the lateral-force­
without failure. Excessive detlection could result in resisting system shall be considered in accordance
major damage to Ihe structure andlor its contents. with Seclion 8.4.1.

241
SEISMIC REHABILlTATION OF EXISTlNG BUILDING S

Table 8-3. Numerical Acceptance Factors for Linear Procedures- Wood Components

m-Factors
Primary Secondary
Height/Width
,
Wood and Light Frame Shear Walls ,3 Ratio (111 b) 10 LS CP LS CP
Horizontal I-in. X 6-in. Sheathing hlb :s 1.0 1.8 4.2 5.0 5.0 5.5
Horizontal I-in. X 8-in. or I-in. X lO-in. Sheathing hlb:S 1.0 1.6 3.4 4.0 4.0 5.0
Horizontal Wood Siding over Horizontal I-in. X 6-in. hlb:s 1.0 lA 2.6 3.0 3.1 4.0
Sheathing
Horizontal Wood Siding over Horizontal l-in. X 8-in. hlb:s 1.5 1.3 2.3 2.6 2.8 3.0
or 1-in. X JO-in. Shealhing
Diagonal l-in. X 6-in. Sheathing hlb :s 1.5 1.5 2.9 3.3 3.4 3.8
Diagonal l-in. X 8-in. Sheathing hlb :s 1.5 lA 2.7 3.1 3.1 3.6
Horizontal Wood Siding over Diagonal l-in. X 6-in. hlb:s 2.0 1.3 2.2 2.5 2.5 3.0
Shealhing
Horizontal Wood Siding over Diagonal I-in. X 8-in. hlb:s 2.0 1.3 2.0 2.3 2.5 2.8
Sheathing
Double Diagonal 1-in. X 6-in. Sheathing hlb:s 2.0 1.2 1.8 2.0 2.3 2.5
Double Diagonal 1-in. X 8-in. Sheathing hlb:S 2.0 1.2 1.7 1.9 2.0 2.5
Vertical I-in. X 100in. Sheathing hlb :s 1.0 1.5 3.1 3.6 3.6 4.1
Wood Structural Panel Sheathing or Sidingl hlb :s 2.0 1.7 3.8 4.5 4.5 5.5
hlb 3.5 1.4 2.6 3.0 6.0 7.0
Stucco on Studs1 hlb:s 1.0 1.5 :U 3.6 3.6 4.0
hlb = 2.0 1.3 2.2 2.5 5.0 6.0
Stucco over 1-in. X HorizonLal Sheathing Izlb :s 2.0 1.5 3.0 3.5 3.5 4.0
Gypsum Plaster on Wood Lath Izlb:s 2.0 1.7 3.9 4.6 4.6 5.1
Gypsum Plaster on Gypsum Lalh hlb :s 2.0 1.8 4.2 5.0 4.2 5.5
Gypsum Plaster on Melal Lalh Izlb :s 2.0 1.7 3.7 4.4 3.7 5.0
Gypsum Sheathing hlb:s 2.0 1.9 4.7 5.7 4.7 6.0
Gypsum Wallboard2 hlb:S 1.0 1.9 4.7 5.7 4.7 6.0
Izlb 2.0 1.6 3.4 4.0 3.8 4.5
Horizontal 1-in. X 6-in. Sheathing with Cut-In Braces IzIb :s 1.0 1.7 3.7 4.4 4.2 4.8
or Diagonal Blocking
Fiberboard or Particleboard Shealhing Izlb:S 1.5 1.6 3.2 3.8 3.8 5.0

Length/Width
Diaphragms 5 Ratio (Llb)

Single Straight Shealhing, Chorded Llb:S 3.0 2.0 2.5 2.4 3.1
Single Straighl Shealhing, Unchorded Llb:S 3.0 1 1.5 2.0 1.8 2.5
Double Straight Sheathing, Chorded Llb:s 3.0 1.25 2.0 2.5 2.3 2.8
Double Slraight Sheathing, Unchorded Llb:S 3.0 I 1.5 2.0 1.8 2.3
Single Diagonal Shealhing, Chorded Llb:S 3.0 1.25 2.0 2.5 2.3 2.9
Single Diagonal Shealhing, Unchorded Llb:S 3.0 1 1.5 2.0 1.8 2.5
Slraight Sheathing over Diagonal Sheathing, Chorded Llb:S 3.0 1.5 2.5 3.0 2.8 3.5
Straight Sheathing over Diagonal Sheathing. Llb:S 3.0 1.25 2.0 2.5 2.3 3.0
Unchorded
Double Diagonal Shealhing, Chorded Llb:S 3.5 I.S 2.5 3.0 2.9 3.5
Double Diagonal Shealhing. Unchorded Llb:S 3.5 125 2.0 2.5 2.4 3.1
Wood Structural Panel, Blocked, Chorded2 Llb:S 3.0 1.5 3.0 4.0 3.0 4.5
Llb = 4 l.5 2.5 3.0 2.8 3.5
Wood Structural Panel, Unblocked, Chorded 2 Llb:S 3 1.5 2.5 3.0 2.9 4.0
Llb = 4 1.5 2.0 2.5 2.6 3.2
Wood Structural Panel, Blocked, Unchorded 2 Llb:S 2.5 1.25 2.5 3.0 2.9 4.0
Llb = 3.5 1.25 2.0 2.5 2.6 3.2

242
 ASCE/SEI 41-06

m-Factors
Primary Secondary
Length/Width
Diaphragms 5 Ratio (Llb) 10 LS CP LS CP
2
Woüd Structund Panel, Unblocked, Unchorded Llb:s 2.5 1.25 2.0 2.5 2.4 3.0
Llb 3.5 1.0 1.5 2.0 2.0 2.6
Wood Structural Panel Overlay on Sheathing, Chorded 2 Llb 3 1.5 2.5 3.0 2.9 4.0
Llb 4 1.5 2.0 2.5 2.6 3.2
Wood Structural Panel Overlay on Sheathing, Llb:s 2.5 1.25 2.0 2.5 2.4 3.0
Unchorded2 Llb = 3.5 1.0 1.5 2.0 \.9 2.6
Conlponents/Elements
Frame Components Subject 10 Axial Tension ami/or 1.0 2.5 3.0 2.5 4.0
Bending
Frame Components Subject 10 Axial Compression Force-controlled
Wood Piles, Bending and Axial 1.2 2.5 3.0
Cantilever Pole Slructures, Bending and Axial 1.2 3.0 3.5
Pole Structures With Diagonal Bracing 1.0 2.5 3.0
Connectors4
Nails-8d and Larger-Wood 10 Wood 2.0 6.0 8.0 8.0 9.0
Nails-8d and Larger-Metal lo Wood 2.0 4.0 6.0 5.0 7.0
Screws- Wood to Wüod 1.2 2.0 2.2 2.0 2.5
Screws-Metal to Wood 1.1 1.8 2.0 1.8 2.3
Lag Bolts- Wood lo Wood 1.4 2.5 3.0 2.5 3.3
Lag Bolls-Metal to Wood 1.3 2.3 2.5 2.4 3.0
Machine Bolts- Wood to Wood 1.3 3.0 3.5 3.3 3.9
Machine Bolts-Metal to Wood 1.4 2.8 3.3 3.1 3.7
Split Rings and Shear Plates 1.3 2.2 2.5 2.3 2.7

'Shear walls shall be penniued 10 be c1assified as secoodary compooeots or oonslructural compooents, subject lo Ihe limilations of Section 3.2.2.3.
Acceptaoce criteria need oot be coosidered fol' waJls c1assified as secondary or noostructural.
'Lioear interpolalioo shall be permitted for iotermediale values of aspecl ratio.
3Shear waJl componeots with aspect ralios exceeding maximum Iisted values shall oot be coosidered effeclive io resisling lateral loads.
4Actions on conoectors 001 listed in Ihis lable shall be considered force-conlrolled.
sFor diaphragm components with aspeCI ratios between maximum Iisted values aod 4.0, m-factors shall be decreased by linear interpolatíon
belween Ihe Usted values aod 1.0. Diaphragm compooents with aspecl ralios exceedíog 4.0 shall 001 be considered effective io resistiog lateral
loads.

8.4.6 Vertical Wood Siding Sbear Walls C8.4.6.2 Strength

The strength of vertical wood siding is dependent
8.4.6.1 Stiffness on Ihe width of the boards, the spacing of the studs,
The deflection of vertical wood siding shear walls the spacing of blocking, and the size, number, and
shaIl be determined using Eq. 8-1. Properties used to spacing of the nails. The nail couple method described
compute shear wall dellection and stiffness shall be in the Western Woods Use Book (WWPA 1996) can be
based on Section 8.2.2. used to calculate the capacity of vertical wood siding
in a manner similar to the method used for horizontal
C8.4.6.1 Stiffness siding.
Vertical wood siding has a very low laleral-force­
resistance capacity and is very tlexible. The strength
and stiffness degrade with cyclic loading. These shear 8.4.6.3 Acceptallce Criteria
walls are suítable only where earthquake shear loads For linear procedures, m-factors for use with
are very low and detlection control is not needed. deformation-controlled actions shall be taken from
Table 8-3. For nonlinear procedures, the coordinates of
8.4.6.2 Stre1lgth Ihe generalized force-deformation relation, described
The expected strength of vertical wood siding by Fig. 8-1, and deformation acceptance criteria for
shear walls shall be determíned in accordance with primary and secondary components shaIl be taken
Section 8.2.2. from Table 8-4.

243
SEISMIC REHABILlTATlON OF EXlSTlNG BUlLDlNGS

Table 8-4. Modeling Parameters and Numerical Acceptance Criteria for Nonlinear Procedures-
Wood Components

Acceptance CriteriaS
Acceptable Deformation Ratio 11/11,
Modeling Parameters
Performance Level
Residual
A Component Type
Strength
Av Ratio Primary Secondary
el e e 10 LS CP LS CP
Height/Width
Wood and Light Frame Shear Walls l Ratio (h/b)

Horizontal I-in. X 6-in. Sheathing h/b:S 1.0 5.0 6.0 0.3 2.0 4.0 5.0 5.0 6.0
Horizontal I·in. X 8-in. or l-in. X JO-in. h/b:S 1.0 4.0 5.0 0.3 1.8 3.3 4.0 4.0 5.0
Sheathing
Horizontal Wood Siding over Horizontal h/b:S 1.5 3.0 4.0 0.2 1.5 2.5 3.0 3.0 4.0
1-in. X 6-in. Shealhing
Horizontal Wood Siding over Horizontal h/b:S 1.5 2.6 3.6 0.2 1.4 2.2 2.6 2.6 3.6
¡-in. X 8-in. or I-in. X ID-in. Shealhing
Diagonal l-in. X 6-in. Sheathing h/b:S 1.5 3.3 4.0 0.2 1.6 2.7 3.3 3.3 4.0
Diagonal I-in. X 8-in. Sheathing h/b:S 1.5 3.1 4.0 0.2 1.5 2.6 3.1 3.1 4.0
Horizontal Wood Siding over Diagonal h/b:S2.0 2.5 3.0 0.2 lA 2.1 2.5 2.5 3.0
I-in. X 6-in. Sheathing
Horizontal Wood Siding over Diagonal h/b:S 2.0 2.3 3.0 0.2 1.3 2.0 2.3 2.3 3.0
I-in. X 8-in. Sheathing
Double Diagonal I-in. X 6-in. Sheathing h/b:S 2.0 2.0 2.5 0.2 1.3 1.8 2.0 2.0 2.5
Double Diagonal l-in. X 8-in. Sheathing h/b:S 2.0 2.0 2.5 0.2 1.3 1.8 2.0 2.0 2.5
Vertical I-in. X lO-in. Sheathing h/b :S 1.0 3.6 4.0 0.3 1.7 3.0 3.6 3.6 4.0
Wood Structural Panel Sheathing or Siding2 h/b:S 2.0 4.5 5.5 0.3 1.9 3.6 4.5 4.5 5.5
h/b = 3.5 3.0 4.0 0.2 1.5 2.5 3.0 3.0 4.0
Stucco on Studs2 h/b:S 1.0 3.6 4.0 0.2 1.7 3.0 3.6 3.6 4.0
h/b = 2.0 2.5 3.0 0.2 1.4 2.1 2.5 2.5 3.0
Stucco over l-in. X Horizontal Sheathing h/b:S 2.0 3.5 4.0 0.2 1.6 2.9 3.5 3.5 4.0
Gypsum Plaster on Wood Lath h/b :S 2.0 4.6 5.0 0.2 1.9 3.7 4.6 4.6 5.0
Gypsum Plaster on Gypsum Lath h/b:S 2.0 5.0 6.0 0.2 2.0 4.0 5.0 5.0 6.0
Gypsum PIaster on Metal Lath h/b:S 2.0 4.4 5.0 0.2 1.9 3.6 4.4 4.4 5.0
Gypsum Shealhing h/b :S 2.0 5.7 6.3 0.2 2.2 4.5 5.7 5.7 6.3
Gypsum Wallboard2 h/b :S 1.0 5.7 6.3 0.2 2.2 4.5 5.7 5.7 6.3
h/b = 2.0 4.0 5.0 0.2 1.8 3.3 4.0 4.0 5.0
Horizontal l-ín. X 6-in. Sheathing Wilh Cut-In h/b :S 1.0 4.4 5.0 0.2 1.9 3.6 404 404 5.0
Braces or Diagonal Blocking
Fiberboard or Particleboard Sheathíng h/b:S 1.5 3.8 4.0 0.2 1.7 3.1 3.8 3.8 4.0
Length/Width
Diaphragms J Ratio (L/b)

Single Straight Sheathing, Chorded L/b:S 2.0 2.5 3.5 0.2 1.4 2.1 2.5 2.5 3.5
Single Straíght Sheathing, Unchorded L/b :S 2.0 2.0 3.0 0.3 1.3 1.8 2.0 2.0 3.0
Double Straight Sheathing, Chorded L/b :S 2.0 2.5 3.5 0.2 lA 2.1 2.5 2.5 3.5
Double Straight Sheathing, Unchorded L/b:S 2.0 2.0 3.0 0.3 1.3 1.8 2.0 2.0 3.0
Single Diagonal Sheathíng, Chorded L/b:S 2.0 2.5 3.5 0.2 1.4 2.1 2.5 2.5 3.5
Single Diagonal Sheathing, Unchorded L/b:S 2.0 2.0 3.0 0.3 1.3 1.8 2.0 2.0 3.0
Straight Sheathing over Diagonal Sheathing, Llb:S 2.0 3.0 4.0 0.2 1.5 2.5 3.0 3.0 4.0
Chorded
Straight Sheathing over Diagonal Sheathing, L/b:S 2.0 2.5 3.5 0.3 1.4 2.1 2.5 2.5 3.5
Unchorded

244
 ASCE/SEI 41-06

Acceptance Criteria5
Acceptable Deformalion Ratio t:.jt:.,
Modeling Parameters
Performance Level
Residual
~ Component Type
Strenglh
~y Ratio Primary Secondary
d e e 10 LS CP LS CP

Double Diagonal Sheathing, Chorded Ljb"s; 2.0 3.0 4.0 0.2 1.5 2.5 3.0 3.0 4.0
Double Diagonal Sheathing, Unchorded Ljb"s; 2.0 2.5 3.5 0.2 lA 2.1 2.5 2.5 3.5
Wood Structural Panel, B1ocked, Chordedl Ljb 3 4.0 5.0 0.3 1.8 3.3 4.0 4.0 5.0
Ljb = 4 3.0 4.0 0.3 1.5 2.5 3.0 3.0 4.0
Wood Structural Panel, Unblocked, Chorded1 Ljb "s; 3 3.0 4.0 0.3 1.5 2.5 3.0 3.0 4.0
L/b 4 2.5 3.5 0.3 lA 2.1 2.5 2.5 3.5
Wood Structural Panel, Blocked, Unchorded1 Ljb"s; 2.5 3.0 4.0 0.3 1.5 2.5 3.0 3.0 4.0
Ljb = 3.5 2.5 3.5 0.3 lA 2.1 2.5 2.5 3.5
Wood Slructural Panel, Unblocked, Ljb "s; 2.5 2.5 3.5 OA \A 2.1 25 2.5 3.5
Unchorded 2 Ljb 3.5 2.0 3.0 0.4 1.3 1.8 2.0 2.0 3.0
Wood Slructural Panel Overlay on Shealhing, Ljb"s; 3 3.0 4.0 0.3 1.5 2.5 3.0 3.0 4.0
Chorded2 Ljb = 4 2.5 3.5 0.3 lA 2.\ 2.5 2.5 3.5
Wood Structural Panel Overlay on Shealhing, Ljb 2.5 2.5 3.5 OA lA 2.1 2.5 2.5 3.5
Unchorded 1 Ljb = 3.5 2.0 3.0 DA 1.3 1.8 2.0 2.0 3.0

Conneclions4
Nails- Wood 10 Wood 7.0 8.0 0.2 2.5 5.5 7.0 7.0 8.0
Nails-Melal lo Wood 5.5 7.0 0.2 2.1 4.4 5.5 5.5 7.0
Screws- Wood lo Wood 2.5 3.0 0.2 lA 2.1 2.5 2.5 3.0
Screws- Wood 10 Metal 2.3 2.8 0.2 1.3 2.0 2.3 2.3 2.8
Lag Bolts-Wood ro Wood 2.8 3.2 0.2 1.5 2A 2.8 2.8 3.2
Lag Bolts-Metallo Wood 2.5 3.0 0.2 lA 2.1 25 2.5 3.0
Bolts-Wood lo Wood 3.0 3.5 0.2 1.5 2.5 3.0 3.0 3.5
Bolts-Metalto Wood 2.8 3.3 0.2 1.5 2A 2.8 2.8 3.3

'Sh.:ar wall compon.:nts with aspect ratíos excccdíng maxímum lísted values shall not be considered effeclive in resistíng lateralloads.
'Linear inlerpolalion shall be permitted for intermediate values of aspcct ratio.
"Fur diaphragm components wilh aspecl ratios between maximum lisled values and 4.0. deformalÍon ratios shall be deereased by linear inlerpola­
tion between the Iisted values and 1.0. Diaphragm components with aspect ratios excccding 4.0 shall nol be considered ellectíve in resisting lateral
loads.
4Actions on connectors not listed in this table shall be considered torce-controlled
'Primary and secondary component demands shall be within secondary component acceptance criteria where lhe full backbone curve is explicitly
modeled, including slrength dcgradation and residual strcngth in accordance with Section 3.4.3.2.

8.4.6.4 COIwections nections shall be provided in accordance with

The presence of connections between parts 01' Ihe Section 8.4.1.
vertical wood siding shear wall assembly and other C8.4.6.4 Connections
elements 01' [he lateral-force-resisting system shall be The load capacity of [he vertical siding is low,
verified. If connections are presenl, they need not be which makes the capacity 01' connections between
considered in (he analysis conducted in accordance the shear wall and the other elements of less concern
with Chapler 3. In Ihe absence of connectíons, con­ (see Section 8.2.2.2.2).

245
SEISMIC REHABILlTATION OF EXISTING BUILDJNGS

8.4.7 Wood Siding over Horizontal Sheathing are often suitable for resisting earthquake shear loads
Shear Walls that are modef'dte in magnitude. They also provide
good sliffness for detlection control and damage
8.4.7.1 Stiffness control.
The detlection 01' wood siding over horizontal
sheathing shear walls shall be determined using 8.4.8.2 Strength
Eq. 8- J. ProperlÍes used lO compute shear wall The expected strength of wood siding over diago­
deflection and stitTness shall be based on nal sheathing shall be determined in aceordance with
Section 8.2.2. Seetion 8.2.2.

C8A.7.1 Stiffness C8A.8.2 Strength

Double-layer horizonlal sheathed shear walls are The capacily of wood siding over diagonal shealh­
stiJTer and stronger than single-Iayer horizontal ing is dependen! on the width 01' the boards, Ihe spacing
sheathed shear walls. These shear walls are oflen suit­ of the studs, the size, number, and spacing of the nails,
able for resisting earthquake shear loads that are low the location ofjoints, and Ihe boundary condilions.
to moderale in magnilude. They also provide greater
8.4.8.3 Acceptallce Criteria
slitrness for detlection control and, lhereby, greater
For linear procedures, m-factors fol' use with
damage control.
deformation-conlrolled actions shall be taken from
8.4.7.2 Strength Table 8-3. For nonlinear procedures, Ihe coordinates of
The expected strength 01' wood siding over hori­ the generalized force-deformation relation, described
zontal sheathing shall be determined in accordance by Fig. 8-1, and deformalÍon acceplance crÍleria for
with Section 8.2.2. primary and secondary componenls shall be taken
from Table 8-4.
C8A.7.2 Strmgth
This capaeity is dependent on lhe width 01' the 8.4.8.4 C01wectiollS
boards, the spacing 01' the studs, the size, number, and The conneclions between parts 01' the shear wall
spacing 01' the nuils, and the location 01' joints. assembly and other elements of the JateraJ-l'orce­
resisting syslcm shall be considered in accordance
8.4.7.3 Acceptance CriterÚl with Section 8.4.1.
For linear procedures, m-factors ror use with
deformation-controJled actions shaJl be taken from
8.4.9 Wood Structural Panel Sheathing
Table 8-3. For nonlinear procedures, the coordinates of
the generalized force-deformation relation, described
8.4.9.1 SttfJ'ness ,
by Fig. 8-1, and defonnation acceptance criteria for
The dellection 01' wood structural shear walls al
primary and secondary components shall be taken
yield shall be determined using Eq. 8-2:
fmm Table 8-4.
~\ 8vy h 3/(EAb) + vyh/(Gt)
804.7.4 Connections
The conneclions between parts of the shear wall + O.75h en + (h/b)d" (Eq.8-2)
assembly and other elements 01' the lateraJ-force­ where
resisting system shall be considered in accordunce
wilh Section 8.4.1. Vy shear al yie\d in lhe direction under considera­
lion (Ib/ft);
8.4.8 Wood Siding over Diagonal Sheathing h = shear wall height (ft);
E = modulus oi' elasticity of boundary member (psi);
8.4.8.1 Stiffness A = area of boundary member cross section On. 2);
The detlection of lhese shear walls shall be cu\cu­ b = shear wall wid!h (ft);
lated in accordance with Eq. 8-1. Pmperties used to G modulus of rigidity of wood strucluraJ panel
compute shear wall deflection and stiffness shall be (psi);
based on Section 8.2.2. t effective thickness of wood struclural panel (in.);
da deJlection at yield of tie-down anchorage or
C8.4.8.1 Stiffness dellection at load Ieve\ lo anchorage at end oí'
Horizontal wood siding over diagonal shealhing wall, determined by anchorage details and dead
will provide sli11', strong shear walls. Thcse shear walls load (in.); and

246
 ASCElSEI 41-06

en = naíl deformation at yield load per naíl (in.). (values withoul a cf> factor) are similar to factored
Values listed are for Structural 1 panels; multiply strength value with cf> 1.0.
by 1.2 1'or all other panel grades; A melhod for calculating the capacity of wood
= 0.13 for 6d nails al yield; structural shear walls based on accepted nail values is
= 0.08 for 8d nails al yield; provided in TisselJ (1993). For this method, use
= 0.08 for IOd nails at yield. LRFD-based fastener strengths. Due to the ditJerences
in load-duratíonltime-effect faclors belween lhe allow­
Properties used lO compute shear wall deflection able stress and LRFD formals, direct conversion of
and stitfness shall be based on Section 8.2.2. shear wall tables using the method outlined in Sec­
lion 8.2.2.5 is not permiued. However, the tabulated
C8.4.9.1 Stiffness LRFD design values, with 4> = 1, are intended to be
The response of wood structural panel shear walls 2.0 times the associated allowable stress design
is dependent on the thickness oí' the wood structural values.
panels, the height-to-width (h/b) ratio, the nailing pat­
tern, and other factors. Values for modulus of rigidity, 8.4.9.3 Acceptallce Criterio
G, and effective thickness, 1, for various sheathing For linear procedures, m-factors for use with
materials are contained in Design Capacilies ofAPA deformation-controlled actions shall be taken from
Perfonnance Raled Structural-Use Panels (APA 1995) Table 8-3. For nonJinear procedures, the coordinates 01'
and Plywood Design Specification (APA 1997). the generalized force-deformation relation, described
in Eq. 8-1, and deformation acceptance criteria for pri­
8.4.9.2 Strength mary and secondary components shaIl be taken from
The expected strength of wood structural panel Table 8-4.
shear walls shall be taken as mean maximum strenglhs
obtained experimentally. Expected strengths 01' wood 8.4.9.4 COllllectiollS
struclural panel shear walls shall be permiued to be The connections between parts of the shear wall
based on 1.5 times yield strengths. Yield strengths assembly and other elements 01' the lateral-force­
shall be determined using LRFD procedures conlained resisting system shall be considered in accordance
in AF&PNASCE 16 Standard for Load and with Section 8.4.1.
Resistance Factor Design (LRFD)for Engineered
Wood Construction (ASCE 19%), except lhat the
8.4.10 Stucco 00 Studs, Sheathiog, or Fiberboard
resistance factor, 4>, shall be taken as unity and
expected material properties shaJl be delermined in 8.4.10.1 Stiffness
accordance with Section 8.2.2. The deflection of stucco on studs, sheathing, or
Conversion from tabulaled allowable stress values fiberboard shear walIs shall be determined using
in accordance with Section 8.2.2.5 shall not be permit­
Eq. 8-1. Properties used to compute shear waIl deflec­
ted for wood structural panel shear walls, bUl approved
tion and stiffness shall be based on SectÍon 8.2.2.
allowable stress values for fasteners shalJ be permitted
to be converted in accordance with Section 8.2.2.5 C8.4.10.1 Stifflless
where the slrenglh of a shear waIl is compUled using Stucco is brittle and the lateral-force-resisting
principIes 01' mechanics. capacity of stucco shear walls is low. The walls are
stiff until cracking occurs, bul the strength and stitf­
C8.4.9.2 Strength
ness degrade under cyclic loading. These shear waIls
Shear capacities of wood structural panel shear
are suitable only where earthquake shear loads are
walls are primarily dependenl on lhe naiJing at the ply­
low.
wood panel edges, and the thickness and grade of the
plywood. 8.4.10.2 Strellgth
LRFD-based design values for various configura­ The expected slrength of stucco on studs, sheath­
tions are lisled in the LRFD Manual for Engineered ing, or fiberboard shall be delermined in accordance
Wood Construction (AF&PA LRFD 1996) and the wilh Section 8.2.2.
NEHRP Recommended Provisiolls for Seismic
Regulations for New Buildings and Other Structures C8.4.10.2 Strmgth
(BSSC 2(00). For labuJaled values, sorne references This capacity is dependent on the auachment 01'
provide nominal strength and sorne provide facLored the stucco netting to the studs and the embedment of
strength. Il is expected that nominal strength values lhe neUing in the slucco.

247
SEISMIC REHABILlTATION OF EXISTING BUILDlNGS

8.4.10.3 Acceptance Criteria force-resisting system shall be verified. Ir connections

For linear procedures, m-factors for use with are present, they need not be considered in the analy­
deformation-controlled actions shall be taken from sis conducled in accordance with Chapter 3. If connec­
Table 8-3. For nontinear procedures, the coordinales of tions are absent, they shall be provided in accordance
lhe generalized force-deformation relation, described with Section 8.4.1.
by Fig. 8-1, and deformation acceptance criteria for
primary and secondary components shall be laken C8.4.11.4 Connections
from Table 8-4. The tensile and bearing capacity of the pi aster,
rather than the conneetions, will often govern failure.
8.4.10.4 Connections The relatively low strength of this material makes con­
The connection between the stucco netting and nections between parts of the shear wall assembly and
the framing shall be investigated. The connections the other elements of the lateral-force-resisting system
between the shear wall and foundation, and between 01' less concern.
the shear wall and other elements 01' the lateral-force­
resisting system, shall be considered in accordance 8.4.12 Gypsum Plaster 00 Gypsum Lath
with Section 8.4.1.
8.4.12.1 Stiffness
C8.4.10.4 COllnections The detlection oi" gypsum plaster on gypsum lath
Of less concern is the connection of the stucco to shear walls shall be determined using Eq. 8- J .
the netting. Unlike plywood, the tensile capacity of the Properties used to compute shear wall deflection and
SlUcco material (Portland cement), rather Ihan the con­ stiffness shall be based on Section 8.2.2:
nections, will often govern failure. See Section 8.2.2.2.2.
C8.4.12.1 Stiffness
8.4.11 Gypsum Plaster 00 Wood Lath Gypsum plaster on gypsum lath is similar lo gyp­
sum wallboard (see Section 8.4.13).
8.4.11.1 Stiffness
The detlection of gypsum plaster on wood lath
8.4.12.2 Strength
shear walls shall be determined using Eq. 8-1.
The expected strength of gypsum plastcr on gyp­
Properties used to compute shear waIl detlection and
sum lath shear walls shalI be dctermined in accordance
stiffness shal1 be based on Section 8.2.2.
with Section 8.2.2.
C8.4.11.1 Stiffness
Gypsum plaster shear walls are similar to stucco, 8.4.12.3 Acceptance Criteria
except their strength is lower. As is the case for stucco, For linear procedures, m-factors for use with
deformation-controlled actions shall be laken fmm
the walls are stiff until failure but the strength and
Table 8-3. For nonlinear procedures, the coordinates of
stiffness degrade under eyclic loading. These shear
the generalized force-deformation relation, described
walls are suitable only where earthquake shear loads
by Fig. 8-1, and deformation acceptance criteria for
are very low.
primary and secondary components shall be taken
8.4.11.2 Strength !'rom Table 8-4.
The expected strength of gypsum plaster shall be
determined in accordance with Section 8.2.2. 8.4.12.4 Connections
The presence 01' connections between parts of the
8.4.11.3 Acceptance Criteria shear wall assembly and other elements of the lateral­
For linear procedures, m-factors for use with force-resisting system shall be veritied. If connections
deformalion-controlled actions shall be taken from are present, they need not be considered in the analy­
Table 8-3. For nonlinear procedures, the coordinates of sis conducted in accordance with Chapter 3. If connec­
the generalized force-deformation relation by Fig. 8-1, tions are absent, lhey shall be provided in accordance
and deformation acceptance criteria for primary and with Section 8.4.1.
secondary components shall be taken from Table 8-4.
C8.4.12.4 Connections
8.4.11.4 Connections The tensile and bearing capacity of the plaster,
The presence 01' connections between parts of the rather than the connections, wiU often govern failure.
shear wall assembly and other elements of the lateral­ The relatively low strength of this material makes

248
 ASCE/SEI 41-06

conneclions between parts of the shear wall assembly C8.4.14.1 Stiffness

and the other elements of the lateral-force-resisting Gypsum sheathing is similar to gypsum wallboard
system 01' less concern. (see Seclion 8.4.13.1).

8.4.13 Gypsum Wallboard 8.4.14.2 Strength

The expected strength 01' gypsum wallboard
8.4.13.1 Stiffness shear walls shall be determined in accordance with
The det1ection ol' gypsum wallboard shear walls Sec[ion 8.2.2.
shalJ be detcrmined using Eq. 8-1. Properties used lo
compute shear wall detlection and stiffness shall be
C8.4.14.2 Strength
based on Seclion 8.2.2.
The default capacity listed in Table 8-1 is based
on typical 7-in. nail spacíng of 4-in. or i-in.-thick pan­
C8.4.13.1 Stiffness
els with 4d or 5d nails. Higher capacities can be used
Gypsum wallboard has a very low lateral-force­
if doser nail spacing, multilayers ol' gypsum board,
resisting capacity, bul is relatively stiff until cracking
amI/m [he presence 01' blocking al all panel edges is
occurs. The strength and sliffness degrade under cyclic
veritied.
loading. These shear walls are suitable only where
earthquake shear loads are very low.
8.4.14.3 Acceptance Criterio
8.4.13.2 Strength For linear procedures, m-1'actors for use with
The expected strength 01' gypsum wallboard deformation-controlled actions shall be taken fmm
shear walls shall be determined in accordance with Table 8-3. For nonlinear procedures, the coordinates ol'
Section 8.2.2. the generalized force-deformation relation, described
by Fig. 8-1, and deformation acceptance criteria for
C8.4.13.2 Strength primary and secondary components shall be laken
The default capacity listed in Seclion Table 8-1 is 1'rom Table 8-4.
for typical 7-in. nail spacing 01' ~-in. or i-in.-lhick pan­
els wilh 4d or 5d nails. Higher capacities can be used 8.4.14.4 Connections
if closer nail spacíng, multiJayers of gypsum board, The connections between parts of the shear wall
aml/or the presence 01' blocking al all panel edges is assembly and other elements 01' the lateral-force­
verified. resisting syslem shall be considered in accordance
with Seclion 8.4.1.
8.4.13.3 Acceptance Criterio
For linear procedures, m-factors for use with 8.4.15 Plaster 00 Metal Lath
deformation-contmlled actions shall be taken from
Table 8-3. For nonlinear procedures, ¡he coordinates 01' 8.4.15.1 Stiffness
[he generalized force-deformalion relation, described The detlection of plaster on metal lath shear walls
by Fig. 8-1, and deformation acceptance criteria for shaIl be determined using Eq. 8-1. Propertíes used to
primary and secondary componenls shaU be taken compute shear wall detleclion and stiffness shall be
from Table 8-4. based on Section 8.2.2.
8.4.13.4 Connections
The connec[ions between parts ol' [he shear wall C8.4.15.1 Stiffness
assembly and other elements of lhe lateral-force­ PI aster on metal lath is similar to plaster on wood
resisting system shaIl be considered in accordance lath, and the lateral-force-resisting capacily of these
with Sec[ion 8.4.1. shear walls is low. The walls are stiff until cracking
occurs, hut the slrenglh and stiffness degrade under
8.4.14 Gypsum Sheathing cyclic loading. These shear walls are suilable only
where earthquake shear loads are low.
8.4.14.1 Stiffness
The detlection 01' gypsum sheathed shear walls 8.4.15.2 Strength
shaJl be determined using Eq. 8-1. Properties used to The expecled strength of pIaster on metal lath
compute shear wall detlectíon and stiffness shall be shear walls shall be determined in accordance with
based on Section 8.2.2. Section 8.2.2.

249
SElSMIC REHABILlTATION OF EXlSTING BUILDINGS

8.4.1$.3 Acceptance Criteria Table 8-3. For nonlinear procedures, the eoordinates of
For linear procedures, m-factors ror use with the generalized 1'orce-deformalion relation, described
deformation-controlled actions shall be taken from by Fig. 8-1, and derormation acceptance criteria for
Table 8-3. For nonlinear procedures, the coordinates of primary and secondary componenls shall be taken
the generalized force-deformation relation, described from Table 8-4.
by Fig. 8-1, and deformation acceptance crileria for
primary and secondary components shaIl be taken 8.4.16.4 Conneetions
from Table 8-4. The connections between the parts of the shear
waIl assembly and other elements of the lateral-force­
8.4.15.4 Conneetions resisting syslem shall be considercd in accordance
The presence of conneclions between parls of the with Section 8.4.1,
shear wall assembly and olher elements of the lateral­
force-resisting system shall be verified. If connections C8.4.16.4 COllneclions
are present, they need not be considered in the analy­ The capacity and ductility of these connections
sis conducted in accordance with Chapter 3. If connec­ will often determine the failure mooe as well as the
tions are absent, they shall be provided in accordance capacity of the assembly. Ductile connections with
wilh Section 8.4.1. sutTicient capacity will give acceptable performance
(see Section 8.2.2.2.2).
C8.4.15.4 Connee/ions
The lensile and bearing capacity of the plaster, 8.4.17 Fiberboard or Particleboard Sheathing
ralher Ihan the conne~tions, will often govern failure.
The re1atively low slrenglh of this material makes con­ 8.4.17.1 Stifflless
nections between parts of the shear waIl assembly and For structural partícleboard sheathing, see Section
the other elements oí' the lateral-force-resisling system 8.4.9. The det1ectÍon ol' shear walls sheathcd in non­
01' less concern. struclural partícleboard shall be delermíned using
Eq. 8-1. Properties used to compute shcar wall detlec­
8.4.16 Horizontal Lumber Sheathing with Cut-In tion and stiffness shall be based on Section 8.2.2.
Braces or Diagonal Blocking Fiberboard sheathing shall not be considered a struc­
tural element for resisting seismic loads.
8.4.16.1 Stiffness
The det1ection of horizontallumber sheathing e8.4.l7.1 Stiffness
with cut-in braces or diagonal blocking shear walls Fiberboard sheathing is very weak, lacks slilfness,
shull be calculated using Eq. 8-1. Properlies used to and is unable to resíst lateral loads. Particleboard
compule shear wall detlection and stiffness shall be comes in two varieties: one is similar to structural pan­
based on Section 8.2.2. els, the other (nonstructural) is slightly stronger than
gypsum board but more briule. Nonstruclural partícle­
C8.4.16.1 Stiffness board should only be used where earthquake loads are
This assembly is similar to horizontal sheathing very low.
without braces, except thal the cut-in braces or diag­
onal blocking provide higher stiffness al initialloads. 8.4.17.2 Strenglh
After the braces 01' blocking fail (at low 10ads), the The expected slrcngth of structural parlic\eboard
behavior 01' lhe wall is the same as wilh horizontal shall be based on Section 8.4.9. The strength of non­
sheathing without braces. The strength and stiffness structural t1berboard or particleboard sheathed walls
degrade under cycJic loading. shall be determined in accordance with Section 8.2.2.

8.4.16.2 Strength C8.4.17.2 Strength

The expected strength of horizontal shealhing Fiberboard has very low strength and ís therefore
or siding shall be determined in accordance with not considered a struclural element 1'or resísting seis­
Section 8.2.2. míc loads.

8.4.16.3 Aeceptanee Criteria 8.4.17.3 Aceeptance Criteria

For linear procedures, m-factors for use with For linear procedures, m-factors for use with
deformation-controlled actions shall be taken from deformation-controlled actions shall be taken from

250
 AseE/SEl 41-06

Table 8-3. For nonlinear procedures, the coordinates of 8.5 WOOD DIAPHRAGMS
the generalized force-deformation relalion, described
by Fig. 8-1, and deformation acceplance crileria for 8.5.1 General
primary and secondary components shall be laken The expected strenglh of wood diaphragm assem­
from Table 8-4. blies, QCE' shall be delermined in accordance with
Sections 8.5.3 through 8.5.10. The expected slrength,
8.4.17.4 Connections QCE' of braced horizontal diaphragm systems shall be
The connections between parts of structural parti­ delermined in accordance wilh Section 8.5.11.
cIeboard shear waIl assemblies and other elemenls of The effects of openings in wood diaphragms shaIl
lhe lateral-force-resisting system shall be considered in be considered. Chords and collectors shall be added lo
accordance with Section 8.4.1. provide sufticient load capacity around openings lO
The presence of conneclions belween parls of meel the strenglh requiremenls for lhe diaphragm.
nonstructural particleboard shear wall assemblies and Conneclions between diaphragms and other
olher elements of lhe lateral-force-resisting system components including shear walls, diaphragm ties,
shall be verífied. If connections are presenl, lhey coIlectors, cross tíes, and out-of-plane anchors shall be
need not be considered in lhe analysís conducted considered in accordance with Section 83.3, and
in accordance with Chapler 3. If connections are designed for forces calculated in accordance with
absent, they shall be provided in accordance wilh Chapter 3.
Seclion 8.4.1.
e8.5.1 General
C8.4.17.4 C01lnections The behavior of horizontal wood diaphragms is
The capacity and ductilíty of lhe connections in influenced by the type of sheathing, size and amount
structural particJeboard shear walls will often deter­ 01' fasleners, existence of perimeter chord or tlange
mine lhe faílure mode as well as the capacity of the members, and the ratio of span length to width of the
assembly. DUClile connections with sufticienl capacity diaphragm.
will give acceptable performance. The lensile and The presence of any bUl smaJI openings in wood
bearing capacily of lhe nonslructural particleboard, diaphragms will cause a reduction in lhe stiffness and
ralher than the connectíons, will often govero failure. strength of the diaphragm due to a reduced length of
The relatively Iow slrength of this material makes con­ diaphragm available to resist lateral forces. Specíal
neclions between parts of the shear wall assembly and analysis techniques and detailing are required at Ihe
lhe other elements of the lateral-force-resisting system openings. The presence or addition 01' chord members
ol' less concero. around the openings will reduce the loss in stíffness of
Ihe diaphragm and limit damage in the area of the
8.4.18 Ligbt Gage Metal Frame Sbear Walls openings. See Guidelines for the Design of Horizontal
Wood Diaphragms, ATC-7 (ATC 1981) and TisseIl and
8.4.18.1 PÚlSter on MetallAth Elliott (1997) for a discussion of the etfects 01' open­
The criteria for plaster on metal lath shall be ings in wood diaphragms.
based on Section 8.4.15. The presence of chords at lhe perimeter of a
diaphragm will significantly reduce the diaphragm
8.4.18.2 Gypsum Wallboard detlection due to bending, and increase the stiffness 01'
The criteria ror gypsum wallboard shall be based the díaphragm over that of an unchorded diaphragm.
on Section 8.4.13. However, lhe increase in stiffness due to chords in a
single straight-sheathed diaphragm is mini mal due lo
the flexible natUfe of Ihese diaphragms.
8.4.18.3 Wood Structural Panels
The criteria for wood slruclural panel s shal1 be
based on Seclion 8.4.9. The expecled strength values 8.5.2 Types of Wood Diapbragms
of fasteners shall be calculated in accordance with
Section 8.2.2.5, based on approved data. The expected 8.5.2.1 Existing Wood Diaphragms
strength of the wood structural panels shall be
adjusted to account fol' differences in strength values 8.5.2. J. J Single Straight Sheathing Single straight­
of fasteners into light gage melal studs rather than shealhed diaphragms shall inelude diaphragms with
wood studs. sheathing laid perpendicular 10 the framing members.

251
SEISMIC REHABILlTATION OF EXISTlNG BUfLDINGS

C8.5.2. l. 1 Single Straight Sheathing Typically, single 01' the diaphragm is dependent on the size and quantity
straight-sheathed diaphragms consist 01' I-in. X of the nails at each sheathing board.
sheathing laid perpendicular to the framing members;
2-in. X or 3-in. X sheathing may also be present. The 8.5.2.1.4 Diagonal Sheathing with Straight Sheathing
sheathing serves the dual purpose 01' supporting grav­ or Flooring Above Diagonal sheathing with straight
ity loads and resisting shear forces in the diaphragm. sheathing or tlooring aboye shall inelude diaphragms
Most often, l-in. X sheathing is nailed with 8d or with sheathing laid at a 45-degree angle to the framing
IOd nails, with two or more nails per shealhing board members, with a second layer 01' straight sheathing or
at each support. Shear forces perpendicular lo the wood tlooring laid on top 01' the diagonal sheathing at
direction 01' the sheathing are resisted by the nail cou­ a 90-degree angle to the framing members.
pIe. Shear forces parallel to the direction 01' the sheath­
ing are transl'erred through the nails in the supporting C8.5.2.1.4 Diagonal Sheathing with Straight
joists or framing members below the sheathing joints. Sheatlzing or Flooring Above Typically, these consist
01' a lower layer of l-in. X diagonal shealhing laid at a
8.5.2.1.2 Double Straight Sheathing Double straight­ 45-degree angle to the framing members, with a sec­
sheathed diaphragms shall inelude diaphragms with ond layer of straight sheathing or wood tlooring laid
one layer of sheathing laid perpendicular to the fram­ on lop of the diagonal sheathing at a 90-degree angle
ing members and a second layer of sheathing laid to the framing members. Bolh layers of shealhing
either perpendicular or parallel to the tirst layer, where support gravily loads and resist shear forces in lhe
both layers 01' sheathing are fas tened to the framing diaphragm. Sheathing boards are commonly connected
members. with lwo or more 8d nails per board at each support.

C8.5.2.1.2 Double Straight Sheathing Construclion 01' 8.5.2.1.5 Double Diagonal Sheathing Double diago­
double straight-sheathed diaphragms is the same as nally sheathed diaphragms shall inelude diaphragms
that for single straight-sheathed diaphragms, except wilh one layer 01' sheathing laid at a 45-degree angle
that an upper layer of straight sheathing is laid over to the framing members and a second layer 01' sheath­
the lower layer of sheathing. The upper sheathing can ing laid at a 90-degree angle to the tirst layer.
be placed either perpendicular or parallel to the lower
layer of sheathing. If the upper layer 01' sheathing is C8.5.2.1.5 Double Diagonal Sheathing Typically,
parallel to the lower layer, the board joints are usually double diagonally sheathed diaphragms consist of a
offset sufliciently that nails at joints in the upper layer lower layer of I-in. X diagonal shealhing wilh a sec­
01' sheathing are driven into a common sheathing ond layer of I-in. X diagonal sheathing laid at a
board be\ow, with sutlicient edge distance. The upper 90-degree angle to the lower layer. The sheathing sup­
layer 01' sheathing is nailed to the framing members ports gravity loads and resists shear force s in the
through the lower layer of sheathing. diaphragm. The sheathing is commonly nailed with
8d nails, with lwo or more nails per board at each sup­
8.5.2.1.3 Single Diagonal Sheathing Single diagonally port. The recommended nailing for double diagonally
sheathed diaphragms shall inelude diaphragms with sheathed diaphragms is published in lhe Western
sheathing laid at approximately a 45-degree angle and Woods Use Book (WWPA 1996).
connected to the framing members.
8.5.2.1.6 Wood Structural Panel Sheathing Wood
C8.5.2.1.3 Single Diagonal Sheathing Typically, structural panel-sheathed diaphragms shall inelude
l-in. X shealhing is laid al an approximale 45-degree diaphragms wilh wood structural panel, or olher wood
angle to the framing members. In sorne cases 2-in. X slruclural panel s as detined in lhis slandard, raslened
shealhing may also be used. The sheathing supporls lo lhe 1'raming members.
gravity loads and resisls shear forces in the diaphragm.
Commonly, l-in. X sheathing is nailed with 8d nails, C8.5.2.1.6 Wood Structural Panel Sheathing TypicaIly,
with two or more nails per board at each support. The these consist of wood structural panels, such as wood
recommended nailing for diagonally sheathed structural panel or oriented strand board, placed on
diaphragms is published in (he Western Woods Use framing members and nailed in place. DitTerenl grades
Book (WWPA 1996) and the NEHRP Recommended and thicknesses of wood structural panel s are com­
Provisions for Seismic Regulations for New Buildings monly used, depending on requirements 1'or gravily
and Other Structures (BSSC 200ü). The shear capacily load support and shear capacity. Edges at lhe ends of

252
 ASeE/SEI 41-06

the wooo structural panels are usually supported by If a stronger and sLÍffer diaphragm is desired,
the framing members. Edges at the sides of the panels (he joints of the new wood slructural panel overlay
can be blocked or unblocked. In sorne cases, tongue should be placed parallel to the joiots of the existing
and groove wood structural panels are used. Nailing sheathing, with the overlay nailed or stapled to Ihe
pauerns and nail size can vary greatly. Nail spacing is existing sheathing. The edges of the new wood
commonly in the range of 3 to 6 in. on center at the structural panel s should be offset from the joints in
supported and blocked edges of lhe panels, and 10 lo the existing sheathing below by a sufticient distance
12 in. on center al the panel infield. Staples are some­ that the new nails may be driven into the existing
times used to attach the wood struclural panels. sheathing withoul splitting the sheatlúng. If the new
panels are nailed at all edges as described aboye, the
8.5.2.1.7 Braced Horizontal Diaphragms Braced hori­ response of the new overlay will be similar to that
zontal diaphragms shall inelude diaphragms with a of a blocked wooo structural panel diaphragm. As
horizontal truss system al the floor or roof level of the an alternative, new blocking may be installed below
building. all panel joints perpendicular to lhe existing framing
members.
C8.5.2. 1. 7 Braced Horizontal Diaphragms TypicaJly, Because the joints of the overlay and the joints of
these consist of "X" roo bracing and woOO struts form­ the existing sheathing may not be offset consistently
ing a horizontal truss system at the floor or roof levels without cuUing the panel s, it may be advantageous to
of the building. The "X" bracing usuaJly consists of place the wood structural panel overlay at a 45-degree
steel rOOs drawn taut by turnbuckles or nuts. The struts angle to the existing sheathing. If the existing
usually consisl of wood members, which may or may diaphragm is straight-shealhed, the new overlay should
not be part of the gravity-Ioad-bearing system of the be placed at a 45-degree angle lO the existing sheath­
floor or roof. The steel rOOs function as tension mem­ ing and joists. If (he existing diaphragm is diagonally
bers in the horizontal lruss, while the struts function as sheathed, the new wooo structural panel overlay
compression members. Truss chords (similar to should be placed perpendicular to the existing joists at
diaphragm chords) are needed lo resist bending in the a 45-degree angle lo the diagonal sheathing. Nails
horizontal truss system. should be driven ioto the existing sheathing with suffi­
cient edge distance to prevent splitting of the exisling
8.5.2.2 Enhanced Wood Diaphragms sheathing. Al boundaries, nails should be of sufticient
Enhanced wood diaphragms shall inelude exisling length to penetrate the sheathing into the framing
diaphragms rehabilitated by an approved methOO. below. New structural panel overlays shall be con­
nected to shear walls or vertical bracing elements to
C8.5.2.2 Enhanced Wood Diaphragms ensure the effectiveness of the added panel.
Possible rehabilitation methoos for wooo Care should be exercised where placing new
diaphragms are described in Sections 8.5.2.2.1 through wooo structural panel overlays on existing
8.5.2.2.3. diaphragms. The changes in stiffness and dynamic
characteristics of the diaphragm may have negative
C8.5.2.2.1 Wood Structural Panel Overlays on Straight effects by causing increased forces in other components
or Diagonal Sheathing Existing sheathed diaphragms or elements. The increased stiffness and the associated
may be overlaid with new woOO structural panels. increase in dynamic forces may not be desirable in
Nails or slaples may be used lo connect the new slruc­ sorne diaphragms for certain performance levels.
tural panels lo Ihe existing diaphragms. Nails should
be of sufticient length lo provide the required embed­ C8.5.2.2.2 lVood Structural Panel Overlays on Existing
menl into framing members below the sheathing. Wood Structural Panels Existing wood structural panel
These diaphragms typically consisl of new wooo diaphragms may be overlaid with new wood structural
structural panels placed over existing straight or diag­ panels. Panel joints should be offset, or the overlay
onal sheathing and nailed or stapled to the existing should be placed at a 45-degree angle to the existing
framing members through the existing sheathing. If wood structural panels.
Ihe new overlay is nailed to Ihe existing framing mem­ The placement of a new overlay over an existing
bers only-without nailing at the panel edges perpen­ diaphragm should folJow the same constructÍon
dicular to the framing-the response of the new melhoos and procedures as lhose used for straight­
overlay will be similar to that of an unblocked wood sheathed and diagonalIy sheathed diaphragms (see
struclural panel diaphragm. Section C8.5.2.2.l).

253
SEISMIC REHABILITATION OF EXISTlNG BUILDlNGS

C8.5.2.2.3 lncreased Attachment The nailing or attach­ new sheathing la id at approximately a 45-degree angle
ment of the existing sheathing to the supporting fram­ and connected (O the existing framing members.
íng may be increased. Nailing or attachment to the
supporting framing should be íncreased and blocking 8.5.2.3.3 New Double-Diagonal Sheathing New
ror the díaphragm at the wood structural panel joints double-diagonally sheathed wood diaphragms shalJ
should be added. include diaphragms with new sheathing laid at
For straight-sheathed diaphragms, the increase in approximately a 45-degree angle to the existing fram­
shear capacity wilJ be minima!. Double straight­ ing members with a second layer of sheathing la id at
sheathed diaphragms with minimal nailing in the approximately a 90-degree angle lo the tirst layer,
upper or both layers of sheathing may be enhanced where both layers shall be connected to the framing
significantly by adding new nails or staples to the members.
existing diaphragm. The same is (rue for diaphragms
lhat are single diagonally shealhed, double diagonally 8.5.2.3.4 New Braced Horizontal Diaphragms New
sheathed, or single diagonally shealhed with straight braced horizonlal diaphragms shall inelude a new hori­
sheathing or tlooring. zontal [russ system attached to the existing framing at
In sorne cases, increased nailing al the wood the tloor or roof level 01' the building.
structural panel intleld may also be required. Ir the
C8.5.2.3.4 New Braced Horizontal Diaphragms
required shear capacity or stitfness is greater than that
Because new horizontal truss systems wi\l induce new
which can be províded by íncreased attachment, a new
forces on existing framing members, it may be more
overlay on the existing diaphragm may be required (O
economical to design tloor or roof shealhíng as a
provide the desired enhancement.
diaphragm. Thís eliminates the potential need to
strengthen wood members al the compressíon slruts.
8.5.2.3 New Wood Diaphragms
Braced horizontal diaphragms are more feasible whcre
sheathing cannot provide sufl1cient shear capacíty, or
8.5.2.3.1 New Wood Structural Panel Sheathing New
where diaphragm openings reduce the shear capacity of
wood structural panel sheathed diaphragms shall
the diaphragm and additional shear capacity is needed.
inelude new wood structural panels connected to new
framing members, or connected to existing framing
8.5.3 Single Straight Sheathing
members after existing sheathing has been removed.
8.5.3.1 Stiffness
C8.5ol.3.1 New Wood Structural Panel Sheathing
The detlection of straight-sheathed diaphragms
Typically, these consist of wood structural panels­
shall be calculated using Eq. 8-3:
such as wood structural panel or oriented strand
board-nailed or stapled to existing framing members ~y v\L/(2G,/) (Eq.8-3)
after existing sheathing has been removed. Different
where
grades and thicknesses of wood structural panels can
be used, depending on the requirements for gravity G" = diaphragm shear stitl'ness from Table 8-2
load support and diaphragm shear capacity. In most (lb/in.);
cases, the panels are placed with the long dimension L = diaphragm span, distance between shear walls or
perpendicular 10 the framing members, and panel collectors (in.);
edges at the ends of the panel s are supported by, and vy = shear per unit length at yield in the direction
nailed to, the framing members. Edges al the sides of under consideration (lb/in.); and
the panels can be blocked or unblocked, depending on ~y = caIculated diaphragm detlection at yield (in.).
the shear capacity and sliffness required in (he new
diaphragm. Wood structural panels can be placed in Properties used to compute diaphragm detlection
various paUerns as shown in the LRFD Manual for and stift'ness shall be based on Section 8.2.2.
Engineered Wood Construction (AF&PA LRFD 1996)
and the NEHRP Recommended Provisions for Seismic C8.5.3.1 Stifftless
Regulations for New Buildings and Other Structures Straight-sheathed diaphragms are characterized by
(BSSC 2000). high tlexibility with a long period 01' vibration. These
diaphragms are suitable for low shear conditions
8.5.2.3.2 New Single-Diagonal Sheathing New single­ where control of diaphragm detlections is nol needed
diagonally sheathed wood diaphragms shall inelude lo auain lhe desired performance levels.

254
 ASCE/SEI 41-06

8.5.3.2 Strellgth sheathed diaphragm, but very liule test data are avail­
The expected strength of straight-sheathed able on the stiffness and slrength of Ihese diaphragms.
diaphragms shall be determined in accordance with Both layers of straight sheathing must have sufticient
Section 8.2.2. nailing, and Ihe joints 01' the lop layer must be either
offset or perpendicular to the bonom layer.
C8.5.3.2 Strellgth
The expected capacity of straight-sheathed
8.5.4.2 Strength
diaphragms is dependent on the size, number, and
The expected slrenglh 01' double straight-sheathed
spacing belween the nails at each shealhing board, and
diaphragms shall be determined in accordance with
the spacing of Ihe supporting framing members. The
SeclÍon 8.2.2.
shear capacily of straight-sheathed diaphragms can be
calculated using the nail-couple method. See Guide­
Unes lor the Design ol Horizontal Wood Diaphragms, C8.5.4.2 Strength
ATC-7 (ATC 1981) for a discussion of calculating the The strenglh and stiffness 01' double straight­
shear capacily of slraight-sheathed diaphragms. sheathed diaphragms is highly dependenL on !he nail­
ing 01' Ihe upper layer 01' sheathing. If Ihe upper layer
8.5.3.3 Acceptance Criterio has mínimal nailing, the íncrease in strenglh and sliff­
For linear procedures, m-1'actors for use wilh ness over a single straighl-sheathed diaphragm may be
deformatíon-controlled actions shall be taken from slighl. Ir the upper layer 01' sheathing has nailing simi­
Table 8-3. For nonlínear procedures, the coordinates of lar 10 that of the lower layer 01' sheathing, ¡he increase
!he generalized force-deformation relation, described in strenglh and stiffness will be signiticant.
by Fig. 8-1, and deformation acceptance criteria shall
be taken 1'rom Table 8-4. 8.5.4.3 Acceptance Criterio
For linear procedures, m-factors for use with
C8.5.3.3 Acceptance Criteria deformation-conlrolled actions shall be taken from
Deformation acceptance criteria willlargely Table 8-3. For nonlinear procedures, Ihe coordinates of
depend on the allowable de1'ormations for other struc­ lhe generalízed force-deformation relarion, described
tural and nonstruclUral components and elements Ihal by Fig. 8-1, and deformalion acceplance críteria shall
are lalerally supported by the diaphragm. Allowable be taken from Table 8-4.
deformalions must also be consislent wilh lhe permis­
sible damage slate 01' lhe diaphragm.
8.5.4.4 Connections
8.5.3.4 Conlleclions Connections between diaphragms and shear walls
Connections between diaphragms and shear walls and other vertical elements shall be considered in
and olher vertical elements shall be considered in accordance with SeclÍon 8.5.1.
accordance with SeclÍon 8.5.1.
8.5.5 Single Diagonal Sheathing
C8.5.3.4 Connections
The load capacÍly of conneclions between 8.5.5.1 St~ness
diaphragms and shear walls or other vertical elements, The deflection of single diagonal1y sheathed dia­
as well as diaphragm chords and shear collectors, is phragms shall be calculated using Eq. 8-3. Properties
critica!. used 10 compute diaphragm deflection and sliffness
shall be based on SeclÍon 8.2.2.
8.5.4 Double Straight Sheathing
C8.5.';.1 Stttrness
8.5.4.1 Stttrness
Single diagonally sheathed diaphragms are signif­
The denection of double straight-sheathed dia­
ieantly stiffer Ihan straight-shealhed diaphragms, but
phragms shall be calculated using Eq. 8-3. Properties
are still quite flexible.
used to compute diaphragm deflection and stiffness
shalI be based on Seclion 8.2.2.
8.5.5.2 Strength
C8.5.4.1 Stttrness The expected strength for diagonally sheathed
The double-sheathed syslem will provide a signif­ wood diaphragms wilh chords shall be determined in
icant increase in sli1'fness over a single straight­ accordance with Section 8.2.2.

255
SEISMIC REHABILlTATION OF EXlSTING BlIILDINGS

C8.5.5.2 Strength C8.5.6.2 Strength

Diagonally sheathed diaphragms are usualIy capa­ Shear capacity is dependen! on the nailing 01' the
ble of resístíng moderate shear loads. diaphragm. The strength and sti1'fness of diagonally
Because the diagonal sheathing board s function in sheathed diaphragms with straight sheathing aboye is
tension and compression lo resíSl shear forces in the highly dependent on the nailing of both layers of
diaphragm, and the board s are placed at a 45-degree sheathing. Both layers 01' sheathing should have at
angle lo lhe chords al lhe ends 01' lhe diaphragm, lhe least two 8d common nails per board al each support.
componenl 01' the force in the shealhing boards lhat is
perpendicular lo the axis 01' lhe end chords will cl'eate 8.5.6.3 Acceptance Criteria
a bending force in the end chords. Ir the shear in diag­ For linear procedures, m-factors for use with
onally shealhed diaphragms is limited to approxi­ del'ormation-controlled actions shall be takcn from
mately 300 lb/ft 01' less, bendíng forces in the end Table 8-3. For nonlinear procedures, the coordinates of
chords are usually neglected. If shear t'orces exceed the generalized l'orce--deformation relalion, described
300 Ib/ft, the end chords should be desígned or rein­ by Fig. 8-1, and deformation acceptance crÍleria shall
forced to resíst bending forces from the sheathing. See be taken from Table 8-4.
Guidelinesfor Ihe Design of Horizontal Wood Dia­
phragms, ATC-7 (ATC 1981) 1'01' methods of calculating 8.5.6.4 Conllections
the shear capacíty of diagonally sheathed diaphragms. Connections between diaphragms and shear walls
and other vertical elements shall be considered in
8.5.5.3 Acceptance Criteria accordance with Section 8.5.1.
For linear procedures, m-factors for use wilh
deformation-controlIed actions shall be taken from 8.5.7 Double Diagonal Sheathing
Table 8-3. For nonlinear procedures, the coordinates of
the generalized force--deformation relation, described 8.5.7.1 St{trness
by Fig. 8-1, and del'ormalion acceplance criteria shaIl The detlection of double diagonally sheathed
be taken from Table 8-4. diaphragms shall be calculated using Eg. 8-3.
Properties used to compute diaphragm dellection and
8.5.5.4 Connections stiffness shall be based on Section 8.3.2.
Connections between diaphragms and shear walls
and other vertical elements shalI be considered in C8.5.7.1 St{trlless
accordance with Section 8.5.1. Double diagonally sheathed diaphragms have
greater stil'l'ness than diaphragms with single diagonal
8.5.6 Diagonal Sheathing with Straight Sheathing sheathing. The response ol' these diaphragms is similar
or Flooring Above to the response of diagonally sheathed diaphragms
with straight sheathing overlays.
8.5.6.1 St{trness The increased stiffness 01' these diaphragms may
The det1eclion 01' diagonally sheathed diaphragms make them suitable where Life Safety or Immediate
with straight sheathíng or tlooring aboye shall be cal­ Occupancy Structural Pert'ormance Levels are desired.
culated using Eg. 8-3. Properties used to compute
diaphragm detlection and stiffness shall be based on 8.5.7.2 Strellgth
Section 8.2.2. The expected slrength of double diagonally
sheathed wood diaphragms shall be detcrmined in
C8.5.6.1 St{trness accordance with Section 8.2.2.
Straight sheathing or tlooring over diagonal
sheathing provides a significant increase in stiffness C8.5.7.2 Strengtll
over single-sheathed diaphragms. The increased stiff­ Shear capacity is dependent on the nailing 01' the
ness of these diaphragms may make them suitable diaphragm, but these diaphragms are usually suitable
where Lite Safely or Immediale Occupancy Structural for moderate 10 high shear loads.
Performance Levels are desired. Shear capacities are similar to those 01' diagonally
sheathed diaphragms with straight-sheathing overlays.
8.5.6.2 Strength The sheathing boards in both layers 01' sheathing
The expected strength of diagonally sheathed should be nailed with at least two 8d common nails at
diaphragms with straight shealhing 01' flooring aboye each support. The presence 01' a double layer 01' diago­
shall be determined in accordance wilh Section 8.2.2. nal sheathing will eliminate the bending forces that

256
 ASCFlSEI41-06

single diagonally sheathed diaphragms impose on the Alteroatively, a more rigorous calculadon 01'
chords at the ends of the diaphragm. As a result, the diaphragm det1ection based on rational engineering
bending capacity of the end chords does not have an principIes shall be permitted.
effect on the shear capacity and stiffness of the The detlection of blocked and chorded wood
diaphragm. structural panel diaphragms with variable nailing
across the diaphragm length shall be determined using
8.5.7.3 Acceptance Criteria Eq.8-5:
For linear procedures, m-factors for use with
deformatÍon-controlled actions shalI be taken from á y = 5vyLl/(8EAb) + vyL/(4Gt)
Table 8-3. For non linear procedures, the coordinates of + 0.376Le n + ';i,(á e X}/(2b) (Eq.8-5)
the generalized force-deformation, described by
Fig. 8-1, and deformation acceptance criteria shalI be Alternatively, a more rigorous calculation of
taken from Table 8-4. diaphragm detlection based on rational engineering
principies shall be permitted.
8.5.7.4 Connections The det1ection of unblocked diaphragms shall be
Conneclions between diaphragms and shear walls calculated using Eq. 8-3. Properties used lo compute
and other vertical elements shall be considered in diaphragm detlection and stiffness shall be based on
accordance with Section 8.5.1. SectÍon 8.2.2.

8.5.8 Wood Structural Panel Sheathing C8.5.8.1 Stiffness

The response of wood structural panel diaphragms
8.5.8.1 St{tfness is dependent on the thickness 01' the wood structural
The det1ection 01' blocked and chorded wood panels, the length-to-width (L/b) ratio, nailing pattero,
structural panel diaphragms wÍlh constant nailing and presence 01' chords in the diaphragm, as well as
across the diaphragm length shall be determined using other factors. Values for modulus rigidity, G, and
Eq.8-4: e1'fective thickness, t, 1'or various sheathing materials
are contained in Design Capacities ofAPA
áy 5vP/(8EAb) + l'yL/(4Gt) Pelformance Rated Structural-Use Panels (APA 1995)
+ O.188Le n + ';i,(á cX)/2b (Eq. 8-4) and Plywood Design Specificatioll (APA 1997).
In most cases the area 01' the diaphragm chord
where
equals the area 01' the continuous wood (or steel)
A area of diaphragm chords cross seclion (in. 2 ); member to which the sheathing is aUached. For build­
b diaphragm width (ft); ings wilh wood diaphragms and concrete or masonry
E = modulus of elasticity of diaphragm chords walls, however, the area oí' the díaphragm chord is
(psi); more difticult to identify and engineering judgment is
ell = naH deformalion al yield load per nail (in.). required. The tension arca of the diaphragm chord on
Values lisled are for Structural 1 panels; both edges of lhe diaphragm should be used 1'or
muItiply by 1.2 ror all other panel grades; detlection calculations. Generally, Ihis is conservative
0.13 for 6d naíls at yield; as it results in a larger calculaled detlection. Use of Ihe
= 0.08 for 8d nails at yield; tension arca 01' the diaphragm chord may not yield
= 0.08 for IOd nails al yield; conservative results, however, where calculating the
G = modulus of rigídity of wood structural pan­ period 01' the building using Eq. 3-8.
els (psi); The term ácX is determined by multiplying the
L diaphragm span, distance between shear assumed diaphragm chord slip at a single chord splice,
walls or coIleetors (ft); á e, by the dislance, X, 1'rom diaphragm chord splice to
t = effective thickness 01' wood slructural panel Ihe nearest supporl (shear wall).
for shear (in.); An alternate constanl that can be used in the nail
vy = shear al yield in the direction under consid­ slip conlribution term where panel nailing is not uni­
eration (lb/ft); form is provided in Appendix C 01' the Diaphragms
á y ca1culated det1ection 01' diaphragm at yield and Shear Walls DesignlConstruction Guide (APA
(in.); and 2001).
k(ácX) sum 01' individual chord-splice slip values Example calculations 01' diaphragm deflection are
on both sides of the diaphragm, each mulli­ provided in Design Example A.I of the Structural
plied by its dístance to the neares! support. Use Panel Shear Wall and Diaphragm Supplemellt

257
SEISMIC REHABILlTATION OF EXISTING BUILDINGS

(AF&PA ASD 200 1) and Design of Wood Structures by Fig.. 8-1, and deformation acceptance criteria shall
(Breyer el al. 1999). be taken from Table 8-4.

8.5.8.2 Strmgth 8.5.8.4 Connections

The expected strength of wood structural panel ConnecLÍons belween diaphragms and shear walls
diaphragms shall be laken as mean maximum and other vertical elements shall be considered in
strengths obtained experimenlally. Expected strengths accordance with Seclion 8.5.1.
shall be permiued lO be based on 1.5 limes yield
slrenglhs of wood structural panel diaphragms. Yield 8.5.9 Wood Structural Panel Overlays on Straight
slrenglhs shall be determined using LRFD procedures or Diagonal Sheathing
conlained in AF&PNASCE 16 Standardfor Load and
Resistance Factor Design (LRFD)for Engineered 8.5.9.1 Stiffness
Wood Construction (ASCE 1996), except thallhe Placement of the new wood structural panel over­
resistance factor, 4>, shall be laken as unity and lay shall be consistent with Section 8.5.2.2.
expecled material properties shall be determined in The deflection oí' wood struclUral panel overlays
accordance with Section 8.2.2. on straight or diagonally sheathed diaphragms shall be
Conversion ror tabulated allowable stress values in calculated using Eq. 8-3.
accordance with Section 8.2.2.5 shall not be permiUed
for wood structural panel diaphragms, but approved «78.5.9.1 Stiffness
allowable stress values for rasteners shall be permiued The stiffness of existing straight-sheathed
lo be converted in accordance wilh Seclion 8.2.2.5 diaphragms can be increased signiticantly by placing a
where the slrength of a shear wall is computed using new wood structural panel overlay over lhe existing
principies 01' mechanics. diaphragm. The stitTness of existing diagonally
The expecled shear capacity of unchorded sheathed diaphragms and wood structural panel
diaphragms shall be calculated by multiplying lhe diaphragms will be increased, but not in proportion lo
values given for chorded diaphragms by 0.60. the stitIness increase ror straight-sheathed diaphragms.
Depending on the nailing oí' the new overlay, the
C8.5.8.2 Strength response of lhe diaphragm may be similar lo thal 01' a
Shear capacilies of wood slruclural panel blocked or an unblocked diaphragm.
diaphragms are primarily dependent on (he nailing at The increascd stitrness 01' lhese diaphragms may
the wood struclUral panel edges, and the thickness and make them suilable where Life Safety or lmmediate
grade of the wood structural panel in the diaphragm. Occupancy Structural Performance Levels are desircd.
LRFD-based design values for various contigura­
lions are listed in lhe LRFD Manual for Engineered 8.5.9.2 Strength
Wood Construction (AF&PA LRFD 1996) and the Slrength 01' wood slructural panel overlays shall
NEHRP Recommended Provisiotls for Seismic be determined in accordance with Section 8.3.2.2. Jt
Regulatíons for New Buildíngs and Other Structures shall be permitted lo lake the expected strength of
(BSSC 2000). A method for calculating the capacity of wood slructural panel overlays as Ihe value for Ihe cor­
wood structural panel diaphragms based on accepted responding wood struclural panel diaphragm wilhout
nail values and panel shear strength is provided in the existing sheathing below. compuled in accordance
Tissell and ElIiolt (1997). For lhis melhod, use LRFD­ with Section 8.5.8.2.
based fastener strenglhs. Due lo the differences in load
duration/time effecl facLOrs between lhe alJowable 8.5.9.3 Acceptance Criteria
stress and LRFD formals, direcl conversion 01' For linear procedures, m-factors for use with
diaphragm lables using the melhod outlined in Sec­ deformation-controlled actions shall be taken from
tion 8.2.2.5 is nol permitted. However, lhe tabulated Table 8-3. For nonlinear procedures, the coordinales of
LRFD design values, wilh 4> 1, are intended to be the generalized IUfce-deformation relation. described
2.0 times the associated allowable stress design values. by Fig. 8-1, ano oeformation acceptancc crileria shall
be laken from Table 8-4.
8.5.8.3 Acceptance Criteria
For linear procedures, m-factors for use with 8.5.9.4 Connections
delurmation-controlled actions shall be laken from Connections between diaphragms and shear walls
Table 8-3. For nonlinear procedures, the coordinates 01' and other vertical elements shall be considered in
the generalized force-deformation relation, described accordance with Seclion 8.5.1.

258
 ASeE/S El 41-06

8.5.10 Wood StructuraJ Panel Overlays on Existing inelude friction or end-bearing piles Ihat resist only
Wood Structural Panel Sheatbing vertÍcalloads.

8.5.10.1 Sliffness C8.6.1 Types of Wood Foundations

Diaphragm defleclÍon shall be calculaled in accor­ l. Wood Piling. Wood piles are generally used wilh a
dance with Eq. 8-3 or using accepled principies of concrete piJe cap and are usuaJly keyed into the
mechanics. Nails in Ihe upper layer of wood slruclural base of the concrete cap. The piles are usuaJly
panel shaJl have sufticienl embedmenl in Ihe framing treated with preservatives. Piles are e1assified as
10 meel Ihe requiremenls of AF&PNASCE 16 Standard either friction- or end-bearing piles. Piles are gener­
for Load and Resistance Factor Design (LRFD) for aUy not able to resist uplift loads because of the
Engineered Wood Construction (ASCE 1996). manner in which they are attached to the pile cap.
The piles may be subjected 10 lateral loads from
C8.S.10.1 Stiffness seismic loading, which are resisted by bending of
According lo Tissell and Elliott (1997), Eq. 8-4 is the pUes. The analysis of piJe bending is generally
nOl applicable 10 Iwo-Iayer diaphragms, presumably based on a pinned connection at the top of the pile,
due lo Ihe difticulty in estimaling Ihe combined nail and tixity of the pile at sorne depth established by
slip. Diaphragm deflection may be estimated using the geotechnical engineer. However, it should be
principies of mechanics that inelude consideration of evaluated with consideration for the approximate
nail slip, blocking, and the embedmenl of nails into nature of the original assumption of the depth to
the framing. point of fixity. Where baUered piles are present, the
lateral loads can be resisled by the horizontal com­
8.5.10.2 Slrength ponent of the axial load.
Expected strength shall be calculated based on lhe 2. Wood Footings. Wood grillage footings, sleepers,
combined two layers of wood structural panel sheathing, skids, and pressure-treated all-wood foundations
with the strength of the overlay limiled to 75% of the can be encounlered in exisling structures. These
values calculated in accordance with Section 8.5.8.2. foundations are highly susceptible lo delerioration.
The seismic resistance of wood foolings is gener­
8.5.10.3 Acceplance Criteria ally very low; Ihey are essenlialIy dependent on
For linear procedures, m-faclors for use wilh friclion between the wood and soil ror their
deformation-controlled actions shall be taken from performance.
Table 8-3. For nonlinear procedures, Ihe coordinates of 3. Pote Structures. Pole structures resist laleralloads
Ihe generalized force-deformalion relation, described by aCling as canlilevers fixed in Ihe ground, with
by Fig. 8-1, and deformalion acceptance crileria shall the lateral load considered lO be applied perpendi­
be taken from Table 8-4. cular to the pole axis. It is possible to design pole
structures to have moment-resisting capacity at
8.5.10.4 Conneclions tloor and roof levels by the use of knee braces or
Connections between diaphragms and shear walls lrusses. Pole structures are frequently found on
and other vertical elements shall be considered in sloping sites. The varying unbraced lenglhs of Ihe
accordance with Section 8.5.1. poles generally affecl the stiffness and performance
of the structure, and can result in unbalanced loads
8.5.11 Braced Horizontal Diaphragms 10 the various poles along with significant torsional
Braced horizontal diaphragms shaJl be considered distorlion, which musl be investigated and evalu­
in accordance with Section 8.7.1. ated. Additional horizontal and diagonal braces can
Conneclions between members of the horizontal be used to reduce the tlexibility of tall poles or
bracing system and shear walls or other vertical ele­ reduce Ihe torsional eccentricily of the structure.
ments shall be considered in accordance with Sec­
tion 8.5.1. 8.6.2 Analysis, Strength, aod Acceptance Criteria of
Wood Foundations
The expected strength of wood piles shall be com­
8.6 WOOD FOUNDATIONS puted in accordance with Seclion 8.3.2.2. Lateral
detlection of piles under seismic loads shalI be calcu­
8.6.1 Types oC Wood Foundations lated based on an assumed point of fixity. Unless
Types of wood foundations inelude wood piling, rigídly connected 10 the pile cap, wood piles shall be
wood footings, and pole structures. Wood piling shall laken as pinned at lhe topo

259
SEISMIC REHABIUTATION OF EXISTING BUILDlNGS

Flexure and axial loads in wood piles shall be Knee-braced trames produce moment-resisting
considered deformation-controlled. The m-factors shall joints by the addition of diagonal members between
be taken from Table 8-3. columns and beams. The resuIting "semi-rigid" frame
Wood footings shall be thoroughly investigated resists lateral loads. The moment-resisting capacity of
for the presence of deteríoration. Acceptability of soils knee-braced frames varies widely. The controlling part
below wood foolings shall be delermined in accor­ of the assembly is usually the connection; however,
dance with Chapter 4. bending of members can be the controlling feature of
Component and connection strength of pole struc­ sorne trames. Once the capacity of the connection is
tures shall be based on Section 8.2. Pole structures determined, members can be checked and the capacity
shall be modeled as cantilever elements and analyzed of the frame can be determined by statics. Particular
in accordance with Chapter 3. attenLion should be given to the beam-column connec­
F1exure and axialloads in pole structures shall be tion. Additional tensile forces may be developed in
considered deformation-controlled. The m-factors shall this connection due to knee-brace action under vertical
be taken from Table 8-3. Where concenlrically braced loads.
diagonals are added to enhance me capacity 01' the Similar to knee-braced frames, the connections of
pole structure, reduced m-factors taken from Table 8-3 rods to timber tramíng wiIJ usually govern the capac­
shall be used. ity oí' the rod-braced rrame. Typically, the rods act
only in tension. Once the capacity of the connection is
C8.6.2 Analysis, Strength, and Acceptance Criteria determined, the capacity 01' the frame can be deter­
oC Wood FOllndations mined by statics.
The strength of the components, elements, and Braced horizontal diaphragms are described in
connections of a pole structure are the same as for a Section 8.5.2.1.7.
conventional structure.

8.6.3 Rehabilitation Measllres 8.7.1.1 Stiffness

Wood foundations not meeting the acceptance crÍ­ The stiffness and detlection of wood elements
tería for the selected Rehabilitation Objective shall be other ¡han shear walls, diaphragms, and foundations
rehabilitated in accordance with Section 8.3.4. Wood shall be deterrnined based on a mathematícal model or
foundations exhibiting signs oí' deterioration shall be by a test program for the assembly considering the
rehabiJitated 01' replaced. configuratíon, stitTness, and interconnection of lhe
individual components approved by lhe authority
C8.6.3 Rehabilitation Measllres having jurisdiction.
Wood footings showing signs oí' deterioration may
be replaced with reinforced concrete footings. Wood 8.7.1.2 Strength
pole structures can be rehabilitated with the installa­ The capacities 01' individual components, includ­
tion of diagonal braces or other supplemental lateral­ ing connections, shall be determined in accofdance
force-resisting elements. Structures supported on wood with Section 8.3.2.
piles may be rehabilitated by the installation of addi­
lional pi les.
C8.7.1.2 Strength
The strength of wood elements is depende m on
8.7 OTHER WOOD ELEMENTS AND
the strength of the individual components lhat com­
COMPONENTS
prise the assembly. In many cases the capacity of lhe
connections between components will be the limiting
8.7.1 Genera)
factor in the strength of lhe assembly.
Wood elements and components, other than shear
walls, diaphragms, and foundations, shall be consid­
ered in accordance with this section. Where an assem­ 8.7.1.3 Acceptance Criteria
bly includes wood components and steel rods, the rods Design actions shall be comparcd with design
shall be considered in accordance with applicable pro­ capacities in accordance wilh Seclion 3.4.2.2.
visions of Chapter 5. Connections shall be considered in accordance with
Sectíon 8.3.3. Axial tension and axial tension with
C8.7.1 General bendíng shaIl be considered deformation-controlled.
Other wood elements include knee-braced trames, Axial compression and connections between steel rods
rod-braced ffames, and braced horizontal diaphragms, and wood components shall be considered force­
among oLher systems. controlled. The m-factors for deformation-controlled

260
 ASeE/SEI 41-06

actíons shall be taken from Table 8-3 1'or component and passive systems, amI tuned mass and Iiquid
actions listed. The m-factors for deformatíon­ dampers, is provided in this chapter.
controlled component actions not indudOO in Special seismic protective syslems should be eval­
Table 8-3 shall be established in accordance with uatOO as possible rehabilitation slrategies based on the
Section 2.8. For non linear procOOures, coordinates of Rehabilitation Objectives establishOO for (he building.
the generalízed force-deformation relation described Seismic isolation and energy dissipation systems
by Hg. 8-1, and deformation acceptance crÍlería shall are viable design strategies that have already been
be taken from Table 8-4. used for seismic rehabilitation of a number of build­
ings. Other special seismic prolective systems­
CS.7.l.3 Acceptance Critería including active control, hybrid combinations of active
DefOlmalion acceptance crÍleria will largely and passive energy devices, and tunOO mass and liquid
depend on the allowable deformalions for olher stmc­ dampers-may also provide practical solutions in lhe
tural and nonstructural componenls that are supported near fulure. These systems are similar in that they
by the elemen!. Allowable deformations mus! also be enhance performance during an earlhquake by modi1'y­
consistenl with the desired performance level. AClions ing the building's response characteristics.
on connection types Iha! do not appear in Table 8-3 Seismic isolation and energy dissipation systems
(e.g., truss plates) are force-controlled. will not be appropriate design strategies for most
buildings, particularly buildings that have only
LimitOO Rehabilitation Objectives. In general, these
9.0 SEISMIC ISOLATION AND ENERGY
systems will be most applicable to [he rehabilitation of
D1SSIPATION
buildings whose owners desire superior earthquake
performance and can afford the special costs assocí­
atoo with the design, fabrication, and installation of
9.1 SCOPE
seismic isolators and/or energy dissipalion devices.
These costs are typically otfset by Ihe reduced need
Thís chapter sets forth requirements for the Systemalic
1'or stiffening and strengthening measures Ihat would
Rehabililation of buildings using seismic isolation and
otherwise be required to meet Rehabilitation
energy dissipation syslems. Section 9.2 provides
ObjeclÍves.
analysis and design crileria 1'or seismic isolation sys­
Seismic isolation and energy dissipation systems
tems. Section 9.3 provides analysis and design criteria
are relatively new and sophisticaled concepts thal
1'01' passive energy dissipation systems.
require more extensive design and detailed analysis
Components and elements in buildings wilh seis­
Ihan do most conventional rehabilitation schemes.
mic isolalion and energy dissipation systems shall also
SimiJarly, design (peer) review is required for aU reha­
comply with lhe requiremenls of Chapters J through
bilitation schemes Ihat use eÍlher seismic isolation or
8 and 11 of this standard, unless moditiOO by lhe
energy dissipation systems.
requirements of this chapter.
Seismic isolation and energy dissipation systems
include a wide variety of concepls and devices. In
C9.1 SCOPE most cases, these systems and devices will be imple­
mented wÍlh sorne additional conventional strengthen­
The basic form and formulation of requirements for ing of the stmcture; in aH cases they will require
seismic isolation and energy dissipalion systems have evaluation of existing building components. As such,
been established and coordinated with the Rehabili­ Ihis chapter supplements the requirements of other
talion Objectives, target Building Performance Levels, chapters of Ihis document with additional criteria and
and seismic ground shaking hazard crileria of Chap­ methods of analysis that are appropriate for buildings
ter 1 and the linear and non linear procOOures 01' rehabilitated with seismic isolators and/or energy di s­
Chapter 3. sipation devices.
Críteria for modeling the stitfness, strength, and Seismic isolation is increasingly being considered
deformation capacities of conventional structural com­ for historic buildings thal are free-standing and have a
ponents of buildings with seismic isolation or energy basement or bonom space of no particular historic sig­
dissipation systems are given in Chapters 5 through nificance. In selecting such a solution, special consid­
8 and Chapter 10. eration should be given to the possibilíty that historic
Limited guidance for other special seismic sys­ or archaeological resources may be present al the site.
tems, including active control systems, hybrid active Ir historic or archaeological resources are present al

261
SEISMIC REHABILJTATION OF EXISTING BUILDINGS

the sile, the guidance of lhe State Historie Preservation Rehabililalion Objectives established for lhe building
Ofticer should be obtained in a timeIy manner. (Chapler 2). Whether a special seismic syslem is found
Isolation is al so often considered ror essential facili­ lo be the "correct" design strategy for building
ties, to protect valuable conLents, and on buildings rehabilitation wíll depend primarily on lhe perform­
wilh a complete but insulTicienLly sLrong lateral­ ance required at the specified level 01' earthquake
force-resisting syslem. demando In general, special seismic syslems will be
Conceptually, isolation reduces response of the found lo be more attractive as a rehabililalion slralegy
superstructure by "decoupling" the building from the for buildings lhat have more stringent Rehabilitalion
ground. Typical isolation systems reduce 1'orces trans­ Objeclives (i.e., higher levels of performance and more
miued lo the superstructure by lengthening the period severe levels of earthquake demand). Table C9-1 pro­
of !he building and adding some amount of damping. vides some simple guidance on lhe performance levels
Added damping is an inherent property of most isola­ ror which isolalion and energy dissipation systems
tors, but may also be provided by supplemenlal energy should be considered as possible design strategies for
dissipation devices inslalled across Ihe isolation inter­ building rehabililalion.
face. Under favorable conditions, the isolation system Table C9-1 suggesLs thal isolation systems should
reduces drifL in the superstructure by a factor of at be considered for achieving the Immediate Occupancy
leasl Iwo-and sometimes by as much as factor 01' SlruClural Performance Level and the Operalional
tive-from !hat which would occur if the building Nonslructural Performance Leve!. Conversely, isola­
were not isolated. Accelerations are also reduced in lion will tikely not be an appropriale design stralegy
the structure, although lhe amounl 01' reduction for achieving lhe Collapse Prevention Slruclural
depends on the force-detlection characteristics 01' the Performance Leve\. In general, isolalÍon systems pro­
isolators and may not be as signiticant as the reduclion vide signiticant protection Lo the building structure,
of drift. Reduction of drift in lhe superstructure pro­ nonstruclural components, and contents, bUI at a cost
tects structural components and elemenls, as well as lhat preeludes practical application where the budget
nonstruclural componenls sensitive to drift-induced and Rehabililalion Objectives are modesl.
damage. ReduClion of acceleralion protects nonslruc­ Energy dissipalion syslems should be considered
tural components that are sensilive 10 acceleralÍon­ in a somewhal broader conlext lhan isolation systems.
induced damage. For lhe taller buildings (where isolation syslems may
Passive energy dissipation devices add damping nOI be feasible), energy dissipalion systems should be
(and sometimes stiffness) to the building. A wide vari­ considered as a design strategy where performance
ety 01' passive energy dissipalion devices are available, goals inelude the Damage Control Performance
incIuding t1uid viscous dampers, viscoelastic materi­ Range. Convcrsely, certain energy dissipation devices
als, and hysteretic devices. Ideally, energy dissipalíon are quite economical and mighl be practical for per­
devices dampen earthquake excitation 01' the slructure formance goal s lhat address only Limited Safely. In
that would otherwise cause higher levels of response general, however, energy dissipation syslems are more
and damage to componenls of the building. Under Iikely lo be an appropriale design slralegy where Ihe
favorable conditions, energy dissipation devices reduce desired Structural Performance Level is Life SafelY, or
drin of Ihe struclure by a factor of about IWO lO lhree
(ir no stirfness is added) and by larger faclors if lhe Table C9-1. Applicability oC Isolation and Energy
devices also add stitl"ness to Ihe slructure. Energy Dissipation Systems
dissipation devices will also reduce force in the
structure-provided the slruclure is responding
Performance Pel1"ormance Energy
elasticalIy-but would not be expected 10 reduce force
Level Range Isolation Dissipation
in struclures !hat are responding beyond yield.
Active control systems sense and resisl building Operational Damage Very Likely Limited
motion, either by applying external force or by modi­ Control
fying structural properlies of active components (e.g., lmmediate Likely Likely
so-called smarl braces). Tuned mass or Iiquid dampers Occupancy
modify properties and add damping 10 key building Life Limited Limited Likely
modes of vibration. Safety Safety
Special seismic systems, such as isolalion or
Collapse Not Practical Limiled
energy dissipalion systems, should be considered early
Prevention
in the design process and be based on lhe

262
 ASCFlSEJ 41-06

perhaps Immediate Occupancy. Other objectives may a target Building Performance Level of Immediate
also influence lhe decision to use energy dissipation Occupancy or beUer.
devices, since these devices can also be useful for con­ A number of buildings rehabililated wilh seismic
trol of building response due to small earthquakes, isolators have becn historie. For these projects, seismic
wind, or mechanical loads. isolation reduced the extent and intrusion of seismic
moditications on the hístorical fabric of the building
that would otherwise be required to meet desired per­
9.2 SEISMIC 1S0LATlON SYSTEMS formance levels.

9.2.1 General Requirements 9.2.2 Mechanical Properties and Modeling oC

Seismic isolalion systems using seismic isolators, Seismic Isolation Systems
e1assified as eilher elastomeric or sliding, as defined in
Seclion 9.2.2, shall comply wilh lhe requirements ol' 9.2.2.1 General
Seclion 9.2. Properlies of seismic isolation systems Seismic isolators shall be c1assified as eíther elas­
shall be based on Section 9.2.2. Seismic isolation sys­ tomeric or sliding. Elastomeríc isolators shall include
tems shall be designed and analyzed in accordance any one of the following: high-dampíng rubber bear­
with Section 9.2.3. Linear and nonlinear analyses shall ings (HDR), low-damping rubber bearings (RB), or
be performed, as required by Section 9.2.3, in accor­ low-damping rubber bearings with alead core (LRB).
dance with Seclions 9.2.4 and 9.2.5, respeclively. Sliding isolators shall include tlat assemblies or have a
Nonstruclural componenls shall be rehabilitated in curved surface, such as lhe friction-pendulum system
accordance Wilh Section 9.2.6. Addilional require­ (FPS). RoIling syslems shall be characterized as a sub­
ments for seismic isolation systems as detined in set ol' slidíng systems. Rollíng isolalors shall be tlat
Section 9.2.7 shall be met. Seismic isolalion systems assemblíes or have a curved or conícal surface, such as
shall be reviewed and tesled in accordance with lhe ball and cone system (BNC). Isolators that cannot
Sections 9.2.8 and 9.2.9, respectively. be e1assífied as either elastomeric or slídíng are not
The seismic isolarion syslem shall inelude wind­ addressed in this standard.
reslrainl and lie-down systems, if such syslems are
C9.2.2.1 General
required by lhis slandard. The isolalion system also
A seismic isolation system is lhe collection 01' all
shall ¡nelude supplemenlal energy dissípation devices,
individual seismic isolators (and separate wind
if such devices are used lo transmit force between lhe
restraim and tie-down devices, if such devices are used
slruclure aboye lhe isolation syslem and the slruclure
to meet lhe requiremenls of this standard). Seismie
below lhe isolation syslem.
isolation systems may be composed entirely of one
For seismically isolated slructures, lhe coefficients
type 01' seismíc isolator, a eombination of different
C(» C¡. C2, and J detined in Chapter 3, shall be laken
types of seismic isolators, or a combination of seismic
as 1.0
isolators actíng in parallel with energy díssípation
devices (i.e., a hybrid system).
C9.2.1 General Requirements
Elastomeric isolators are typicalIy made of layers
Analysis melhods and design criteria tor seismie
of rubber separaled by steel shims.
isolaLÍon syslems are based on crileria for the
Rehabilitalion Objectives of Chapler l. 9.2.2.2 Mechanical Properties of Seismic 1s01ators
The melhods described in this seclion augmenl
lhe analysis requiremenls of Chapler 3. The analysis 9.2.2.2.1 Elastomeric Isolators Force-deformation
melhods and olher criteria of lhis section are based response properties shall be established for elaslomeric
largely on FEMA 302, NEHRP Recommended ísolators takíng into consideratíon axial-shear interae­
Pmvisions for Seismic Regulations for New Buildings tion, bilateral deformation, load history incIuding the
alld Other Structures (FEMA 1997). eftects ol' scragging of virgin elastomeríc isolalors,
Seismic isolalÍon has lypically been used as a temperalure, and olher environmental loads and aging
rehabilitation slrategy thal enhances lhe performance effecIs over Ihe design Iífe ol' the ísolalor.
of lhe building aboye thal afforded by convenlional For mathemalícal modeling ol' isolators, mechani­
stiffening and strenglhening schemes. Seismic isola­ cal characterislics based on analysis or avaílable mate­
tion rehabililation projects have largeted performance rial test properties shall be permitted. For design,
al least equal lO, and commonly exceeding, the Basic mechanícal characteristícs shall be based on tesIs ol'
Safely Objective of tbis standard, effectively achieving isolator prototypes in accordance wilh SectÍon 9.2.9.

263
SEISMIC REHABlLlTATION OF EXISTING BUILDlNGS

C9.2.2.2.1 Elastomeric lsolators Elastomeric bearings G shear modulus of rubber (typicaJly computed al
represent a common means for introducing tlexibility shear strain of 0.5); and
¡nto an isolated structure. They consist of thin layers A a factor larger lhan uníly.
of natural rubber that are vulcanized and bonded to
Typically,fL is !.IS, and the elaslic sliffness
steel pI ates. Natural rubber exhibits a complex
ranges between 6.5 lo 10 times the post-yield stitfness.
mechanical behavior, which can be described simply
The behavior of lead-rubber bearings may be rep­
as a combination of viscoelastic and hysteretic behav­
resenled by a bilinear hyslerelic model. Computer pro­
joro Low-damping natural rubber bearings exhibit
grams 3D-BASlS (Nagarajaiah el al. 1991; Reinhorn el
essentially Iinearly elastic and Iinearly viscous behav­
al. 1994; Tsopelas el al. 1994b), and ETABS, Version 8
ior al large shear strains. The etfective damping is
(CSI, 2003) have the capabilily of modeling hysleretic
lypically less Ihan or equal lo 0.07 for shear strains in
behavior for isolators. These models typícally require
the range of O to 2.0.
definition 01' three parameters, namely, Ihe post-yield
Lead-rubber bearings are generally construcled of
sliffness kp, Ihe yield force Fr. and the yield displace­
low-damping natural rubber with a preformed central
menl Dy. For lead-rubber bearings in which Ihe elastic
hole into which alead core is press-tiued. Under lat­
stiffness is approximalely equal lo 6.5 kp, lhe yield di s­
eral deformation, lhe lead core deforms in almost pure
placement can be estimated as:
shear, yields at low levels of stress (approximately 8 to
10 MPa in shear al normal temperature), and produces
hysleretic behavior that is stable over many cycles. D
y
=-ª­
S.Sk l
,
(Eq. C9-3)
Unlike mild steel, lead recryslaIlizes at normal
temperalure (about 20 OC), so that repealed yielding The yield force is then given by:
does nol cause fatigue failure. Lead-rubber bearings Fl' = Q + kl'Dy (Eg. C9-4)
generally exhibil characterislÍc slrength Ihal ensures
rigidily under service loads. Figure C9-1 shows an ide­ High-damping rubber bearings are made 01' spe­
alized force--dísplacemem relalion ol' a lead-rubber cial1y compounded rubber that exhibits effective
bearing. The characleristic slrength, Q, is related to Ihe damping between 0.10 and 0.20 of critica\. The
lead plug area, Al" and the shear yield stress oflead, ay/': increase in effective damping of high-damping rubber
is achíeved by (he addition of chemical compounds
(Eq. C9-1) Ihal may also affect other mechanical properties 01'
The post-yield stitfness, kp, is typically higher rubber. Figure C9-2 shows representative force­
Ihan the shear stitfness of the bearing withoul the lead dísplacement loops 01' a hígh-damping rubber bearing
core: under scragged conditions.
Scragging is the process of subjecting an
(Eq. C9-2) elastomeric bearing to one or more cycles of large­
amplitude displacemcnt. The scragging process modi­
where
0.1 r--------r-----------.
Al bonded rubber area;
Pressure =7.0 MPa
~t total rubber thíckness; Frequency =0.1 Hz
Scragged

Force J

-0.1 '-:-_ _ _........_ _ _1-._ _ _'--_ __

-1 o
Shear strain
FIGURE C9-1. Idealized Hysteretic Force­ FIGURE C9-2. Force-Displacement Loops oC a
Displacement Relation oC a Lead-Rubber Bearing. High-Damping Rubber Bearing.

264
 ASCFlSEI41-06

ties the molecular structure of the elastomer and íii'

~ 125r.~~~~----~~~~T-~--~~~
results in more stable hysteresis at strain levels lower ..... el.¡ 0.05 Hz
than that to which the elastomer was scragged. ! 1.00 . .¡ = 0.5 Hz
'3 .¡=1.0Hz
Although it is usually assumed that the scragged prop­ -g 0.75 .
erties of an elastomer remain unchanged with time, E
¡¡ 0.50
recent studies by Cho and Retamal (1993) and Murota .!
et al. (1994) suggest that partial recovery of 111 025
e
unscragged properties is Iikely. The extent of this &OJroL-~------~~~~~~----~~~
recovery is dependent on the elastomer compound. ~ 0.0 0.5 1.0
... 0.20 . -__~~--'-~~~~--r~~__~.---,
Mathematical models capable of describing the
transition between virgin and scragged properties of o
high-damping rubber bearings are not yet available. Jt ~
is appropriate in this case to perform multiple analyses ~0.15
with stable hysteretic models and obtain bounds on the
dynamic response. A smooth, bilinear hysteretic model
that is capable of modeling the behavior depicted in
1
Fig. C9-1 is appropriate for such analyses, as long as 0.5 1.0
Shear stra!n
the peak shear strain is below the stiffening Iimit of
approximately 1.5 to 2.0, depending on the rubber FIGURE C9-3. Tangent Shear Modulus and
compound. Beyond this strain IimÍt many elastomers EtTedive Damping Ratio of High-Damping Rubber
exhibít stiffening behavior, with tangent stiffness Bearing.
approximately equal to twíce the tangent stiffness
prior to iniliation of stiffening. For additional informa­ where Dy is the yield displacement. The yield displace­
tion, refer to Tsopelas and Constantinou (1994a). ment is generally nol known a priori. However, experi­
To iIIustrate the caIculations of parameters from mental data suggest that Dy is approximately equal to
prototype bearings test data, Fig. C9-3 shows experi­ 0.05 lo 0.1 times the total rubber thickness. Lt. With
mentally determined properties oí' the high-damping the yield displacement approximately determined. the
rubber bearings, for whích loops are shown in model can be completely defined by determining the
Fig. C9-2. The properties identified are the tangent yield force (Eq. C9-4). Jt should be noted that the
shear modulus, C, and the effective damping ratio, Peff characteristíc strength may be alternatively delermined
(described by Eq. C9-18), which is now defined for a from the effective sliffness, k eif (Eq. C9-17), of the
single bearing rather than the entire ¡solation system), bearing, as follows:
under scragged conditions. With referencc to
_ 7T{3et¡kejJp2
Fig. C9-1, C ís related to the post-yielding stiffness kp. (Eq. C9-7)
Q - 2(D Dy)
CA
k =- (Eq. C9-5) The effective stiffness is a more readily determined
p Lt
property than the post-yielding sLifiness. The effective
where A is the bonded rubber area. The results of stiffness is commonly used to obtain the effeclive
Fig. C9-3 demonstrate that the tangent shear modulus shear modulus, C eff, defined as:
and equivalent damping ratio are only marginally
affected by the frequency of loading and the bearing Geff = ke([Lt
A
(E
"q.
C9 8)
-
pressure, within the índicated range for the tested elas­
tomer. Difierent conclusions may be drawn from the The behavior of the bearing for which the force­
testing of other high-damping rubber compounds. displacement loops are shown in Fig. C9-2 is now ana­
The parameters of the biJinear hysteretic model lyticaJly construcled using the mechanical properties al
may be determined by use of the mechanical proper­ a shear strain of 1.0 and a bearing pressure of 7.0
ties C and Peff at a specitic shear strain, such as the MPa. These properties are C eff 0.50 MPa and
strain corresponding to the design displacement D. Peff = 0.16. With the bonded area and total thickness
The post-yield stiffness kp is determined l'rom of rubber known, and assuming Dy O. J¿I, a bilinear
Eq. C9-5, whereas the characteristic strength, Q, can hysteretic model was defined and implemented in the
be determined as: program 3D-BAS/S. The simulated loops are shown in
Fig. C9-4, where it may be observed that the calcu­
Q= 7TPeffkpD2
(Eq. C9-6) lated hysteresis loop at shear strain ol' 1.0 agrees well
(2 - 7Tpeff)D - 2Dy

265
SEISMIC REHABILlTATION OF EXISTING BUILDlNGS

with the corresponding experimental hysteresis loop. Considering an elastomeric bearing design with
However, at lower peak shear strain the analylical S = 15, Gel! = ) MPa, and K = 2,000 MPa, the ralio
loops have a constant characteristic strength, whereas 01' vertical stiffness (Eq. C9-9) to effective horizontal
the experimentalloops have a characterislic strength slif1'ness (Eq. C9-8) is approximalely equal lo 700.
dependent on the shear strain amplitude. Nevertheless, Thus, the vertical period of vibralion of a structure on
the analytical model willlikely produce acceptable elastomeric isolation bearings will be about 26 times
results where the design parameters are based on the (i.e.,V70('l) less than the horizontal period, on the
mechanical properties at a strain corresponding lO the order of 0.1 seco This value of vertical period provides
design displacement. potential for amplitication of the vertical ground accel­
Elastomeric bearings have finite vertical stitfness eration by the isolation system. The primary effect of
that affects the vertical response of the isolated struc­ this amplification is lo change the vertical load on the
ture. The vertical slitfness of an elastomeric bearing bearings. which may need lo be considered for certain
may be obtained from design applications.
Another consideration in lhe design of seismically
k = Ec A (Eq. C9-9) isolated struclures wilh e1astomeric bearings is reduc­
v '2:.t
tion in heighl 01' a bearing with increasing lateral
where Ec is the compression modulus. Although a deformation (Kelly 1993). While this reduction of
number of approximate empirical relations have been heighl is typical1y small, it may be important where
proposed for the calculation of Ihe compression modu­ elastomeric bearings are combined with other isolation
lus, the correcl expression for circular bearings is: components that are vertically rigid (such as sliding

e
I
E = ( --+
6GenS 2
-4
3K
)-1 (Eq. C9-10)
bearings). In addítion, incompatibilities in vertical dis­
placements may lead to a redistribution 01' loads.

(Kelly 1993) where K is the bulk modulus (Iypically 9.2.2.2.2 Sliding lsolators Force--deformalion response
assumed lo have a value of 2,000 MPa) and S is the properlies shall be eslablished ror sliding isolators,
shape factor, which is defined as the ratio 01' the taking into consideration conlact pressure, rate of
loaded area lo the bonded perimeler of a single rubber loading or veJocity, bilaleral deformation, temperature,
layer. For a circular bearing oí' bonded diameter ~ and contamination, and other environmenlal loads and
rubber layer thickness t, the shape factor is given by: aging effects over the design life of the isolator.
Mechanical characterislics for use in mathemati­
S= ~ (Eq. C9-1l) cal models shall be based on analysis and available
4t material lest properties. Verificalion of isolalor proper­
Seismic elastomeric bearings are generally designed lÍes used for design shall be based on tesIS of isolator
with a ¡arge shape factor, Iypically 12 lo 20. prolotypes in accordance with Section 9.2.9.

C9.2.2.2.2 Sliding lsolators Sliding bearings will tend

u.! .----------,--------:"'1 lo limit the transmission of force lo an isolated slruc­
lure lo a predetermined leve!. While Ihis is desirable,
Ihe lack of significant restoring force can resull in sig­
nificant variations in the peak displacemenl response,
and can resull in pcrmanent offsel displacements. To
avoid these undcsirable features, sliding bearings are
typically used in combination with a restoring force
mechanism.
Thc laleral force developed in a sliding bearing
can be detined as:
N .
F R U + JL,N sgn( U) (Eq. C9-12)
-0.1 ' _ _ _ _-'---_ _ _..L-_ _ _- ' -_ _ _..J
where
-1 o
Shear strain U displacement;
FIGURE C9-4. Analytical Force-Displacement U sliding velocity;
Loops of High-Damping Rubber Bearing. R radius of curvalure oí' sliding surface;

266
 ASCE/SEI41-06

JL., = coefficienl of sliding friclion; Such an arrangement typically results in a very low
. N = normal load on bearing; and coeft1cient of fTiction.
sgn(V) = sign of sliding velocity vector; + l or -l. For bearings with large contact area, and in the
absence of liquid lubricants, the coefticient of friction
The normal load consists oí' the gravily load, W, depends on a number of parameters, of which the
the effect 01' vertical ground acceleraLion, V., and [he three most important are lhe composition of Ihe sJiding
addilional seismic load due lo overlurning momenl, P,: interface, bearing pressure, and velocity of sliding. For
interfaces composed of polished stainless sleel in con­
tacl with PIFE 01' PTFE-based composites, the coeftl­
(Eq. C9-13) cienl of sliding friction may be described by:

TIle first term in Eq. C9-13 denotes the resloring force

¡.t, = fmax (fmux fmin) exp( -alirl) (Eq. C9-14)
componenl, and the second lerm describes lhe friction where paramelers fmin and j~1UX describe the coefticient
force. For tlat sliding bearings, the radius of curvature of friclÍon at small and large velocities of slidíng and
is infinile, so the restoring force term in Eq. C9-13 under constant pressure, respectívely, aIl as depicted in
vaníshes. For a spherical sliding surface (Zayas et al. Fig. C9-6. Parameters f 11iüX' .f,rúfl' and a depend on the
1987), the radius of curvature is constant, so lhe bear­ bearing pressure, although only the dependency offmax
íng exhibits a linear restoring force; thal is, under con­ on pressure is of practical significance.
stanl gravity load the stiffness is equal to W/ Ro> where A good approximation to Ihe experimental data
Ro is the radius of the spherical sliding surface. Where (Constantinou et al. J993) is
lhe sliding surface lakes a conical shape, the reslOring
force is constant. Figure C9-5 shows idealized
J'-. fmaxo - (fm<uv - fmaxp) lanh ep (Eq. C9-15)
force-displacemenlloops of sliding bearings Wilh tlat, where the physical signifjcance of parameters fma:w and
spherical, and conical surfaces hlfllP is as illustrated in Fig. C9-6. The teren p is the
Sliding bearings with either a tlat or single curva­ instantaneous bearing pressure, which is equal to the
ture spherical sliding surface are lypically made of normal load N compuled by Eq. C9-13, divided by
polytetratluoroelhylene (PTFE) or PTFE-based com­ the contact area; and e is a parameler that controls the
posites in conlacl with polished slainless steel. The variation of fmax with pressure.
shape of the sliding surface allows large contact areas Figure C9-6 iIIustrates anolher feature of slidíng
that, depending on lhe materials used, are 10adCd lo bearings. On initiation of motion, the coeft1cient of
average bearing pressures in the range of 7 to 70 MPa. fricuon exhibits a stalic or breakaway value, JLB' which
For interfaces with shapes other than flat or spherical, is typicaIly higher than the minimum value fmin' To
lhe load needs to be transferred lhrough a bearing as demonslrate frictional properlies, Fig. C9-6 shows lhe
iIlustrated in Fig. C9-5 for the conical sliding surface. relatíon between bearing pressure and lhe fr¡ctíon

Flal aliding Spherical aliding Conical aliding

Burface aurface surface

R
/
Ro W

~:
Wfan<l'

Displacement

FIGURE C9-5. Idealized Force-Displacement Loops of Sliding Bearings.

267
SEISMIC REHABILlTATION OF EXISTING BUILDlNGS

0.12 o Tests al U.C.Beñ.81'y (1981)

• TesIs al U. BII/falo (BrIdge_1II92)
1:
O 0,10 • T.SIS al U BúflaJo (NII«, _9191)
ti
--
'C
O
1:
0.08"

0.06' '
ó ú T,ol. al ue, eerUhoy (t 992-199a)

J]lnrrlr~"~~~)fm~
Q)
'O 0.04 '~---~f '
;:
Q)
mm
O 0.02­
O
0.00
O 50 1 00 150 200 250 300
Bearing pressure (MPa)
FIGURE C9-6. Coefficient oC Friction oC PTFE-Based Composite in Contact
with PoJished Stainless Steel at Normal Temperature.

coefflcients 1m"" /LB' and Imin 01' a PTl-''''E-based compos­ used in multiple analyses of the model to determine
ile material in contact with polished stainless steel at the range and sensitivity of response lO design
normal temperature. These data were compiled from parameters.
testing of bearings ín four differenl testíng programs
(Soong and Constantinou 1994). 9.2.2.3.2 Linear Models The restoring force, F, oí' an
Combined elastomeríc-sliding iso)ation systems isolator shall be calculated as lhe product of effective
have been used in buildings in lhe Uniled States. stiffness, k,1j , and response displacement, D:
Japanese engíneers have also used elastomeric bear­
ings in combination with mild steel components thal (Eq. 9- I)
are designed lo yield in strong earthquakes and The effective stiffness, k en , of an isolator shall be
enhance the energy dissipation capability 01' the isola­ calculated from test dala using Eq. 9-12. The area
tion system (Kelly 1988). These mild steel compo­ encJosed by the force-displacemenl hysteresis loop
nenls exhibít eilher elasto-plaslic behavior or biJinear shall be used to calculate the eftective damping, {jeJJ' of
hysteretic behavior with low post-yielding sliffness. an isolator using Eq. 9-13. Etfective stiffness and
Moreover, Iluid viscous energy dissipation devices effective damping shall be evaluated at alI response
have been used in combinalion with elastomeric bear­ displacements 01' design interest.
ings. The behavior 01' Iluid viscous devices is
described in Section 9.3.3.2.3. C9.2.2.3.2 Linear Models Linear procedures use effec­
Hybrid seismic isolation syslems composed 01' tive stiffness, keff , and effective damping, {jeD' to char­
elastomeric and sJiding bearings should be mode)ed acterizc nonlinear properties 01' isolators.
taking into accounl the likely significant ditTerences in For linear procedures [see FEMA 274, Sec­
the relationships between vertical displacement as a tion C9.2.3 (FEMA ]997)], the seismic isolation sys­
function of horizontal displacement. The use of e1as­ tem can be represenled by an equivalent Iinearly elas­
tomeric and sliding isolators in c10se proximity lo one tic model. The force in a seismic isolation device is
another under verlicalIy stiff structural framing ele­ calculaled as:
ments (e.g., reinforced concrete shear walls) may be
problematic and could result in significant redistribu­ (Eq. C9-16)
tions of gravity loads. where all terms are as defined in Section 9.2.2.3.2 of
9.2.2.3 Modeling ollsolators this standard. The ef1'ective stiffness 01' the seismic
isolation device may be calculated from test data as
9.2.2.3. J Genera/U the mechanical characteristics of a follows:
seismic isolator are dependent on axial load (due to
gravity, earthquake overturning effects, and vertical
IF+I + Irl (Eq. C9-17)
earthquake shaking), rate 01' loading (ve)ocity), bilat­
k eff = la+1 + la-I
eral deformation, temperature, or agíng, then upper- and Figure C9-7 iIIustrates the physical significance of the
lower-bound values of stitfness and damping shall be effective stiffness.

268
 ASCFJSEl 41-06

The application of Eqs. C9-16 through Eq. C9-18

to the design of isolation systems is complicated if Ihe
eftective sliffness and loop area depend on axial load.
Multiple analyses are then required to establish bounds
F+ on the properties and response of Ihe isolalors. For
example, sJiding isolalion systems exhibil such
dependencies as described in Section C9.2.2.2.2. To
,1+ account for lhese effecls, the following procedure is
proposed.
Displacement
1. In sliding isolation syslems, the relation belween
horizontal force and vertical load is substantially
~-----1F-
linear (see Eq. C9-16). Accordingly, lhe net eftecl
of overturning momenl on the mechanical behavior
of a group of bearings is small and can be neglected.
Hysteretic behavior AI-Hussaini el al. (1994) províded experimen­
tal resulls that demonslrale Ihis behavior up lo lhe
poinl of imminent bearing uplift. Similar results are
likely for elastomeric bearings.
2. The effecl of vertical ground acceleralion is to
modify lhe load on the isolalors. If it is assumed
that the building is rigid in the vertical direction,
:k eff and axial forces due to overturning moments
are absent, the axial loads can vary between
W(l - iJ/ g) and W(l + iJ/ g), where iJ is the peak
vertical ground acceleration. However, recognizing
Ihat horizontal and vertical ground molion rompo­
Displacement
nents are likely not correlated unless in Ihe near field,
it is appropriate to use a combinalíon rule that uses
only a fraction of the peak vertical ground aecelera­
lÍon. Based on the use of 50% of the peak vertical
ground acceleration, maximum and minimum axial
Viscoelastic behavior loads on a given isolator may be defined as:
FIGURE C9-7. Definilion of Effective Sliffness of Ne = W(1 ::!:: 0.20S DS) (Eq. C9-19)
Seismic Isolalion Devices.
where the plus sign gives the maximum value and
the mínus sign gives the mínimum value. Equation
Analysis by a linear melhod requires lhal eÍlher C9-19 is based on the assumption that the short­
each seismÍC isolator or groups ol' seismic isolalors be period spectral response parameter, SDS, is 2.5 times
represemed by linear springs of either sliffness, ke1/' or the peak value of lhe vertical ground acceleration.
lhe combined effective stilfness of each group. The For analysis for the Maximum Considered
energy dissipalion capability of an isolalion syslem is Earthquake, the axial load should be determined
generally represented by effective damping. Effeclive from:
damping is amplitude-dependenl and calculated at
Nc = W(I ::!:: 0.20S MS ) (Eq. C9-20)
design displacement, D, as follows:
Equalions C9-19 and C9- 20 should be used with
I [ 'iED ] (Eq. C9-18) caution if [he building is localed in the near field of
f3cjj 27r KeJtD2
a major active fauIt. In this instance, expert advice
where 'iE D is the sum ol' the areas of the hysteresis should be sought regarding correlation of horizon­
loops of all isolalors, and K~fJ is the sum of the eftec­ tal and vertical ground motion components.
tive stiffnesses of all seismic isolation devices. Both Load Nc represents a constant load on isola­
the area of the hysteresis loops and the eftective stiff­ tors, which can be used for determining the effeclÍve
ness are determined at the design displacemcnt, D. stiffness and area of the hysteresis loop. To obtain

269
SElSMIC REHABILITATION OF EXISTING BUILDlNGS

lhese propenies, lhe CharaClerislic slrenglh Q (see Isolation devices that exhibit viscoelastic behavior
Fig. C9-7) is needed. For sliding isolators, Q can be as shown in Fig. C9-7 should be modeled as linearly
laken as equal tofm""No wherefmax is determined al elaslic components wilh effective stiffness kef! as deler­
the bearing pressure corresponding to load Ne. For mined by Eq. C9-21.
example, for a sliding bearing wÍ(h spherical slid­
ing surfacc of radius Ro (see Fig. C9-5), the effec­
9.2.2.4Isolation System and Superstructure
tive stiffness and area of the loop at the design
Modeling
displacement D are:

k'ef! (_1
Ro + fnuJX)N .
D (
(Eq. C921
- )
9.2.2.4.1 General Mathematical models of the isolated
building, including Ihe isolation system, the lateral­
force-resisting system of the superstructure, other
Loop Area = 4f""uNeD (Eq. C9-22) structural components and e1ements, and connections
between the isolation system and the structure, shall
9.2.2.3.3 Nonlinear Models Thc nonlinear force­ mee! the requirements of Chapters 2 and 3 and
detlecLÍon properties of isolators shall be explicitly Sections 9.2.2.4.2 and 9.2.2.4.3.
modcled if nonlincar procedures are used.
The inelastic (hysteretic) response of the isolators 9.2.2.4.2 Isolation System Model The isolation system
shall represent damping. Additional viscous damping shall be modeled using deformation characteristics
shall not be incJuded in the model unJess supported by developed and verified by test in accordance with the
rate-dependent tests of isolators. requirements 01" Section 9.2.9.
The isolation system shall be modeled wilh sufti­
C9. 2, 2. 3.3 Nonlinear Models For dynamic nonlinear ciem detail to:
time-history analysis, the seismic isolation compo­
l. Accounl for the spatíal distribution of isolator units;
nents should be explicitly modeled. FEMA 274
2. Calculate translation, in both horizontal directions,
Sections C9.2.2.2 through C9.2.2.4 (FEMA 1997)
and torsion of the slruclUre aboye the isolation
present relevant information. Where uncertaimies
interface, considering Ihe most disadvantageous
exist, and where aspects of behavior cannot be mod­
location of mass eccentricity;
eled, multiple analyses should be performed in order
3. Assess overLUrning/uplift forces on individual
to establish bounds on the dynamic response.
isolators;
For simplitied nonlinear analysis, each seismic
4. Account ror the effects of vertical load, bilateral
isolation component can be m<}deled by an appropriale
load, and/or Ihe rate of loading, if the force deflec­
rate-independent hysterelic model. Elastomeric bear­
tion propcrties of the isolation system are depend­
ings may be modclcd as bilinear hysleretic compo­
ent on one or more of these factors.
nents as described in FEMA 274, Section C9.2.2.2.
5. Assess force s due lo P-D momenls; and
Sliding bearings may also be modeled as bilinear hys­
6. Account I"or non linear components. Isolation sys­
teretic components wilh characlerislic strength (see
tems with nonlinear components inelude systems
Fig. C9-5) given by
that do no! me el Ihe criteria of Section 9.2.3.3.1,
(Eq. C9-23) Item 2.
where N c is determined by either Eq. C9-19 or C9-20,
9.2.2.4.3 Superstructure Model The maximum di s­
and fnwx is the coetlicient of sliding frÍction at the
placement of each tloor, the total design displacement,
appropriate sliding velocity. The posl-yield stitlness
can then be determined as: and Ihe total maximum displacement across the isola­
tion syslem shall be calculaled using a model 01"
the isolated building that incorporates the force­
(Eq. C9-24)
deformation characterislics oí" nonlinear components.
Calculation 01' design forces and displacements in
where R is as defined in FEMA 274 Section primary componenls 01' the lateral-force-resisting sys­
C9.2.2,2.B. The yield displacement Dy in a bilinear
lem using linearly eJastic mode\s of Ihe isolated struc­
hysterelic model of a sliding bearing should be very
ture shall be permitted if both of Ihe following criteria
small, perhaps on the order of 2 mm. Alternatively, a
are met:
bi\inear hysteretic model for sliding bearings may
be detined lo ha ve an elastÍC stifl"ness that is al leasl ]. Pseudo-elastic properties assumed rol' nonlinear
] 00 times larger than lhe post-yield stiffness, kp. isolation system components are based on the

270
 ASeE/SEI 41-06

maximum effective stiffness of the isolalion 9.2.3.2.1 User-Specified Design Earthquake For Ihe
syslem; and Design Earthquake, the following ground shaking cri­
2. The lateral-force-resisling system remains linearly teria shalI be established:
elastic for Ihe earthquake demand level of interesl.
l. Short-period spectral response acceleration parame­
A laleral-force-resisting system Ihal meelS both of ter, Sxs and spectral response acceleration parame­
the following criteria may be cIassified as linearly ter at 1.0 second, Sx/. in accordance with
elastic: Seclion 1.6.1.4;
2. Five-percent-damped response spectrum 01' the
1. For all deformation-controlled actions, Eq. 3-20 is
design earthquake (where a response spectrum is
salisfied usíng an m-factor equal to 1.0; and
required for linear procedures by Section 9.2.3.3.2,
2. For alJ force-controlled actions, Eq. 3-21 is
or to detine acceleration time histories); and
salísfied.
3. At least three acceleration time histories compatible
9.2.3 General Criteria for Seismic Isolation with the design earthquake speclrum (whe!"e accel­
Design eration time histories are required for nonlinear
procedures by Section 9.2.3.3.3).
9.2.3.1 General
9.2.3.2.2 Maximum Considered Earthquake For the
The designo analysis, and testing of (he isolation
BSE-2, the following ground shaking criteria shall be
system shall be based on the requirements of Ihis
established:
seclion.
l. Short period spectral response acceleration parame­
C9.2.3.1 General ter, Sxs> and spectral response accelera(ion parame­
eri(eria for the seismic isolation of buildings are ter at 1.0 sec, Sx/, in accordance with
divided into two seclions: Section 1.6.1.4.
Rehabilitation of the building; and 2. Five-percent-damped site-specific response
Design. analysis, and teslíng of the isolation speclrum of the BSE-2 (where a response spec­
system. tmm is required for linear procedures by Sec­
tion 9.2.3.3.2. or to define acceleration time
9.2.3.1./ Stability of the Isolation System The stability histories); and
of the vertical load-carrying components of the isola­ 3. At Jeast three acceJeration time histories compatible
tion system shall be verified by analysis and test, as with the BSE-2 spectrum (where acceleration time
required by Section 9.2.9, for a lateral displacement histories are required for nonlinear procedures by
equal to the total maximum displacement computed in Section 9.2.3.3.3).
accordance wilh Section 9.2.4.3.5 or Section 9.2.5.1.2.
or for the maximum displacement allowed by dis­ 9.2.3.3 Selection 01 Analysis Procedure
placement-restraint devices, if such devices are part of
the isolatÍon system. 9.2.3.3.1 Linear Procedures Linear procedures shall be
permitted for design 01' seismically isolated buildings,
9.2.3.1.2 Configuration Requirements The isolated provided Ihe following criteria are met:
building shall be cIassified as regular or irregular,
as defined in Section 2.4.1.1, based on the structural l. The building is located on Soil Profile Type A, B,
configuration of the structure aboye the isolation e, or D; or E if SI 2: 0.6 for BSE-2;
system. 2. The isolation system meets all 01' the following
criteria:
9.2.3.2 Ground Shaking Criterio 2.1. The effective stiffness 01' the isoJation system
Ground shaking crileria for Ihe Design at the design displacement is greater Ihan one­
Earthquake and the Maximum eonsidered Earthquake third of the effective stiffness al 20% of the
shall be established in accordance with Section 1.6 as design displacement;
modified by this section. The design Earthquake 2.2. The ¡solation system is capable of producing a
Hazard Level shall be user-specified and shall be per­ restoring force as specified in Section
mitted to be chosen equal 10 the BSE-l Earthquake 9.2.7.2.4;
Hazard Leve!. The Maximum eonsidered Earthquake 2.3. The isolation syslem has force-defleclion
shall be taken equal lo the BSE-2 Earthquake Hazard properties that are independent of (he rate of
Level. loading;

271
SEISMIC REHABILlTATION OF EXISTING BUILDINGS

2.4. The isolation system has force-detlection Response Spectrum Analysis is recommended for
properties that are independent of vertical load design of isolated structures that have either (1) a taH
and bilateral load; or olherwise flexible superstructure, or (2) an irregular
2.5. Where considering analysis procedures, for the superstructure. For most buildings, Response
BSE-2, the isolation system does not limit Spectrum Analysis will not predict significantly ditler­
BSE-2 displacement to less than the ratio of eOl displacements of me isolation system than those
the design spectral response acceleration at calculated by prescriptive formulas, provided bolh cal­
one second (SXI) for the BSE-2 to that for the culations are based on the same effective stitl'ness and
Design Earthquake limes the total design dis­ damping properties of the isolation system. The real
placement; and benefit of Response Spectrum Analysis is not in the
3. The structure aboye the isolation system exhibits prediction of isolation system response bul, rather, in
global elastic behavior for the earthquake motÍons the calculation and distribution of forces in the super­
under consideration. struclure. Response Speclrum Analysis permÍls the use
of more detailed models of the superstructure that
9.2.3.3.2 Response Spectrum Analysis Response spec­ better estimate torces and deformations of components
trum analysis shalJ be used ror design of seismicaJIy and elements considering tlexibility and irregularity of
isolated buildings that meet any of the folJowing the structural system.
criteria: Nonlinear procedures inelude the Nonlinear Static
Procedure (NSP) and the Nonlinear Dynamic
1. The building is over 65 ft (19.8 m) in height;
Procedure (NDP). The NSP is a static pushover proee­
2. The efrective period of the structure, TM , is greater
dure and the NDP is based on nonlinear time-history
than three seconds;
analysis. The NSP or the NDP is required for isolated
3. The effective period of the isolated structure, TD , is
struclures thal do not have essentiaHy Iinearly elastic
less than or equal to three times the elastic, tixed­
superstructures (during BSE-2 demand). In this case,
base period 01' the structure aboye the isolation sys­
the superstructure would be modeled with nonlinear
tcm; or
componeOls.
4. The structure aboye the isolation system is irregular
Time-history analysis is required for ísolated
in contiguralion.
structures on very soft soil (i.e., Soil Protile Type E
where shaking is strong, or Soil Profile Type F) that
9.2.3.3.3 Nonlínear Procedures Nonlinear procedures
could shake the building with a large number 01' cycles
shall be used for design of seismic-isolated buildings
of long-period motion, and tor buildings wilh isolation
for which any of the folJowing conditions apply:
systems that are best characterized by non linear mod­
l. The structure aboye the isolation system is nonlinear els. Such isolation systems include:
for the earthquake mOlions under consideration; and
J. Systems with more than about 30% eflective damp­
2. The isolation system does nol meet all of the crile­
ing (beeause high levels of damping can signiti­
ria of Section 9.2.3.3.1.
cantly allect higher-mode response of the super­
Nonlinear acceleralÍon time-history analysis shaIl structure);
be performed for the design 01' seismically isolated 2. Systems that lack signiticant restoring force
buildings ror which conditions (1) and (2) apply. (beeause these systems may not stay centered dur­
ing earthquake shaking);
3. Systems that are expected to exceed lhe sway-space
C9.2.3.3 Selection 01 Analysis Procedure
c1earance with adjacent structures (beeause impaet
Linear procedures inelude prescriptive formulas
wilh adjacenl structures could impose lorge
and Response Spectrum Analysis. Linear procedures
demands on the superstructure); and
based on formulas (similar to the seismic-coefticient
4. Systems Ihat are rate- or load-dependent (because
equation required for design of fixed-base buildings)
their properties will vary during earthquake shaking).
prescribe peak lateral displacement of the isolation
system, and define "minimum" design criteria that For the Iypes of isolation systems described
may be used for design of a very limited class of iso­ aboye, appropriate nonlinear properties must be used
lated structures (without contirmatory dynamic anal y­ to model isolators. Linear properties could be used to
ses). These simple formulas are useful for preliminary model the superstructure, províded the superstructure's
design and provide a means of expeditious review of response is essentiaJly línearly elastic for BSE-2
more complex calculations. demand.

272
 AseE/SEI 41-06

The resLrictions placed on Lhe use of linear proce­ 9.2.4.3.3 Maximum Displacement The maximum dis­
dures effecLively suggest Ihat nonlinear procedures be placement of lhe isolation system, D M , in the most crit­
used for virtually all isolated buildings. However, ical dírection of horizontal response shall be ca\culated
lower-bound Iimits on isolation system design dis­ in accordance wilh Eq. 9-4:
placement and force are specified by this standard as a
percentage of the demand prescribed by the linear for­ D
M
= [~J
411 2
SXJ™
BMI
(Eq.9-4)
mulas, even where dynamic analysis is used as the
basis for designo These lower-bound Iimits on key where SXI is evaluated for the BSE-2.
design attributes ensure consistency in lhe design of
isolated struclures and serve as a "safety nel" againsl 9.2.4.3.4 Effective Period at the Maximum
gross under designo J)isplacement The effective period, TM' of the isolated
building at the maximum displacement shall be deter­
9.2.4 Linear Procedures mined using the deformatíon characteristics of the Íso­
lation system in accordance with Eq. 9-5:
9.2.4.1 General
Seismically isolaled buíldings for whieh linear TM 211 ~ W
KMmíng
(Eq.9-5)
analysis procedures are selected based on the criteria
01' Section 9.2.3.3 shalJ be designed and constructed to
resist the earlhquake displacements and forces speci­ 9.2.4.3.5 Total Displacement The total design dis­
fied in this section, at a minimum. placement, J)m, and lhe total maximum displacement,
D7M , of componenls 01' the isolation system shall
include additional displacement due 10 actual and acci­
9.2.4.2 Deforma/iolJ Charac/erislics ofthe Isolalioll
dental torsion calculaled considering the spalíal distri­
Syslelll
butíon of the effectíve stiffness of the ísolatíon system
The defollnation characterislics of Ihe isolation
at the design dísplacement and lhe most dísadvanta­
system shall be based on tests performed in accor­
geous locatíon of mass eccentricity.
dance with Section 9.2.9.
The total design displacemelll, D TD , and the tolal
The defonnation characteristics 01' the isolation
maximum displacement, D TM , of components of an
system shall explicitly incIude Ihe effects of the wind­
isolation system with a uniform spalíal dislribulíon of
restraint and tie-down systems, and supplemental
e1'fective stiffness al the design displacement shall be
energy dissipalion devices, if such syslems and
laken as not less Iban that prescribed by Eqs. 9-6
devices are used to meel Ihe design requiremenls of
and 9-7:
Ihis standard.
Dm = DD[ l + Y b2 l:ed 2 ] (Eq. 9-6)
9.2.4.3 Minimum Lateral Displacements
12e
9.2.4.3./ Design Displacement The isolation system DTM DM[ 1 + Y 2
b +d
2J (Eq.9-7)
shaU be designed and constructed to withstand, as a
minimum, lateral earthquake dísplacements that act in A valuc for the total maximum displacement, J)TM,
lhe direction of each of the main horizontal axes 01' the less than the value prescribed by Eq. 9-7, but not less
structure in accordance with Eq. 9-2: than 1.1 times DM , shall be permittcd, provided the
isolation system is shown by calculation to be config­
D = [~JSXJTD (Eq.9-2) ured to resisl torsion.
D 411 2 B DJ

where SXI is evaluated for the Design Earthquake. 9.2.4.4 Minimum Lateral Forces

9.2.4.3.2 Effective Period at the Design Displacement 9.2.4.4. J Isolation System and Structural Components
The effeclÍve period, TD , of the isolated building at the and Elements at or below the Isolalion System The
design displacement shall be delermined using lhe ísolation systcm, the foundation, and an other structural
components and e1ements below the isolatíon system
deformation characleristics of the isolalion system in
shall be designed and constructed to withstand a míni­
accordance with Eq. 9-3:
mum lateral seísmic force, Vb , prescribed by Eq. 9-8:
IW
TD = 211'V~--- (Eq.9-3) (Eq.9-8)
KDming

273
SEISMIC REHABILlTATlON OF EXISTING BUILDINGS

9.2.4.4.2 Structural Components and Elements above total design displacement and total maximum displace­
the Isolation System The components and elements ment shall include simultaneous excitation 01' the
aboye the isolaLion system shall be designed and model by 100% of the most critical direction of
consLructed lO resist a minimum lateral seismic force, ground motion, and not less than 30% 01' the
V" equal to the value of Vb • prescribed by Eq. 9-8. ground motion in the orthogonal axis. The maximum
displacement of the isolation system shalI be calcu­
9.2.4.4.3 Limits on V, The value of V, shall be taken as laled as the vector sum 01' the two orthogonal
nolless than the following: displacements.
l. The base shear corresponding to the design wind
load; and 9.2.4.5.4 Scaling ol Resu/ts If the tolal design dis­
2. The lateral seismic force required to fully activate placemenl determined by response spectrum analysis
the isolation system factored by 1.5. is found lo be les s Ihan lhe value of DJl) prescribed by
Eq. 9-6, 01' if the lotal maximum displacemenl deter­
C9.2.4.4.3 Limits on Vs Examples of lateral seismÍc mined by response spectrum analysis is found to be
torces required to fully actívate the isolation system less than the value of DTM prescribed by Eq. 9-7, then
inelude the yield level of a softening system, the ulti­ alI response parameters, including component actions
mate capacity 01' a sacríficial wind-restraint system, or and deformations, shall be adjusted by the greatcr 01'
the break-away friction level of a sliding system. the following:

9.2.4.4.4 Vertical Distribution alForce The total force, 1. DmlDesign displacement detcrmined by response
V" shall be dislributed over [he height of [he structure spectrum analysis, or
aboye the isolation interface in accordance with 2. Dn/Maximum displacement detcrmined by
Eq.9-9: response speclrum analysis.

(Eq.9-9) 9.2.4.6 Desigll Forces and Deformations

Components and elements 01' the building shall be
designed for forces and displacements estimated by
At each level designatcd as x, the force Fx shalJ be
linear procedures using the acceptance criteria of
applied over the area of the building in accordance
Section 3.4.2.2, except that deformation-conLroHed
with the weight, w" distribution al that level, h•.
componenls and elemenls shall be designed using
Response of structural components and elements shall
component m-factors equal lo or less than J.5.
be calculated as (he effecl of the force Fx applied al the
appropriate levels aboye the base.
9.2.5 Nonlinear Procedures
9.2.4.5 Response Spectrum Analysis Seismically isolaled buildings evalualed using
nonlinear procedures shall be reprcsented by three­
9.2.4.5.1 Earthquake Input The Design Earthquake dimensional models thal incorporale the nonlinear
spectrum shall be used to calculate the total design characteristics oí' both the isolation systcm and lhe
displacement of the Ísolation system and the lateral structure aboye lhe isolation system.
forces and displaeements of the isolated building. The
BSE-2 spectrum shall be used to ca1culate the total 9.2.5.1 Nonlinear Static Procedure
maximum displacement of the isolation system.
9.2.5.1.1 General The Nonlinear Static Procedure
9.2.4.5.2 Modal Damping Response spectrum analysis
(NSP) for seismically isolated buildings shaJl be based
shall be performed, using a damping value tor isolated
on the crÍleria of Section 3.3.3, except that the target
modes equal to the effective damping of the isolation
displacement and pattern of applied lateral load shall
system, or 30% of critical, whichever is less. Thc
be based on Ihe criteria given in Sections 9.2.5.1.2 and
damping value assigned to higher modes oí' response
9.2.5.1.3, respectivcly.
shall be consÍstent with the material type and stress
level 01' the superstruclUre.
9.2.5.1.2 Target Displacement In each principal direc­
9.2.4.5.3 Combinatíon ofEarthquake Directíons tion, the building model shall be pushed to the Design
Response spectrum analysis used to determine the Earlhquake target displacemenl, D~, and 10 the BSE-2

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 ASeE/SEI 41-06

targel displacement, D~, as detíned by Eqs. 9-10 and 9.2.6 Nonstrudural Components
9-11 :
9.2.6.1 General
D'D DD Permanenl nonslruclural componenls and lhe
(Eq.9-1O)
)1 + (~J2 auachmenls lo them shalJ be designed lo resisl seismic
forces and displacemenls as given in lhis seclion and
lhe applicable requirements of Chapler 11.

D'M­
- DM
(Eq.9-11) 9.2.6.2 Forees and Displaeements
)1 + (~:Y 9.2.6.2.1 Componellts alld EJements at or above the
where Te is Ihe effective period of Ihe slruclure aboye Isolation Interface NonslruclUral components, or por­
lhe isolation inlerface on a tixed base as prescribed by lions lhereof, lhat are al or aboye lhe isolalion inler­
Eq. 3-14. The largel displacemenls, D~ and D~, shall face shall be designed to resisl a lolal lateral seismic
be evalualed al a conlrol node Ihal is located al Ihe force equallo lhe maximum dynamic response of lhe
cenler of mass of Ihe tírst tloor aboye lhe isolation elemenl or componenl under consideration.
interface. EXCEPTION: Design of elements of seismically
isolaled slruclures and nonslruclural componenls, or
portions lhereof, lo resisl lhe lotal lateral seismic force
9.2.5.1.3 Lateral Load Pattem lbe pallern of applied
as required for convenlional fixed-base buildings by
laleral load shall be proportional lo lhe dislribulion
Chapler 11, shall be permiued.
of lhe product 01" building mass and lhe detlecled
shape of lhe isolaled mode of response at the largel
9.2.6.2.2 Components and Elements that Cross the
displacement.
Isolation Interface Nonstruclural componenls, or por­
tions thereof, thal cross Ihe isolation interface shall be
9.2.5.2 Nonlinear Dynamie Proeedure designed lo wilhstand lhe lOlal maximum (horizontal)
displacemenl and maximum vertical displacemenl of
9.2.5.2.1 General The NDP for seismically isolaled the ¡solalion syslem allhe total maximum (horizonlal)
buildings shalI be based on lhe nonlinear procedure displacement. Components and elements lhat cross the
requiremenls of Section 3.3.4, except thal resuhs shalJ isolalion interface shall not restríet displacemenl of
be scaled for design based on lhe criteria given in lhe lhe isolaled building or olherwise compromise lhe
following seclion. Rehabililalion Objectives of lhe building.

9.2.5.2.2 Scalillg of Results If lhe design displacemenl 9.2.6.2.3 Components and Elements below the
delermined by time-history analysis is less lhan lhe Isolation Interface Nonstructural componenls, or por­
D~ value of prescribed by Eq. 9-10, or if lhe maxi­ lions thereof, lhal are below lhe isolalion interface
mum displacement determined by response spectrum shall be designed and constructed in accordance with
analysis is found lo be less Ihan lhe value of D;f pre­ lhe requiremenls of Chapler 1].
scribed by Eq. 9-1 ), lhen all response paramelers,
including component actions and deformalions, shall 9.2.7 Detailed System Requirements
be adjusted by lhe greater of lhe following:
9.2.7.1 General
l. D~/Design displacemenl determined by time his­ The isolation system and the structural system
tory analysis, or shall comply Wilh the detailed syslem requirements
2. D~/Maximum displacement determined by time specified in SeclÍon 9.2.7.2 and 9.2.7.3, respectively.
history analysis.
9.2.7.2 lsolation System
9.2.5.3 Design Ftlrces and Deformatiolls
Components and elements of lhe building shall be 9.2.7.2.1 Environmelltal Conditiolls In addilion to lhe
designed for lhe forces and defOlmalions estimated by requirements for vertical and laleral loads induced
non linear procedures using lhe acceplance criteria of by wind and earthquake, lhe isolation system shall
Seclion 3.4.3.2. be designed with consideration given lo other
SEISMIC REHABILlTATION OF EXISTING BUlLDlNGS

environmental conditions, ineluding aging effects, 3. The structure aboye the isolation system is checked
creep, fatigue, operating temperature, and exposure lo for stability and ductility demand of lhe BSE-2;
moisture or damaging substances. and
4. The displacement restraint does not become effec­
9.2.7.2.2 Wind Forces Isolated buildings shall resist live at a displacement less than 0.75 times the total
design wind loads at all levels aboye the isolation design displacement, unless it is dernonstrated by
interface in accordance wíth the applicable wind analysis that earlier engagement does not result in
design provisjons. At the isolation interface. a wind­ unsatisfactory perforrnance.
restrajnL system shall be provided to limit lateral dis­
placement in the isolation system lo a value equal to 9.2.7.2.6 Vertical Load Stability Each componcnt of
that required between tloors of the structure aboye the the ¡solation system shall be designed to be slable
isolatjon interface. under the full rnaximum vertical load, 1.2QD + QL +
IQEI, and the minimum vertical load, 0.8QD IQEI, at
9.2.7.2.3 Fire Resistance Fire resistance rating ror the a horizonlal displacement equal to the tOlal rnaximum
isolation syslem shall be consistent wiLh Lhe require­ displacement. The earthquake vertical load on an indi­
ments 01' colurnns, walls, or other such cornponents 01' vidual isolator unit, QE' shall be based on peak build­
the building. ing response due lo the BSE-2.

9.2.7.2.4 Lateral Restoring Force The isolation system

9.2.7.2.7 Overtuming The factor of safety against
shall be configured lo produce either a restoring force
global structural overturning at the isolation interface
such that the lateral force al the total design displace­
shalJ be not less than 1.0 for required load combina­
ment is at leasl 0.025W greater than the lateral force at
tions. AII gravity and seismic loading conditions shall
50% of the total design displacement, or a restoring
be investigated. Seismic torces for overturning calcula­
force of notless than 0.05W aL aJl displacements
tions shall be based on the BSE-2, and the vertical
greater than 50% of the total design displacement.
rcstoring force shall be based on lhe building's weight,
EXCEPTION: The isolation system need not be
W, aboye the isolation interface.
configured to produce a restoring force, as required
Local uplift of individual componenls and ele­
aboye, provided the isolation systern is capable of
rnents shall be perrnitted, provided the resulting
remaining stable under full vertical load and accom­
detlections do not cause overslress or instabililY of the
rnodating a total maxirnum displacernent equal to the
isolator units or other building components and ele­
greater of either 3.0 times the total design displace­
ments. A tie-down system lO limit local uplift of indi­
ment or 36SxI in., where SXI is calculaled for the
vidual components and elements shall be permitted,
BSE-2.
provided that lhe seismically isolaLed building is
designed in accordance with the following crÍleria
9.2.7.2.5 Displacement Restraint Conliguration of the
where more stringent than the requirements of
isolation system to inelude a displacement restraint
Section 9.2.3:
that limits lateral displacement due to the BSE-2 to
less lhan the ratio of lhe design spectral response l. BSE-2 response is caJculated in accordance with
acceleration pararneter al I sec (SXI) for the BSE-2 LO lhe dynamic analysis requiremcnts 01' Section 9.2.5,
that for Lhe Design Earthquake Limes the total design explicitly considering the non linear characteristics
displacement shall be permitted, provided that the of lhe isolalion system and the struclurc aboye the
seismically isolated building is designed in accordance isolation system;
with the 1'olJowing criteria where more stringent Lhan 2. The ultirnate capacity of lhe tie-down systern
the requirements of Seclion 9.2.3: exceeds the force and displacemem demands of the
l. BSE-2 response is calculated in accordance with BSE-2; and
lhe dynarnic analysis requirements of Section 9.2.5, 3. The isolation syslem is designed and shown by test
explicitly considering the nonlinear characteristics to be stable (Section 9.2.9.2.4) ror BSE-2 loads that
of the isolation system and rhe structure aboye the inelude addiLional vertical load due lo the tie-down
isolation systern; syslem.
2. The ultimate capacity 01' (he ¡solarion system, and
sLructural componenLs and elements below the iso­ 9.2.7.2.8 Inspection and Replacement Access 1'or
lation systern, shall exceed the force and displace­ inspeclion and replacemem 01' all cornponenls and ele­
menl demands of the BSE-2; ments of lhe isolation system shall be providcd.

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9.2.7.2,9 Manulacturing Quality Control A manufac­ analysis of seismically isolated structures shaIl be
turing quality control testing program for isolator units based on the following tests of a selected sample of
shall be established by the design professional. the components prior lo construction.
The isolatton system components to be tested
9.2.7.3 Structural System shall inelude isolators and components of the wind­
restraint system and supplemental energy dissipation
9.2.7.3.1 Horizontal Distribution 01 Force A horizontal
devices if such components and devices are used in the
diaphragm or olher structural components and ele­
designo
ments shall provide continuity aboye the isolation
The tests specified in this section establish design
interface. The diaphragm or other structural compo­
properties of the ¡solation system, and shall not be
nents and elements shall have adequate strength and
considered as satisfying the manufacturing quality
ductility to transmit torces (due to nonuniform ground
control testing requirements of Section 9.2.7.2.9.
motion) calculated in accordance with Ihis section
from one part of the building to another, and have suf­
9.2.9.2 Prototype Tests
ficient stiffness to effect rigid diaphragm response
aboye the isolation interface.
9.2.9.2.1 General Prototype tests shall be performed
9.2.7.3.2 Building Separations Separations between separately on two full-sized specimens of each type
the isolated building and surrounding retaining walIs and size of isolator of the isolation system. The test
or other tixed obslructions shall be not les s than the specimens shall include components 01' the wind­
total maximum displacement. restraint system, as well as individual isolators, if such
components are used in the designo Supplementary
9.2.8 Design Review energy dissipation devices shaIl be tested in accor­
dance with Section 9.3.8. Specimens tested shalI not
9.2.8.1 General be used for construction unless approved by the engi­
A review of the design of the isolation system and neer responsible for the structural designo
related test programs shall be performed by an inde­
pendent engineering team, ineluding persons experi­ 9.2.9.2.2 Record For each cycle of tests, the
enced in seismic analysis methods and the theory and force-<letlection and hysteretic behavior of the test
application of seismic isolation. specimen shaJl be recorded.
9.2.8.2 [solation System
9.2.9.2.3 Sequence and Cycles The following sequence
Isolation system design review shall inelude the
of tests shall be performed fOf the prescribed number
following:
of cycles al a vertical load equal lo the average
l. Site-specific seismic criteria, ineluding site-specific QD + O.5QL on all isolators of a common type and size:
spectra and ground motion time history, and a1l Twenty fully reversed cycles of loading al a lateral
other design criteria developed specitically for the force corresponding to the wind design force;
project; Three fuIly reversed cycles of loading at each of
2. Preliminary design, including the determination of the following displacements: O.25D D, O.50D D, l.ODD'
the total design and total maximum displacement of and l.ODM ;
the isolation system, and the lateral force design Three fully reversed cycles at the total maximum
level; displacement, I.OD TM; and
3. Isolation system prototype testing in accordance 30Sx¡/ SxsBD/, but nolless than 10, fully reversed
with Section 9.2.9; cycles of loading at the design displacement, I.ODD •
4. Final design of the isolated building and supporting SXI and Sxs shall be evaluated for the Design
analyses; and Earthquake.
5. Isolation system quality control testing in accor­
dance with Section 9.2.7.2.9. 9.2.9.2.4 Vertical Load-Carrying lsolators If an isola­
tor is also a vertical-Ioad-carrying component, then
9.2.9 Isolation System Testing and Design Item 2 of the sequence of cyelic tests specitied in
Properties Section 9.2.9.2.3 shall be performed for two additional
vertical load cases:
9.2.9.1 General
The deformation characteristics and damping val­ l. 1.2QD + O.5QL + IQEI; and
ues of the isolation system used in the design and 2. O.8QD - IQEI

277
SEISMIC REHABILlTATION OF EXISTING BUILDINGS

where D, L, and E refer to dead, live, and earthquake 9.2.9.2.7 Maximum and Minimum Vertical Load
loads, respectively. QD and QL are as detined in Isolators lhat carry vertical load shall be statically
Section 3.2.8. The vertical test load on an individual tested for the maximum and minimum vertical load, at
isolator unit shall inelude the load increment QE due to the total maximum displacement. In these tests, the
earthquake overturning, and shall be equal to or combined verticalloads of 1.2QD + 1.0QL + IQEI shall
greater than the peak earthquake vertical force be taken as the maximum vertical force, and the com­
response correspondíng to Ihe test displacement being bined vertical load of O. 8Qb IQEI shall be taken as the
evaluated. In these tests, the combined vertical load minimum vertical force, on any one isolator of a com­
shall be taken as the typical or average downward mon type and size. The earthquake vertical load on an
force on all isolators of a common type and size. individual isolator, QE' shall be based on peak building
response due lo lhe BSE-2.
9.2.9.2.5 lsolators Dependent on Loading Rates If
the force-detlection properties of (he isolators are 9.2.9.2.8 Sacrificial Wind-Restraint Systems If a sacri­
dependent on the rate of loading, then each set of tests licial wind-restraint system is part of the isolarion sys­
specítied in Sections 9.2.9.2.3 and 9.2.9.2.4 shall be tem, then the ultimate capacity shall be established by
performed dynamically at a frequency equal to the testing in accordance wíth lhis sectíon.
¡nverse of [he effective period, TD , of the isolated
structure. 9.2.9.2.9 Testing Similar Units Prototype tests need
EXCEPTION: Ir reduced-scale prototype speci­ not be performed if an isolator unil, where compared
mens are used to quantify rate-dependent properties of lo another tesled unÍl, complies with the following
isolators, the reduced-scale prototype specimens shall criteria:
be 01' the same type and material and be manufactured l. Is of similar dimensional characteristics;
with the same processes and quality as fuIl-scale pro­ 2. Is of the same type and material s; and
totypes, and shall be tested at a frequency that repre­ 3. Is fabricated using identical manufacturing and
sents full-scale prototype loading rates. quality control procedures
The 1'orce-detlection properties of an isolator shall
be considered to be dependent on the rate of loading if The testing exemption shall be approved by the
there is greater than a plus or minus 10% difference review team specified in Section 9.2.8.
in the effective stiffness at the design displacement
(1) where lested al a frequency equal to the inverse of 9.2.9.3 Determination 01 Force-Deflection
the effective period 01' the isolated structure, and Characteristics
(2) where tested at any frequency in the range of 0.1 lo The force-deflection characterislics of the isola­
2.0 limes the inverse 01' the efrective period of the iso­ tion system shall be based on the cyclic load testing of
lated struclure. isolator prototypes specilied in Section 9.2.9.2.3.
As required, the elIective sliffness of an isolalor
9.2.9.2.61solators Dependent on Bilateral Load If the unít, k'f!' shaJl be calculated for each cycIe of deforma­
force-detlection properties of the isolators are depend­ tíon by Eq. 9-12:
ent on bilateral load, then the tests specitied in IF j+lrj
1

(Eq.9-12)
Sections 9.2.9.2.3 and 9.2.9.2.5 shall be augmenled to k cff = la+1 + la-I
inelude bilateral load al the following increments of
lhe lotal design displacement: 0.25 and 1.0; 0.50 and where F+ and F- are the posítive and negatíve force s
1.0; 0.75 and 1.0; and 1.0 and 1.0. al positíve and negative test displacements, a+ and a,
EXCEPTION: Tf reduced-scale prototype speci­ respectively.
mens are used lo quantify bilateral-Ioad-dependenl As required, the effective damping of an isolator
properties, then such scaled specimens shall be 01' the unit, {3'JJ' shall be calculated for each cycle of deforma­
same type and malerial, and manufaclured with the tion by Eq. 9-13:
same processes and qualíty as full-scale prolotypes.
The force-detleclion properlies of an isolator shall (3 -
'ff -
~ [ k'JJ{la +1E + la-If
71'
LooP
]
(Eq.9-13)
be considered lo be dependent on bilateral load, if the
bilateral and unilateral force-detlection properties have where the energy dissipated per cycle of loading, ELoop,
greater than a plus or minus 15% difference in effec­ and the effective stitTness, k'fj' are based on test dis­
tive sti1'fness al the design displacement. placements, D+ and D-.

278
 ASCFJSEI 41-06

9.2.9.4 System Adequacy At the maximum displacement, the maximum and

The performance 01' lhe test specimens shall be minimum eft'ective stiffness of the isolation system
assessed as adequate i1' lhe 1'ollowing conditions are shall be based on cyclic tests 01' Section 9.2.9.2 and
salistied: calculated by Eqs. 9-16 and 9-17:
l. The force-detlection plots of all tests specitied in :2:IF~lmux + ¿IF.;I""",
Section 9.2.9.2 have a non-negative incremental
K Mrruu (Eq.9-16)
2DM
force-carrying capacity;
2. For each incremenl 01' lesl displacement specitied ¿IF~t,¡ax + ¿IFMlmax
(Eq.9-17)
in Section 9.2.9.2.3, Item 2, and 1'or each vertical K Mmin = 2DM
load case specitied in Seclion 9.2.9.2.3, the follow­
ing críteria are met: 9.2.9.5.2 Effective Damping At the design displace­
2.1. There is no greater than a plus or minus 15% ment, the etl'eclive damping 01' lhe isolation system,
difference between the effeclive stitTness al fJD' shall be based on the cyclic tests of Section 9.2.9.2
each of the three cycles of test and the average and calculaled by Eq. 9-18:
value 01' etleclive stiffness for each test
specimen; (Eq. 9-18)
2.2. There is no greater Ihan a 15% ditTerence in
lhe average value of effeclive stift'ness 01' Ihe In Eq. 9-18, Ihe tOlal energy dissipated in Ihe isolation
two test specimens 01' a common type and size system per displacement cycle, '2.ED , shall be taken as
of rhe isolalOr unit over lhe required Ihree lhe sum 01' Lhe energy dissipated per cycle in all isola­
cycles of tesl; tors measured at test displacements, á + and Li, thal are
3. For each specimen lhere is no greater lhan a plus or equal in magnitude lo the design displacement, DD'
minus 20% change in lhe inilial effeclive slitTness Al the maximum displacement, lhe etl'ective
of each test specimen over lhe 30Sx¡JSXSBDJ' but damping of the isolation system, fJM' shall be based on
nol less than 10, cycles of the test specífied in the cyclic tests 01' Section 9.2.9.2 and caIculated by
Sectíon 9.2.9.2.3, Item 3. SXI and Sxs shall be evalu­ Eq.9-19:
ated for lhe Design Earthquake;
4. For each specimen there is no grealer lhan a 20%
decrease in lhe ¡nitial eft'eclive damping over lhe
fJ
M
= _1
21T
l ¿E M
KMmaxD~
J (Eq.9-19)

30Sx¡JSXSBDJ , bUl nol less than 10, cycles 01' the test In Eq. 9-19, the total energy dissipated in the iso­
specitied in Seclion 9.2.9.2.3, ltem 4. SXI and Sxs lation system per displacement cycle, '2.ED , shall be
shall be evaluated for the Design Earthquake; taken as the sum of lhe energy dissipated per cycle in
5. AII specimens 01' vertical-Ioad-carrying components all isolators measured at test displacements, á + and
of the isolation syslem remain stable at the total á-, thal are equal in magnitude lo the maximum di s­
maximum displacement for static load as pre­ placemenl, D M •
scribed in Section 9.2.9.2.6; and
6. The etTective stitTness and effective damping of test
specimens faIl wilhin lhe Iimits specitied by lhe
engíneer responsible for structural designo 9.3 PASSIVE ENERGY DISSIPATION SYSTEMS

9.2.9.5 Design Properties 01 the Isolation System 9.3.1 General Requirements

Passive energy dissipatíon syslems classífied as
9.2.9.5.1 Maximum and Minimum Effective Stijfness eíther displacement-dependent, velocily-dependent, or
Al lhe design displacemem, lhe maximum and mini­ olher, as detined in Section 9.3.3, shall comply with
mum etTective stiffness of the isolation system, K Dmux the requirements 01' Section 9.3. Linear and nonlinear
and KDmin , shaIl be based on lhe cyclic tests of Section analyses shalJ be performed, as required, in accOf­
9.2.9.2 and ca\culated by Eqs. 9-14 and 9-15: dance with Section 9.3.4 and 9.3.5, respectively.
¿!F;I,nax + :2:IF;;lmux Additional requirements for passive energy dissipation
K Dmux (Eq.9-14) systems, as defined in Seclion 9.3.6, shaIl be mel.
Passive energy dissipation systems shalI be reviewed
and lested in accordance with Seclions 9.3.7 and 9.3.8,
(Eq. 9-15)
respectively.

279
SEISMIC REHABILITATION OF EXISTING BUILDING S

The energy dissipation devices shall be designed Passive energy dissipation is an emerging technol­
with consideralion given to environmental condilions ogy that enhances the performance of the building by
inc\uding wind, aging effects, creep, fatigue, ambient adding damping (and in sorne cases, stiffness) to the
temperature, operaling temperature, and exposure to building. The primary use of energy dissipation
moisture or damaging substances. devices is to reduce earthquake displacement of the
The mathematical model of the rehabilitated structure. Energy dissipation devices wilI also reduce
building shall inc\ude the plan and vertical distribution force in the structure-provided the structure is
of the energy dissipation devices. Analyses shall responding elastically-but would not be expected to
account for the dependence of the devices on excita­ reduce force in structures that are responding beyond
tion frequency, ambient and operating temperature, yield.
velocity, sustained loads, and bilateral loads. Multiple For most applications, energy dissipation provides
analyses of the building shall be conducted to bound an alternative approach to conventional stilTening and
the effects of each varying mechanical characteristic of strengthening schemes, and would be expected to
the devices. achieve comparable performance levels. In general,
Energy dissipation devices shall be capable of these devices would be expected to be good candidates
sustaining larger displacements for displacement­ for projects that have a target Building Performance
dependent devices and larger velocities for velocity­ Level of Life Safety or perhaps Immediate Occupancy,
dependent devices than the maximum caJculated for but would be expected to have only limited applicabil­
the BSE-2 in accordance with the following criteria: ity to projects with a target Building Performance
Level of CoIlapse Prevention.
l. If four or more energy dissipation devices are pro­
Other objectives may also int1uence the decision
vided in a given story of a building in one principal
to use energy dissipation devices since these devices
direction of the building, with a minimum of two
can also be useful for control of building response
devices located on each side of the center of stifI­
due to small earthquakes, wind, 01' mechanicalloads.
ness of the story in the direction under considera­
The analysis procedures set forth in this standard
tion, aIl energy dissipation devices shall be capable
are approximate. Roof displacements caIculated using
of sustaining displacements equal to 130% of the
the linear and nonlinear procedures are likely to be
maximum caIculated displacement in the device in
more accurate than the corresponding estimates of
the BSE-2. A velocity-dependent device as
story drift and relative velocity between adjacent
described in Section 9.3.3 shall be capable of sus­
stories.
taining the force associated with a velocity equal to
Accordingly, this standard requires that energy
130% of the maximum caJculated velocity for that
dissipation devices be capable of sustaining larger dis­
device in the BSE-2; and
placements (and velocities for velocity-dependent
2. If fewer than four energy dissipation devices are
devices) than the maxima caIculated by analysis in the
provided in a given story 01' a building in one prin­
BSE-2. Recognizing that the response of a building
cipal direction of the building, or fewer than two
frame incorporating four or more devices in each prin­
devices are located on each side of the center of
cipal direction in each story will be more reliab1c than
stitIness of the story in the direction under consid­
a frame with fewer devices in each principal direction,
eration, alI energy dissipation devices shall be
the increase in displacement (and velocity) capacity
capable of sustaining displacements equal to 200%
is dependent on the level of redundancy in the supple­
of the maximum caJculated displacement in the
mental damping system. The increased force shall
device in the BSE-2. A velocity-dependent device
be used to design the 1'raming that supports the
shall be capable of sustaining the force associated
energy dissipation devices-rellecting the objective
with a velocity equal to 200% of the maximum cal­
of keeping the device support framing elastic in the
culated velocity for that device in the BSE-2.
BSE-2. The increases in force and displacement
The components and connections transferring capacity listed in this standard are based on the judg­
forces between the energy dissipation devices shall be ment of the authors.
designed to remain linearly elastic for the forces
described in Items 1 or 2 aboye.
9.3.2 Implementation oC Energy Dissipation Devices
C9.3.1 General Requirements Energy dissipation devices shall be implemented
The increase in displacement (and velocity) in accordance with requirements specified in Chapters
capacity is dependent on the level of redundancy in the I through 3 but as modified in the subsequent sections
supplemental damping system. of this chapter.

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 ASCElSEI 4]-06

9.3.3 Modeling of Energy Dissipation Devices The forces in lhe device, F+ and F-, shall be evaluated
Displacement-dependent devices shall inelude al displacements D+ and D-, respectively.
devices that exhibit either rigid-plastic (friction
devices), bilinear (metallic yielding devices), or 9.3.3.2 Velocity-Dependent Devices
trilinear hysteresis. The response of displacement­
dependent devíces shall be independent of velocily 9.3.3.2.1 Solid Viscoelastic Devices Solid viscoelastic
and frequency of excitalion. Velocity-dependent devices shaIl be modeled using a spring and dashpot in
devices shall inelude solid and fluid viscoelastic parallel (Kelvin model). The spring and dashpot con­
devices, and fluid viscous devices. Devices nol c1assi­ stants selecled shall capture lhe frequency and
fied as displacemenl- or velocity-dependent shall be temperature dependence ol' the device consistenl wíth
elassified as "other." fundamental frequency of the rehabilitated building
Models ol' lhe energy dissipation syslem shall (J¡), and the operaling temperature range. If the cyclic
inelude Ihe stiffness of structural components lhat are response of a viscoelastic solid device cannot be cap­
part of Ihe load path belween energy dissipation tured by single estimates of the spring and dashpol
devices and Ihe ground and whose tlexibility affects conslanls, Ihe response of Ihe rehabililated building
lhe performance of the energy dissipation system, shall be estimated by multíple analyses of the building
including components of the foundalion, braces thal trame, using Iimiting upper- and lower-bound values
work in series with lhe energy dissipation devices, and for the spring and dashpol constants.
connections belween broces and lhe energy dissipation The force in a viscoelastic device shall be deler­
devices. mined in accordance wilh Eq. 9-22:
Energy dissipation devices shall be modeled as
F = ketP + CD (Eq.9-22)
descríbed in Ihe following subsections, unless
approved methods are used. where C is the dampíng coefticienl for Ihe víscoelastic
device, D is the relalíve displacement between each
C9.3.3 Modeling of Energy Dissipation Devices end of Ihe device, D is Ihe relative velocily between
Examples of "other" devices inelude shape­ each end of the device, and keff is lhe effectíve sliffness
memory alJoys (superelastic effect), friclion-spring of the device calculated in accordance with Eq. 9-23:
assemblies with recentering capability, and fluid­
restoring, force-damping devices. (Eq.9-23)

where K' is Ihe slorage stiffness.

9.3.3.1 Displacement-Dependent Devices
The damping coefticient for the device shall be
A displacemenl-dependenl device shall have a
calculated in accordance wilh Eq. 9-24:
force-displacement relalionship that is a function of
the relative displacement between each end of the W; [("
C= D (Eq.9-24)
device. The response of a displacement-dependent 1rw¡D;.~ W¡
device shall be independent of the relalive velocity
between each end of the device and frequency 01' where [(" is lhe loss stiffness, the angular frequency W¡
exci tatí on. is equallO 21r!1' DaI" is Ihe average of the absolute
Displacement-dependent devices shall be modeled values of dísplacements D+ and D, and WD is the area
in sufficient detail to capture their force-displacement enclosed by one complete cycle ol' Ihe force­
response, and their dependence, if any, on axial­ displacement response oí' Ihe device.
shear-flexure interaction, or bilateral deformation
C9.3.3.2.1 Solid Viscoelastic Devices The cyclic
response.
For evaluating the response of a displacement­ response of víscoelastic solids is generally dependenl
dependent device from testing data, the force in a on lhe frequency and amplilude ol' Ihe motion and Ihe
displacement-dependent devíce shall be calculated in operating temperature (including temperature rise due
accordance with Eq. 9-20: to excitation).

(Eq.9-20) 9.3.3.2.2 Fluid Viscoelastic Devices Fluid víscoelastic

devices shall be modeled using a spring and dashpot in
where lhe effective stiffness, k eff, of the devíce is calcu­
series (Maxwell model). The spring and dashpol con­
lated in accordance with Eq. 9-21:
slants selecled shall capture Ihe frequency and
k _ Irl + Irl (Eq.9-21)
temperature dependence ol' the device consistent with
<o - ID+I + ID-I fundamental l'requency ol' Ihe rehabílitated building

281
SEISMIC REHABILlTA1l0N OF EXISTING BUILDlNGS

(JI)' and Ihe operaling IemperalUre range. If Ihe cyclic C9.3.3.3 Other Types 01 Devices
response 01' a viscoelastÍC fluid device cannot be cap­ Other energy dissipating devices, such as those
tured by single estimates of the spring and dashpot having hysteresis 01' the type shown in Fig. C9-8,
constants, the response of the rehabilitated building require modeling techniques different 1'rom those
shall be estimaled by multiple analyses of the building described aboye. Tsopelas and Constantinou (l994a),
frame, using limiting upper- and lower-bound values Nims el al. (1993), and Pekcan et al. (1995) describe
1'or ¡he spring and dashpol conslanls. analylical models 1'or sorne of these devices.

C9.3.3.2.2 Fluid Viscoelastic Devices The cyclíc

response of viseoelastic fluid devices is generally 9.3.4 Linear Procedures
dependent on lhe frequency and amplilUde of the Linear procedures shall be permiued only if the
molion and lhe operating temperature (including tem­ following crileria are me!:
perature rise due lO excitation). l. The 1'raming system exclusive 01' the energy dissi­
pation devices remains Iinearly elastic for Ihe
9.3.3.2.3 Fluid Viscous Devices Linear fluid viscous
selected Earlhquake Hazard Level arter the effects
dampers exhibiLing stiffness in the frequency range
01' added damping are considered;
0.5 f¡ 10 2.0 f¡ shall be modeled as a fluid viseoelastic
2. The effective damping afforded by the energy dissi­
device.
pation does not exceed 30% of critical in the funda­
In the absence of stiffness in the frequency range
mental mode;
0.5 f¡ to 2.0 f¡, the force in the fluid viscous device
3. The secan! stitTness 01' each energy dissipalion
shall be computed in accordance with Eq. 9-25:
device, calculated at the maximum displacement in
(Eq.9-25) the device, is induded in the malhematical model
01' Ihe rehabililated building;
where CI! is Lhe damping coetlicient for the device, a
4. Where evaluating the regularity 01' a building, the
is the velocity exponent for the device, D is the rela­
energy dissipalion devices are incIuded in lhe
tive velocity between each end of the device, and sgn
malhemalical model; and
is the signum funcLion that, in this case, defines the
5. Higher mode etTects are not significant as defined
sign ol' the relative velocily termo
in Section 2.4.2.1.

9.3.3.3 Other Types 01 Devices

Energy dissipation devices nOI c1assified as either 9.3.4.1 Linear Static Procedure
displacement-dependent or velocily-dependenr shall be
modeled using approved methods. Such models shall 9.3.4. J. J Displacement-Dependent Devices Use of the
accurately describe the force-velocity-displacement Linear Static Procedure (LSP) shall be permiued lo
response 01' lhe device under aH sources of loading analyze displacemcnt-dependcnt energy díssípalion
including gravity, seismic, and therma!. devices, provided Ihal, in addition lo the requirements

Q)
~
~DynamíC o
u..
Statíc

Displacement Displacement

Fluid restoring Frictional-sJ)ring device

force/damping device with recentering capability
FIGURE C9·8. Idealized Force-Displacement Loops 01 Energy Dissipation
Devices with Recentering Capability.
282
 ASCE/SEI41-06

of Section 9.3.4, the folIowing requirements are 2. The pseudo-lateral load of Eq. 3-10 shall be
satisfied: reduced by the damping modification 1'aclors of
Section 1.6.1.5.1 lo account for the energy dissipa­
l. The ratio of !he maximum resistance in each story, in
tion (damping) a1'forded by the energy dissipation
!he direclion under consideration, lo the story shear
devices. The damping efl'ect shall be calculated in
demand calculated using Eqs. 3-10 and 3-11, shall
accordance with Eq. 9-28:
range between 80% and 120% of the average value
of the ratio for all slories. Too maximum story resist­
ance shall inelude Ihe conlributions from all compo­
(Eq.9-28)
nents, elements, and energy dissipation devices; and
2. The maximum resistance of all energy dissipation
devices in a slory, in the direclion under considera­ where P is the damping in the structural frame and
lion, shall not exceed 50% 01' lhe resistance of lhe shall be set equal to 0.05 unless moditied in Section
remainder ol' the framing where said resistance is 1.6.1.5.3, w¡ shall be taken as the work done by device
calculated at the displacements anticipated in the j in one complete cycle corresponding to floor dis­
BSE-2. Aging and environmental effects shall be placements Oí' the summation extends over all devices
considered in calculating the maximum resistance j, and Wk is !he maximum strain energy in the frame,
of the energy dissipation devíces determined using Eg. 9-27.
The work done by linear viscous device j in one
The pseudo-lateral load of Eq. 3-10 shall be complete cycle ol' loading shall be ca\culated in accor­
reduced by the damping modificaLÍon factors 01' Sec­ dance with Eq. 9-29:
tion 1.6.1.5.1 to account for the energy dissipation
(damping) afforded by the energy dissipation devices.
(Eq.9-29)
The damping effect shall be calculated in accordance
with Eq. 9-26:
where T is the fundamental period of!he rehabilitated
¿w¡ building including the stiffness of the velocity­
Pe!! = P + ....L- (Eq.9-26) dependent devices, Cj is the damping constant for
4'iTW k device j, and 8rj is the relatíve displacement between
where P is Ihe damping in Ihe framing system and Ihe ends of device j along the axis of device j.
shall be set equal to 0.05 unless modified in Seclion Calculatíon of effective damping in accordance
1.6.1.4, Wj shall be taken as !he work done by devíce j with Eq. 9-30 rather than Eq. 9-28 shall be permitted
in one complete cycle corresponding to floor displace­ for linear viscous devices:
ments 8;, lhe summation extends over al1 devices j, and
W k is the maximum strain energy in the 1'rame, deter­ T¿ Cjcos2 (JA)~
mined using Eq. 9-27: PelJ P + ---'--..,--....---- (Eq.9-30)

l
W.• = 2 LJ
'" F8
11
(Eq.9-27)
I
where (Jj is the angle of inclinatíon of device j to the
where F¡ shall be taken as the inertia force at floor horizontal, tPrj is the first mode relative displacement
level i and the summation extends over all floor levels. between the ends 01' device j in the horizontal direc­
tion, W¡ is the reactive weight of floor level i, J. is the
9.3.4.1.2 Velocity-Dependent Devices Use 01' the LSP first mode displacement al floor level í, and other
shalI be permitted to analyze velocity-dependent terms are as defined aboye.
energy dissipation devices, provided that in addition to
the requirements of Section 9.3.4, the following 9.3.4.1.3 Design Actions The desígn actions for com­
requirements are satislied: ponents of the rehabilitated building shall be calcu­
lated in tbree dístinct stages of deformatíon as follows.
l. The maximum resislance of all energy dissipation
The maximum action shall be used for designo
devices in a story in the direction under considera­
tion shall not exceed 50% of the resistance ol' the l. At the stage of maximum drift. The lateral forces
remainder of the framing where said resistance is al each level of the building shall be calcu]aled
calculated at the dísplacements anticipated in the using Eg. 3-11, where V* is the modified equiva­
BSE-2. Aging and environmental effects shall be lent base shear.
considered in ca\culating the maximum resistance 2. At the stage of maximum velocity and zero drift.
of the energy dissipation devíces; and The viscous component of force in each energy

283
SEISMIC REHABILlTATION OF EXISTING BUILDlNGS

dissipation device shall be calculated by Eq. 9-22 If the maximum base shear force ca\culated by
or 9-25, where the relative velocity D is given by dynamic analysis is les s Ihan 80% of the modified
21T J, D, where D is the relative displacement equivalent base shear 01' Seclion 9.3.4.1, component
between the ends of the device calculated at the and element actions and deformalions shall be propor­
stage of maximum drift. The calculated viscous tionally increased to correspond lO 80% 01' the modi­
forces shalJ be applied to the mathematical model fied equivalent base shear.
of the building at the points of attachment of the
devices and in directions consistent with the 9.3.4.2.2 Velocity-Dependent Devices For analysis by
deformed shape of the building al maximum drift. the Response Spectrum Method, modification of the
The horizontal inertia forces at each f100r level of 5%-damped response spectrum shall be permitted lo
the building shall be applied concurrently with the account for lhe damping afforded by the velocity­
viscous forces so that the horizontal displacemenl dependenl energy dissipalion devices. The 5%-damped
of each tloor level is zero. acceleration speclrum shaIl be reduced by the modal­
3. At tbe stage of maximum floor acceleration. dependent damping modification factor, B, either B, or
Design actions in components of the rehabilitated B" for periods in [he vicinity of the mode under con­
building shall be determined as the sum of actions sideration; note Ihat the value of B will be different for
determined at the stage of maximum drift times each mode of vibralion. The damping modification
CF" and actions determined at the stage of maxi­ factor in each signilicanl mode shall be delermined in
mum velocity times CF1 , where accordance wilh Section 1.6.1.5.1 and (he calculated
eftective damping in that mode.
CF¡ = cos[tan-I(2J3ell)] (Eq.9-31) The etJeclive damping in the m-th mode of vibra­
I
CF2 = sin[tan- (2J3eff)] (Eq.9-32) tion (J3eff-m) shall be calculated in accordance with
Eq.9-33:
in which J3ejJ is defined by either Eq. 9-28 or Eq. 9-30.

9.3.4.2 Linear Dynamic Procedure

(Eq.9-33)
If the Linear Dynamic Procedure (LDP) is
selected based on the requirements of Section 9.2.3.3
where 13m is the m-Ih mode damping in the building
and Seclion 2.4, (he LDP of Section 3.3.2.2 shall be
frame, Wmj is work done by device j in one complete
followed unless explicitly moditied by this section.
cycle corresponding 10 modal floor displacements 0mi'
Use of the response spectrum method of the LDP
and Wmk is the maximum strain energy in Ihe frame in
shall be permitted where the effective damping in the
the m-th mode, delermined using Eq. 9-34:
fundamental mode of the rehabilitated building, in each
principal direction, does nol exceed 30% oí' critica!. 1
2 ¿Fmiomi (Eq.9-34)
I
9.3.4.2. J Displacement-Dependent Devices
Application of the LDP for the analysis of rehabili­ where Fmi is the m-th mode horizontal inertia force at
taled buildings incorporating displacement-dependem f100r level i and Omi is the m-Ih mode horizontal dis­
devices shall comply with Ihe reslriclions sel forth in placement at tloor level i. The work done by linear
Seclion 9.3.4.1.1. viscous device j in one complete cycJe of loading in
For analysis by the Response Spectrum Method, the m-Ih mode may be calculated in accordance with
modification of the 5%-damped response spectrum Eq.9-35:
shall be permitted to account for the damping afforded
21T 2
by the displacement-dependent energy dissipation Wmj = --CjO;',,:; (Eq.9-35)
devices. The 5%-damped acceleration spectrum shall Tm
be reduced by the modal-dependent damping modifi­ where Tm is the m-(h mode period 01' lhe rehabilitated
cation factor, B, either Bs or B" for periods in the building including the sliffhess oí' the velocity-dependem
vicinity of the mode under consideration; the value of devices, Cj is the damping constant for device j, and
B will be difTerenl ror each mode of vibration. The O,mj is lhe m-th mode relative displacemem between
damping moditication faCIOr in each significant mode the ends of device j along lhe axis of device j.
shall be determined in accordance with Section In addilion to direct applícalion oí' the Response
1.6.1.5.1 and the calculated etlective damping in Ihal Spectrum Method in accordance with lhis seclÍon lo
mode. The effective damping shall be determined obtain member actions al maximum drií't, member
using a procedure similar 10 that described in aClions al maximum velocity and maximum accelera­
Seclion 9.3.4.1.1. tion in each significant mode shall be determined

284
 ASCFJSEI 41-06

using the procedure described in Sections 9.3.4.1.2. ing frame. For most velocity-dependenl devices, Ihe
The combination factors CF¡ and CF2 shall be deter­ primary benetit will resull from the added viscous
mined based on Eqs. 9-31 and 9-32 using {3~fJm for Ihe damping. Higher-mode damping forces in the energy
m-lh mode. dissípation devices must be evaluated regardless of the
If Ihe maximum base shear force calculated by NSP used.
dynamic analysis is less Ihan 80% of Ihe modified
equivalent base shear of Section 9.3.4.1, component 9.3.5.1.1 Displacement-Dependent Devices The stiff­
and element actions and deí'ormations shall be propor­ ness characteristics 01' the energy dissipation devices
tionally increased to correspond to 80% of Ihe modi­ shaJl be included in the mathematical model.
fied equivalent base shear.
9.3.5.1.2 Velocity-Dependent Devices The targel dis­
9.3.5 Nonlinear Procedures placement and lhe spectral acceleration in Eq. 3-15
shall be reduced lo account for the damping added by
9.3.5.1 NOllliflear Static Procedure the velocity-dependent energy dissipaüon devices. The
If lhe Nonlínear Stalic Procedure (NSP) is ca\culation of lhe damping eftecI shall be ca\culated in
selected based on the requirements oí' Section 9.2.3.3 accordance with Eq. 9-36:
and Section 2.4, the NSP of Seclion 3.3.3 shall be fol­
lowed unless explicilly modified by Ihis section. 2:w¡
The non linear mathemalÍcal model of the reha­ (3 +-L- (Eq.9-36)
bililated building shall include Ihe nonlinear force­ 41TWk
velocity-displacement characleriSlics oí' lhe energy where (3 is the damping in the structural frame and
dissipalion devices explicitly, and Ihe mechanical char­ shall be sel equallo 0.05 un!ess modified in Seclion
aCleristics 01' lhe components supporting the devices. 1.6.1.5, Wj shall be laken as the work done by device j
Slil1'ness characteristics shall be consistenl wilh the in one complete cycle corresponding lo floor displace­
deformations corresponding to lhe larget displacement menls 8j , lhe summalion exlends over all devices j, and
and a frequency equal lo the inverse oí' period Te' as Wk is the maximum slrain energy in lhe frame, deler­
detined in Seclion 3.3.3.2. mined using Eq. 9-27.
The nonlinear mathematical model oí' Ihe reha­ The work done by device j in one complete cyc\e
bililaled building shall include the nonlinear force­ of loading shall be ca\culated based on Eq. 9-37:
velocily-displacement characteristics of Ihe energy
211'2
dissipatíon devices, and Ihe mechanical characterislics --Cj 8;j (Eq.9-37)
01' the components supporting the devices. Energy dis­ T.,s
sipation devices with stiffness and damping character­ where Tss is lhe secanl fundamenlal period of Ihe reha­
¡stics Ihat are dependent on excitalion frequency bililaled building including lhe stiffness of lhe velocity­
and/or lemperature shall be modeled wilh characleris­ dependent devices (i1' any), calculated using
tics consislenl with (1) Ihe del'ormations expected al Eq. 3-14 but replacing lhe eftective stift'ness (K,) with
the target displacement, and (2) a l'requency equal to the secant sliffness (K,) at lhe larget displacement as
lhe inverse of Ihe effective periodo shown in Fíg. 9-1; Cj is the damping constant for
Equalion 3-15 shall be used to calculale the target device j; and Srj is lhe relative displacemenl between
displacement. Ihe ends ol' devíce j along lhe axis of device j at a rool'
dísplacement corresponding lo lhe target displacement.
C9.3.5.1 Nonlinear Static Procedure The acceplance criteria 01' Seclion 3.4.3 shall
Benefits of Adding Energy Dissipation Devices. apply to buildings incorporatíng energy díssipation
The benetit of adding displacement-dependenl energy devices. Checking for displacemenl-controlled actions
dissipation devices is recognized in Ihis standard by shall use de formal ion s correspondíng lo lhe target dis­
the increase in building stiffness afforded by such placement Checking for force-controlled aClíons shall
devices, and the reduclion in larget displacement asso­ use component actions calculaled for three límit states:
ciated with the reduclion in Te' The allernalive NSP maximum drífl, maxímum velocíty, and maximum
uses a different strategy lO calculale the target dis­ acceleration. Maximum aClions shall be used for designo
placement and explicitly recognizes the added damp­ Higher-mode effecls shall be explicitly evalualed.
ing provided by the energy dissipation devices.
The benetits of adding velocity-dependent energy C9.3.5.1.2 Velocity-Dependent Devices The use of
dissipation devÍces are recognized by the increase in Eq. 9-36 will generally caplure lhe maximum displace­
sliffness and equivalent viscous damping in lhe build- menl 01' lhe building.

285
SElSMIC REHABILlTATION OF EXISTING BUILDlNGS

devices. The design of the rehabilitated building,

..... including the energy dissipation devices, should be
ro
ID .... / ../ based on the maximum responses computed from the
.c: Vy+-----t----.r
Ul multiple analyses.

,¿j::/
ID
Ul The viscous forces (if any) developed in the seis­
ro
CD mic framing system should be accounted for in the
analysis and design 01' the seismic framing system.
O.6Vy+--+--+-- Evaluation 01' member action histories should be based
............/ on nodal displacements (operating on member stifl'­
... ness matrices) and nodal velocities (operating on
./ .. / .......... member damping matrices).
Key to the acceptable response ol' a rehabilitated
,
I
,,'
,,' building incorporating energy dissipation devices is
' ..... the stable response ol' the energy dissipation devices.
...•.
The forces and deformations in the energy dissipation
oy ot devices that develop during the Design Earthquake
Roof displacement should be demonstrated to be adequate by prototype
FIGURE 9-1. Calculation of Secant Stiffness, K,_ testing in accordance with Section 9.3.8.

9.3.6 Detailed Systems Requirements

9.3.5.2 Nonlinear Dynamic Procedure
If the NDP is selected based on the requirements 9.3.6.1 General
of Section 9.2.3.3 and Section 2.4, a nonlinear time­ The energy dissipation system and the remainder
history analysis shall be perl'ormed as required by ol' the lateral-l'orce-resisting system shall comply with
Section 3.3.4.2, except as modilied by this section. the detailed systems requircments specitied in this
The mathematical model shall account l'or both the section.
plan and vertical spatial distribution ol' the energy dis­
sipation devices in the rehabilitated building. If the 9.3.6.2 Operating Temperature
energy dissipalion devices are dependent on excitation The analysis ol' a rehabilitated building shall
l'requency, operating temperature (including tempera­ account for variations in the l'orce-displaccment
ture rise due to excitation), deformation (or strain), response of the energy dissipation devices due to
velocity, sustained loads, and bilateral loads, such variation in the ambient temperature and temperalure
dependence shall be accounted l'or in the analysis by rise due to earthquake cyclic excitation. Multiple
assuming upper- and lower-bound properties to bound analysis shall be performed to bound the seismic
the solution. response ol' the building during the Dcsign Earth­
The viscous l'orces in velocity-dependent energy quake, and develop limits for detining the acceptable
dissipation devices shall be included in the calculation response of the prototype devices and production
ol' design actions and del'ormations. Substitution ol' devices.
viscous etl'ects in energy dissipation devices by global
structural damping for nonlinear time-history analysis C9.3.6.2 Operating Temperature
shall not be permiued. The force-displacement response 01' an energy
dissipation device will generally be dependent on
C9.3.5.2 Nonlinear Dynamic Procedure ambient temperature and temperature rise due to cyclic
If energy dissipation devices are dependent on 01' earthquake excitation.
loading frequency, operating temperature (including
temperature rise due to excitation), del'ormation (01' 9.3.6.3 Envirollmental Conditio1ls
strain), velocity, sustained loads, and bilateral loads, In addition to the requirements l'or vertical and
such dependence should be accounted for in the non­ lateral loads induced by wind and earthquake actions,
linear time-history analysis. One way to account l'or the energy dissipation devices shall be designed with
variations in the l'orce-del'ormation response ol' energy consideration given to other environmental conditions,
dissipation devices is to perl'orm multiple analyses of including aging etTects, creep, fatigue, ambient tem­
the rehabilitated building using the likely bounding perature, and exposure to moisture and damaging
response characteristics ol' the energy dissipation substances.

286
 ASCFlSEI 41-06

9.3.6.4 Wind Forces 9.3.8 Required Tests of Energy Dissipation Devices

The fatigue life of energy dissipation devices, or
componenls thereof, including seals in a fluid viscous 9.3.8.1 General
device, shall be investigated and shown to be adequate The force-displacement relalions and damping
for the design Iife of the devices. Devices subjecl lo values assumed in the design 01' the energy dissipalion
failure by low-cycle fatigue shall resist wind torces in system shall be confirmed by lhe lests conducted in
the linearly elastic range. accordance wilh this section prior to production 01'
devices for construction. If tests conducted in accor­
9.3.6.5 Inspection and Replacement dance with this section precede the design phase of a
Access for inspection and replacement of lhe project, lhe resuhs of the testing program shall be used
energy dissipation devices shalI be províded. l'or the designo
The tests specified in this section shall be con­
ducted lO: (1) confirm lhe force-displacement proper­
9.3.6.6 Manufacturing Quality Control
ties ol' the energy dissipation devices assumed for
A manufacturing quality control plan for produc­
design, and (2) demonstrate lhe robustness of individ­
tion of energy dissipation devices shall be established
ual devices lo extreme seismic excitalÍon. These tests
by lhe design professional. This plan shall inelude
shall not be considered as satisfying the manufacturing
descriptions of the manufacturing processes, inspec­
quality control (production) plan 01' Section 9.3.6.6.
tion procedures, and testing necessary to ensure qual­
The design professional shall provide explicit
ity control of production devices.
acceptance criteria for the effeclive stiffness and
damping values established by the prototype tests.
9.3.6.7 Maintenance These criteria shall reflect the values assumed in
The design professional shall establish a mainte­ design, account for Iikely variations in material prop­
nance and testing schedule for energy díssipation erlies, and provide Iimiling response values outside 01'
devices to ensure reliable response of the devices over which devíces will be rejected.
the design Jife 01' the devices. The degree of maínte­ The desígn professional shall provide explicít
nance and testing shaIl reflect the established in­ acceptance criteria for the effective stiffness and
service history 01' the devices. damping values established by the production tests of
Section 9.3.6.6. The results of the prototype tests shall
9.3.7 Design Review form the basis of the acceptance criteria for the pro­
ductíon tests unless an alternate basis is established by
9.3.7.1 General the design professional in the specification. Such
Design review of all rehabílitated buildíngs íncor­ acceptance criteria shall recogníze the influence of
poratíng energy dissipation devices shall be performed loading history on the response 01' individual devices
in accordance with the requiremenls 01' Seclion 2.7, by requiring production testing of devices prior to pro­
unless modified by lhe requirements of this section. totype testing.
Design review of the energy díssipation system The fabrication and quality control procedures
and related test programs shalI be performed by used for aU prototype and production devÍces shall be
an índependent engineering revíew panel that in­ identical. These procedures shall be approved by the
eludes persons experienced in seismic analysis and design professional prior lo Lhe fabrication of proto­
the lheory and application of energy dissipation type devÍces.
methods.
The following items shalI be included in the 9.3.8.2 Prototype Tests
desígn review:
9.3.8.2.1 General The tollowing prototype tests shall
l. Preliminary design including sizing of the be performed separately on two full-sized devíces of
devices; each type and size used in the designo If approved by
2. Prototype testing conducted in accordance wilh the design professional, selection 01' representative
Section 9.3.8.2; sizes of each type 01' device shaIl be permitted for pro­
3. Final design 01' the rehabililaled building and sup­ totype testing, rather than each type and size, provided
porting analyses; and that the fabrication and quality control procedures are
4. Manutacturing quality control program for the identicaI for each type and size of devices used in the
energy dissipation devices. rehabilitated building.

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Test specimens shall not be used for construetion EXCEPTION: If redueed-seale prototypes are
unless approved in writing by the design prol'essional. used to quantify the rate-dependent properlies of
energy dissipation devices, Ihe redueed-seale proto­
9.3.8.2.2 Data Recording The force-detlection rela­ types shall be of the same type and materials-and
tionship l'or eaeh eycle of each test shall be recorded manufactured with the same processes and quality
electronieally. control procedures-as full-seale prototypes, and
tested al a similitude-sealed frequeney that represents
9.3.8.2.3 Sequence and Cycles ofTesting For the l'ol­ the full-seale loading rates.
lowing minimum test sequenee, each energy dissipa­
tion device shall be loaded 10 simulate lhe gravity 9.3.8.2.5 Devices Dependent on Bilateral Displace­
loads on the deviee as installed in the building and the ment lf the energy dissipalion deviees are subjeeled lo
extreme ambient temperatures anticipated: bilaleral deformation, Ihe preeeding tests shall be
made at both zero bilateral displacement, and peak
1. Each deviee shall be loaded with the number ol'
lateral displacement in Ihe BSE-2.
cycles expected in the design wind storm, bul
EXCEPTION: If reduced-seale prototypes are
not less Ihan 2,000 fully-reversed cycles of load
used to quantífy the bilateral displaeement properties
(displaeement-dependent and viseoelastie devices) of Ihe energy dissipation devices, the reduced-seale
or displacement (viseous deviees) at amplitudes prototypes shall be of the same type and materials, and
expected in Ihe design wind storm, at a frequeney manufactured with the same processes and qualíty
equal to the inverse of lhe fundamental period of eontrol proeedures, as full-seale prototypes, and lested
the rehabilitated building. at similitude-scaled displaeements thal represent the
EXCEPTION: Deviees nol subjecl to wind­ full-seale displacements.
indueed forces or displaeements need not be sub­
jected lo [hese tests.
9.3.8.2.6 Testing Similar Devices Energy dissipation
2. Each device shall be loaded wilh 20 fully reversed
deviees tha! are (1) 01' similar size, identieal materials,
cycles at the displaeemenl in lhe energy dissipalion
internal eonstruetion, and statie and dynamic internal
device corresponding 10 the BSE-2, al a frequency
pressures (if any), and (2) fabricated wilh identieal
equal lo the inverse of Ihe fundamental period of
inlernal processes and manufacturing quality control
the rehabilitaled building.
procedures, and that have been previously lesled by an
EXCEPTION: Testing methods for energy dissipa­
independenl laboratory in the manner deseribed aboye
tion devices other lhan those noted aboye shall be
need not be tesled, provided Ihat:
permitted, provided thal: (l) equivalency between
lhe proposed melhod and cyclic tesling ean be l. AII pertinent testing data are made available 10, and
demonstraled; (2) the proposed melhod caplures the are approved by, lhe design professional;
dependenee of the energy dissipation device 2. The manufacturer ean substanliate Ihe similarity of
response lo ambient temperature, frequency of the previously tested deviees to the salisfaction of
loading, and lemperature rise during testing; and Ihe design professional; and
(3) the proposed method is approved by the design 3. The submission of data from a previous tesling
professional. program is approved in writing by the design
prol"essional.
C9.3.8.2.3 Sequen ce and Cycles ofTesting Energy dis­
sipation deviees should not form parl of the gravity­ 9.3.8.3 DelermÍllatioll 01 Force-Displacemelll
load-resisting system, but may be required to support Characterislics
some gravity load. The force-displacement eharaeteristics 01' an
energy dissipatiol1 device shall be based on lhe cyclic
9.3.8.2.4 Devices Dependent on Velocity andlor load and displacement tests of prototype deviees speci­
Frequency of Excitation If Ihe force-deformaLion fied in Section 9.3.8.2.
properlies of lhe energy dissipation devices at any As required, lhe etl"eelive stiH"ness (keJ!) 01" an
displaeement less than or equallo the total design dis­ energy dissipalion deviee wilh sliffness shall be calcu­
placemenl ehange by more than 15% for ehanges in lated for each cycle of deformation in aceordanee with
testing frequeney from 0.5/J to 2.0/J, the preeeding Eq.9-38:
tests shall be performed al frequeneies equal to 0.5 fl'
j;, and 2.0J¡. (Eq.9-38)

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 ASCE/SEI41-06

4. Within each test of Section 9.3.8.2.3, the area of

where forces F+ and F shall be calculated at displace­
the hysteresis loop (WD ) of a prototype energy dis­
ments· Ll + and ;i. respectively. The effective stiffness
of an energy dissipation device shall be established at sipation device for any one cycle does not differ by
the test displacements given in Section 9.3.8.2.3. more than plus or minus 15% from the average area
The equivalent viscous damping of an energy dis­ of the hysteresis curve as calculated from all cycles
in that test.
sipation device (fJeJj) exhibiting stiffness shall be calcu­
EXCEPTION: The 15% Iimit may be increased by
lated for each cycle of deformation based on Eq. 9-39:
the design professional in the specitication, pro­
vided that the increased Iimit has been demon­
(Eq.9-39) strated by analysis to not have a deleterious effect
on the response of the rehabilitated building.
where keff shall be calculated in accordance with 5. For displacement-dependent devices, the average
Eq. 9-38, and WD shall be taken as the area enc10sed effective stiffness, average maximum and minimum
by one complete cyc1e of the force-displacement force at zero displacement, and average area of the
response for a single energy dissipation device at a hysteresis loop (WD ), calculated for each test in the
prototype test displacement (Llave) equal to the average sequence described in Section 9.3.8.2.3, shall fall
of the absolute values of displacements Ll + and X. within the limits set by the design professional in
the specitication. The area of the hysteresis loop at
the end of cyclic testing shall not differ by more
9.3.8.4 Syslem Adequacy
than plus or minus 15% from the average area of
The performance of a prototype device shalJ be
the 20 test cycles.
considered adequate if all of the following conditions
6. For velocity-dependent devices, the average maxi­
are satistied:
mum and minimum force at zero displacement,
1. The force-displacement curves for the tests in eílective stíffness (for víscoelastic devices only),
Sction 9.3.8.2.3 have nonnegative incremental and average area oí' the hysteresis loop (WD), calcu­
force-carrying capacities. lated for each test in the sequence described in
EXCEPTION: Energy dissipation devices that Section 9.3.8.2.3, shall faIl within the limits set by
exhibit velocity-dependent behavior need not com­ the design professional in the specification.
ply with this requiremení.
2. Within each test of Section 9.3.8.2.3. the effective
9.4 OTHER RESPONSE CONTROL SYSTEMS
stiffness (k eff) of a prototype energy dissipation
device for any one cycle docs not differ by more
The analysis and design of other response control sys­
than plus or minus 15% from the average effective
tems shall be reviewed by an independent engineering
stiffness as calculated from al! cycles in that test.
review panel in accordance with the requirements of
EXCEPTIONS: (1) The 15% Iimit may be
Section 9.3.7. This review panel shalI be seJected by
increased by the design professional in the speciti­
the owner prior to the development of the preJiminary
cation. provided that the increased limit has been
designo
demonstrated by analysis to not have a deleterious
effect on the response of the rehabilitated building;
and (2) fluid viscous energy dissipation devices, C9.4 OTHER RESPONSE CONTROL SYSTEMS
and other devices that do not have effective stiff­
ness, need not comply with this requirement. Response control strategies other than base isolation
3. Within each test of Section 9.3.8.2.3, the maximum (Section 9.2) and passíve energy dissipatíon (Sec­
force and minimum force at zero displacement for tion 9.3) systems have been proposed. Dynamic vibra­
a prototype device for any one cycle does not differ tion absorptíon and active control systems are two
by more than plus or minus 15% from the average such response control strategies. Although both
maximum and mínimum force s as calculated from dynamic vibration absorplion and active control sys­
all cycles in that test. tems have been implemented to control the wind­
EXCEPTION: The 15% limit may be increased by induced vibration of buildings, the technology is not
the design professional in the specification, pro­ sufficiently mature and the necessary hardware is not
vided that the increased limit has been demon­ sufficiently robust to warrant the preparatíon of gen­
strated by analysis to not have a deleterious effect eral guidelines for the implementation of other
on the response of the rehabilitated building. response control systems.

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SEISMIC REHABILITATION OF EXISTING BUILDINGS

10.0 SIMPLIFIED REHABILITATION applicable method for seismic evaluation of buildings

(FEMA 1992), was the basis for the Simplified
10.1 SCOPE Rehabilitation Method in FEMA 273 (FEMA 1997)
and in this standard. FEMA 178 is based on the his­
This chapler seis forth requirements for the rehabilita­ toric behavior of buildings in past earthquakes and the
tion of buildings using the Simplítied Rehabilitation success of currenl code provisions in achieving lhe
Method. Section 10.2 outlines the procedure of the Lite Safely Building Performance LeveL 11 is organ­
Simplitied Rehabilitation Method. Section 10.3 speci­ ized around a set of common construction styles called
ties actions for correction 01' deficiencies using the model buildings.
Simplitied Rehabilitation Method. Since Ihe preliminary version of FEMA 178 was
compleled in Ihe late 1980s, new informalion has
become avai1able and has been incorporated inlo
CIO.I SCOPE
ASCE 31, which is an updated version ofFEMA 178.
This information includes addilional Modcl Building
The Simplified Rehabilitation Method is intended pri­
Types, eight new evaluation statements for potenlial
marily for use on a select group of simple buildings.
deficiencies, a reorganization oí' the procedure to
The Simplitied Rehabilitation Method only
c1early stale Ihe intended three-tier approach, and new
applies to buildings that tit into one of the Model
analysis techniques Ihat parallel lhose of FEMA 273.
Building Types and conform to Ihe Iimitations of
ASCE 31 is Ihe basis of the Simplified Rehabilitation
Table 10-1, which sets the standard for simple, regu­
Method in this standard.
larly configured buildings defined in Table 10-2.
The Simplitied Rehahilitation Method may yield a
Building regularity is an important consideralion in the
more conservative result Ihan Ihe Systematic Method
application of the melhod. Regularity is delermined by
because of a variety of simplifying assumptions.
checklist stalements addressing building configuration
issues. The Simplified Rehabilitation Method may be
used il' an evalualion shows no deticiencies with
10.2 PROCEDURE
regard lo regularity. Buildings Ihat have contiguration
irregularities (as delermined by an ASCE 31 Tier l or
Simplified Rehabilitation Objeclives, subject to the
Tier 2 Evaluation) (ASCE 2002) may use Ihis
limilations of Section 2.3.1, shall be permitted 10 sat­
Simplitied Rehabilitalion Method lO achieve Ihe Life
isfy Limited Rehahilitalion Objectives, as described in
Safety Building Performance Level only if the resull­
Sections 1.4.3. Reduced Rehabilitation shall be per­
ing rehabilitalion work eliminates aH signiticant
formed in accordance with Seclion 10.2.1. Partial
verlical and horizontal irregularities and results in a
Rehabilitation shall be performed in accordance with
building with a complete seismic lateral-force-resisting
Seclion 10.2.2.
load path.
The lechnique described in this chapter is one 01'
10.2.1 Procedure for Reduced Rehabilitation
the two rehabilitation methods detined in Section 2.3.
Where Ihe Simplified Rehabilitation Method is
It is to be used only by a design professional and
used lo achieve Reduced Rehabilitation, each of the
only in a manner consistenl with this standard.
following steps shall be compleled:
Consideration must be given lo aH aspects of Ihe
rehabilitation process. including the development of 1. The building shall be c1assitied as one of Ihe Model
appropriate as-built information, proper design 01" Building Types listed in Table 10-1 and detined in
rehabilitation techniques, and specitication of appro­ Table 10-2;
priate levels of quality assurance. 2. A Tier 1 and a Tier 2 Seismic Evaluation of the
"Simplitied Rehabilitation" reflects a leve! of building in its existing slate shall be performed ror
analysis and design Ihal (1) is appropriate for smaH, the Life Safety Building Performance Level in
regular buildings and buildings thal do nol require accordance with AS CE 31 (ASCE 2002), except
advanced analylical procedures; and (2) achieves Ihe that the speclral response acceleration parameters
Life Safely Performance Level for Ihe BSE-I shall be detined in accordance with Section 1.6.1.2
Earthquake Hazard Level as defined in Chapter 1, bul of Ihis standard. For any other differences between
does not necessarily achieve the Basic Safety this standard and lhe ASCE 31 procedures, Ihe
Objeclive (BSO). ASCE 31 procedures shaJl govern;
FEMA 178, the NEHRP Handbookfor the 3. The deficiencies identitied by lhe ASCE 31
Seismic Evaluation of Existing Buildings, a national1y Evaluation conducted in Step 2 shall be ranked

290
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from highest to Jowest priorily based on the extent 5. A complete Tier 1 and Tier 2 Evaluation of the
of nonconformance and the signiticance of the building in its proposed rehabilitated stale shall be
defieieney; performed in accordance with ASeE 31, except
4. Rehabilitation measures shaJl be developed in that the speclral response acceleration parameters
aeeordance with Section 10.3. The proposed reha­ shaJl be defined in aceordance wilh Section 1.6.1.2
bilitation scheme shaJl be designed su eh Ihat an of Ihis standard. For any other differenees between
detieiencies idenlified by the ASeE 31 Evaluation this standard and the ASeE 31 proeedures, the
of Step 2 are eliminated; AseE 31 procedures shaIl govern;

Table 10-1. Limitations on Use of the Simplified Rehabilitation Method

Maximum Building Height in Stories

by Seismic Levell for Use of lhe
Simplitied Rehabilitation Method
Model Building Type 2 Low Moderate High
Wood Frame
Light (Wl) 3 3 2
Multistory Multi-Unit Residential (WI A) 3 3 2
Commercial and Industrial (W2) 3 3 2
Steel Momeot Frame
Sliff Diaphragm (S 1) 6 4 3
Flexible Diapluagm (SIA) 4 4 3
Steel Braced "'rame
SlitT Díaphragm (S2) 6 4 3
Flexible Diaphragm (S2A) 3 3 3
Steel Light Frame (83) 2 2 2
Steel Frame with Concrete Shear WaUs (84) 6 4 3
Steel Frame with In6U Masonry Shear WaUs
Sliff Diaphragm (SS) 3 3 n.p.
Flexible Diaphragm (S5A) 3 3 n.p.
Concrete Moment Frame (Cl) 3 n.p. n.p.
Concrete Shear Walls
Sliff Diaphragm (C2) 6 4 3
Flexible Diaphragm (C2A) 3 3 3
Concrete Frame with InfiU Masonry Shear Walls
Stiff Diaphragm (C3) 3 n.p. n.p.
Flexible Diaphragm (C3A) 3 n.p. n.p.
PI'ecastffiU-Up Concrete Shear Walls
Flexible Diaphragm (PC 1) 3 2 2
Stiff Diaphragm (PC I A) 3 2 2
Precast Concrete Frame
With Shear Walls (PC2) 3 2 n.p.
Wilhout Shear Walls (PC2A) n.p. n.p. n.p.
Reinforced Masonry Bearing Walls
Flexible Diaphragm (RM 1) 3 3 3
Stitl' Diaphragm (RM2) 6 4 3
Unreinforced Masonry Bearing Walls
Flexible Diaphragm (URM) 3 3 2
Stiff Diaphragm (URMA) 3 3 2

n.p., Use of Simplitied Rehabilitalion Method shall nOI be permiued.

ISeismic levels shall be as defined in Seclion J .6.3.
'Buildings with diflerent Iypes of flexible diaphragms shaJl be permitted to be considered as having flexible diaphragms. Multistory buildings hav­
ing stiff diaphragms al aJllevels except the roof shall be permitted 10 be considered as having sliff diaphragms. Buildings having bOlh flexible and
stiff diaphragms, or having diaphragm systems Ihal are neither flexible nor stiff, in accordance wilh this chapter, shall be rehabilitated using the
Syslematic Method.

291
5EI5MIC REHABlLlTATION OF EXI5TING BUILDING5

Table 10-2. Description oC Model Building 1)pes

Building Type 1-Wood Light Frame

W 1: These buildings are single or muhiple family dwellings 01' one or more storíes in height. Building loads are Iight and
the framing spans are short. Floor and roof framing consists 01' wood joists or raflers on wooo sluds spaced no more
Ihan 24 in. apart. The firsl-t1oor framing is supporled direclly on Ihe foundation, or is raised up on cripple studs and
post-and-beam SuppOrls. The foundation consists of spread footings conslrucled on concrete, concrete masonry block,
or brick masonry in older construction. Chimneys, where present, consist 01' solid brick masonry, masonry vencer, 01'
wood frame with inlernal metal !lues. Lateral forces are resisted by wood frame diaphragms and shear walts. Floor and
roof diaphragms consist 01' straight or diagonal lumber sheathing, longue-and-groove planks, orienled slrand board, or
wood struclural panel. 5hear walls consist of straight or lumbcr sheathing, plank siding, oriented strand board, wood
structural panel, slucco, gypsum board, parlicle board, 01' fiber board. Interior partitions are shealhed with plasler or
gypsum board.
W I A: These buildings are multistory, similar in construction to W I buildings, bUI have plan arcas on each t100r 01' grealer
than 3,000 s1'. Older conslruclion often has open 1'ront garages at lhe lowest slOry.
Building Type 2-Wood Frames, Commercial and Industrial
W2: These buildings are commercial or industrial buildings with a floor area 01' 5,000 sf or more. There are fcw, if any, inte­
rior walls. The t100c and roof framing consísts of wooo 01' stecl trusses, glulam or steel beams, and wood posts 01' stecl
columns. Lateral (orces are resisted by wooo diaphragms and exterior stud walls sheathed with wood structural panel,
oriented slrand board, stucco, plasler, straight 01' diagonal wooo shemhing, oc braced with roo bracing. Wall openings
for stol'efronts and garages, where present, are framed by post-and-bcam framing.
Building Type 3-Steel Moment Frames
51: These buíldings consist of a frame assembly of steel bcams and steel columns. Floor and roof framing consists of cast­
in-place concrete slabs or metal deck with concrete fill suppocted on steel beams, open web joists, oc steeltrusses.
Laleral forces are resisted by sleel moment frames Ihat develop their stiffness Ihrough rigid or semi-rigid beam-column
connections. Where all connections are momeul-resisting connections, Ihe entire frame parlicipates in lateral-force
resiSlance. Where only selected connections are moment-resisting connections, resistance is provided along discrele
frame Hnes. Columns are oriented so thal each principal direction oí' the building has columns resisting forces in strong
axis bending. Diaphragms consist 01' concrete oc metal deck with concrete liII and are stiff relative 10 the frames. Whcre
the exterior of the structure is concealed, walls consist of metal panel cUrlain walls, glazing, brick masonry, or precast
concrete panels. Where the interior ol' the struclure is tinished, frames are concealcd by ceilings, parlilion walls, and
archilectural column l'urring. Foundatíons consíst 01' concrete-spread footings or deep pile foundations.
5 l A: These buildings are similar 10 5 l buildíngs except that diaphragms consist 01' wood framing, untopped metal deck, or
metal deck with lightweíght insulating concrete, poured gypsum, or similar nonslruclural lopping and are tlexible rela­
líve lo Ihe frames.
Building Type 4-Steel Braced Frames
52: These buildings have a frame 01' steel columns, beams, and braces. Braced frames devclop resistance to lateral force s
by the bracing action of the diagonal members. The braces induce t'orces in the associated bcams and columns such that
all components work together in a manner similar to a truss, with all component stresses being primarily axial. Where
the braces do not completely triangulate the panel, some of the members are subjecled lo shear and tlexural stresses;
eccentrically braced frames are one such case. Diaphragms transfer lateral loads lo braced frames. The diaphragms con­
sist of concrete or metal deck with concrete tilt and are stítTrelative to Ihe frames.
52A: These buildings are similar to 52 huildings excepllhat diaphragms consist of woOO framing, untopped metal deck, or
metal deck with Iightweight insulating concrele, poured gypsum, oc similar nonstruclural topping and are tlexible rela­
live 10 Ihe frames.
Building Type 5-Steel Light Frames
53: These buildíngs are pre-engineered and prefabricaled with transverse rigid steel frames. They are one story in height.
The roof and walls consist 01' lightweight metal, tiherglass or cementitious panels. The 1'rames are designed ror maxi­
mum etlicíency and the beams and columns consíst of tape red, built-up sections with thin plates. The frames are built
in segments and assembled in the tield with bolted 01' welded joints. Lateral t'orces in lhe lransverse direction are resis­
ted by the rigid frames. Lateral t'orces in lhe longitudinal direction are resisled by wall panel shear components or rod
hracing. Diaphragm force s are resisled by umopped metal deck, roof panel shear componenls, or a system of tension­
only roo bracing.

292
 ASCE/SEI41-06

Building Type 6-Steel Frames with Concrete Shear Walls

S4: These buildings consis! of a frame assembly of steel beams and steel columns. The floors and roof consist of cast-in­
place concrete slabs or metal deck with or without concrete till. Framing consists of stcel beams, open web joists, oc
sleel trusses. Lateral forces are resisted by cast-in-place concrete shear walls. These walls are bearing walls where the
sleel frame does not provide a complete vertical support system. In older construction, the steel frame is designed for
vertical loads only. In modern dual systems, the steel moment frames are designed lo work togelher wilh Ihe concrele
shear walls in proportion 10 their relative rigidity. In the case of a dual system, the walls shall be evaluated under this
building type and the rrames shall be evalualed under SI or S I A, Steel Moment Frames. The stcel frame may provide a
secondary laleral-force-resisting syslem depending on the stiffness of the frame and the moment capadty of the
beam--column connections.
Building Type 7-Steel Frame with In611 Masonry Shear WaIls
S5: This is an older type of building construction that consists of a frame assembly of steel beams and steel columns. The
noors and roof consist of cast-in-place concrete slabs or metal deck with concrete till. Framing consists of steel beams,
open web joists, or stcel lrusses. Walls consisl of infill panel s constructed of solid day brick, concrete block, or hollow
clay tile masonry. Intill walls may completely encase Ihe frame members, and present a smooth masonry exterior with
no indication of the frame. The seismic performance 01' this type 01' construction depends on the interaction betwcen the
frame and infill panels. The combined behavior is more Iike a shear wall structure Ihan a frame slructure. Solidly
intilled masonry panels form diagonal compression slruts betwcen the intersections of the frame members. If the walls
are offset from the frame and 'do not fully engage the frame members, the diagonal compression slruts will not develop.
The strength 01' the intm panel is limited by the shear capacity of the masonry bed joint or the compression capacity of
the strut. The post-cracking strength is determined by an analysis of a moment frame that is partially restrained by the
cracked intlll.
S5A: These buildings are similar to SS buildings except that diaphragms consisl of wood sheathing or untopped metal deck.,
or have large aspecI ralios and are flexible relalive to the walls.
Building Type 8-Concrete Moment Frames
CI: These buildings consist of a rrame assembly of cast-in-place concrete beams and columns. Floor and roof framing con­
sists of casl-in-place concrete slabs, concrete beams, one-way joists, two-way waffle joists, or nat slabs. Lateral force s
are resisted by concrete moment rrames that develop their stiffness through monolithic beam--column connections. In
older conslruction or in levels of low seismicilY, the moment frames may consísl of the column strips of two-way flat
slab systems. Modern frames in levels of high seismicity have joint reinforcing, closely spaced ties, and spedal detail­
ing to províde ductiJe performance. This detailing ís not presenl in older construction. Foundations consist of concrete­
spread foolings, mat foundations, or dcep pile foundadons.
Building Type 9-Concrete Shear Wall Buildings
C2: These buiJdings have tloor and roof framing that consists of cast-in-place concrete slabs, concrete beams, one-way
joists, two-way waffle joists, or flat slabs. Flooes are supported on concrete columns or bearing walls. Lateral forces are
resisted by casl-in-place concrete shear walls. In older construction, shear walls are lightly reinforced, but oflen exlend
Ihroughout the building. In more recent conslruction, shear walls occur in isolated locations and are more heavily rein­
forced with concrete slabs and are sliff relalive lo the walls. Foundations consis! of concrete-spread footings, mat foun­
dalions, or deep pile foundations.
C2A: These buildings are similar lo C2 buildings except that diaphragms consiSI of wOod shealhing, or have large aspecl
ratios and are flexible relalive lO the walls.
Building l'ype lO-Concrete Frame with InfiU Masonry Shear Walls
C3: This is an older Iype of building conslruction tha! consisLs of a frame assembly 01' casl-in-place concrete beams and
columns. The flooes and roof consiSl of casl-in-place concrete slabs and are sLiff relatíve to the walls. Walls consisl of
infill panel s conslrucled 01' sol id clay brick., concrete block, or hollow clay lile masonry. The seismic performance of
Ihis type of conslruclion depends on the ¡nreraction between the frame and the intill paneIs. The combined behavior is
more like a shear wall structure Iban a rrame struclure. Solidly intllled masonry panels form diagonal compression
slruts between Ihe inlerseclions of the rrame members. If the walls are offset from Ihe frame and do nol fully engage
the frame membees, the diagonal compression struts will not develop. The slrenglh of Ihe infill panel is limited by Ihe
shear capacity 01' Ihe masomy bed joint or ¡he compression capacilY of Ihe slrUl. The post-cracking strength is deter­
mined by an analysis of a Il'lOfIlI!'nl f~ Ihal is partially restrained by the cracked intill. The shear strength of the con­
crele columns, alter racting of the infill, may limillhe semi-ductile behavior of the syslem ..
C3A: These buildings are similar lo C3 buildings excepl Ihat diaphragms consists of wood shealhing or untopped metal deck,
or have Iarge aspecl ratios. aoJ are flexible relative 10 the walls.

continued

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SEISMIC REHABILlTATION OF EXISTING BUTLDINGS

TABLE 10-2. (Continued)

Building Type ll-PrecasflTilt-Up Concrete Shear Wall Buildings
PC 1: These buildings have precast concrete perimeter wall panels that are casI on site and tilled inlO place. Floor and rool'
rraming consists of wood joists, glulam beams, steel beams, or open web joists. Framing is supported on interior steel
columns and perimeter concrete bearing walls. The 1100rs and roof consist of wood sheathing or unlopped metal deck.
Lateral forces are resisted by the precast concrete perimeter wall panels. Wall panels may be solid, or have Jarge win­
dow and door openings which cause the panel s lo behave more as rrames than as shear walls. In older construction,
wood framing is attached to the walls with wood ledgers. Fou.ndations consist of concrete-spread 1'ootings or deep pile
foundations.
PCIA: These buildings are similar to PCI buildings excepl that diaphragms consist of precast components, cast-in-place con­
crete, or metal deck with concrete fill, and are slilT relative to the walls.
Building Type 12-Precast Concrete Frames
PC2: These buildíngs consist 01' a rrame assembly of precast concrete gírders and columns with the presence of shear walls.
Floor and roor framing' consisls of precast concrete planks. tees, or double-tees supported on precasl concrete girders
and columns. Lateral torces are resisted by precast or cast-in-place concrete shear walls. Diaphragms consist of precast
components interconnccted with welded inserts, cast-in-place c10sure strips, or reinforced concrete LOpping slabs.
PC2A: These buildings are similar to PC2 buildings except that concrete shear walls are not presento Lateral forces are resisted
by precast concrete moment frames that develop their stitTness through beam---.:olumn joints rigidly connected by
welded inserts or cast-in-place concrete c1osures. Diaphragms consist of precast components interconnected with
welded inserts, cast-in-placc cIosure strips, or reinforced concrete lopping slabs.
Building Type 13-Reinforced Masonry Bearing Wall Buildings with Flexible Diaphragms
RM 1: These buildings have bearing walls that consist 01' reinl'orced brick or concrete block masonry. The tloor and roof fram­
ing consists ol' steel or wood beams and girders or open web joists, and are supported by steel, wood, or masonry
eolumns. Lateral forces are resisted by the reinforced brick or concrete block masonry shear walls. Diaphragms consis(
01' straight or diagonal wood sheathing, wood structural panel, or untopped metal deck, and are flexible relative to the
walls. Foundations consist of brick or concrete-spread footings or deep foundations.
Building Type 14-Reinforced Masonry Bearing Wall Buildings with StiffDiaphragms
RM2: These building are similar to RM I buildings except ¡hat ¡he diaphragms consist of metal deck with concrete tm, precasl
concrete planks, tees, or double-tees, with or without a cast-in-place concrete lopping slab, and are sliff relative lO ¡he
walls. The noor and roof framing is supported on interior steel or concrele frames or interior reinforced masonry walls.
Building Type 15-Unreinforced Masonry Bearing Wall Buildings
URM: These buildings have perimeter bearing walls that consist of unreinforced c1ay brick, stone, or concrete masonry.
Interior bearing walls, where present, also consist ol' unreinforced c1ay brick, stone, or concrete masonry. In older con­
struction, floor and roof framing consists of straight or diagonallumber sheathing suppOlted by wood joists, which, in
turn, are supported on posts and timbers. In more recent construction, l100rs consist 01' structural panel or wood struc­
tural panel sheathing rather ¡han lumber sheathing. The diaphragms are l1exible relative to the walls. Where they exisl,
ties between the walls and diaphragms consist {lf anchors or bent steel pIates embedded in the mortar joints and
attached to framing. Foundations consist of brick or concrete-spread footings, or deep l'oundations.
URMA: These buildings are similar to URM buildings exccpt that the diaphragms are stiff relatíve to the unreintorced masonry
walls and inlerior l'raming. In older construction or large, multistory buildings, diaphragms consist of cast-in-place con­
crete. In levels 01' low seismicity, more recenl construction consists 01' metal deck and concrete fil! supported on Sleel
framing.

6. Rehabilitation measures ror architeclural, mechani­ and 7 of Section ] 0.2.1 shall be completed. Steps 4
cal, and eleclrícal components shalI be developed and 6 01' Section 10.2.1 shall be complcted only as
in accordance with Chapler II for the Lífe Safety they apply to the deticiencies being addressed as part
Nonstruclural Performance Level al the BSE-I of lhe Partíal Rchabilitation.
Earlhquake Hazard Level; ano
7. Construction documenls, including drawings, speci­
fications, and a qualily assurance plan, shall be
developed as detined in Chapler 2. C10.2 PROCEDURE

10.2.2 Procedure for Partial Rehabilitation The basis of lhe Simplified Rehabilitation Method ís
Where the Simplifieo Rehabililation Method is the ASCE 31 (ASCE 2002) procedure. There are
used lo achieve Partíal Rehabílitation, Sleps 1, 2, 3, 5, intentional dilTerences between lhe provisions 01' this

294
 ASCElSEI 41-06

standard and ASCE 31 with regard to site c1ass ampli­ Table CIO-2. WIA: Multi-Story, Multi-Unit, Wood
tication factors, seismicity, and design earthquake, Frame Construclion
among other issues. The Earlhquake Hazard Level
detined in ASCE 31 is taken as two-thirds of the Typical Deficiencies
Maximum Considered Earthquake (MCE) for simplic­
Load Path
ity and conservatism in the evaluation procedures.
Redundancy
However, rehabilitation to the BSE-I Earthquake
Vertical Irregularitíes
Hazard Level in accordance with this standard is the Shear Walls in Wood Frame Buíldíngs
tradilional level of safety taken as the lesser of the Shear Stress
1O%/50-year or Iwo-trurds of Ihe MCE. Openings
For simple buildings with specific deficiencies, it Wall Detailing
is possible and advÍsable to prioritize the rehabilitation Cripple Walls
measures. This is orten done where the construction Narrow Wood Shear Walls
has Iimited funding or must take place while the build­ Stucco Shear WalIs
ing is occupied. In bolh cases, it is preferable to cor­ Gypsum Wallboard or PI aster Shear Walls
rect the worst deficiency first. Diaphragm Openings
Diaphragm Stiffness/Strength
Potential deficiencies are ranked in Tables C 10-1
Spans
through C 10-19; items in these lables are ordered
Diaphragm Continuity
roughly from highest priority at Ihe top lo lowesl al Anchorage to Foundations
the bonom, aIthough this can vary widely in individual Conditíon of Foundations
cases. Tables C l 0-1 through C 10-19 are presented at Geologic Site Hazards
Ihe end of this Commentary section. Condition of Wood
ASCE 31 lists specific deficiencies both by Model
Building Type and by association with each building
system. Tables C 10-1 through C 10-19 of this standard
further group deficiencies by general characteristics.
For example, the deficiency Iisting "Diaphragm
blocking. Table C 10-20 provides a complete cross­
StitIness/Strength;' ineludes deficiencies related to the
reference for sections in this standard and in ASCE 31
type of sheathing used, diaphragm span, and lack 01'
and is presented al Ihe end 01' this Commentary section.
Witbin the table for each Modcl Building '!Ype,
typícal deficiencies are ranked from most critical at
tbe top of eacb deticiency group to least critical al the
Table CIO-I. WI: Wood Ligbt Frame bottom. For example, in Table ClO-12, in a
precastltilt-up concrete shear wall with flexible
Typical Deticiencies diaphragm (PC 1) building, Ihe lack of posilive gravily
frame connections (e.g., 01' girders lo posts by sheet
Load Path
metal hardware or bolts) has a greater potential to
Redundancy
Vertical Irregularities lower the building's per1'onnance (a partíal collapse 01'
Shear Walls in Wood Frame Buildings the roof structure supported by the beam) than a defi­
Shear Stress ciency in lateral forees on 1'oundations (e.g., poor rein­
Openings forcing in the footings).
Wall Detailing The ranking was based on the 1'oIlowing charac­
Cripple Walls teristics of eaeh deticiency group:
Narrow Wood Shear WaIls
Stucco Shear Walls l. Most critical
Gypsum Wallboard or Plaster Shear Walls 1.1. Building systems: those with a discontinuous
Diaphragm Openings load path and liule redundancy.
Diaphragm StiffnesslStrength 1.2. Building components: those with low strength
Spans and low ductility.
Díaphragm Continuity 2. Intermediate
Anchorage to Foundations 2.1. Building systems: those wÍlh a discontinuous
Condition of Foundatíons load path but substantial redundancy.
Geologic Site Hazards
2.2. Building components: those with substantial
Condition of Wood
strength but low ductility.

295
SEISMIC REHABlLlTATION OF EXISTING BUILDINGS

3. Least critical Table CI0-4. SI and SIA: Steel Moment Frames

3.1. Building systems: those Wilh a subslantialload with Stiff or Flexible Diaphragms
path but liule redundancy.
3.2. Building componenls: those with low strength Typical Deficiencies
but substantial ductility.
Load Path
The iment of Tables C I 0-1 through CI 0-19 is 10 Redundancy
guide the design professional in accomplishing a Vertical Irregu larities
Partial Rehabililation Objective. For example, if the Plan IlTegularilies
foundation is strengthened in a PC 1 building but a Adjacent Buildings
poor girder/wall connection is left alone, relatively Uplift at Pile Caps
Stcel Moment Frames
linle has been done to impro\:e the expected perfor­
Drift Check
mance of the building. Considerable professional judg­ Frame Concerns
ment must be used where evaluating a structure's Strong Column-Weak Beam
unique behavior and determining which deficiencies Connections
should be strengthened and in what arder. Re-entrant Corners
As a rule, the resulting rehabilitated building must Diaphragm Openings
be one of the Model Building Types. For example, Díaphragm Stifl'nesslSlrength
adding concrete shear walls to concrete shear wall DiaphragmlFrame Shear Transfer
buildings or adding a complete system of concrete Anchorage lo Foundalions
shear walls lo a concrete frame building meets this Condition ol' Foundations
requirement. Steel bracing may be used lo strengthen Overturníng
Lateral Loads
wood or unreinforced masonry (URM) conslruclion.
Geologic Site Hazards
For large buildings, il is advisable lo expiare several Condition ol' Steel
rehabilitalion stralegies and compare alternative ways

Table ClO-3. W2: Wood-Commercial, and ol' eliminating deficiencies. A Tier I and Tier 2
Industrial Evaluation of the proposed rehabilitated stale ís per­
formed to verify the proposed rehabilitation designo
Typical Deficiencies For a Limited Rehabilitation Objeclive, the deti­
Load Path ciencies identified by the ASCE 31 Evalualion of
Redundancy Step 2 should be mitigated in order of príorÍly based
Vertical IITegularities on the ranking performed in Step 3.
Shear Walls in Wood Frame Buildings A complete evaluation of the building should con­
S hear Stress firm that the strengthening of any one componenl or
Openings system has not merely shifted the deficiency to
Wall Detailing another.
Cripple Walls Specific applicalion of the Syslematic
NaITow Wood Shear Walls Rehabilitation Method is needed to achieve the BSO.
Stucco Shear Walls
The total strength of the building should be sutficient,
Gypsum Wallboard or Plaster Shear Walls
Diaphragm Openings
and the ability of the building to experience the pre­
Diaphragm Stiffness/Strength dicted maximum -displacemem without partial or com­
Sheathing plele collapse must be established.
Unblocked Diaphragms If only a Partí al Rehabilitation or Limited
Spans Rehabilitation O~iective is intended, deficiencíes
Span-to-Depth Ratio should be corrected in priority arder and in a way that
Diaphragm Continuity will facilitate fultillmenl of the requirements 01' a
Chord Continuity higher objective at a later date. Care must be Laken to
Anchorage to Foundations ensure that a Partí al Rehabilitation effort does not
Condition of Foundations make the building's overall performance worse by
Geologic Site Hazards
unintentionally channeling failure lO a more crilical
Condítion of Wood
component.

296
 ASCE/SEI 41-06

Table CIO-5. S2 and S2A: Steel Braced Frames Table CI0-6. 83: 8teel Ligbt Frames
with 8tiff or Flexible Diapbragms
Typical Deticiencies
Typical Deficiencies
Load Path
Load Path Redundancy
Redundancy Vertical Irregularities
Vertical Irregularities Plan Irregularities
Plan Irregularities Steel Moment Frames
Uplift at Pile Caps Frame Concems
Stress Level Masonry Shear Walls
Stiffness of Diagonals (nlm Walls
Chevron or K-Bracing Steel Braced Frames
Braced Frame Connections Stress Level
Re-entran! Comers Braeed Frame Conneclions
Diaphragm Openings Re-entran! Comen;
Diaphragm Stíffness/Strenglh Diaphragm Openíngs
DiaphragmlFrame Shear Transfer DiaphragmlFrame Shear Transfer
Anchorage to Foundations Wall Panels and C1adding
Condilion of Foundations Light Gage Melal, Plastic, or Cementitious Roof Panel s
Overtuming Anchorage 10 Foundations
Lateral Loads ConditÍon of Foundations
Geologic Site Hazards Geologíc Site Hazards
Condition 01' SteeJ Condition of Steel

10.3 CORRECTION OF DEFICIENCIES CIO.3 CORRECTION OF DEFICIENCIES

For Simplified Rehabililation, detieieneies idenlified Implementing a rehabilitalÍon seheme lhat mitigales all
by an ASCE 31 Evaluation shall be mitigaled by 01' a building's ASCE 31 (ASCE 2002) delicieneies
implementing rehabilitalÍon measures in aeeordanee using lhe Simplified Rehabililalion Method does nOI,
wiLh Ihis standard. The resulling building, including in and 01' irself, aehieve lhe Basie Safely Objeelive or
strenglhening measures, shall comply wíth lhe require­ any Enhanced Rehabilitation Objeclive as detined in
menlS of ASCE 31, exeepl that the speclral response Chapler 2 sinee lhe rehabilitaled building may nol
aeeeleration parameters shall be detined in aecordance meer the Collapse Prevenlion Structural Performance
wilh SeeLion 1.6.1.2 of this standard. The rehabilitated Level ror the BSE-2 Earthquake Hazard Leve/. If the
building shall eonform 10 one of the Model Building goal is lo attain lhe Basie Safely Objeclive as
Types eontaíned in Table 10-1, exeept that steel brae­ described in Chapler 2 or other Enhanced Reha­
ing in wood or unreinforced masonry buíldings shall bililation Objectives, this ean be accomplished using
be permiued. the Systemalic Rehabilitalion Melhod detined in
The Simplitied Rehabilitation Melhod shall only Chapler 2.
be used lo aehieve Limiled Rehabilitalion Objectives. Suggested rehabílitation measures are listed by
To aehieve Ihe Life Safely Building Performance deficieney in lhe following sections.
Level (3-C) al lhe BSE-I Earlhquake Hazard Levcl, all
deticieneies idenlitied by an ASCE 31 Evaluation shall CIO.3.1 Building 8ystems
be eorrecled lo meel lhe ASCE 31 eritería exeept lhal
lhe spectral response aceeleralion parameters shall be CI0.3.1.1 Load Path
defined in aceordanee with Seetion 1.6.1.2 of Ihis stan­ Load path discontinuilies can be miligated by
dard. To achieve a Parlial Rehabililalion Objeetive, adding components to complete Ihe load palh. This
only selected deficiencies need to be eorrected. may require adding new, well-founded shear walls or
To achieve lhe Basie Safety Objeetive, the frames to till gaps in existing shear walls or rrames
Simplified Rehabilitation Melhod is not permitted, and Ihal are nOl carried continuously lo the foundalion.
deticiencies shall be eorreeted in aeeordanee with the Alternatively, it may require the addition of eompo­
Systemalie RehabílilalÍon Melhod of Seetion 2.3. nents throughoul the building lo piek up loads from

297
SEISMIC REHABILlTATION OF EXISTING BUILOINGS

Table CIO-7. S4: Steel Frames witb Concrete Table ClO-8. SS, S5A: Steel Frames witb (nflll
Sbear Walls Masonry Sbear Walls and Stiff or
Flexible Diapbragms
Typical Deficiencies
Typical Deficiencies
Load Path
Redundancy Load Path
Vertical Irregularities Redundancy
Plan Irregularítíes Vertical Irregularities
Uplift at Pile Caps Plan Irregularities
Cast-in-Place Concrete Shear Walls Uplifl at Pile Caps
S hear Stress Frames NOl Part of the Laleral-Force-Resisting System
Ovel1urning Complete Frames
Coupling Beams Masonry Shear WaJls
Boundary Component Detailing Reinforcing in Masonry Walls
Wall Reinforcement Shear Stress
Re-entran! Corners Reinforcing at Openings
Diaphragm Openings Unreinforced Masonry Shear Walls
Diaphragm Stiffness/Strength Proportions, Sol id Walls
Diaphragm/WaIl Shear Transfer Intill Walls
Anchorage to Foundations Re-entranl Corners
Condilion of Foundations Diaphragm Openings
Ovenurning Diaphragm StitTness/Strength
Lateral Loads Span-to-Deplh Ratio
Geologic Síte Hazards Diaphragm/Wall Sheur Transfer
Condition of Steel Anchorage for Normal Forces
Condition of Concrete Anchorage lo Foundations
Condition of Foundations
Ovel1urning
diaphragms that have no path into existing vertical ele­ Latera) Loads
ments [ASCE 31, Section 4.3.1 (ASCE 2002)]. Geologic Site Hazards
Condition of Steel
Quality of Masonry
C10.3.J.2 Redllndancy
The most prudent rehabilitation strategy fOl" a
building without redundancy is to add new lateral­ CIO.3.1.4 Plan lrregularities
force-resistíng elements in locations where the faílure The effects 01' plan irregularities that create lor­
of a few components will cause an inslability in the sion can be eliminated with the addition of lateral­
building. The added lateral-force-resisting elements force-resisting bracing elements that will support all
should be of the same stitl"ness as the e1ements they major díaphragm segments in a balanced manner.
are supplementing. It is not generally satisfactory just Although it is possible in so me cases 10 allow Ihe
to strengthen a nonredundant elemenL (such as by irregularity 10 remain and instead strengthen those
adding cover plates to a slender brace), beeause its structural components ¡hal are overstressed by ilS exis­
fai/ure would still resuIt in an instability [ASCE 31, tence, this does nol direclly address the problem and
Sections 4.4.1.1.1, 4.4.2.1.1, 4.4.3. J.J, and 4.4.4.1.1 will require the use oí" Ihe Systematic Rehabilitation
(ASCE 2002)]. Method [ASeE 31, Section 4.3.2.6 (ASCE 2002)].

C10.3.J.3 Verticallrregularities CIO.3.1.5 Adjacent Buildings

New vcrticallateral-force-resisting elements can Stiffening elements (typically braced trames or
be provided to eliminate the vertical irregularity. For shear walls) can be added lo one or both buildings lo
weak stories, soft stories, and vertical diseontinuities, reduce the expecled drifts 10 acceplable levels. With
new elements of the same type can be added as separate struclures in a single building complex, it
needed. Mass and geometric discontinuities must be may be possible lO tie them together struclurally 10
evaJuated and strengthened based on the Systematic torce them lo respond as a single slructure: The rela­
Rehabilitation Method, if required by Chapler 2 live stitlnesses of eaeh and the resulting force inlerac­
[ASCE 31, Sections 4.3.2.4-4.3.2.5 (ASCE 2002)]. tions must be determined to ensure that additional

298
 ASCElSEI41-06

deticiencies are not crealed. Pounding can also be Table CIO-IO. C2, C2A: Concrete Shear Walls with
eJiminated by demolishing a portion of one building to Stiff or Flexible Diapbragms
increase the separation [ASeE 31, Section 4.3.1.2
(ASeE 2002)]. Typical Deficiencies
Load Path
CIO.3.1.6 Uplift al PiIe Caps
Redundancy
Typically, deficiencies in the load path at the piJe
Vertical Irregularities
caps are not alife safety concern. However, if the Plan Irregularities
design professional has determined that there is a Uplift at Pile Caps
strong possibility of alife safety hazard due to this Detlection CompalibiHty
deficiency, piJes and piJe caps may be modified, sup­ Frames Not Part 01' Ihe Lateral-Force-Resisling System
plemented, repaired, or in the most severe condition, Captive Columns
replaced in their entirety. Altematively, the building Cast-in-Place Concrete Shear Walls
system may be rehabilitated such that the pile caps are Shear Stress
protected [ASeE 31, Section 4.6.3.10 (ASeE 2002)J. Overturning
Coupling Beams
Boundary Componen! Detailing
CI0.3.1.7 Defleclion Compatibility
Wall Reinforcemen!
Verticallateral-force-resisting elements can be Re-entran! Corners
added to decrease the drift demands on the columns, Diaphragm Openings
or the ductility of me columns can be increased. Diaphragm StiffnesslStrenglh
Jacketing the columns with steel or concrete is one Shealhing
approach lo increase their ductiJity [ASeE 31, Sec­ Diaphragm/Wall Shear Transfer
lion 4.4.1.6.2 (ASeE 2002)]. Anchorage to Foundations
Condilion of FoundaLions
Overturning
Lateral Loads
Geologic Site Hazards
Condition of Concrete
Table CIO-9. Cl: Concrete Moment Frames
CIO.3.2 Moment Frames
Typical Deficiencies
Load Path CIO.3.2.1 Sleel Momellt Frames
Redundancy
Vertical lrregularities CJO.3.2. J.J Drift The most direct mitigation approach
Plan lrregularíties is to add properly placed and distributed stiffening ele­
Adjacent Buíldíngs ments-new moment frames, braced frames, or shear
Uplífl at Pile Caps walls-thal can reduce the slory drifts to acceptable
Detlection Compatibility levels. Altematively, the addition of energy dissipation
Concrete Moment Frames devices to the system may reduce the drifl, though
Quick Checks, Frame and Nonductile Detaíl Concerns
these are outside the scope of the Simplified
Precast Momem Frame Concerns
Rehabilitation Method [ASeE 31, Section 4.4.1.3.1
Frames Not Part of the Lateral-Force-Resisting System
Captíve Columns (ASeE 2002)].
Re-entrant Corners
Diaphragm Openings ClO.3.2.l.2 Frames Noncompact members can be
Díaphragm Sliffness/Strength eliminated by adding appropriate steel pi ates.
Díaphragm/Frame Shear Trans1'er Eliminating or properly reinforcing large member pen­
Precast Connections etrations will develop the demanded strength and
Anchorage to Foundations deformations. Lateral bracing in the form of new sleel
Condition 01' Foundations components can be added 10 reduce member unbraced
Overturning
lengths to within the limits prescribed. Stitfening ele­
Lateral Loads
ments (e.g., braced trames, shear walls, or additionaJ
Geologic Sile Hazards
moment frames) can be added throughout the building
Condition of Concrete
to reduce the expected frame demands [ASeE 31,

299
SEISMIC REHABILlTATION OF EXISTING BUILDlNGS

Table ClO-ll. CJ, CJA: Concrete Frames with Table CIO-I2. PC}: Precastlfilt-Up Concrete Shear
In611 Masonry Shear Walls and Stiff or Walls with Flexible Diapbragms
Flexible Diaphragms
Typical Deticiencies
Typical Deficiencies
Load Path
Load Path Redundancy
Redundancy Vertical Irregularities
Vel1ical Irregularities Plan Irregul31ities
Plan Irregularities DetlecLion Compatibility
Uplift at Pile Caps Diaphragm/Wall Shear Transfer
Deflection Compatibility Anchorage for Normal Forces
Frames Not PaJt oi' lhe Lateral-Force-Resisting System Girder/Wall Connections
Complete Frames Stifí'ness oí' Wall Anchors
Masonry Shear Walls Precast Concrete Shear Walls
Reinforcing in Masonry WaJ1s Panel-Lo-Panel Connections
Shear Stress Wall Openings
Reinforcing at Openings Collectors
Unreinforced Masonry Shear Walls Re-entrant Corners
Proportions. Solid Walls Cross Ties
Inlill Walls Diaphragm Openings
Re-entrant Comen, Diaphragm SliffnesslStrength
Diaphragm Openings Sheathing
Diaphragm Stiffness/StrengLh Unblocked Diaphragms
Span-to-Depth Ratio Span-to-Depth Ratio
Diaphragm/Wall Shear Transl'er Chord Continuity
Anchorage for Normal Forces Anchorage to Foundatíons
Anchorage LO Foundations Conditíon of Foundatíon
Condition ol' Foundations Overturning
OverLurning Lateral Loads
Lateral Loads Geologic Site Hazards
Geologic Site Hazards Condition of Concrete
Condition of Concrete
Quality of Masonry

vulnerable for conditions where the beam-column

Sections 4.4.1.3.7, 4.4.1.3.8, and 4.4.1.3. lO (ASCE connections are modified lo be more ductile, can be
2002)]. modified by adding plales and/or welds. Adding conti­
nuity plales alone is not Iikely to enhance the connec­
C 10.3.2./.3 Strong Column- Weak Beam Sleel plaLes tion performance signiticantly [ASCE 31, Sec­
can be added lo increase Ihe strength of the steel tions 4.4.1.3.3-4.4. J .3.5, and 4.4.1.3.9 (ASCE 2002)].
columns lO beyond that of the beams lo eliminate tbis Moment-resisting connection capacíty can be
issue. Stilrening elemcnls (e.g., braced frames, shear increased by adding cover pi ates or haunches, or using
waUs, or addilional moment frames) can be added other techniques as stipulated in FEMA 351 (FEMA
lhroughoul Lhe building to reduee Ihe expected frame 2000).
demands [ASCE 31, Seclion 4.4.1.3.6 (ASCE 2002)].
C10.3.2.2 Concrete Moment Frames
C10.3.2./.4 Connections Adding a sliffer laleral-force­
resisting syslem (e.g., braced frames or shear walls) CJO.3.2.2./ Frame alld Nonductile Detail Concerns
can reduce the expected rotaLÍon demands. Adding properly placed and dislributed stitTening ele­
Connections can be moditied by addíng tlange cover ments such as shear walls or braced frames will fully
pI ates, vertical ribs, haunches, or brackets, or remov­ supplement Ibe momenl trame system with a new
ing beam tlange material lo iniliate yielding away lateral-force-resistíng system. For eccenlric joinls,
from lhe connection 10calÍon (e.g., via a patlero of columns and/or beams may be jacketed 10 reduce the
drilled holes or Ihe cutting oul ol' tlange material). effective eccenlricity. Jackels may also be provided for
Parlíal penetration splices, which may become more shear-crilical coJumns.

300
 ASCE/SEI 41-06

Table CIO-13. PCIA: Precastffilt-Up Concrete Table CIO-14. PC2: Precast Concrete Frames
Shear Walls with Stiff Diaphragms witb Shear Walls

Typical Det1ciencies Typical Deticiencies

Load Path Load Path
Redundancy Redundancy
Vertical Irregularities Vertical Irregularities
Plan lrregularities Plan Irregularities
Precast Concrete Shear Walls Uplift al Pile Caps
Panel-to-Panel Connections Deflection Compatibility
Wall Openings Concrete Momen! Frames
CoJlectors Precast Moment Frame Concerns
Re-entranl Corners Cast-in-Place Concrete Shear Walls
Diaphragm Openings Shear Stress
Diaphragm Sliffness/Slrenglh Overturning
DiaphragmIWall Shear Transfer Coupling Beams
Anchorage for Normal Forces Boundary Componenl Detailing
Girder/Wall Conneclions Wall Reinforcement
Anchorage lo Foundalions Re-entrant Corners
Conditíon 01' Foundations Cross Ties
Overturning Diaphragm Openings
Lateral Loads Diaphragm StiffnesslSlrength
Geologic Site Hazards Diaphragm/Wall Shear Transfer
Condition of Concrete Anchorage for Normal Forces
Girder/Wall Connections
Precasl Connections
Anchorage 10 Foundations
It musl be verified Ihat Ihis new syslem sufficiently
Condition of Foundations
reduces Ihe trame shears and story drifts lo acceptable Overturning
levels [ASCE 31, Section 4.4.1.4 (ASCE 2002)]. Lateral Loads
Geologic Site Hazards
CJO.3.2.2.2 Precast Moment Frames Precasl concrete Condition of Concrete
frames without shear walls may not be addressed
under the Simplified Rehabilitation Method (see
Table 10-1). Where shear walls are present, the precast CJO.3.2.3.2 Captive Columns Columns may be jack­
connections must be strengthened sufficiently lo meet eted with steel or concrete such that they can resist the
the ASCE 31 (ASCE 2(02) requirements. expected forces and drifts. Alternatively, the expeeted
The development of a competentload path is story drifts can be reduced throughout the building by
extremely critical in these buíldings. If the connections infílling openings or adding shear walls [ASCE 31,
have sufticient strenglh so lhat yielding wíIJ fírst occur Section 4.4.1.4.5 (ASCE 2(02)].
in the members rather lhan in the conneclions, the
building should be evaluated as a shear wall syslem CIO.3.3 Shear Walls
Type C2 (ASCE 31, Section 4.4.1.5).
C10.3.3.1 Cast-in-Place Concrete Shear Walls
C10.3.2.3 Frames Not Pan 01 the Lateral-Force­
Resisting System CJO.3.3.1.1 Shearing Stress New shear walls can be
provided andlor the existing walls can be strengthened
CJO.3.2.3.J Complete Frames Complete trames of to satisfy seismic demand criteria. New and strength­
steel or concrete form a complete vertical load­ ened walls must form a complete, balanced, and prop­
carrying system. erly delailed lateral-force-resisting syslem for the
Incomplete frames are essentially bearing wall building. Special care is needed to ensure that the con­
systems. The wall must be strengthened to resist the neetion of the new walls lo the existing diaphragm is
combined gravity/seismic loads or new columns added appropriate and of sufficient strength such lhat yield­
to complete the gravity load path [ASCE 31, Sec­ ing will first occur in the wall. AH shear waHs must
tion 4.4.1.6.1 (ASCE 2002)]. have sufficienl shear and overturning resistance to

301
SEISMIC REHABILlTATION OF EXISTING BUILDlNGS

Table CIO-15. PC2A: Precast Concrete Frames Table CIO-16. RMl: Reinforced Masonry Bearing
without Shear Walls Wall Buildings with Flexible Diaphragms

Typical Deficiencies Typical Deficiencies

Load Palh Load Path
Redundancy Redundancy
Vertical In'egularities Vertical Irregularities
Plan llTegularitíes Plan Irregulmities
Adjaeent Buildíngs DiaphragmlWall Shear Transfer
Uplift at PiJe Caps Anchorage for Normal Forees
Detleetion Compatibilíty Stiffness of Wall Anchon;
Concrete Momenl Frames Masonry Shear Walls
Precast Momen! Frame Concerns Reinforcing in Masonry Walls
Frames Not Pan ol' the Lateral-Force-Resisting System Shear Stress
ShOl'l Captive Columns Reinforeing at Openings
Re-entran! Corners Re-entrant Corners
Diaphragm Openíngs Cross Tíes
Diaphragm Sliffness/Strenglh Diaphragm Openíngs
DiaphragmlFrame Shear Transfer Diaphragm Sliffness/Slrength
Precasl Connections Sheathing
Anchorage to Foundalions Unblocked Diaphragms
Condition of Foundations Span-Io-Depth Ratio
Overturning Anchorage lo Foundations
Lateral Loads Condition of Foundations
Geologic Sile Hazards Geologic Site Hazards
Condition of Concrete QualilY of Masonry

meet the ASeE 31 load criteria [ASeE 31, Sec­

C10.3.3.2 Precast COllcrete Shear Walls
tion 4.4.2.2.1 (ASeE 2(02)].
ClO.3.3.2.J Panel-to-Panel Connections Appropriale
CJO.3.3.J.2 Overturning Lengthening or adding shear Simplified Rehabilitation solutions are outlined in
walls can reduce overturning demands; increasing the FEMA 172, Seclion 3.2.2.3 (FEMA 1992) and
length 01' footings will capture additional building ASeE 31, Seclion 4.4.2.3.5 (ASeE 2(02).
dead load [ASeE 31, Section 4.4.2.2.4 (ASeE 2(02)]. Interpanel connections wilh inadequate capacity
can be slrengthened by adding steel pIales across the
C 10.3.3. J.3 Coupling Beams To eliminate the need to joint, or by providing a continuous wall by exposing
rely on the coupling beam, the walls may be strength­ the reinforcing steel ín the adjacent uníts and provid­
ened as required. The beam should be jacketed only as ing líes between the panels and patching with
a means of controlling debris. If possible, the opening concrete. Providing sleel plales across the joint is typi­
that detines the coupling beam should be infilled cally the most cost-effective approach, although care
[ASeE 31. Section 4.4.2.2.3 (ASeE 2(02)]. must be taken to ensure adequate anchor boIt capacity
by providing adequate edge distances [FEMA 172,
C 10.3.3. J.4 Boundary Component Detailing Splices Section 3.2.2 (FEMA 1992) l.
may be improved by weldíng bars together after
exposing them. The shear transfer mechanism can be ClO.3.3.2.2 Wall Openings Infilling openings or
improved by adding steel studs and jacketing the adding shear walls in lhe plane of the open bays can
boundary components. [ASeE 31, Sections 4.4.2.2.5, reduce demand on the connections and eliminate
4.4.2.2.8, and 4.4.2.2.9 (ASeE 2(02)]. trame action [ASeE 31, Seclion 4.4.2.3.3 (ASeE
2(02)].
C 10.3.3. J.5 Wall Reinjorcement Shear walls can be
strengthened by intilling openings, or by thickening ClO.3.3.2.3 Collectors Upgrading the concrete section
the walls [FEMA 172, Section 3.2.1.2 (FEMA 1992)] and/or the connections (e.g., exposing the existing
and ASeE 31, Sections 4.4.2.2.2 and 4.4.2.2.6 (ASeE connection, adding continement ties, increasing
2002)]. embedment) can increase sU'ength and/or ductility.

302
 ASCFlSEJ 41-06

Table CIO-17. RM2: Reinforced Masonry Bearing Table CIO-18. URM: Unreinforced Masonry
Wall Buildings with StitT Diaphragms Bearing Wall Buildings with Flexible Diaphragms

Typical Deficiencies Typieal Deticiencies

Load Path Load Palh
Redundaney Redundaney
Vertical Irregularities Vertical Irregularities
Plan Irregularities Plan Irregularitíes
Masonry Shear Walls Adjaeent Buildings
Reinforcing in Masonry Walls DiaphragmJWall Shear Trans1'er
Shear Stress Anchorage fOI" Normal Forees
Reínforcing at Openíngs Stiffness 01' Wall Anchoes
Re-entrant Corners Masonry Shear Walls
Diaphragm Openings Unreinforced Masonry Shear Walls
Diaphragm StitTness/Strength Properties, Solid Walls
DiaphragmJWall Shear Transfer Re-entranl Corners
Anchorage for Normal Forees Cross Ties
Anehorage LO Foundations Diaphragm Openings
Condition of Foundations Diaphragm Stiffness/Steength
Geologie Site l1azards Sheathing
Quality of Masomy Unblocked Diaphragms
Span-to-Depth Ratio
Anchorage 10 Foundations
Condition of Foundations
Geologic Sile l1azards
Ahernalive load paths ror lateral forces can be pro­
Qualily 01' Masonry
vided, and shear walls can be added 10 reduce demand
on lhe exisling colleclors [ASeE 31, Seclion 4.4.2.3.4
(ASeE 2002)]. C /0.3.3.3.3 Reillforcillg at Opellillgs The presence and
location of reinforcing steel al openings may be estab­
C10.3.3.3 Masollry Shear Walls lished using nondeslructíve or destructive methods al
selected locatíons lO verify the síze and localíon of lhe
C 10.3.3.3. / Reinforcing in Masollry Walls reinforcing, or using bOlh melhods. Reinforcing musl
Nondeslructíve melhods should be used lo locale rein­ be provided al all openíngs as required 10 meet the
forcemenl, and seleclive demolition used ir necessary ASeE 31 criteria. SteeI pIales may be bolted 10 lhe
lo determine lhe size and spacing of the reinforcing. If surface of lhe seclÍon as long as lhe bolts are suftieíent
it cannol be verified thal lhe wall is reinforced in lo yield lhe steel plale [ASeE 31, Seclion 4.4.2.4.3
accordance with Ihe mínimum requiremenls, then lhe (ASCE 2002)].
wall should be assumed to be unreinforced and there­
fore must be supplemented with new walls, or the pro­ C 10.3.3.3.4 Ullreinforced Masollry Shear Walls
cedures for URM should be foIlowed [ASeE 31, Openings in the lateral-force-resisting walls should be
Section 4.4.2.4.2 (ASeE 2002)]. infilled as needed 10 meel the AseE 31 slress check. If
supplemental strengthening is required, it should be
CIO.3.3.3.2 Shearillg Stress To meet the lateral force desÍgned using lhe Syslematic RehabílítatÍon Melhod
requirements of ASCE 31 (ASCE 2002), new walls as detined in Chapler 2. Walls Ihal do nOl meel lhe
can be provided or the existing walls can be strength­ masonry lay-up requiremenls should nol be considered
ened as needed. New and strengthened walls mUSl as lateral-force-resisting e1ements and shall be spe­
form a complete, balanced, and properly delailed cially supporled for oUI-of-plane loads [ASeE 31,
lateral-force-resisling syslem for lhe building. Special Seclions 4.4.2.5.1 and 4.4.2.5.3 (ASeE 2002)].
care is needed lo ensure that Ihe conneclion of the new
waHs lo lhe exisling diaphragm is appropriate and of e 10.3.3.3.5 Proportiolls of Solid Walls Walls Wilh
sufficient strength to deliver the aCluallateral loads or insutlicienl lhickness should be slrengthened eilher by
force yielding in lhe wall. AH shear walls must have increasing Ihe thickness oí" the wall or by adding a
sutlicient shear and overturning resislance [ASCE 31, well-detailed strong-back syslem. The lhickened wall
Seclion 4.4.2.4.1 (ASCE 2002)]. must be detaíled in a manner lhal fully interconnects

303
SEISMIC REHABILITATION OF EXISTING BUILDING S

Table CIO-19. URMA: Unreinforced Masonry ner toreduce the shear stress for each wall. Replacing
Bearing Walls Buildings with Stiff Diaphragms heavy material s such as tile rooling wilh lighler male­
rials will also reduce shear stress [ASCE 31, Sec­
Typical Deficiencies lion 4.4.2.7.1 (ASCE 2002)].
Load Path
Redundancy C 10.3.3.4.2 Openings Local shear lransfer slresses
Verlical Irregularities can be reduced by dislributing lhe force s from the
Plan IITcgularities diaphragm. Chords and/or collector members can be
Adjacent Buildings provided to collecl and dislribule shear from lhe
Masonry Shear Walls diaphragm lo the shear wall or bracing [FEMA 172,
Unreinforced Masonry Shear Walls Figure 3.7.1.3 (FEMA 1992)1. AllernaLivcly, lhe open­
Properties, Solid Walls ing can be c10sed off by adding a new wall wilh wood
Re-entrant Corners slructural panel shealhing [ASCE 31, Seclion 4.4.2.7.8
Diaphragm Openings
(ASCE 2002)].
Diaphragm Sliffness/Strength
Diaphragm/Wall Shear Transfer
Anchorage for Normal Forces CJO.3.3.4.3 Wall Detailing If lhe walls are not bolLed
Anchorage to Foundations lo lhe 1'oundation or if lhe bolLing is inadequale, bolLs
Condition of Foundations can be inslalled through lhe sill plales al regular inler­
Geologic Site Hazards vals [FEMA 172, Figure 3.8.1.2a (FEMA 1992)J. If
Quality of Masonry lhe crawl space is nol deep enough ror vertical holes
to be drilled through the sill plale, lhe inslallalion of
conneclion pi ates or angles may be a practical alterna­
live (FEMA 172, Figure 3.8.1.2b). Sheathing and addi­
the wall over its full height. The slrong-back syslem
tional nailing can be added where walls Iack proper
must be designed for strength, connected to the struc­
naiIing or conneclions. Where lhe exisling conneclions
lure in a manner that il: (J) develops the full yield
are inadequale, adding c1ips or slraps will deliver lal­
slrength 01' the strong-back, and (2) connects to the
eral loads lo lhe walls and lo lhe foundalion sill plate
diaphragm in a manner that distributes the load into
[ASCE 31, Section 4.4.2.7.9 (ASCE 2002)].
the diaphragm and has sutticient stiffness to ensure
that the components will perform in a compatible and
acceptable manner. The stiffness of the bracing should CIO.3.3.4.4 Cripple Walls Where bracing is inade­
limil the out-of-plane deflections to acceptable levels quate, new wood slruclural panel shealhing can be
such as L/600 to Ll900 [ASCE 31, Sections 4.4.2.4.4 added to lhe cripple wall sluds. The 10p edge of lhe
and 4.4.2.5.2 (ASCE 2002)]. wood slruclural panel is nailed lo lhe 1100r framing
and lhe bollom edge is naiIed into the sill plale
CJO.3.3.3.6 Jnjill Walls The partial infill wall should [FEMA 172, Figure 3.8.1.3 (FEMA 1992)]. Verify that
be isolated from the boundary columns to avoid a the cripple wall does not change height along its
"short column" etl"ect, except where it can be shown length (slepped top of foundation). If il does, lhe
thallhe column is adequale. In sizing lhe gap belween shorter porlion of lhe cripple wall will carry lhe major­
lhe wall and lhe columns, lhe anlicipated slory drifl ity of the shear and signiíicanl lorsion will occur in lhe
musl be considered. The wall musl be posilively foundation. Added wood struclural panel sheathing
restrained againsl out-of-plane failure by eilher brac­ must have adequate slrenglh and slilTness lo reduce
ing lhe top of lhe walJ or inslalJing vertical girts. lorsion to an acceptable level. Also, it should be veri­
These bracing componenls must not violate the isola­ fied thal the sill pi ate is properly anchored to the foun­
lion of the frame from lhe infilJ [ASCE 31, Sec­ dation. If anchor bolts are lacking or insufticienl,
lion 4.4.2.6 (ASCE 2(02)]. addilional anchor bolts should be inslalled. Blocking
and/or framing c1ips may be needed to connecl lhe
CIO.3.3.4 Shear Walls in Wood Frame Buildings cripple wall bracing to the tloor diaphragm or lhe sill
plale [ASCE 31, Seclion 4.4.2.7.7 (ASCE 2002)].
CJ0.3.3.4.J Shear Stress Walls may be added or exisl­
ing openings tilled. Alternatively, lhe existing walJs CIO.3.3.4.5 Narrow Wood Shear Walls Where narrow
and connections can be strenglhened. The walls should shear walls lack capacity, they should be replaced wilh
be dislribuled across lhe building in a balanced man­ shear walls with a heighl-to-widlh aspecl ralio of 2: I

304
 ASCElSEI41-06

Table Clo-lO. Cross-Reference Between Tbis Standard and ASCE 311 Deficiency Reference Numbers

ASCE31 ASCE41
Section Section Heading Section Section Heading
4.3.1.1 Load Patb CIO.3.1.l Load Path
4.3.1.2 Adjacent Buildings C 10.3. 1.5 Adjacent Buildings
4.3.1.3 Mezzanines CIO.3.6.8 Mezzanine Connections
4.3.2 Configuration CIO.3.1 Building Systems
4.3.2.1 Weak Story C1O.3.1.3 Verticallrregularities
4.3.2.2 Soft Story CIO.3.1.3 Verticallrregularities
4.3.2.3 Geometry C 10.3. 1.3 Vertical Irregularities
4.3.2.4 Vertical Discontinuities CIO.3.1.3 Vertical Irregu [arities
4.3.2.5 Mass ClO.3.1.3 Vertical Irregularities
4.3.2.6 Torsion CIO.3.I.4 Plan Irregularities
4.3.3 Condition of Materials ClO.3.8 Evaluation of Materials and Conditions
4.3.3.1 Deterioration of Wood CIO.3.8.2 Condilion of Wood
4.3.3.2 Wood Structural Panel Shear Wall Fasteners ClO.3.8.3 Wood Slructural Panel Shear Wall Fasteners
4.3.3.3 Deterioralion of Steel CIO.3.8.4 Condition of Steel
4.3.3.4 Deterioration of Concrete ClO.3.8.5 Condition of Concrete
4.3.3.5 Post-Tensioning Anchors CIO.3.8.6 Post-Tensioning Anchors
4.3.3.6 Precast Concrele Walls CIO.3.8.5 Condition of Concrete
4.3.3.7 Masonry Units CIO.3.8.7 Quality of Masonry
4.3.3.8 Masonry Joínts CIO.3.8.7 Quality of Masonry
4.3.3.9 Concrete Wall Cracks CIO.3.8.5 Condition of Concrete
4.3.3.10 Reinforced Masonry WalI Cracks CIO.3.8.7 Quality of Masonry
4.3.3.11 Unreinforced Masonry Wall Cracks CIO.3.8.7 Quality of Masonry
4.3.3.12 Cracks in Inlill Walls CIO.3.8.7 Quality of Masonry
4.3.3.13 Cracks in Boundary Columns CIO.3.8.5 Condition of Concrete
4.4.1.1.1 Redundancy C 10.3. 1.2 Redundancy
4.4.1.2 Momeot Frames wiili InfiU Walls CIO.3.3 ShearWalls
4.4.1.2.1 Interfering Walls C 10.3.3.3.6 Infill Walls
4.4.1.3 Stecl Moment Frames CIO.3.2.l Steel Moment Frames
4.4.1.3.1 Drift Check CIO.3.2.1.l Dríft
4.4.1.3.2 Axial Stress Check CIO.3.2.1.2 Frames
4.4.1.3.3 Moment-Resisting Connections C 10.3.2.1.4 Connections
4.4.1.3.4 Panel Zones C 10.3.2.1.4 Connections
4.4.1.3.5 Column Splices C 10.3.2.1.2 Frames
4.4.1.3.6 Strong CoIumn-Weak Beam CIO.3.2.1.3 Strong Column-Weak Beam
4.4.1.3.7 Compact Members CIO.3.2.1.2 Frames
4.4.1.3.8 Beam Penetratíon C 10.3.2.1.2 Frames
4.4.1.3.9 Girder Flange Continuity CIO.3.2.1.4 Connections
4.4.1.3.10 Out-of-Plane Bracing CIO.3.2.1.2 Frames
4.4.1.3.11 Bouom F1ange Bracing C 10.3.2.1.2 Frames
4.4.1.4 Concrete Moment Frames CIO.3.2.2 Concrete M oment Frames
4.4.1.4.1 Shear Stress Check CIO.3.2.2.1 Frame and Nonductile Detail Concems
4.4.1.4.2 Axial Stress Check C 10.3.2.2. I Frame and Nonductile Detaíl Concems
4.4.1.4.3 Flat Slab Frames C 10.3.2.2.1 Frame and Nonductile Detail Concems
4.4.1.4.4 Prestressed Frame Elements C 10.3.2.2.1 Frame and Nonductile Detail Concems
4.4.1.4.5 Captive Columns CIO.3.2.3.2 Captive Columns
4.4.1.4.6 No Shear Failures C 10.3.2.2.1 Frame and Nonductile Detail Concems
4.4.1.4.7 Strong Column-Weak Beam C 10.3.2.2.1 Frame and Nonductile Detail Concems
4.4.1.4.8 Beam Bars CIO.3.2.2.1 Frame and Nonductile Detail Concems
4.4.1.4.9 Column-Bar Splices CI0.3.2.2.1 Frame and Nonductile Detail Concerns
4.4.1.4.10 Beam-Bar Splices CIO.3.2.2.1 Frame and Nonductile Detail Concerns
4.4.1.4.11 Columo-Tie Spacing C 10.3.2.2.1 Frame and Nonductile Detail Concerns
4.4.1.4.12 Stin'up Spacing C 10.3.2.2.1 Frame and Nonductile Detail Concerns
continued

305
 SElSMIC REHABILlTATION OF EXISTING BUILOINGS

TABLE 10-20. (Continued)

ASCE31 ASCE41
Section Section Heading Section Section Heading
4.4.1.4.13 Joint Reinforcing C [0.3.2.2.1 Frame and Nonductile Oetail Concerns
4.4.1.4.14 Joint Eccentricity CIO.3.2.2.1 Frame and Nonductile Oetail Conceens
4.4.1.4.15 Stin-up and Tie Hooks C 10.3.2.2.1 Frame and Nonductilc Octail Conceens
4.4.1.5 Precast Moment Frames CIO.3.2.2.2 Precast Moment Framcs
4.4.1.5.1 Precast Conncction Check CIO.3.2.2.2 Precast Moment Frames
4.4.1.5.2 Precast Frames CIO.3.2.2.2 Precast Moment Frames
4.4.1.5.3 Precast Connections CIO.3.6.5 Precast Connections
4.4.1.6 Frames Not Part of tbe Lateral-Force­ CIO.3.2.3 Frames Not Part 01' the Latef'dl-Force-Resisting
Resisting System System
4.4.1.6.1 Complete Frames C 10.3.2.3.1 Complete Frames
4.4.1.6.2 Detlection Compatibility CI0.3.!.7 Oetleetion Compatibilíty
4.4.1.6.3 Flat Slabs C 10.3.2.2.1 Frame and Nonductíle Oelaíl Coneeens
4.4.2.1.1 Redundancy CIO.3.1.2 Redundancy
4.4.2.2 Concrete Sbear Walls CI0.3.3 ShearWalls
4.4.2.2.1 Shear Stress Check CI0.3.3.1.1 Shearing Stress
4.4.2.2.2 Reinforcing Steel C 10.3.3.1.5 Wall Reinforcement
4.4.2.2.3 Coupling Beams CIO.3.3.!.3 Coupling Beams
4.4.2.2.4 Overtuming C I0.3.3.1.2 Overturning
J
» 4.4.2.2.5 Confinement Reinforeing C LO.3.3.1.4 Boundary Component Oelailing
~::¡
... ­
.. 1:
4.4.2.2.6 Reinforcing at Openings C I0.3.3.1.5 WaIl Reinforcement
ilLl 4.4.2.2.7 Wall Thickness C 10.3.3.1.1 Shearing Stress
-.!)
:!5; 4.4.2.2.8 Wall Connections C 10.3.3.1.4 Boundary Component Oetailing
4.4.2.2.9 Column Splices C 10.3.3.1.4 Boundary Component Octailing
4.4.2.3 Precast Concrete Shear Walls CI0.3.3.2 Precast Concrete Shear Walls
4.4.2.3.1 Shear Stress Check C 10.3.3.1.1 Shearing Stress
4.4.2.3.2 Reinforcing Steel C 10.3.3.1.5 Wall Reinforeement
4.4.2.3.3 Wall Openings CIO.3.3.2.2 Wall Openings
4.4.2.3.4 Comer Openings CIO.3.3.2.3 Colleetors
4.4.2.3.5 Panel-to-Panel Connections C 10.3.3.2.1 Panel-to-Panel Conneetions
4.4.2.3.6 Wall Thickness C 10.3.3.1.1 Shearing Stress
4.4.2.4 Reinforced Masonry Sbear Walls CIO.3.3.3 Masonry Shear Walls
4.4.2.4.1 Shear Stress Check CIO.3.3.3.2 Shearing Stress
4.4.2.4.2 Reinforcing Steel C 10.3.3.3.1 Reinforcing in Masonry Walls
4.4.2.4.3 Reinforcing at Openings CJO.3.3.3.3 Reinforcing al Openings
4.4.2.4.4 Proportions C 10.3.3.3.5 Proportions of Solid Walls
4.4.2.5 Unreinforced Masonry Sbear Walls C I0.3.3.3.4 Unreinforeed Masonry Shear Walls
4.4.2.5.1 Shear Stress Check C 10.3.3.3.4 Unreinforced Masonry Shear Walls
4.4.2.5.2 Proporlions C 10.3.3.3.5 Proportions 01' Solid Walls
4.4.2.5.3 Masonry Lay-Up C 10.3.3.3.4 Unreinforced Masonry Shear Walls
4.4.2.6 Infill Walls in Frames C I0.3.3.3.6 In1i11 Walls
4.4.2.6.1 Wall Connections CI0.3.3.3.6 Inli1l Walls
4.4.2.6.2 Proporlions CI0.3.3.3.5 Proportions of Solid Walls
4.4.2.6.3 Solid Walls C I0.3.3.3.5 Proportions of Solid Walls
4.4.2.6.4 lnfill Walls C 10.3.3.3.6 InfiU Walls
4.4.2.7 Walls in Wood Frame Buildings CIO.3.3.4 Sht!ar WaJls in Wood Frame Buildings
4.4.2.7.1 Sht!ar Stress Check C 10.3.3.4.1 Shear Stress
4.4.2.7.2 Stucco (Exterior PIaster) Shear WaIls C 10.3.3.4.6 Stucco Shear WaJls
4.4.2.7.3 Oypsum Wallboard or Plaster Shear Walls CJO.3.3.4.7 Gypsum Wallboard or PIaster Shear WaJls
4.4.2.7.4 Narrow Wood Shear Walls CIO.3.3.4.5 Narrow Wood Shear WaIls
4.4.2.7.5 Walls Conneeted Through Floors C 10.3.3.4.3 Wall Detailing
4.4.2.7.6 HiIIside Site C 10.3.3.4.4 Cripple Walls
4.4.2.7.7 Cripple Walls C I0.3.3.4.4 Cripple Walls
4.4.2.7.8 Openings C 10.3.3.4.2 Openings
4.4.2.7.9 Hold-Oown Anehors CIO.3.3A.3 Wall Oetailing

306
 ASCE/SEI 41-06

ASCE 31 ASCE41
Mction Section Heading Section Mction Heading
4.4.3.1 Braced Frames CIO.3.4 Steel Braced Frames
4.4.3.1.1 Redundancy ClO.3.1.2 Redundancy
4.4.3.1.2 Axial Stress Check ClO.3.4.1 System Concerns
4.4.3.1.3 Column Splices CIO.3.4.4 Braced Frame Connections
4.4.3.1.4 Slenderness of Diagonals ClO.3.4.2 Stiffness of Diagonals
4.4.3.1.5 Connection Slrenglh ClO.3.4.4 Braced Frame Connectiolls
4.4.3.1.6 Out-of-Plane Bracing CIO.3.4.1 System Concerns
4.4.3.2 Concentrically Braced Frames CIO.3.4 Steel Braced Frames
4.4.3.2.1 K-Bracing CIO.3.4.3 Chevron or K-Bracing
4.4.3.2.2 Tension-Only Braces CIO.3.4.2 Stiflness of Diagonals
4.4.3.2.3 Chevron Bracing ClO.3.4.3 Chevron or K-Bracing
4.4.3.2.4 Concentrically Braced Frame Joints CIO.3.4.4 Braced Frame Connections
4.4.3.3 Eccentrically Braced Frames CIO.3.4.1 System Concerns
4.5 Diaphragms ClO.3.5 Diaphragms
4.5.1.1 Diaphragm Continuily C 10.3.5.4.5 Díaphragm Continuity
4.5.1.2 Cross Ties CIO.3.5.2 Cross Tíes
4.5.1.3 Roof Chord Continuily CI0.3.5.4.6 Chord Continuity
4.5.1.4 Openings at Shear WaIls CIO.3.5.3 Diaphragm Openings
4.5.1.5 Openings al Braced Frames CIO.3.5.3 Diaphragm Openings
4.5.1.6 Openings al Exterior Masonry Shear Walls ClO.3.5.3 Diaphragm Openings
4.5.1.7 Plan Irregularities ClO.3.5.1 Re-enlran! Corners
4.5.1.8 Diaphragm Reinforcing al Openings CIO.3.5.3 Díaphragm Openíngs
4.5.2 Wood Diaphragms CIO.3.5 Diaphragms
4.5.2.1 Slraighl Sheathíng ClO.3.5.4.1 Board Sheathing
4.5.2.2 Spans ClO.3.5.4.3 Spans
4.5.2.3 Unblocked Diaphragms CIO.3.5.4.2 Unblocked Diaphragms
C I0.3.5.4.4 Span-to-Depth Ralio
4.5.3 Metal Deck Diaphragms ClO.3.5 Diaphragms
4.5.3.1 Non-Concrete FiIled Diaphragms CIO.3.5 Diaphragms
4.5.4 Concrete Diaphragms CIO.3.S Diaphragms
4.5.5 Precast Concrete Diapbragms CIO.3.5 Diaphragms
4.5.5.1 Topping Slab ClO.3.5 Diaphragms
4.5.6 Horizontal Bracing ClO.3.5 Diaphragms
4.5.7.1 Otber Diaphragms CIO.3.5 Diaphragms
4.6.1 Ancborage for Normal Forces CIO.3.6.3 Anchorage for Normal Forces
4.6. I.l Wall Anchorage CIO.3.6.3 Anchorage for Normal Forces
4.6.1.2 Wood Ledgers CIO.3.6.3 Anchorage for Normal Forces
4.6.1.3 Precast Panel Connections CIO.3.6.3 Anchorage for Normal Forces
4.6.1.4 Sliflness of WaIl Anchors ClO.3.6.3 Anchorage for Normal Forces
4.6.2 Sbear Transfer ClO.3.6 Connections
4.6.2.1 Transfer to Shear Walls ClO.3.6.1 Diaphragm/Wall Shear Transfer
4.6.2.2 Transfer 10 Steel Frames ClO.3.6.2 Diaphragm/Frame Shear Transfer
4.6.2.3 Topping Slab to Walls or Frames ClO.3.6.1 Diaphragm/Wall Shear Transfer
4.6.3 Vertical Components CIO.3.7.1 Anchorage to Foundations
4.6.3.1 Steel Columns ClO.3.7.1 Anchorage to Foundations
4.6.3.2 Concrete Columns ClO.3.7.l Anchorage to Foundations
4.6.3.3 Wood Posts CIO.3.7.1 Anchorage to f<oundalions
4.6.3.4 Wood Sills CIO.3.7.l Anchorage lO Foundations
4.6.3.5 Foundalion Dowels ClO.3.7.1 Anchorage to Foundations
4.6.3.6 Shear-Wall-Boundary Columns ClO.3.7.1 Anchorage 10 Foundations
4.6.3.7 Precast Wall Panels ClO.3.7.1 Anchorage to Foundations
4.6.3.8 Wall Panel s CIO.3.7.1 Anchorage to Foundations
4.6.3.9 Wood SiIl Bolts CIO.3.7.1 Anchorage to Foundations
4.6.3.10 Uplift at Pile Caps CIO.3.7.4 Lateral Loads

continued

307
SElSMIC REHABILlTATION OF EXISTING BUILDlNGS

TABLE 10-20. (Continued)

ASCE 31 ASCE 41
Section Section Heading Section Section Heading
4.6.4 Interconnection or Elements CIO.3.6 Connections
4.6.4.1 Girder/Column Connection CIO.3.6.4 Girder-Wall Connections
4.6.4.2 Girders CIO.3.6.4 Girder-Wall Connections
4.6.4.3 Corbel Bearing CIO.3.6.4 Girder-Wall Connections
4.6.4.4 Corbel Connections CI0.3.6.4 Girder-Wall Connections
4.6.5 Panel Connections CIO.3.6 Connections
4.6.5.1 Roof Panel s CIO.3.6.7 Light Gage Metal, Plastic, or Cementitious
Roof Panels
4.6.5.2 Wall Panel s CIO.3.6.6 Wall Panels and Cladding
4.6.5.3 Roof Panel ConnectÍons CIO.3.6.7 Light Gage Metal, Plastic, or Cementitious
Roof Panel s
4.7.1 Geologic Site Hazards CI0.3.7 Foundations and Geologic Hazards
4.7.1.1 Liquefaction CI0.3.7.5 Geologic Site Hazards
4.7.1.2 Slope Failure CI0.3.7.5 Geologic Site Hazards
4.7.1.3 Surface Fault Rupture CIO.3.7.5 Geologic Site Hazards
4.7.2 CondUion of Foundations CIO.3.7.2 Condition 01' Foundations
4.7.2.1 Foundation Performance CIO.3.7.2 Condition of Foundations
4.7.2.2 DetelÍoration CIO.3.7.2 Condition of Foundations
4.7.3 Capacity or Foundations C1O.3.7 Foundations and Geologic Hazards
4.7.3.1 Pole Foundations ClO.3.7.4 Lateml Loads
4.7.3.2 Overturning ClO.3.7.3 Overturning
4.7.3.3 Ties between Foundation Elements ClO.3.7.4 Lateral Loads
4.7.3.4 Deep Foundations CIO.3.7.4 Lateral Loads
4.7.3.5 Sloping Sites ClO.3.7.4 Lateral Loads
'ASCE 31 (2002). Seismic Evaluation ofExisrirtg Buildings. American Society orCivil Engincers, Reston, Virginia.

or less. These replaeement walls must have sufticient C10.3.4 Steel Braced Frames
strength, including being adequately conneeted to the
diaphragm and sufficiently anehored to Ihe foundation C10.3.4.1 System CQncerns
for shear and overturning force s [ASCE 31, Sec­ If the strength of the braced frames is inadequate,
tion 4.4.2.7.4 (ASCE 2002)]. more braced bays or shear wall panel s can be added.
Thc resulting lateral-force-resisting system must form
a weIl-balanced syslem 01' braeed frames that do not
C 10.3.3.4.6 Stucco Shear Walls For strengthening or
fail al lheir joints, are properly connected to Ihe 1100r
repair, the stueeo should be removed, a wood strue­
diaphragms, and whose failure mode is yielding of
tural panel shear wall added, and new stuceo applied.
braces rather than overturning [ASCE 31, See­
The wood structural panel should be the manufac­
tions 4.4.3.1.1 and 4.4.3.1.2 (ASCE 2002)].
turer's recommended thiekness for the installation of
stueco. The new stucco should be installed in accor­
C10.3.4.2 Stiffness of Diagonals
dance with building eode requirements 1'or waterproof­
DiagonaJs with inadequale slitfness should be
ing. WalIs should be sufficiently anchored lo the
strenglhened using supplemental steel plates. or
diaphragm and foundation [ASCE 31, Sec­
replaced with a larger and/or different type of seetion.
tion 4.4.2.7.2 (ASCE 2002)].
Global stil'fness can be increased by the addition ol'
braeed bays or shear walI panels [(ASCE 31, See­
C 10.3.3.4.7 Gypsum Wallboard or Plaster Shear Walls tions 4.4.3.1.3 and 4.4.3.2.2 (ASeE 2002)].
Plaster and gypsum wallboard can be removed and
repJaced with slructuraJ panel shear wall as rcquired, CIO.3.4.3 Chevron or K-Bracing
and the new shear waJls eovered with gypsum wall­ Columns or horizontal girts can be added as
board [ASCE 31, Seetion 4.4.2.7.3 (ASCE 2002)]. needed lo support the tension brace when the eompres­

308
 ASCE/SEI 41-06

sion brace buckles, or Ihe bracing can be revised lo Seclions 4.5.1.4 through 4.5.1.6 and 4.5.1.8 (ASCE
anolher syslem IhroughoUl Ihe building. The beam 2002)].
componenls can be slrenglhened with cover plales lo
provide lhem wilh Ihe capacity lo fully develop Ihe CIO.3.5.4 Diaphragm Stiffness/Strength
unbalanced forces crealed by lensíon brace yíelding
[ASCE 31, SecLÍons 4.4.3.2.1 and 4.4.3.2.3 (ASCE C1O.3.5.4.1 Board Sheathing Where lhe diaphragm
2002)]. does nOl have al least lwo nails through each board
inlo each of lhe supporling members, and lhe laleral
CI0.3.4.4 Braced Frame Connections drift andlor shear demands on lhe diaphragm are nOI
Column splíces or other braced trame connections excessive, lhe shear capacity and stiffness of lhe
can be strenglhened by adding pIates and welds to diaphragm can be increased by adding nails al lhe
ensure Ihal Ihey are slrong enough lo develop the con­ shealhing boards. This melhod 01' upgrade is mosl
necled componenls. Connectíon eccentricities thal often suilable in areas of low seismicíty. In olher
reduce component capacities can be e1iminated, or Ihe cases, a new wood slruclural panel should be placed
componenls can be sLrenglhened lo lhe required level over the existing slraíght sheathing, and Ihe joinls of
by Ihe addilion of properly placed plales. Demands lhe wood slructural panels placed so lhey are near lhe
on the exisling elemenls can be reduced by addíng center 01' lhe sheathing boards or al a 45-degree angle
braced bays or shear wall panel s [ASCE 31, Sec­ lO Ihe joints belween shealhing board s [FEMA 172,
tions 4.4.3.1.4 and 4.4.3.1.5 (ASCE 2002)]. Seclion 3.5.1.2 (FEMA 1992); ATC-7 (ATC 1981),
and ASCE 31, Seclion 4.5.2.1 (ASCE 2002)].
CIO.3.5 Diaphragms
C 10.3.5.4.2 Unblocked Diaphragm The shear capacily
CIO.J.S.I Re·Entrallt Corners of unblocked diaphragms can be improved by adding
New chords wilh suflícienl slrength lo resist Ihe new wood blocking and naíling al lhe unsupporled
required force can be added al Ihe re-entrant comer. If panel edges. Placing a new wood structural panel over
a verlicallaleral-force-resisling element exists al the lhe exisling diaphragm will increase lhe shear capac­
re-entranl corner, a new colleclor component should ¡Iy. Both of lhese melhods will require lhe paníal or
be inslalled in lhe diaphragm 10 reduce lensile and total removal 01' existing tlooring or roofing lo place
compressive forces at lhe re-entranl comer. The same and naH Ihe new overlay or nall lhe existíng paneIs lo
basic matefÍals used in the diaphragm should be used Ihe new blocking. Strenglhening 01' Ihe diaphragm is
for the chord [ASCE 31, Section 4.5.1.7 (ASCE usually nOI necessary al Ihe cenlral area of lhe
2002)]. diaphragm where shear is low. In cerlain cases where
Ihe design loads are low, it may be possible to increase
CIO..1.S.2 CrtJss Ties the shear capacíty of unblocked diaphragms with sheet
New cross lÍes and wall connections can be added metal plales slapled on Ihe underside 01' lhe exisling
10 resisl lhe required out-of-plane wall forces and dis­ wood panels. These plales and slaples must be
tribute these forces lhrough Ihe diaphragm. New strap deslgned for all related shear and LOrsion caused by Ihe
plates and/or rod conneclions can be used lo connecl delails related lo theÍr inslallalion [ASCE 31, Sec­
exisling framing members logether so they funclÍon as tion 4.5.2.3 (ASCE 2002)].
a cross tie in lhe diaphragm [ASCE 31, SeclÍon4.5.1.2
(ASCE 2002)]. C1O.3.5.4.3 Spans New vertical elemenls can be added
to reduce the diaphragm span. The reduction of the
CIO.J.S.J Diaphragm Openillgs diaphragm span will also reduce the lateral det1ection
New diaphragm líes or chords can be added and shear demand in lhe diaphragm. However, adding
around Ihe perímeler 01' existing openings lo dislribule new verlical elements will result in a dif1'erenl dislribu­
lension and compression forces along Ihe díaphragm. lion of shear demands. Additional blocking, naíling, or
The exisling shealhing should be nailed lo Ihe new other rehabilitalion measures may need to be provided
diaphragm lÍes or chords. In 50me cases il may al50 be at lhese areas [FEMA 172, Seclion 3.4 (FEMA 1992)
necessary to: (1) increase tbe shear capacily of Ihe andASCE 31, SeclÍon 4.5.2.2 (ASCE 2002)].
diaphragm adjacenl 10 Ihe opening by overlaying Ihe
exisling diaphragm wilh a wood struclural panel, or C /0.3.5.4.4 Span-to-Depth Ratio New vertical ele­
(2) decrease lhe demand on lhe diaphragm by adding ments can be added 10 reduce Ihe diaphragm span-Io­
new vertical elements near lhe opening [ASCE 31, deplh ratio. The reduction of lhe diaphragm span-to­

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SEISMIC REHABILlTATlON OF EXlSTING BUlLDlNGS

depth ratio will al so reduce the lateral detlection and CIO.3.6.3 Anehorage forNormal Porees
shear demand in the diaphragm. Typical construction To accounl for inadequacies identilied by
details and methods are discussed in FEMA 172, ASCE 31, wall anchors can be added. ComplicaLions
Section 3.4 (FEMA 1992). lhal may result from inadequale anchorage indude
cross-grain lension in wood ledgers or failure 01" lhe
CJ0.3.5.4.5 Diaphragm Continuity The diaphragm dis­ diaphragm-lo-wall conneclion due lo: (1) insufticient
continuity should in all cases be eliminated by adding slrenglh, number, or slabilily 01' anchors; (2) inade­
new vertical elements at the diaphragm offset or the quale embedmenl of anchors; (3) inadequale develop­
expansion joint [FEMA 172, Section 3.4 (FEMA menl of anchors and slraps inlo the diaphragm; and
J 992)]. In sorne cases, special details may be used to (4) deformalion of anchors and lheir l'asleners lhal per­
transfer shear across an expansion joint-while still mil diaphragm boundary conneclion pu1lOU1, or eros s­
alIowing the expansion joint to function-thus elimi­ grain lension in wood ledgers.
nating a diaphragm discontinuity [ASCE 31, Sec­ Exisling anchors should be lesled lo delermine
tion 4.5.1.1 (ASCE 2(02)]. load capacity and deformalion pOlenlial, induding fas­
lener slip, according lo lhe requirements in ASCE 31.
CJO.3.5.4.6 Chord Continuity If members such as Special attenlion should be given lo lhe lesling proce­
edge joiSlS, blocking, or walI lop plales have lhe dure lo mainlain a high level ol' qualily conlrol.
capacily lo funclion as chords bul lack conneclion, AddiLional anchors should be provided as needed lo
adding nailed or bolted conlinuily splices wilI provide supplemenl lhose lhal fail lhe lesl, as well as lhose
a conlinuous diaphragm chord. New conlinuous sleel needed lo meel lhe ASCE 31 crileria. The qualily of
or wood chord members can be added lo lhe exisling lhe rehabililalion depends greally on lhe qualily of lhe
diaphragm where exisling members lack sufticienl performed lesls [ASCE 31, SecLions 4.6.1.1 through
capacity or no chord exists. New chord members can 4.6.1.5 (ASCE 2002)].
be placed al eilher lhe underside or lopside of lhe
diaphragm. In sorne cases, new verlical elemenls can CIO.3.6.4 Girder-Wall COlllleetions
be added lo reduce lhe diaphragm span and slresses The exisling reinforcing musl be exposed, and lhe
on any exisling chord members [FEMA 172, Sec­ conneclion modified as necessary. For oUl-of-plane
lion 3.5.1.3 (FEMA 1992) and ATC-7 (ATC 1981)]. loads, lhe number ol' column lies can be increased by
New chord conneclions should nol be delailed such jackeling lhe pilaster or, alternalively, by developing a
lhal lhey are lhe weakesl componenl in lhe chord second load palh for lhe oUl-of-plane forces. Bearing
[ASCE 31, Seclion 4.5.1.3 (ASCE 2(02)]. lenglh condilions can be addressed by adding bearing
eXlensions. Frame aclion in welded conneclions can be
CIO.3.6 Connections miligaled by adding shear walls [ASCE 31, Sec­
lion 4.6.4.1 (ASCE 2(02)].
CIO.3.6.1 Diaphragm/Wall Shear Transfer
Collector members, splice plales, and shear lrans­
fer devices can be added as required lo deliver collec­ CIO.3.6.5 Preeast COllneetiolls
lor forces lo lhe shear wall. Adding shear conneclors The connections of chords, lies, and colleclors can
from lhe diaphragm lo lhe wall and/or lo lhe colleclors be upgraded lo increase slrenglh and/or dUClilily, pro­
wilI lransfer shear. See FEMA 172, Seclion 3.7 for viding allernative load palhs for laleral forces.
Wood Diaphragms, 3.7.2 for concrele diaphragms, Upgrading can be achieved by such melhods as adding
3.7.3 for poured gypsum, and 3.7.4 for melal deck confinemenl lies or increasing embedment. Shear
diaphragms (FEMA 1992) and ASCE 31, Sec­ walls can be added lo reduce lhe demand on connec­
tions 4.6.2.1 and 4.6.2.3 (ASCE 2(02). tions [ASCE 31, Section 4.4.1.5.3 (ASCE 2002)].

CIO.3.6.2 Diaphragm/Frame Shear Transfer CIO.3.6.6 Wall Panels and Cladding

Adding colIeclors and connecling lhe framing wilI It may be possible 10 improve lhe conneclion
Iransfer loads lo lhe colIeclors. Conneclions can be belween lhe panels and lhe framing. If archileclural or
provided along lhe colIeclor lenglh and al lhe occupancy condilions warranl, lhe dadding can be
colleclor-lo-frame conneclion lo wilhsland lhe ca1cu­ replaced wilh a new syslem. The building can be slitl"­
laled forces. See FEMA 172, Seclions 3.7.5 and 3.7.6 ened wilh lhe addilion of shear walls or braced frames
(FEMA 1992) and ASCE 31, Seclions 4.6.2.2 and lo reduce the drifls in lhe dadding componenls
4.6.2.3 (ASCE 2(02). [ASCE 31, Seclion 4.8.4.6 (ASCE 2(02)J.

310
 ASCBlSEI 41-06

CIO.3.6.7 Light Gage Metal, Plastic, or Cemenlitious CI0.3.7.30verturning

RoofPanels Existing foundalions can be strengthened as
It may be possible to improve the connection needed to resist overturning forces. Spread footings
between the roof and the framing. If architectural or may be enlarged or additional piles, rock anchors, or
occupancy conditions warrant, the roof diaphragm can piers may be added lo deep l'oundations. 11 may also
be replaced with a new one. Alternatively, a new be possible to use grade beams or new wall elements
diaphragm may be added using rod braces or wood to spread out overturning loads over a greater distance.
structural panel aboye or below the existing roof, Adding new lateral-Ioad-resisting elements will reduce
which remains in place [ASCE 31, Section 4.6.5.1 overlurning eftects of existing elements [ASCE 31,
(ASCE 2(02)]. Section 4.7.3.2 (ASCE 2002)].

CIO.3.7.4 Lateral Loads

ClO.3. 6.8 Mezzanine Connections As with overturning effects, the correction of lat­
Diagonal braces, moment frames, or shear walls eral load deficiencies in the foundations ol' existing
can be added at or near the perimeter of the mezzanine buildings is expensive and may not be justífied by
where bracing elements are missing, so that a com­ more realístic analysis procedures. For this reason, the
plete and balanced lateral-force-resisting system is Systematic Rehabilitation Method is recommended for
provided that meets the requirements of ASCE 31 these cases [ASCE 31, Sections 4.7.3.1, 4.7.3.3
[ASCE 31, Section 4.3.1.3 (ASCE 2(02)]. through 4.7.3.5 (ASCE 2(02)].

CIO.3.7 Foundations and Geologic Hazards CIO.3.7.5 Geologic Site Hazards

Site hazards other than ground shaking should be
CIO.3.7.1 Anchorage lo Foundations considered. Rehabilitation of structures subject to tife
For wood walls, expansion anchors or epoxy safety hazards from ground failures is impractical
anchors can be installed by drilling through the wood unless site hazards can be mitigated lo the point where
síll to the concrete foundation. Similarly, steel acceptable performance can be achieved. Not all
columns and wood posts can be anchored lo concrete ground faHures need necessarily be considered as Jife
slabs 01' footings, using expansion anchol's and elip safety hazards. For example, in many cases Iiquefac­
angles. If the concrete or masonry walls and columns tion beneath a building docs not pose alife safety haz­
lack dowels, a concrete curb can be inslalled adjacent ard; however, related lateral spreading can resuIt in
to the wall or column by drilling dowels and installing coIlapse of buildings with inadequate foundation
anchors into the wall that lap with dowels installed in strength. For this reason, the Iiquefaction potential and
the slab or footing. However, this curb can cause sig­ the related consequences should be thoroughly investi­
niticant architectural problems. Ahernatively, steel gated for sites that do not satisfy the ASCE 31 require­
angles may be used with drilled anchors. The anchor­ ments. Further infOlmation on the evaluation of site
age of shear wall boundary components can be chal­ hazards is provided in Chapter 4 of this standard
lenging due lo very high concentrated forces [ASCE 31, Sections 4.7.1.1 through 4.7.1.3 (ASCE
[ASCE 31, Sections 4.6.3.2 Ihrough 4.6.3.9 (ASCE 2002)].
2(02)].
CIO.3.8 Evaluadon oC Marerials and Conditions

ClO. 3. 7.2 Condilion of Foundations CI0.3.8.1 General

AII deteriorated and olherwise damaged founda­ Proper evaluation of the existing conditions and
tions should be strengthened and repaired using the configuration of the existing building structure is an
same materials and style of construction. Some condi­ important aspect of the Simplified Rehabilitation
tions of material deterioration can be mitigated in the Method. As Simplified Rehabilitatíon is orten con­
field, ineluding patching of spalled concrete. Pest cerned with specitic det"iciencies in a particular struc­
infestatíon or dry rot ol' wood piles can be very dil'fi­ tural system, the evaluation may either be focused on
cult (O correct and often require full replacement. The affected structural elements and components, or be
deterioration of these components may have implica­ comprehensive and inelude the complete structure. If
tions that extend beyond seismic safety and must the degree of exislÍng damage 01' deficiencies in a
be considered in the rehabilitalíon [ASCE 31, Sec­ structure has not been established, the evaluation shall
tions 4.7.2.1 and 4.7.2.2 (ASCE 2002)]. consist of an inspection of gravity- and lateral-force­

3\1
 SEISMIC REHABILITATION OF EXISTING BUILDINGS

resisting systems in accordance with ASCE 31 (ASCE of steel component or connection deterioration, further
2002). This inspeclion should include lhe following: evaluation is needed. The source 01' the damage shall
be identified and mitigated to preserve the remaining
l. Verify exisling dala (e.g., accuracy of drawings);
structure. In areas of significant deterioration, res tora­
2. Develop olher needed data (e.g., measure and
lion of the material cross section can be performed by
sketch building if necessary);
the addition of pIates or other reinforcing techniques.
3. Verify the vertical and lateral systems;
When sizing reinforcements, the design professional
4. Check the condition of the building;
shall consider the effects of existing stresses in the
5. Look for special conditions and anomalies;
original structure, load Lransfer, and strain compalibil­
6. Address lhe evaluation statements and goals during
ity. The demands on the deterioraled sLeel elements
lhe inspection; and
and components may also be reduced through careful
7. Perform material tests that are justified through a
addilion of bracing or shear wall panel s [ASCE 31,
weighing of the cost of destructive testing and the
Section 4.3.3.3 (ASCE 2002)].
cost of corrective work.
The materials testing and evalualion methods of
this standard should nol be used for Simplitied
CIO.3.8.5 Conditioll 01 Concrete
Should visual inspections or testing conductcd in
Rehabilitation except those required for all new work
accordance with Seclion C 10.3.8.1 reveal the presence
specified in Lhe ConsLruction Quality Assurance Plan.
of concrete component or reinforcing steel deteriora­
tion, further evaluation is needed. The source of Ihe
CIO.3.8.2 COI.dition ofWood
damage shall be identified and mitigaled lO preserve
l An inspection should be conducled to grade the
J the remaining structure. Existing deteriorated material,
:¡
existing wood and verify physical condilion, using
including reinforcing steel, shall be removed lo the
.. iLl techniques from Section C 10.3.8.1. Any damage or
t
limits detined by testing; reinforcing steel in good
.!t deterioralion and its source must be identified. Wood
:5: condition shall be cleaned and left in place for splicing
that is signiticantly damaged due lo splining, decay,
purposes as appropriate. Cracks in otherwise sound
aging, or other phenomena must be removed and
material shall be evaluated lO determine cause, and
replaced. Localized problems can be eliminated by
repaired as necessary using techniques appropriate
adding new appropriately sized reinforcing compo­
lO the source and activity level [ASCE 31, Sec­
nents eXlending beyond the damaged area and con­
tíon 4.3.3.4 (ASCE 2002)]. FEMA 306 (FEMA 1998),
necting lo undamaged portions. Additional connectors
FEMA 307 (FEMA 1998), and FEMA 308 (FEMA
between components should be provided to correct
1998) can be used as a source 01' further information
any discontinuous load paths. lt is necessary to verify
on evaluation and repair oí' concrete wall buildings.
!hat any new reinforcing components or connectors
will not be exposed 10 similar deterioration or damage
[ASCE 31, Section 4.3.3.1 (ASCE 2002)]. CI0.3.8.6 Post· Tensiollillg Anchors
Prestressed concrete systems may be adversely
CIO.3.8.3 Wood Structllral Panel Shear Wall Fasteners atrected by cyclic deformations produced by earth­
Where visual inspection determines that extensive quake motion. One rehabilitation process that may be
overdriving of fasteners exists in greater than 20% 01' considered is to add stitfness to the system. Anolher
the inslalled connectors, the fasteners and shear panels concern for these systems is the adverse effects 01' tcn­
can generally be repaired lhrough addition ol' a new don corrosion. A thorough visual inspection of pre­
same-sized fastener for every two overdriven tasteners. stressed systems shall be performed to veril'y absence
To avoid splitting because 01' closely spaced nails, it of concrete cracking or spalling, staining from embcd­
may be necessary to predrill lo 90% of lhe nail shank ded tendon corrosion, or other signs of damage along
diameter for installation of new nails. For other condi­ the tendon spans and al anchorage zoncs. If degrada­
lÍons, such as cases where lhe addition of new connec­ lion is obscrved or suspected, more detailed evalua­
tors is not possibJe or where componenl damage is tions will be required as indicated in Chapler 6.
suspected, further investigation shaIl be conducted Rehabilitation of these systems, except ror local
using the guidance of Section C 10.3.8.1 [ASCE 31, anchorage repair, should be in accordance wÍlh lhe
Seclion 4.3.3.2 (ASCE 2002)]. Systematic Rehabilitation provisions in this standard.
ProJessionals with special prestressed concrete con­
CIO.3.8.4 Condition 01 Steel struction expertise should also be consulted ror further
Should visual inspection or testing conducted in interpretation of damage [ASCE 31, Seclion 4.3.3.5
accordance with Section C 10.3.8.1 reveal lhe presence (ASCE 2002)].

312
 ASeE/SEI 41-06

C10.3.8.7 Quality o/ Masonry may be designed using the requirements of similar

Should visual inspections or testing conducted in components ror new buildings.
accordance with Section C 10.3.8.1 reveal the presence
of masonry components or conslruction deterioralion
Cll.l SCOPE
further evaluation is needed. Certain damage such as'
degraded mortar joints or simple cracking may be
The assessment process necessary 10 make a final
rehabilítated through repointing or rebuilding. If lhe
determination oC which nonslructural components are
waJI is repoínted, care should be taken to ensure thal
to be rehabilitated is not part of this standard, but the
the new mortar is compatible with the exístíng
subject is discussed briefly in Section 11.3.
ma~onry units and mortar, and that suitable wetting is
The core of this chapter is contained in Table 11-1,
performed. The strength of the new mortar is crítical
which provides:
to load-carrying capacity and seismíc performance.
A Iist of nonstructural components subject lo the
Significant degradatíon should be treated as specified
Hazards Reduced, Life Safety and Immediate
in Chapter 7 of thís standard [ASCE 31, Sec­
Occupancy requiremems of this standard;
tions 4.3.3.7, 4.3.3.8, 4.3.3.10, 4.3.3.11, and
Rehabilitation requírements related to the level 01'
4.3.3.12)]. FEMA 306 (FEMA 1998), FEMA 307
seismicity and Hazards Red uced , Life Safety, and
(FEMA 1998), and FEMA 308 (FEMA 1998) can be
Immediate Occupancy Performance Levels.
used as a source of further informatíon on evaluation
Requirements for Operational Performance are not
and repair of masonry waIl buildings.
included ín Ihis standard. References that may be used
to seismically qualify equipment and systems to
achieve Operational Performance for some nonstruc­
11.0 ARCHITECTURAL, MECHANICAL, AND
tural components are provided in C1.5.2.1.
ELECTRICAL COMPONENTS
Requirements for Hazards Reduced Performance will
generally be based on the requirements for Life Safety
11.1 SCOPE
Performance, so separate evaluation procedures and
acceptance criteria have not been provided; and
This chapter sets forth requirements ror the seismic
Identitication of the required evaluation procedure
rehabilitation of existing architectural, mecharucal, and
(Analytical or Prescriptive).
eleclrical components and systems that are perma­
Section 1104 provides general requirements and
nently instalJed in, or are an integral part of, a building
discussion of Rehabilitatíon Objectives, Performance
system. Procedures of this chapler are applicable lo
Levels, and Performance Ranges as they pertain to
both the Simplified and Systematic Rehabilílation
nonstructural components. Criteria for means of egress
Methods. Requirements are provided for nonstrucLUral
are not specifically included in this standard.
componenls that are rehabilitated to the Immediate
Section 11.5 briet1y discusses struclural­
Occupancy, Life Safety, and Hazards Reduced
nonstructural interaction, and Section 11.6 provides
Nonstructural Performance Levels. The requirements
general requirements for acceptance crileria for
for Operational Performance shall be as approved by
acceleration-sensitive aod deformation-sensitive com­
the aUlhority having jurisdiction.
ponents, and those sensitive to bOlh kinds of response.
Seclions 11.2, 11.3, 1104, and 11.5 provide
Seclion 11.7 provides seis of equations for a sim­
requirements tor condition assessmem, component
ple "defauIt" force analysis, as well as an extended
evaluation, Rehabilitation Objectives, and
analysis method that considers a number of addilíonal
structural-nonstructural interaclion. Section 11.6
factors. This seclÍon defines the Analytical Procedure
defines acceleration- and del'ormation-sensitive
for determining drift ratios and relative displacement,
components. Section 11.7 specifies procedures for
and oullines general requirements for the Prescriptive
determining design torces and deformations on
Procedure.
nonstructural componems. Section 11.8 identi1ies
Section 11.8 notes the general ways in which non­
rehabilitation methods. Sections 11.9, 11.10, and
structural rehabilitation is carried out.
1].] ] specify evaluation and acceptance criteria for
Sections 11.9, ] 1.10, and 11.] 1 provide the reha­
architectural components; mechanical, electrical, and
bilitation criteria foc each component category identí­
plumbing (MEP) systems; and other equipment.
fied in Table 11-1. For each component, the following
New nonstructural components installed in exist­
information is given:
ing buildings shall conl'orm to the requirements ol' this
standard. New nonstructural components designed to l. Definition and scope;
Lil'e Safety or Hazards Reduced Performance Levels 2. Componenl behavior and rehabilitation concepts;

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SEISMIC REHABILITATION OF EXISTING BUILDlNGS

3. Acceptance criteria; and tural hazards will be considered. Other nonstructural

4. Evaluation requirements. componenls, such as those designated by lhe owner
also should be included in those thal are evalualed.

11.2PROCEDURE 11.2.1 Condition Assessment

A condilion assessmenl of nonslructural compo­
Nonstructural componenls shall be rehabililaled by nenls shall be performed as parl of lhe nonstructural
completing the following steps: rehabililalion process. As a minimum, lhis assessment
shall delermine the following:
l. The Rehabililation Objectives shall be eSlablished
in accordance wilh Seclion 11.4, which includes l. The presence and configuralion of each type of
seleclion of a Nonslruclural Performance Level and nonslruclural componenl and ils auachmenllo the
Earlhquake Hazard leve!. The level of seismicity struclure;
shall be delermined in accordance wilh Sec­ 2. The physical condilion of each lype of nonslruc­
tion 1.6.3. A target Building Performance Level lural componenl and whether or not degradation is
that includes Nonstructural Performance Not present;
Considered need nol comply with lhe provisions 3. The presence of nonslructural components that
of this chapter; pOlenlially int1uence overall building performance;
2. A walk-through and condilion assessment shall be and
performed in accordance wilh Seclions 11.2.1 and 4. The presence of olher nonstructural components
11.2.2; whose failure could affecl lhe performance 01' lhe
3. Analysis and rehabilitation requirements for the nonstruclural component being considered.
selected Nonstructural Performance Level and
appropriate level of seismicily shall be determined Cll.2.1 Condition Assessment
for nonslruclural components using Table 11-1. For lhe purpose of visual observation, nonstruc­
"Yes" indicales lhal rehabililation shall be required tural component types should be based on the general
if the componenl does nol meel applicable accepl­ lypes lisled in Table 11-1. Furlher dislinction can be
ance crileria specified in Seclion 11.3.2; made where difference in slructural configuralion of
4. Interaction between structural and nonslructural the component or its bracing exists.
components shall be considered in accordance with Seismic interactions between nonstructural com­
Section 11.5; ponents and syslems can have a profound influence on
5. The c1assification of each type of nonstructural the performance of lhese syslems. Where appropriate,
component shall be determined in accordance wilh the condilion assessmenl should include an inler­
Section 11.6; action review. A seismic inleraclion involves lwo
6. Evaluation shall be conducted in accordance with componenls-a source and a large!. An interaclion
Section 11.7 using the procedure specified in source is the component or struclure lhal could fail or
Table 11-1. The acceptabilily of bracing compo­ displace and inleracl wilh anolher componen!. An
nents and connections between nonslructural com­ inleraclion target is componenl lhal is being impacled,
ponents and lhe slruclure shall be determined in sprayed, or spuriously aClivaled. For an inleraclion 10
accordance with Seclion 11.3.2; and affecl a component, it musl be credible and significan!.
7. Nonstructural components not meeting the require­ A credible interaction is one that can take place. For
ments of the selected Nonstructural Performance example, the fall of a ceiling panel located overhead
Level shall be rehabilitated in accordance with from a molor conlrol center is a credible interaction
Section 11.8. because the falling panel can reach and impacl the
motor control cenler (MCC). The target (the MCC) is
said lo be within the zone of int1uence of the source
C11.2 PROCEDURE (lhe ceiling panel). A signilicanl inleraction is one lhal
can result in damage lo the large!. For example, lhe
Where Hazards Reduced Performance is used, the fall of a light fixlure on a 20-in. steel pipe may be
engineer should consider the location of nonstructural credible (lhe lighl fixture being aboye lhe pipe) bul
components relative to areas of public occupancy. The may nol be significanl (the lighl fixlure will nol dam­
authority having jurisdiction should be consulted to age lhe sleel pipe). An imporlanl aspecl of lhe inlerac­
establish the areas of the building for which nonstruc­ tion review is engineering judgmenl, because only

314
 ASCElSEI41-06

credible and significant sources of interaction should of the 1971 San Fernando earthquake, it became c1ear
be consídered in (he conditíon assessment. that damage to nonstructural components could result
in serious casualtíes, severe building functional
11.2.2 Sample Size ímpairmenr, and major economíc losses, even where
Direct visual inspection shall be performed on structural damage was nol signiticant (Lagorio 1990).
each type 01' nonstructural component in the building This historical perspeclive presents Ihe background for
as follows: the developmenl of building code provisions, logether
l. If detailed drawings are available, at Jeast one sam­ with a hislorical review of professional and conslruc­
pie of each type 01' nonstructural component shall tion practices related to Ihe seismic design and con­
be observed. If no devialions 1'rom the drawings struction of nonslruclural components. Since Ihe 1964
exisl, the sample shall be considered represenlative Alaska earlhquake, the poor performance of nonslruc­
of installed conditions. If deviations are observed, lural components has been idemified in earlhquake
lhen at least 10% of aH occurrences of the compo­ reconnaissance reporls. Subsequent editions 01' lhe
nent shaH be observed; and Uniform Building Code (rCBO 1994), as well as
2. If delaiJed drawings are not available, al leasl three California and federal codes and laws have increased
samples 01' each type of nonslructural component bOlh Ihe scope and strictness of nonslruclural seismic
shall be observed. If no devíations among the (bree provisions in an allempt lo achieve betler performance.
components are observed, the sample shall be con­ Table C 11 I and Table Cl1-2 provide a comprehen­
sidered representalive 01' installed condilions. lf sive Iisl of nonstruclural hazards Iha! have becn
devialions are observed, at leasl 20% of aH occur­ observed in Ihese carthquakes.
rences of the cornponent shall be observed. The followíng quole, taken from statements made
after lhe Alaska earlhquake, characrerizes the hazard
nonstruclural components pose to building occupants:
11.3 HISTORICAL ANO COMPONENT
EVALUATlON CONSIDERATlONS "U, duríng an earthquake, [building occupanls)
must exil Ihrough a shower of falling Iight fix­
11.3.1 Historical Information lures and ceilings, maneuver lhrough shifting
Available constructíon documents, equípment and lopplíng furnilure and equipment, stumble
specilication and data, and as-buih information shalI down dark corridors and debris-Iaden slairs, and
be obtained as specifíed in Section 2.2. Data on then be mel al lhe slrect by falling glass,
nonstructural components and equipment shall be coJ­ veneers, or facade components, lhen the building
lecled lo estimale Ihe year of manufacture or installa­ cannor be described as a safe structure." (Ayres
lÍon of nonstruclural components lo juslify seleclion 01' and Sun, 1973a)
rehabililation approaches and techniques based on In reviewing Ihe design and construction of archi­
available hislorical informalion, prevailing endes, and lectural nonstruclural componenls ín this century, four
assessmenl of existing condilions. general phases can be distinguished.
Cll.3.1 Historical Information A. Phase 1: 1900 to 1920s
The architectural, mechanical, and e1ectrical com­ Buildings featured monumental classical architec­
ponenls and syslems of a historic building may be his­ ture, generally wilh a sleel frame struclUre using slone
torically signiticant, especially if they are original to facing with a backing of unreinforced masonry and
lhe building, very old, or innovalive. Historie buildings concrele. Interior partitions were of unreinforced hol­
may also conlain hazardous malerials, such as lead low clay tile or brick unil masonry, or wood partilions
pipes and as bes lOs, that may or may not pose a hazard wilh wood lath and plasler. These buildings had natu­
depending on their location, condilion, use or aban­ ral ventilation systems with hOI water radiators (later,
donment, conlainment, and/or dislurbance during the forced-air), and surface- or pendanl-mounled incan­
rehabilitalion. descenl lighl flxlUres.
8. Phase 2: 19308 to 19508
C11.3.1.1 Background Buildings were characlerized by poured-in-place
Prior lO Ihe 1961 Uniform Building Code and lhe reinforced concrete or sleel frame slruclures, employ­
1964 Alaska earlhquake, architectural components and ing columns and (in California) Iimiled exterior and
mechanical and electrícal syslems for buildings had interior shear walls. Windows were large and horizon­
lypically been designed wilh liule, if any, regard to tal. Interior partitíons of unreinforced hollow clay tile
slabiJily when subjecled lo seismic forces. By lhe time or concrete block unit masonry, or lighl wood frame

315
SElSMIC REHABILlTATION OF EXlSTING BUILDlNGS

Table U-l. Nonstructural Components: Applicability of Hazards Reduced, Life Safety and Immediate
Occupancy Requirements and Metbods of Analysis

Performance LeveJ
Seismicity
High and
Moderate Low
Seismicity Seismicity
Evalualion
Component Type 10 LS HR LS HR Procedure
Architectural (Section 11.9)
l. Exterior Wall Components
Adhered Vencer Ves Ves Yes l ; No No FID
Anchored Vencer Ves Ves Yes l ; No No FID
Glass Blocks Ves Ves Yes l ; No No FID
Prei~lbricated Panel s Ves Ves Yes l ; Ves Yes l ; FID
Glazed Exterior Wall Systems Ves Ves Yes l ; Ves Yes" FID/PR
2. Partitions
Heavy Ves Ves Yes" No No FID
Lighl Ves No No No No FlD
Glazed Ves Ves Yes" Ves Yes" F/O/PR
3. Interior Veneers
Stone, lnc1uding Marble Ves Yes lK Yes l ' No No FID
4. Ccilings
Directly Applíed lo Struclure Ves Nol.' No" No No F
Dropped Furred Gypsum Board Ves No No No No F
Suspended Lath and Plaster Ves Ves Yes l; No No F
Suspended lntegrated Ceiling Ves Nol' No Noll No PR
5. Parapets and Appendages Ves Ves Yes l; Ves Ves pi
6. Canopies and Marquees Ves Ves Yes l ; Ves Ves F
7, Chimneys and Stacks Ves Ves Yes l; No No f1
8. Stairs Ves Ves No Ves No *
Mechanical Equipment (Section 11.10)
l. Mechanical Equipment
Boilers, Furnaces, Pumps, and Chillers Ves Ves No Ves No F
General Mfg. and Process Machinery Ves No' No No No F
HVAC Equipment, Vibration-Isolated Ves No 3 No No No F
HVAC Equipment, Non-Vibratíon-lsolated Ves No' No No No F
HVAC Equipment, Mounted In-Une with Ductwork Ves No' No No No PR
2. Storage Vessels and Water Heaters
Structurally Supported Vessels (Category 1) Ves No' No No No Note4
Aat-Botlom Vessels (Category 2) Ves No) No No No Note'
3. Pressure Piping Ves Ves No No No Note-'
4. Fire Suppl'ession Piping Ves Ves No No No PR
5. Fluid Piping, not Fire Suppression
Hazardous Materials Yes Ves Yes l2 Ves Yes l2 PRlF/D
Nonhazardous Materials Yes l4 No No No No PR/F/D
6. Ductwork Ves No 6 No No No PR
Electrical And Communications (Section 11.10)
1. Electrical and Communications Equipment Ves No? No No No F
2. Electrical and Communications Distribution Equipment Ves No~ No No No PR
3. Light Fixtures
Recesscd No No No No No PRI7
Surface-Mounted No No No No No PRI7
Integrated Ceiling Ves Ves Yes l5 No No PR
Pendant Yes No 9 No No No F/PR

316
 ASCPJSEI 41-06

Performance Level
Seismicity
High and
Modera!e Low
Seismicity Seismicity
Evaluation
Componen! Type 10 LS HR LS HR Procedure

Furnishings and Interior Equipment (Section 11.11)

l. Storage Racks Ves Yes JO Yes l6 No No F
2. Bookcases Ves Ves No No No F
3. Computer AccessFloors Ves No No No No PRlFD
4. Hazardous Materials Storage Ves Ves No12 No'2 No'2 PR
5. Computer and Communication Racks Ves No No No No PRlFID
6. Elevators Ves Ves No No No FIDIPR
7. Conveyors Ves No No No No FIDIPR

lRehabilitation of unreinforced masonry parapels nol over 4 fI in heighl by lhe Prescriplive Design Concept shall be permitted.
2Rehahilitation 01' residential masonry chimneys by Ihe Prescriplive Design Concept shall be permitted.
3Equipment type 1 or 2 Ihat is 6 ft or more in heighl, equipmenl type 3, equipment fornlÍng part of an emergency power system. and gas-fired
equipment in occupied or unoccupied space shall be rehabilitated to the Life Safely Nonstructural Performance Level in areas of High Seismicíty.
In areas of Moderate Seismicity. Ihis equipment need nOI be considered. Refer 10 Section 11.10.1.1 for equipmenl type designations.
4Rehabilitation of residential water heaters wilh capacily less Ihan 100 gal by the Prescriplive Procedure shaJl be permitted. Other vessels shall
meet the force provisions of Sections 11.7.3 or 11.7.4.
5Rehabilitalion of vessels or piping systems according 10 Prescriptive Slandards shall be permitted. Storage vessels shall meel the force provisions
of Seclions 11.7.3 or 11.7.4. Piping shall meel drift provisions of Section 11.7.5 and ¡he force provisions of Sectiolls 11.7.3 or 11.7.4.
6Duclwork that conveys hazardous materials. exceeds 6 sf in cross-sectional area, or is suspended more Ihan 12 in. from 10p of ducI 10 supporting
strucnue al any support point shatl meel lhe requirements of the selecled Rehabililation Objective.
1Equipment thal is 6 ft or more in height, weighs over 20 lbs., or forms part of an emergency power andlor communication system shall meel !he
Life Safely Nonstructural Performance Level.
gEquipmenl that forms part of an emergency lighting, power, andlor communication system shall meet the Life Safety Nonstruclural Performance
Level.
9Fixtures thal exceed 20 lbs. per suppon shall mee! the Life Safety Nonslructural Performance Level.
IORehabilitalion shall not be required for slorage racks in unoccupied spaces.
"Panels lhal exceed 2 Ibs/sf, or for which Enhanced Rehabililation Objectives have been selected. shall meet the Life Safely Nonstruclural
Performance LeveL
12Where material is in c10se proximity lO occupancy such Ihat leakage could cause an immediate Jife safety threat, the requirements of tbe selected
Rehabilitation Objeclive shall be me!.
I3Plaster ceilings on metal or wood lath over 10 sf in area shall meet !he Life Safety Nonstructural Performance Leve!.
"Unbraced pressure pipes wilh a 2-in. or larger diameter and suspended more Ihan 12 in. from !he top of lhe pipe to the supponing slruclure al
any suppon poinl shall meet the requirements of the selected Rehabililalion Objective.
I'Where heavy nonstruclura! components are located in areas of public occupancy or egress, Ihe componenls shall meet the Life SafelY
Nonstruclural Performance Leve!.
'6Storage racks in areas of public assembly shall meet the requirements of the selecled Rehabililation Objective.
I1Evaluation for the presence of an adequate attachmt:nt shall he checked as described in Section 11.10.9.3.
'"In areas of Moderate Seismicily, interior veneers of ct:ranlÍc tile need not he considered.

Kt:y:

HR, Hazards Reduced Nonstruclural Perfonnance Level; LS, Life SafelY Nonstructural Performance Level; lO, Immediatc Occupancy
Nonslructural Performance Level; PR, Use of the Prescriptive Procedure of Seclion 11.7.2 shall be permitted; F. the AnalYlical Procedure of
Section 11.7.1 shall be implemented and a force analysis shall be pt:rfomled in accordance wilh Sections 11.7.3 or 11.7.4; F/D. the Analytical
Proccdure of Section JI. 7. J shall be implenlented and a force and deformation anal ysis shaIl be perforllled in accordance wilh Sections I 1.7.4 and
J 1.7.5, respectively.
* Individual components shall be rehabilitated as required.

317
SEISMIC REHABILlTATION OF EXISTING BUILDINGS

Table CH-I. Nonstruetural Arehiteetural Component Seismie Hazards

Component Principal Concerns

Suspended ceilings Dropped aeoustieal tiles, perimeter damage, separation of runners and cross-runners
Plaster ceili ngs Collapse, local spalling
Cladding Falling from building, damaged paneIs and connections, broken glass
Ornamentation Damage leading to a falling hazard
PIaster and gypsum board walls Cracking
Demountable partitions Collapse
Raised access f100rs Collapse, separation between modules
Reeessed light fixtures and Dropping out of
HVAC diffusers suspended ceilings
Unreinforccd masonry walls Parapet and wall collapse
and partitions and spalling, panitions debris and falling hazard

Table Cll-2. Mechanical and Electrical Equipment Seismic Hazards

EquipmentlComponent Principal Concerns

Boilers Sliding, broken gas/fuel and exhaust Iines, brokenlbent steam and relief lines
Chillers Sliding, overturning, loss of funetion, leaking refrigerant
Emergency generators Failed vibration isolation mounts; broken fuel, signal, and power Iines, 1088 of I'unetion, broken
exhaust lines
Fire pumps Anchorage faiJure, misalignment between pump and motor, broken piping
On-site water storage Tank 01' vessel rupture, pipe break
Communications equipment Sliding, overturning, or
toppling leading to loss of funclion
Main transformers Sliding, oil leakage, bushing failure, loss of funclion
Main electrical panels Sliding or overturning,
broken or damaged conduit ol' electrical bus
Elevators (tmetion) Counterweights out 01' guide rails, cables out
01' sheaves, dislodged equipment
Olher fixed equipment Sliding or ovelturning, los8 of function or damage to adjacent equipmenl
Ducts Collapse, separation,
leaking, fumes
Piping Breaks, leaks

partitions with plaster, were gradually replaced by developed using wire-hung metal grids with infill of
gypsum. Suspended ceilings and tluorescenl lights acoustic panels, lighting tixtures, and air diffusion
arrived, generally sur1'ace- or pendant-mounted. Air units. HVAC syslems íncreased in size, requiring large
conditioning (cooling) was inlroduced and HVAC sys­ mechanical rooms and increased above-ceiling space
tems became more complex, with increased demands for ducts. Sprinklcrs and more advanccd electrical
for duct space. control systems were introduced, and more HVAC
C. Phase 3: 1950s to 1960s equipment was spring-mounled to prevenl transmis­
This phasc saw lhe advent 01' simple rectangular sion 01' motor vibration.
melal or rein1'orced concrete 1rame structures D. Phase 4: 1960s to Present
("International Style"), and metal and glass curlain This pcriod saw the advent 01' exterior precast
waIls with a variety of opaque c1addings (porcelain concrete and, in the l 980s, glass-tiher-reinforced con­
enamel, ceramic ti le, concrete, cement plaster). crete (GFRC) c1adding. Interior partition systems of
Interior partilions became primarily metal studs and metal studs and gypsum board, demountahle parti­
gypsum board. Proprietary suspended ceilings were tions, and suspended ceiling systems become catalog

318
 ASeE/SEI41-06

proprielary items. The evolution of the late 1970s plumbing systems Ihat are vilal parts of an effective
architectural style ("Posl-Modern") resulted in less­ tire suppression system.
regular forms and much more interior and exterior Studies published following the 1971 San
decoration, much of il accomplished by nonstructural Fernando earthquake a1l indicated Ihat buildings Iha!
components: assemblies of glass, metal panel, GFRC, sustained only minor structural damage became unin­
and natural stone e1adding for the exteriors, and use of habitable and hazardous to lite due to failures of
gypsum board for exaggerated structural concealment mechanical and electrical systems.
and form-making in interiors. Suspended ceilings and
HVAC systems changed )jUle, but the advent of office Cl1.3.1.3 HVAC Systems
landscaping often reduced tloor-to-ceiling partirions A study by Ayres and Sun (1973b) clearly identi­
lo almost nothing in general oftice space. Starting in fied the need to anchor tanks and equipment that did
the 1980s, the advent of the "smarl" oftice greatly not require vibration isolatíon, and to províde lateral
increased eleclrical and communications needs and the reslraints on equipment vibration isolation devices.
use of raised tloors, and increased the need for Ihe Sorne of these suggesled corrective measures are
mechanical and electrical syslems to remain funclÍonal now incorporated into manufactured products. The
after earthquakes. HVAC system designers had to become aware of the
earthquake-induced forces on the system's components
Cll.3.1.2 Background to Mechallical and Electrical and the need for seismic restraints to Iimit damage;
Considerations they also had to understand the requirements for !he
Prior lo the 1964 Alaska earthquake, mechanical suspension and bracing of ceilings and light fixtures
and electrical systems for buildings had been designed because of their adjacency to and interaction with the
with liule, if any, regard lO stability when subjected to HVAC system components.
seismic forces. The change in design from !he heavily To provide technical guidance to HVAC system
structured and densely partitioned slructures of the designers and installers, the Sheet Metal Industry Fund
pre-war era, with their simple mechanical, electrical of Los Angeles published its first manual, Guidelines
and lighling syslems, to the Iight frame and curtain for Seismic Restraints of Mechanical Systems (Sheet
wall, gypsum board and integrated ceilíng buildings of Metal Industry Fund, 1976). This manual was updated
the 1950s and onward, had been hule retlected in the in 1982 with assistance from the Plumbing and Piping
seismic building codeso The critical yel fragi!e nature Industry Counci1 (PPIC). The most recent manual,
of the new nonstructural systems was not fulIy real­ Seismic Restraint Guidelines lor Mechanical Equip­
ized, except for nuelear power plant design and other ment (SMACNA 1991), is designed for use in
special-purpose, high-risk structures. Equipment sup­ California as well as other locatíons with lower
porls were generally designed for gravity loads only, seismic hazard levels.
and auachments to the structure Ítself were often Secondary effects of earthquakes (fires, explo­
deliberately designed 10 be tlexible to allow for vibra­ sions. and hazardous materials releases resulting
tion Ísolation or therma! expansiono from damaged mechanical and electrical equip­
Few building codes, even in regions with a history menO have only recently been considered. In
of seismic activity, have contained provisions govern­ addition, the potential danger of secondary damage
ing the behavior of mechanical and electrical systems from fallíng architectural and structural componenls,
until relatively recently. One of the earHest references which could intlict major damage to adjacent equip­
10 seismic bracing can be found in NFPA 13, Standard ment and render it unusable, needs to be carefully
for the lnstallation 01 Sprinkler Systems (NFPA 2002). assessed.
This pamphlet has been updated periodically sínce These secondary efl'ecls can represent a consider­
1896, and seismic bracing requirements have been able hazard to the building, its occupants, and its con­
íncluded sínce 1947. Piping systems for building tenis. Steam and hol water boilers and olher pressure
sprinklers are static and do not require vibration i801a­ vessels can release fluids at hazardous temperalures.
tion. They do, however, require flexibilíty where the Mechanical systems often inelude piping systems
service piping enters the building. The issue of pro­ filled with flammable, toxic, or noxious substances,
tecting tlexibly mounted piping was not studied until such as ammonia or other refrigerants. Some of the
after the 1964 Alaska earthquake. nontoxic halogen refrigerants used in air-conditioning
The designers of building mechanical systems apparatus can be converled to a poisonous gas (phos­
must also address the seismic restraints required for gene) upon contact with open tlame. Hot parls of dis­
emergency generalors, tire protection pumps, and integrating boilers, such as portions of the burner and

319
SEISMIC REHABILlTATION OF EXISTING BUILDINGS

firebrick, are at high enough temperatures to ignite components, these values shall be factored up to strength
combustible materials with which they might come design levels. In the absence of manufacturer's data on
in contact. strength values, allowable stress values can be increased
by a factor of lA to obtain strength design values.
11.3.2 Component Evaluation Where nonstructural components are evaluated
Nonstructural components shall be evaluated to using Hazards Reduced Nonstructural Performance
achieve the Rehabilitation Objective selected in accor­ Level, the force level associated with Life Safcty
dance with Section lA. Analysis and rehabilitation Nonstructural Performance in Section 11.7 should be
requirements for the Hazards Reduccd, Life Safety, used. In many instances, if bracing of the nonstructural
and Immediate Occupancy Nonstructural Performance component exists, or if it is rehabilitated, there would
Levels for the appropriate level of seismicity shall be not be a substantial justitication for evaluating or reha­
as specitied in Table 11- 1. Design forces shall be cal­ bilitating the component using a force level or accept­
culated in accordance with Section j 1.7.3 or 11.704, ance criteria less stringent than Life Safety. However,
and design deformations shall be calculated in accor­ in cases where it is not considered critical or feasible,
dance with Section 11.7.5. Analysis and rehabilitation the engineer may, with appropriate approval, evaluate
requirements for the Hazards Reduced Nonstructural or rehabilitate the nonstructural component using a
Performance Level shall fol1ow the requirements for criterion that is less stringent than Lite Safety.
the Life Safety Nonstructural PerfOlmance Leve!. In cases where the Basic Satety Objective is
Analysis and rehabilitation requirements for the not required-such as where the Limited Safety
Operational Nonstructural Performance Level shall Performance Range applies-there may be more
be based on approved codeso latitude in the selection 01' components or criteria for
Acceptance criteria for nonstructural components nonstructural rehabi 1itation.
being evaluated to the Lite Satety and Immediate A suggested general procedure for developing a
Occupancy Nonstructural Performance Levels shall be mitigation plan for the rehabilitation of nonstructural
based on criteria listed in Sections j 1.9 through II.lI. components is as follows:
Forces on bracing and connections for nonstructural
components calculated in accordance with Sec­ l. It is assumed that the building has been evaluated
tion 11.7 shall be compared to capacities using in a teasibility phase, using a procedure such as
strength design procedures. Acceptance criteria for the that described in ASCE 31 (ASCE 2(02). For non­
Lite Safety Nonstructural Performance Level shall be structural components, use of this procedure will
used for nonstructural components being evaluated to have provided a broad list of deticiencies that
the Hazards Reduced Nonstructural Performance are generally, but not specitically, related to a
Leve!. For nonstructural components being evaluated Rehabilitation Objective. Issues related to
to the Operational Nonstructural Performance Level, other objectives and possible nonstructural compo­
approved acceptance criteria shall be used. nents not discussed in ASCE 31, as well as issues
raised by nonstructural rehabilitation unaccompa­
Cll.3.2 Component Evaluation nied by structural rehabilitation (e.g., planning,
The Hazards Reduced Nonstructural Performance cost-benetit) are outlined in this commentary,
Level applies only to high-hazard components as spec­ and reterences are provided for more detailed
itied in Section 1.5.204 and Table 11-1. Life Safety investigation;
Nonstructural Performance Level criteria-or other 2. The decision is made to rehabilitate the building,
approved criteria-should be used for the Hazards either structurally, nonstructurally, or both;
Reduced Nonstructural Performance Leve!. Criteria for 3. From Chapter 1 of this standard, the designer
the Operational Nonstructural Performance Level has reviews Rehabilitation Objectives and, in concert
not been developed to date. Evaluation, rehabilitation, with the authority having jurisdiction, determines
and acceptance criteria for the Immediate Occupancy the objective. Alternatively, the objective may have
Nonstructural Performance Level may be used for the been already detined in an ordinance or other
Operational Nonstructural Performance Level if more policy;
appropriate data are not available. 4. Following a decision on the Rehabilitation
Forces on nonstructural components calculated in Objective, which includes the Nonstructural
accordance with Section 11.7 are at a strength design Performance Level or Range as well as ground
leve!. Where allowable stress values are available for motion criteria, the designer consults Chapter 11
proprietary products used as bracing for nonstructural of this standard;

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5. Using Chapler 11, the designer prepares a definilive higher than Limited Safety, consideralion 01' structural
Iist of nonslruclural componenls thal are within the behavior is necessary to properly take into account
scope of lhe rehabilitation, hased on the selected loads on nonstructural components generaled by iner­
Nonslruclural Performance Leve! and an assess­ lial torces or de1'ormations imposed by Ihe slructure.
ment 01' component condition. For the Life Safety
Nonstruclural Performance Leve! and, lo sorne
Cl1.4.1 Regional Seismicity and Nonstructural
extent, lhe Immediate Occupancy Nonstructural
Components
Performance Level, Chaplers 2 and 11 of Ihis stan­
Requiremenls for Ihe rehabilitation of nonslrue­
dard specify requiremenls. However, for other
tural componelllS relating to the three Seismic
levels and ranges, there is a need 10 evaluate and
Levels-High, Moderate, alld Low-are shown in
prioritíze. From the list of nonstructural compo­
Table J 1- J and noled in each seetion, where applica­
nents wíthin Ihe project scope, a design assessment
ble. In general, for levels of low seismieity, certain
is made lo delermine if the component requires
nonstructural components have no rehabilitation
rehabilítation and, from Table 1I - 1, lhe rehabilita­
requirements with respect to the Lite Safely
tion Analysis Method (Analytical or Prescriptive)
Nonslructural Performance Leve!. Rehabilitation
for each component or component group is
01' Ihese components, partieularly where rehabilitation
delermined;
is simple, may nevertheless be desirable tor damage
6. For those components that do not meet the criteria,
control and property loss reduclion.
an appropriale analysis and design procedure is
undertaken, with the aim 01' bringing the compo­
nent inlo compliance wilh Ihe crileria appropriale Cl1.4.2 Means of Egress: Escape and Rescue
lo Ihe Nonstruclural Performance Level or Range Preservation of egress is accomplished primarily
and the ground motíon criteria; and by ensuring that the most hazardous nonstructural
7. Nonslructural rehahilitalion design documents are componenls are replaced or rehabilitated. The items
prepared., Iisted in Table 11-1 1'or achieving Ihe Li1'e Sa1'ety
Nonstructural Performance Level show Ihat typicaJ
requirements for mainlaining egress will, in effect, be
11.4 REHABILITATION OBJECTIVES AND accomplished if the egress-related components are
PERFORMANCE LEVELS addressed. These would inelude the following ¡tems
Jisled in ASCE 31 (ASCE 2002).
Rehabilitation Objeclives thal inelude performance
levels for nonslruclUral components shall be eSlab­ J. Walls around stairs, e!evator enclosures, and eorri­
lished in accordance wilh Seetion lA. The level of dors are nOI hollow clay tile 01' unreinforced
seismiciry shall be delermined in accordance wirh masonry;
Section 1.6.3. 2. Stair enclosures do not eontain any piping or equip­
ment except as required rOl' lite safety;
3. Veneers, cornices, and other ornamentalion aboye
C11.4 REHABILITATION OBJECTIVES AND building exits are well-anchored lo Ihe struetural
PERFORMANCE LEVELS system; and
4, Parapets and eanopies are anchored and braced 10
The nonslruclural Rehabilitation Objective may be lhe prevent collapse and blockage of building exits.
same as the Slructural Rehabilitation Objective, or it
Beyond this, Ihe following list describes some
may differ. For the Basic Safety Objeclive (BSO),
condilions Ihat mighl be commonly recognized as
struclural and nonstructural requírements specified in
representing major obstruction; the building should
this standard must be met.
be inspecled lo see whelher these or any similar
This standard is also in tended 10 be applicable lo
hazardous eonditions exist. If so, Iheir replacement or
the situalion where nonslruclUral-but not struclUral­
rehabilitation should be included in rhe rehabilitatíon
components are to be rehabililated. Rehabilitation that
plan:
is reslricted 10 Ihe nonstruelural eomponents wíll typi­
cally fall wíthin the Limited Safety Nonstructural l. Parlitions taller Ihan 6 1'1 and weighing more than
Performance Range unless the structure is already 5 lbs/sf, if collapse of the entire parlition-rather
determíned ro meet a specitied Rehabilitarion Ihan cracking-is Ihe expected mode of failure and
Objective. To qualify 1'or any Rehabilitation Objective jf egress would be impeded;

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SEISMIC REHABILlTATION OF EXISTJNG BUILDINGS

2. Ceilings, soffits, or any eeiling or deeorative ceiling l. Nonstructural eomponenls lhal are sensÍlive to and
component weighing more than 2 Ibs/sf, ir it is subject to damage from inertial loading shall be
expecled that large areas (pieces measuring 10 sf or c1assified as acceleration-sensitive components;
larger) would fall; 2. Nonstruetural components that are sensitive and
3. Potential ror falling ceiling-Iocaled lighl fixtures or subject lO damage imposed by drift or de formal ion
piping; diffusers and ductwork, speakers and ol'!he slruclure shall be classitied as deformation­
alarms, and other objects localed higher than 42 in. sensitive; and
off lhe floor; 3. Nonstructural componenls that are sensitive LO both
4. POlential for falling debris weighing more than inertial loading and drifl and deformation of the
100 lbs lhat, if it fell in an earthquake, would structure shall be classitied as deformation-sensitíve.
obstruct a required exit door or other component,
such as a rescue window or tire escape; and
5. Potential 1'or jammed doors or windows required as
part of an exit palh-including doors to individual Cll.6 CLASSIFICATION OF ACCELERATION­
offices, resl rooms, and other occupied spaces. SENSITIVE ANO OEFORMATION-SENSITIVE
COMPONENTS
Of these, lhe tirst tour are also taken care 01' in the
Life Safely Nonstructural Performance Level require­ Classification 01' acceleration-sensitive or deformation­
men!. The last condition is very difticult lo eliminate sensitive components are discussed, where necessary,
wilh any assurance, except for low levels of shaking ín in each component section (Seclions 11.9, 11.10, and
which structural drift and deformalíon will be mini­ 11.11). Table C 11-3 summarizes the sensitivity of non­
mal, and the need for escape and rcscue eorrespond­ slruclural componenls lisled in Table 11-1, and idenli­
ingly slíght. fies which are 01' primary or secondary concern. The
guiding principIe for deciding whether a component
requires a force analysis, as delined in Section 11.7, is
11.5 STRUCTURAL-NONSTRUCTURAL lhat analysis of inertial loads generated within lhe
INTERACTION component is necessary lo properly consider lhe com­
ponent's seismic behavior. The guiding principie for
1l.S.1 Response Modification deciding whether a component requires a drifl analy­
Nonstructural components shall be included in the si s, as delined in SeclÍon 11.7, is that analysis 01'
mathematical model of the building in accordanee drift is necessary to properly consider the component's
with the requirements of Section 3.2.2.3. Nonstructural seismic behavior.
components included in the mathematical model of the Glazing or other components that can hazardously
building shall be evaluated for force s and deformations fail at a drift ratio less than 0.0 l (depending on instal­
imposed by the structure, computed in accordance lalÍon details) or components thal can undergo greater
with Chapter 3. distortion without hazardous failure resuhing-for
example, typical gypsum board partitions-should be
11.5.2 Base Isolation considered.
In a base-isolated structure, nonstructural compo­ Use oC Oríft Ratio Values as Acceptance
nents located at or aboye the isolation interface shall Criteria. The dala on drift ratio values relaled to dam­
comply with the requirements in Section 9.2.6.2.1. age slales are Iimiled, and the use 01' single median
Nonstructural components that cross the isolation drift ralio values as acceptance crileria must cover a
interface shall comply with lhe requirements of broad range of actual conditions. lt is thererore sug­
Section 9.2.6.2.2. Nonstructural components located gested lhat lhe limiting drift values shown in lhis chap­
below the isolation interface shall comply with the ter be used as a guide for evaluating lhe probability of
requirements of this chapter. a given damage state for a subject building, but not
be used as absolute acceptance criteria. At higher
Nonstructural Performance Levels, it is IikeIy thal lhe
11.6 CLASSIFICATION OF ACCELERATION­ criteria for nonstructural deformation-sensitive compo­
SENSITIVE ANO OEFORMATION-SENSITIVE nents may control lhe struclural rehabilitation designo
COMPONENTS These crileria should be regarded as a tlag tor the
careful evaluation of slructural-nonstructural interac­
Nonstructural components shall be c1assified based on tion and consequent damage states, rather than the
lheir response sensitivity as follows: required imposition of absolute acceptance crileria

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Table CII-3. Nonstructural Components: Response Sensitivity

Sensitivity
Component Acceleration Deformation
Architectural (Section 11.9)
l. Exterior Skin S2 pl
Adhered Veneer S P
Anchored Veneer S P
Glass Blocks S P
Prefabricated PaneIs S P
Glazing Systems S P
2. Partitions
~ry S P
L~~ S P
3. Interior Veneers S P
Stone, Including Marble S P
Ceramic Tite S P
4. Ceilings
Directly Applied to Structure P
Dropped Furred Gypsum Board P
Suspended Lath and Plaster S P
Suspended Integrated CeiJing S P
5. Parapets and Appendages P
6. Canopies and Marquees P
7. Chimneys and Stacks P
8. Stairs P S
Mechanical Equipment (Section 11.10)
1. Mechanical Equipment P
Boilers and Furnaces P
General Mfg. and Process Machinery P
HVAC Equipment. Víbration-Isolated P
HVAC Equipment. Non-Vibration-Isolated P
HVAC Equipment. Mounted In-Une wilh Ductwork P
2. Storage Vessels and Water Heaters
Structurally Supponed Vessels (Category 1) P
FlatBottom Vessels (Calegory 2) P
3. Pressure Piping P S
4. Fire Suppression Piping P S
5. Fluid Piping, not Fire Suppression
Hazardous Materials P S
Nonhazardous Materials P S
6. Ductwork P S
¡p. Prímary response
2S. Secondary response

lhal mighl require costly redesigo of lhe struclural 11.7.1 Analytical Procedure
rehabilitatioo. Where lhe Prescriplive Procedure is oot permitted
based 00 Table 11-1, forces and deformalions 00 noo­
11.7 EVALUATION PROCEDURES slructural componeols shall be caJculated as follows:
1. If a force analysis only is permitted by Table 11-1
One of the following evaluation procedures for non­
and eilher lhe Hazards Reduced or Life Safely
structural components shall be selected based on lhe
Nonstructural Performance Level is selected, then
requiremenls of Table 11- J:
use of the default equations given in Section 11.7.3
J. Analytical Procedure; or shall be permitted to calculate seismic design
2. Prescriptive Procedure. forces 00 nonstructural components;

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SElSMIC REHABILlTATION OF EXlSTING BUILDlNGS

2. If a force analysis only is permiued by Table 11-1 computed using Eq. 11-1. Where specifically required
and a Nonstructural Performance Level higher than in Sections 11.9, 11.10, and 11.11, vertical seismic
Life Safety is selected, then the default equations of torces for horizontal cantilever components shall be
Section J 1.7.3 do not apply, and seismic design deterrnined using Eq. 11-2. Vertical seismic forces
forces shaJl be calculated in accordance with for all other components shall be determined using
Section 11.7.4; and Eq. 1J-3.
3. Ir both force and deformation analysis are required (Eq. 11-1)
by Table 1J- J , then seismic design forces shall be
calculated in accordance with Section 11.7.4 and (Eq. 11-2)
drift ratios or relative displacements shall be calcu­ Fpv (minimum) = :t O.2Sxs Wp (Eq. 11-3)
lated in accordance with Section 11.7.5. The defor­
where
mation and associated drift ratio of the structuraJ
component(s) to which the deformation-sensitive FI' component seismic design force applied hori­
nonstructural component is attached shall be deter­ zontally at the center 01' gravity of the compo­
mined in accordance with Chapter 3; or nent or distributed according lo the mass distri­
4. Alternatively, lhe calculalion of seismic design bution 01' the component;
torces and deformations in accordance with Sec­ FI'" component seismic design force applied verti­
tion 11.7.6 shaJl be permitted. cally at the center 01' gravity of the component
or distributed according to the mass distribution
Cll.7.l Analytical Procedure 01' the componenl;
For nonstructural components, the Analytical Sxs = spectral response acceleration parameter at short
Procedure, which consists of lhe default equation and periods for any Earthquake Hazard Level and
general equation approaches, is applicable to any case. any damping determined in accordance with
The Prescriptive Procedure is limited by Table 11-1 to Section 1.6.1.4 or 1.6.2.1; and
specitied combinations of seismicity and componenl Wp component operating weight.
type for compliance with the Life Safety Nonstructural
Performance Leve!. 11.7.4 Force Analysis: General Equations

11.7.2 Prescriptive Procedure 11.7.4.1 Horizontal Seismic Forces

Where the Prescriptive Procedure is perrnitted in
Table 11 1, the characteristics of the nonstructural 11.7.4.1.1 Life Safety and Hazards Reduad
componenl shall be compared with characteristics as Nonstructural Perfonnance Levels Where defauh
specified in approved codeso equations 01' Section 11.7.3 do not apply, horizontal
seismic design torces on nonslruclural componenls
shall be determined in accordance with Eq. 11-4.
C11.7.2 Prescriptive Procedure
A Prescriptive Procedure consists of published
standards and reterences lhat describe the design con­
cepts and construction features that must be present (Eq. 11-4)
Rp
for a given nonstructural component lO be seismically
protected. No engineering calculations are required in FI' calculated in accordance wilh Eq. 11-4 shall be
a Prescriptive Procedure, although in sorne cases an based on the stiffness of (he component and ductility
engineering review 01' the design and installalion is of its bracing and anchorage, bul it need not excced
required. the default value 01' Fp calculaled in accordance with
Suggesled references for prescriptive requiremenls Eq. 1 J-1 and shall not be less than Fp computed in
are Iisled in lhe commentary of lhe "Component accordance with Eq. 11-5.
Behavior and Rehabilitation Concepls" subsection of (Eq. 11-5)
Sections 11.9 through 11.11 1'or each component type.
where
11.7.3 Force Analysis: Default Equations al' component amplit'ication factor from Table 11-2;
Calculation of seismic design forces on nonstruc­ F" = component seismic design force applied hori­
lural components using the following default Eqs. 11-1 zontally at the center of gravity 01' the compo­
and 1 J -2 shall be permitted in accordance with Sec­ nent and distributed according lo lhe mass
tion 11.7.1. Horizontal seismic design 1'orces shall be distribution of the component;

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 ASeE/SEI 41-06

Sxs speclral response acceleration parameter al short

= Ax = story acceleration atlevel x ca\culated based on
periods for any Earthquake Hazard Level and a linear dynamic analysis of the building in
any damping determined in accordance wilh accordance with Section 3.3.2; in lieu of a rigor­
Section 1.6.1.4 or 1.6.2.1; ous analysís, the value ofA x may be obtained
h average roor elevation of structure, relative to using Eg. 11-5c.
grade e1evation;
lp = component performance factor (1.0 shall be
(Eg. 11-5c)
used ror the Life Safety and Hazards Reduced
Nonstructural Performance Levels);
Rp = component response modification factor from where
Table 11-2; and Sxs the 5% damped spectral response acceleration
x = elevation in slructure of the center of gravity 01' parameter at short periods for a given Earth­
the component reIative to grade elevation. quake Hazard Level determined in accordance
with SectÍon 1.6.1.4 or 1.6.2.1;
h average roo1' elevation of Slructure, relative to
11.7.4.1.2 lmmediate Occupancy Nonstructural grade elevatíon; and
Petjormance Leve! Seísmic design forces for nonslruc­ x elevation in structure of the center of gravity of
tural components being evaluated to the Immediate the component relative to grade elevation.
Occupancy Nonstructural Performance Level shall be
evaluated considering the dynamic characterístics of Cl1.7.4.1 Horizontal Seismic Forces
the building and the nonstructural component. The
Seismic forces for nonstructural components are
fundamental period of vibration of the nonstructural
generated based on three effecLs: the ground accelera­
component (Tp ) in each direction shall be eSlÍmated
tion at the base 01' the building, the ratio 01' the floor
using Eq. 11-5a. acceleration at the location of the nonstruclUral com­
ponent to the ground acceleration, and the dynamíc
T. =
p
21T~ Kpg
W
p
(Eq. 11-5a) amplification due to resonance between the non­
structural component and the building response.
where Equation 11-4 provides an estimate of the horizontal
acceleratÍon of a nonstructural componen!. The peak
Tp component fundamental period; ground acceleration is calculated as 0.4 times the short
Wp = component operating weight; period response acceleration (Sxs)'
g = gravitatíonal acceleration; and The ratio of the tloor acceleration at the location
Kp = approximale stiffness of the support system 01' of the nonstructural component is based on a linearly
the component, its bracing, and its auachment, increasíng variation of acceleration over the height of
determined in terms 01' load per unit detlection the building. The term (1 + 2x/h) is used to calculate
at the center 01' gravity 01' the componen!. this variation based on a linear varÍation of floor accel­
erations over the height of the building and is based on
Nonstructural seismic design forces shall be cal­ an assumed first-mode response 01' a building with
culated based on Eq. 11-5b. uniform stif1'ness and mass. For buildings that have
significant higher-mode response, this Iinearly increas­
(Eg. 11-5b) ing assumption may overestimate Ihe acceleration
at tloors below the roof. A linear dynamic analysís
using a response spectrum can be used as an alter­
where
nate method of estimating lhe variatíon of floor
lp = component performance factor = 1.5; accelerations.
ap component amplification factor determined The ap factor provides an estimate of the dynamic
based on the dynamic ímeractíon between the amplification due LO the resonance of response of the
nonstructural component and the building vibra­ nonstructural component with one 01' the modes of
tional characteristics; in líeu 01' a rigorous analy­ vibration of the building. Table ] 1-2 provides an estí­
sis, the value 01' ap may be obtained from mate of this ampliticatíon for most nonstructural com­
Table 11-2; ponents. In Table 1] components assumed LO be
Rp component response modification factor fmm figid are assigned an ap value oí' 1 and components
Table 11-2; and assumed 10 be flexible are assigned an ap value of 2.5.

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SEISMIC REHABILlTATION OF EXISTING BUILDlNGS

Table 11-2. Nonstruciural Component Amplitication and Response Moditication Factors

Architectural Component or Component (Section 11.9) a,,1 Rp4

Interior nonstructural waJls and partitions1
Plain masonry walls 1.0 1.5
AH other walls and partitíons 1.0 2.5
Cantilever components, unbraced or braced (to structuraJ frame) below their centers of mass
Parapets and cantilevered interior nonstructural walls 2.5 2.5
Chimneys and stacks where lalerally supported by structures 2.5 2.5
Cantilever components, braced (to struclural frame) aboye their centers 01' mass
Parapels 1.0 2.5
Chimneys and stacks 1.0 2.5
Exterior nonstructural walls2 1.0 2.5
Exterior nonstructural wall components and connections 2
Wall component 1.0 2.5
Body 01' waH-panel connections 1.0 2.5

Fasteners of the connecting system 1.25 1.0

Veneer
High-deformability components and attachments 1.0 2.5
Low-deformability componenls and attachments 1.0 1.5
Penthouses (except where framed by an extension of the building frame) 2.5 3.5
Ceilings
AII 1.0 2.5
Cabinets
Storage cabinets and laboralory equipmenl 1.0 2.5
Storage Racks 5 2.5 4.0
Access floors
Special access floors 1.0 2.5
AH other 1.0 1.5
Appendages and ornamentation 2.5 2.5
Signs and billboards 2.5 2.5
Other rigid components
High-deformability components and attachments 1.0 3.5
Limited-defOlmabiJity components and attachments 1.0 2.5
Low-deformability components and attachments 1.0 1.5
Other flexible components
High-deformability components and attachments 2.5 3.5
Limited-deformability components and attachments 2.5 2.5
Low-deformability components and attachments 2.5 1.5
Mechanical and Electrical Components (Section 11.10)
Air-side HVAC, fans, air handlers, air conditioning units, cabinet heaters, air distribution boxes, and other 2.5 3.0
mechanical components conslructed of sheet metal framing.
Wet-side HVAC, boilers, furnaces, atmospheric tanks and bins, chillers, water heaters, heat exchangers, 1.0 2.5
evaporators, air separators, manufacturing or process equipment, and other mechanical components
constructed ol' high-deformability materials.
Engines, turbines, pumps, compressors, and pressure vessels nm supported on skirts and no! within {he 1.0 2.5
scope of Section 9.14.
Skirt-supported pressure vessels not within the scope of Section 9.14. 2.5 2.5
Elevator and escalator components. 1.0 2.5

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 ASCE/SEr 41-06

Architectural Component or Component (Section 11.9) al

p
R4P
Generators, batteries, inverters, mOlors, transformers, and other electrical components constructed 01' 1.0 2.5
high-deformability materials.
Motor control centers, panel board s, switch gear, instrumentation cabinets, and other components 2.5 3.0
constructed 01' sheet metal framing.
Communication equipment, computers, instrumentation, and controls. 1.0 2.5
Roof-mounted chimneys, stacks, cooling and electrical towers laterally braced below their center of mass. 2.5 3.0
Roof-mounled chimneys, stacks, cooling and eleclrical towers laterally braced aboye their center of mass. 1.0 2.5
Lighting fixlures. 1.0 1.5
Other mechanícal or electrical components. 1.0 1.5
Vibration-Isolated Components and Systems3
Components and systems isolated using neoprene components and neoprene isolated tloors with buih-in 2.5 2.5
or separate elastomeric snubbing devices or resítient perimeter stops.
Spring-isolaled components and systems and vibratíon isolated tloors closely restrained using buih-ín 2.5 2.0
Ol' separate eJastomeríc snubbing devices or resilient perimeter stops.

lnternally isolated components and systems. 2.5 2.0

Suspended vibration isolated equipment including in-line duct devices and suspended internally 2.5 2.5
isolated components.
Distribution Systems
Piping in accordance wíth ASME 831 6 , including in-tine components with joints made by welding or brazing 2.5 12.0
Piping in accordance with ASME 831, including in-line components, conslructed of high- or 2.5 6.0
limited-deformability malerials, wilh joints made by threading, bonding, compression couplings, or grooved
couptings.
Piping and tubing nOI in accordance with ASME 831, including in-Hne components, constructed of 2.5 9.0
high-deformability materials, wilh joints made by welding or brazing.
Piping and tubing not in accordance wilh ASME 831, including in-line components, constructed 01' high­ 2.5 4.5
or Iimited-deformability materials, with joints made by threading, bonding, compression couplings,
01' grooved couplings

Piping and tubing conslrucled of low-deformability malerials, such as casI iron, glass, and nonduclile 2.5 3.0
plastics.
Ductwork, including in-Iine components, constructed of high-deformability malerials, with joinls made 2.5 9.0
by welding or brazing.
Ductwork, including in-line components, constructed of high- 01' limited-deformability materials with 2.5 6.0
joints made by means other than welding or brazing.
Ductwork, including in-Hne components, construcled of low-defonnability materials, such as casI iron, 2.5 3.0
glass, and nonductile plastics.
Eleclrical conduit, bus ducts, rigidly mounted cable Irays, and plumbing. 1.0 2.5
Manufacturing or process conveyors (nonpersonneI). 2.5 3.0
Suspended cable trays. 2.5 6.0
Furnishings and Interior Equipment (Seclíon 11.11)
Slorage racks5 2.5 4
Bookcases 3
Computer access f100rs 3
Hazardous matel'ials slorage 2.5
Computer and communications racks 2.5 6

Continued

327
SEISMIC REHABILlTATlON OF EXISTING BUILDlNGS

TabJe 11-2. (Continued)

Architec!ural Componen! or Component (Section 11.9)

Elevators I 3
Conveyors 2.5 3

lA lower value for ap is permiuíXI where juslified by detailed dynamic analyses. The value fol' ap shall not be less than 1,0. The value of a" equal
10 1.0 is fol' rigid components and l'igidly auached components, The value of ap eqllal 102.5 is ror flexible componcms and t1exibly artached
componcnts.
2Where flexible diaphragms pl'Ovide lateral sUppOJt for concrete or masonry walls or partilions. lhe dcsign Jorces for anchorage to the diaphrugm
shall be as specitied in Seco 2.6.7.1.
'Components mOllnted on vibrulion isolalOrs shall have a bumper restrainl or snllbher in each holÍzontal direclion. The dcsign force shall be l¡¡ken
as 2FI' ir lhe nominal c1eanmce (air gap) belwccn the eqllipment SlIpport frame and restrujnl is grcater than ~ in. Ir the nominal c1earance specítied
on the conslrucljon documents js nOI greater than ~ in,. the design force may be taken as Fp '
4The value of R" used lo delermine lhe forces in the connecled pan shall not exceed 1.5 unless lhe componenl anchorage is governed by the
strenglh of a ductile stccl component.
'SLOrage racks over 6 ft in height shall be designed in accordance with the provisions of Section 11.11.1.
'American Society 01' Mechanical Engineers (ASME B31). (2000). eade Jilr l'ressure l'iping. New York.

A period of vibration of 0.06 sec is used to distinguish sufticiently aceurate ror estimating the story accelera­
between rigid and flexible components. The engineer tions since buildings checked for Immediate Oceupaney
should verify that the al' value used is appropriale for Performance Levcl are cxpecled to bchave nearly clas­
the actual component and its support system. tically for lhe design earthquake.
For many buildings, ¡he primary mode 01' vibra­
tion in each direclion wilJ have the most influence on Eq. 11-11.7.4.2 Vertical Seismic Forces
the dynamic ampliticalion 01' nonslructural compo­ Whcre the default equalions of Seclion 11.7.3 do
nents. For buildings with primary mode periods not apply, and where speeifically required by Sec­
greater than 1 see, the second or third mode 01' vibra­ tions 11.9, 11.10, and 1 1.11, vertical seismic design
tion may also cause sorne dynamic amplificalion. forces on nonstructural eomponenls shall be de ter­
Equation 11-5c provides a slightly revised form of mined in accordance with Eq. 1 1-6.
Equation 11-5b for use where checking nonstructural
components for Immediate Occupancy Performance F = 0.27ap Sxsl)i-;,
(Eq. 1 J -6)
Level. In Equalion 11-5b, the factor (a) is defined as 1'" Rp
lhe dynamic amplification factor considering reso­ Fp calculated in accordance with Eq. 11-6 need
nance ol' the nonstructural component with one oi' lhe not exceed F p caleulated in accordance wilh Eq. f 1-2
modes of the building. The intent is lo consider this and shall not be less than FIII' (minimum) computed in
dynamic ampliticalion effect for nonslructural compo­ accordance wilh Eq. 11-7.
nenls for Immediate Occupancy Performance Leve!.
Guidelines for considering this efTect are provided FI"Kminimum) 0.2 Sxs1pW1l (Eq. 11-7)
in ¡he Tri-Services Seismic Designfor Buildings, where
TM5-809-10 and Seismic Design Guidelines for
Essential Buildings. TM5-809- 10- 1 (Dept. 01' the FllV component seismic design force applied verti­
Army, Navy, and Air Force 1986). Other approved cally at the center of gravily of [he component
procedures could also be used. It is permissible to use or dislribuled according lo the mass dislribution
the ap factors from Table 11-2. of lhe componen!.
Equation 11-5c also provides a factor Ax, which AlI olher terms in Eqs. 11-6 and 1 J -7 shall be as
represents the floor accelerations. The intent is that a defined in Section 11.7.4.1.
linear dynamic analysis 01' the building be performed
lo determine the actual story accelerations based on
11.7.5 Deformation Analysis
the ground mOlion considered ror a sufficient number
Where nonslruclUral components are anchored by
01' modes of vibration for the range of periods of
connection points at difIeren! levels x amI y on the
vibration of the nonstruclural components to be
same building or struclural system, drifl ralios (DJ)
designed. The modal story accelerations can be com­
shall be calculated in accordance with Eq. 11-8.
bined using standard modal combinalion procedures.
Linear dynamic analysis procedures are considered (Eq. 11-8)

328
 ASCFJSEI41-06

where Relative displacements between component sup­

ports are difficuIt to calculate, even with the use of
Dr = drift ratio;
acceleration time histories, because the maximum
X = height of upper support attachment at level x as
displacement 01' each component support at different
measured from grade; and
levels in the building might not occur at the same time
y height of lower support aUachment at level y as
during the building response.
measured from grade.
Guidelines for these dynamic analyses for non­
structural components are given in Chapter 6 of
Where nonstructural componenls are anchored by Seismic Design Guide/ines for Essential Buildings, a
connection points on separate buildings or slructural supplement to TM5-809-1 0.1 (Dept. 01' the Army,
systems al lhe same level x, relalive displacements Navy, and Air Force 1986).
(Dp ) shalI be calculaled in accordance with Eq. 11-9. These other analytical procedures are considered
Dp = l<5xA l + l<5x8 1 (Eq. 11-9) too complex for the rehabililalion 01' nonessential
building nonstructural components for Immediate
where Occupancy and Life Safety Nonstructural Performance
Dp relative seismic displacement; Levels.
8xA = deflection at building level x of Building A, Recent research (Drake and Bachman 1995)
determined by analysis as detined in Chapter 3; has shown that the analytical procedures in Sec­
8YA = detlection at building level y of Building A, tions 11.7.3 and 11.7.4, which are based on FEMA
determined by analysis as defíned in Chapter 3; 302 (FEMA 1997) analytical procedures, provide an
and upper bound for Ihe seismíc forces on nonstructural
8xB deflection at building level x of Building B, components.
determined by analysís as detined in Chapter 3
or equal lO 0.03 times the height X of level x
aboye grade or as determined using other
approved approximate procedures. 11.8 REHABILlTATION APPROACHES

The effecls of seismic displacements shall be con­ Nonstructural rehabilitation shall be accomplished by
sidered in combination with displacements caused by approved methods based on the classification 01' the
olher loads Ihal are prcsent. nonstructural component and the performance level
desired for the nonstructural component.
11.7.6 Other Procedures 1. For the rehabilitation of nonstructural components
Olher approved procedures shall be permitted to that are acceleration-sensitive for Hazards Reduced
determine the maximum acceleration of the building at or Lífe Safety Performance Levels, the rehabilita­
each component support and the maximum drift ratios tíon approach shall provide for position relention.
or relative displacements between two supports 01' an Position retention shall be defined as províding
individual component. bracing, anchorage, attachment, or other approved
methods to prevent the nonstructural component
Cll.7.6 Other Procedures from becoming dislodged during earthquake
Linear and nonlinear procedures may be used lO shaking.
calculate the maximum acceleration 01' each compo­ 2. The rehabilitation 01' nonstructural components for
nent support and the story drifts of the building, taking Immediate Occupancy Performance Level shall
into account Ihe locatíon of the component ín the provide for position retention. In addition, the reha­
building. Consideratíon 01' the Ilexibílity of the compo­ bilitatíon of mechanical and eleclrical components
nent, and the possíble amplitication of the building shall prevent damage to the components that will
roof and tloor accelerations and displacemenls in the afrect the occupancy of the building.
component, would require the development 01' rool' 3. For the rehabiJitation of nonstructural components
and tloor response spectra or acceleration time histo­ tbat are deformatíon sensitive, the rehabilitation
ries al the nonslructural supporllocations, derived approach shall provide for suft1cient deformation
from the dynamic response of Ihe structurc. If the capabilíty for Ihe nonstruclural components lo
rcsulting floor speclra are less than demands calcu­ allow the nonstructural component to undergo the
lated in accordance with Sections 11.7.3 and 11.7.4, il caJculated deformation while maintaíning position
may be advantageous lo use this procedure. relention.

329
SEISMIC REHABILITATION OF EXISTING BUlLDlNGS

Cll.8 REHABILlTATION APPROACHES the building structure. A suspended ceiling system

might be rehabilitated by Ihe addilion ol' diagonal wire
A general set of alternate methods is available for the bracing and vertical compression Slruts.
rehabilitation 01' nonstructural components. These are
briefly outlined in this section with examples to clari1'y
the intento However, the choice 01' rehabílítation tech­ CII.8.5 Attachment
nique and its design is the responsibility of the design Attachmen! refers 10 methods that are primarily
professional, and use of alternative approaches to mechanical, such as bolting, by which nonstructural
those noted below or otherwise customarily in use is components are attached lo the structure or other
acceptable, provided that it can be shown to the satis­ supporting components. Typical altachments are
faction 01' the building onicial Ihat the acceptance the bolling ol' items of mechanical equipment lo a
criteria are mel. reinforced concrete floor or base. Supports and
For Hazards Reduced and Lite Safely attachments for mechanical and electrical equip­
Performance Levels, most nonstructural componenls ment should be designed according to accepted
Ihat are acceleration-sensitive should be rehabilitated enginecríng principies. The following guidelines
considering position retention. Nonstructural compo­ are recommended:
nenlS thal are drift-sensitive should be rehabililated 10
l. Attachments and supports transferring seismic
allow 1'or imposed deformation. Nonstructural compo­
loads should be conslrucled of materials suitable
nents that are drift-sensilive need not be designed to
for the application, and designed and constructed
prevenl damage lo the nonslructural component or its
in accordance with a nationally recognized
attachments provided Iha! stability of the component is
standard;
maintained. Components tha! are both acceleration­
2. Attachments embedded in concrete should be suit­
sensitive in one direction and drift-sensitive in the
able 1'or cyclic loads;
other direclion should be rehabilitated considering
3. Rod hangers may be considered seismic supports
bolh effects.
if Ihe length of the hanger from the supporling
slructure is 12 in. or less. Rod hangers should not
CII.S.I Replacement
be constructed in a manner that would subject the
Replacement involves the complete removal oí" the
rod 10 bending moments;
component and its connections, and its replacemenl
4. Seismic supporls should be conslrucled so Ihat
by new components (e.g., lhe removal of exterior
support engagement is maintained;
cladding panels, the installation of new connections,
5. Friction clips should not be used for anchorage
and inslaJlation of new panels). As with slructural
auachment;
components, the installation of new nonstructural
6. Expansion anchors should not be used for
components as part of a seismic rehabililation project
mechanical equipment rated over 10 hp, unless
should be !he same as for new construction.
undercul expansion anchors are used;
7. Drilled and grouted-in-place anchors for tensile
CI1.8.2 Strengthening
load applications should use either expansive
Strengthening involves addilions to the compo­
cement or expansive epoxy grout;
nent lo improve its slrength to meet the required force
8. SUppOrlS should be specitically evaluated ir weak­
levels (e.g., additional members might be welded lo a
axis bending of cold-formed support steel is relied
support to prevent buckling).
on for the seismic load path;
9. Components mounted on vibration isolation sys­
Cll.8.3 Repair
tems should have a bumper restraint or snubber in
Repair involves the repair of any damaged parts or
each horizontal direction. The design force should
members of the component lo enable lhe component lo
be taken as 2F/,; and
meet its acceptance críteria (e.g., sorne corroded
10. Oversized washers should be used at bolted con­
atlachments for a precast concrele cladding system
nections through the base sheet metal ir the base
might be repaired and replaced without removing or
is not rei.nforced with stitTeners.
replacing lhe entire panel syslem).
Lighring tixtures resting in a suspended ceiling
Cll.8.4 Bracing grid may be rehabilitaled by adding wires that directly
Bracing involves the addition of members and attach the fixlures to the 1100r aboye, or to [he roof
allachmenls thal brace the componenl inlernally or lo slructure lo prevent their falling.

330
 ASCFJSEI 41-06

11.9 ARCHITECTURAL COMPONENTS: l. Life Safety Nonstructural Performance Level.

DEFINITION, BEHAVIOR, AND ACCEPTANCE Backing shall be adequately anchored to resíst
CRI'I'ERIA seismic forces computed in accordance wilh
Seclion 11.7.3 or 11.7.4. The drift ralio calculated
11.9.1 Exterior Wall Components in accordance with Section 11.7.5 shall be limiled
to 0.02.
11.9.1.1 Adhered Veneer 2. Immediate Occupancy Nonstructural
Performance Leve" Backing shall be adcquately
11.9.1.1.1 Definitíon and Scope Adhered veneer shall auached lo resíst seismic design forces computed in
inelude the following types of exterior finish material s accordance with Section 11.7.4. The drift ralÍo
secured to a backing material, which shall be masonry, computed in accordance wilh Section 11.7.5 shall
concrete, cement plaster, or to a struclural framework be limited lo 0.01.
material byadhesives:
n.9.1.1A Evaluation Requirements Adhered veneer
l. Tile, masonry, slone, lerra coua, or olher similar
shall be evalualed by visual observation and tapping lo
malerials;
discern looseness or cracking.
2. Glass mosaic unils;
3. Ceramic lile; and
4. Exterior plaster (SIUCCO).
e 11.9.1. JA Evaluation Requirements Tapping may
indicate either defeclive bonding lo lhe substrate or
excessive tlexibility of the supporting structure.
C 11.9.1.1.1 Definition and Scope Adhered veneers are
generally thinner malerials, although lhicker veneers
11.9.1.2 Allchored Veneer
(especially masonry, slone, and terra cona) may be
encountered. Although lhe behavior of Ihe thicker 11.9.1.2.1 Definition and Scope Anchored veneer shaJl
veneers is still dominaled by lhe behavior of the sub­ inelude the foJJowing types of masonry or stone units
Slrate, lhe Ihreat lo lite sately due to failure may rise thal are allached lo lhe supporting structure by
significantly for lhicker, heavier veneers. The height of mechanical means:
lhe veneer as well as lhe Iikely size of falling frag­
menls should be considered. 1. Masonry units;
Tile, masonry, stone, terra colta, and similar mate­ 2. Stone units; and
rials are typically less lhan 1 in. thick. Glass mosaic 3. Stone slab units.
i
blocks are lypically 2 in. X 2 in. X in. lhick. The provisions of this section shall apply lo units
that are more Ihan 48 in. aboye the ground or adjacent
11.9.1.1.2 Component Behavior and Rehabilitation exlerior area.
Methods Adhered veneer shall be considered deforma­
tion-sensilive. e11.9.1.2.1 Definition and Scope Masonry units are
Adhered vencer not conforming to the acceptance typically 5 in. or less in thickness. Stone slab unÍls are
criteria of SectÍon 11.9.1.1.3 shall be rehabilítated in lypically 2 in. Of less in thickness.
accordance with Seclion 11.8.
J 1.9.1.2.2 Component Behavior and Rehabilitation
CI 1.9.1.1.2 Component Behaviorand Rehabilita­ Methods Anchored veneer shall be considered both
tion Methods Adhered veneers are predominantly acceleration-sensitive and deformation-sensitive.
deformation-sensitive. Deformalion of the substrate Anchored veneer and connectÍons not conforming
leads lo cracking or separalion of lhe veneer from ílS to the acceplance criteria of Section 11.9.1.2.3 shall be
backing. Poorly adhered vencers may be dislodged by rehabililated in accordance with Section 11.8.
direct acceleration.
Nonconformance requires Iimiting drift, spedal C1 1.9. 1.2.2 Component Behavior and Rehabilitation
detailing lo ¡solate the substrate from the structure to Methods Anchored veneer is both acceleration- and
permit drift, or replacement with drift-toleranl mate­ deformalÍon-sensilive. Heavy units can be dislodged
rial. Poorly adhered vencers should be replaced. by direct out-of-plane acce1eration, which dislorts or
fractures lhe mechanical connections. Special attention
11.9.1.1.3 Acceptance eriteria Acceptance crileria should be paid lo corners and around openings, which
shall be applied in accordance with Section 11.3.2. are likely to experience Jarge deformations. In-plane or

331
SEISMIC REHABILlTATION OF EXISTlNG BUILDlNGS

out-of-plane deformalions of the supporting struclure, held together by mortar and structurally detached from
parlicularly if it is a frame, may similarly aftecl lhe the surrounding structure, shall be rehabililaled in
conneclions, and lhe units may be displaced or dis­ accordance with this section.
lodged by racking. Thick, anchored veneer may pos­
sess significanl in-plane stitl"ness, which can greally 11.9.1.3.2 Component Behavior and Rehabilitation
amplify the demands placed on the connections if the Methods Olass block uníts and other nonstructural
supporting structure racks. masonry shall be considered both acceleration- and
Drift analysis is necessary lO establish confor­ deformation-sensitive.
manee with dri1't acceplance criteria related lo per­ Rehabilitation of individual walls less than 144 s1'
formance leve!. The dri1't analysis should consider the or 15 ft in any dimension using Prescriptive
conslruction and behavior of lhe veneer and its back­ Procedures based on Section 2110 of the ICC (2003)
ing to assess the individual parls of lhe nonstructural shall be permitted. For walls larger than 144 sí' or 15ft
componenl that are required to deform in order to in any dimension, the Analytical Procedure shall be
accommodate lhe required drift. These parls of the used.
nonstruClural component should be checked for their Olass block unÍts and other nonstructural masonry
capabilily to allow for lhe calculaled deformalÍon of not con1'orming with lhe requirements 01' Sec­
lhe slructure. Noncon1'ormance requires Iimiling slruc­ tion 11.9.1.3.3 shall be rehabilitated in accordance
luml drift, or special delailing to isolate lhe subslrate with Section 11.8.
from lhe struclure to permit drift. De1'ective connec­
lions must be replaced.
Cl 1.9.1.3.2 Component Behavior and Rehabilitation
11.9.1.2.3 Acceptance Criteria Acceplance criteria Methods Olass block and nonstructural masonry are
shall be applied in accordance with Section II.:U. bOlh acceleration- and deformation-sensitive. Failure
in-plane generally occurs by deformation in the sur­
l. Life Safety Nonstructnral Performance Level. rounding struclure that results in unit cracking and dis­
Backing shall be adequately anchored to resist placement along lhe cracks. Failure oUl-of-plane takes
seismic forces computed in accordance with lhe form of dislodgmenl or collapse caused by direct
Seclion 11.7.3 or 11.7.4. The drin ratio calculated acceleration.
in accordance wilh Section 11.7.5 shall be Iimiled Nonconformance with deformation critcria
lo 0.02. requires Iimiting structural drifl, or special detailing to
2. Immediate Occupancy Nonstructural isolate lhe glass block wall from the surrounding
Performance Level. Backing shall be adequately structure to permil the required drift. The drift analysis
auached lo resist seismic design forces compuled in should consider the construction and behavioe of the
accordance wilh Seclion 11.7.4. The drift ralio veneer and its backing lo assess lhe individual parts of
compuled in accoedance with Section 11.7.5 shall the nonstructural component that are rcquircd to
be Jimited lo 0.0 l. deform in order to accommodate the required drift.
These parts of the nonstruclural componenl should be
C1 1.9.1.2.3 Acceptance Criteria As an alternative lO
checked foe their capability to allow for lhe calculaled
Ihe dri1't limils in Section 11.9.1.2.3, the nonstructural
deformation 01' the structure. Su1'ficient reintorcing
component and its backing can be shown by approved
must be provided to deal with out-of-plane torces.
testing or analysis lo meel the intended performance
Large walls may need lo be subdivided by additional
level for lhe calculated drift.
structural supports into smal1er areas that can meet lhe
11.9.1.2.4 Evaluation Requirements Stone unils shall drift or torce criteria.
have adequale slability, joint delailing, and mainte­
nance [O prevenl moisture penetmtion from weather 11.9.1.3.3 Acceptance Criteria Acceptance criteria
that could destroy the anchoes. The anchoes shall be shall be applied in accordance with Section 11.3.2.
visually ínspected and tested to determine capacity if
1. Life Safety Nonstructural Performance LeveI.
any signs 01' deterioration are visible.
Olass block and olher nonstructural masonry walls
11.9.1.3 Glass Block Unus and Other Nonstructural and their enclosing framing, shall be capable of
Masollry resisting both in-plane and out-of-plane forces
computed in accordance with Section 11.7.3 or
1/.9. /.3.1 Definition and Scope Olass block and other 11.7.4, or shall meet lhe requirements 01' the
units lhat are self-supporling for static vertical loads, Prescríptive Procedure if permitted. The drift ratio

332
 ASCElSEI 4 J-06

calculaled in accordance with Section 11.7.5 shall wilh a slotted or oversize hole. Drift can also be
be IimÍled to 0.02. accommodated by deformation of the connections.
2. Immediate Occupancy Nonstructural Excessive deformalion 01' the supporting structure­
Performance Level. Glass block and olher non­ most likely if il is a frame-may result in the panel s
structural masonry walls and lheir encIosing fram­ imposing exlernal racking forces on one another and
ing shall be capable of resisting both in-plane and distorling or fracturing their connections, wÍlh conse­
out-of-plane torces computed in accordance wilh quenl displacement or dislodgment.
Sectíon 11.7.4. The drifl ralio calculated in accor­ Drift analysis is necessary lo eSlablish confor­
dance with Section 1l.7.5 shall be Iimited lo 0.01. manee wilh drífl acceptance criteria related to ¡he
Nonslructural Performance Leve!. The drift analysis
11.9.1.3.4 Evaluation Requirements Glass block units should consider the construction and behavior 01' lhe
and other nonslructural masonry shall be evaluated panel and its conneclÍons lo assess Ihe individual parts
based on lhe criteria of Seclion 2110 01' the ICC of the nonstructuraJ component thal are required to
(2003). deform in order to accommodate the required drift.
Nonconformance requires limiting structural drin,
or special delailing lo isolale pancls fmm lhe structure
11.9.1.4 Prefabricated Panels to permit lhe required drifl; this generally requires
panel remo val. Defective connections must be replaced.
11.9.1.4.1 Definition and Scope The following Iypes
of pre1'abricaled panels designed to resist wind, seis­ 1/.9./.4.3 Acceptance Criteria Acceptance criteria
mic, and other applied forces shall be rehabilitated in shall be applied in accordance with Seclion 11.3.2.
accordance wilh this section:
l. Life Safety Nonstructural Performance Leve"
l. Precast concrete, and concrete panels with facing Prefabricaled panel s and connections shall be capa­
(generally stone) laminated or mechanically ble of resisting in-plane and oUI-of-plane forces
auached; computed in accordance with Section 11.7.3 or
2. Laminated metal-faced insulated panels; and 11.7.4. The drift ratio computed in accordance with
3. Steel strong-back panels with insulated, water­ SeclÍon 11.7.5 shall be limiled to 0.02.
resistanl facing, or mechal1icalIy auached melal or 2. lmmediate Occupancy Nonstructural
slOne facing. Performance Level. Prefabricated panels and con­
nections shall be capable of resisling in-plane and
Cll.9.1.4.1 Definition and Scope Prefabricated panels out-of-plane forces computed in accordance with
are generally allached at discreet locations around Section 11.7.4. The drift ratio computed in accor­
their perimelers lo lhe slructural framing wilh mechan­ dance with Seclíon 11.7.5 shall be limited to 0.01.
ical conneclions.
/ /.9.1.4.4 Evaluation Requirements Conneclions shall
11.9.1.4.2 Component Behavior and Rehabilitatíon be visually inspected and lested lo determine capacity
Methods Prefabricated panels shall be considered bOlh if any signs 01' delerioration or displacemenl are visible.
acceleration- and deformation-sensilive.
Prefabricaled panels not conforming lo lhe accep­ 11. 9. 1.5 GÚlzed Exterior Wall Syslems
tance crileria of Section 11.9.1.4.3 shall be rehabili­
tated in accordance with Section ] 1.8. J1.9.1.5.1 Definition and Scope Glazed exterior waIl
syslems shall inelude Ihe tollowing types 01' assemblies:
C 11.9./.4.2 Componen! Behavior ami Rehabilitation l. Glazed curtain wall systems thal exlend beyond lhe
MetllOds Lightweight panels may be damaged by edges of struclural t100r slabs, and are assembled
racking; heavy panel s may be disJodged by dírecl from prefabricated units (e.g., "unitized" curtain
accderation, which dis[orls or fractures Ihe mechani­ wall systems) oc assembled on site (e.g., "s tick"
cal conneclions. The imposed in-plane and oul-of­ curtain wall systems);
plane deformations are generalIy accommodated by 2. Glazed storefront systems thal are instaUed
lhe conneclions and nol by the prefabricated panels. belween structural tloor slabs and are prefabricated
These conneclions need lo be checked for lhe delailing or assembled on site; and
to accommodate the required drift. This is generally 3. Slructural silicone glazing in which silicone sealant
accomplished by a conneclion delailed 10 allow slidil1g is used for the slructural transfer 01' loads from Lhe

333
SElSMIC REHABlLlTATION OF EXISTING BUILDlNGS

glass to its perimeler support syslem and for the Drift analysis and tesling 01' compliance with
retention of the glass in the opening. prescriptive procedures are necessary lO eSlablish
conformance Wilh drift acceptance crileria relaled to
CI/.9.1.5.1 Definitíon and Seope The following types performance leve!. Nonconformance requires limiling
of glass are used within each of the glazed exterior struclural drift, or special delailing lo isolale the
wall syslems: glazing syslem from lhe strucLUre lO accommodate
drin, or seleclÍon ol' a glass lype that will shaller
l. Annealed glass; safely or remain in lhe frame when shaltered. This
2. Heal-slrengthened glass; would requil'e removal of lhe glass or glazed wall
3. Fully lempered glass; system and replacemenl with an alternalive designo
4. Laminated glass; and
5. Sealed insulaling glass units. /1.9.1.5.3 Aeeeptanee Criteria Acceptance crilcria
The use of sorne of lhese glass lypes is regulated shall be applied in accordance wilh Section 11.3.2.
in building codeso l. Life Safety Nonstructural Performance Level.
There are lwo glazing methods for installing glass Glazed exterior wall systems and lheir supporting
in glazed curtain wall and glazed storefront systems: struclure shall be capable 01' resisling scismic
1. Wet glazing, which can utilize three lypeS of design forces computed in accordanee wilh Sec­
malerials: tion 11.7.3 or 11.7.4. Glass components meeting
1.1 Pre-formed lape; any of lhe following criteria need nol be I'ehabili­
1.2 Gunable elastomerÍc sealants: tated 1'01' Ihe Hazards Reduced or Life Safely
1.2.1. Non-curing; and Nonstructural Performance Leve!:
1.2.2. Curing; 1.1. Any glass component with sufficient c1earanee
1.3 PUtly and glazing compounds; and fmm the n'ame such lhat physical contact
2. Dry glazing, which utilizes extruded rubber gaskels between Ihe glass and lhe frame will not occur
as one or both of lhe glazing seals. al the rclative seismic displacemcnt lhal lhe
componenl must be designed to accommodale,
as demonslratcd by Eq. 11-10.
11.9.1.5.2 Component Behavior and Rehabilitation
Methods Glazed exterior wall syslems shall be consid­ (Eq. 11-10)
ered both deformation- and acceleration-sensitive.
where
Glazed exterior wall syslems nol conforming lo
the acceptance criteria ol' Section 11.9.1.5.3 shall be
rehabilitated in accordance wilh Seclion 11.8.

hl' height of rectangular glass;

CI /.9.1.5.2 Component Behavior and Rehabilitation
bl' widlh 01' rectangular glass;
=
Methods Glazed exterior wall systems are predomi­
e, = clearance (gap) between vertical glass
nanlly deJ'ormation-sensilive bul may also become dis­
edges and the frame;
placed 01' detached by large acceleration forces. Glass
el = clearance (gap) between horizontal glass
componenls wilhin glazed exterior wall syslems are
edges and Ihe frame; and
deformalion-sensilive. Glass performance during
D,> reJalive seismic displacement thalthe
earthquakes, which is a function of lhe wall system
componenl must be designed lo accom­
lype, glazing lype, and glass type, falls into one of
modate. D" shall be dctermined by
four categories:
Eq. 11-9 over the height of the glass
l. Glass remains unbroken in its frame or anchorage; component under consideration.
2. Glass shalters but remains in its frame or anchorage 1.2. Fully tempered monolilhic glass lhal is localed
while continuing lo provide a weatI1er barrier, and no more than 10 ft aboye a walking surface;
remains olherwise servíceable; 1.3. Annealcd or heat-strengthened laminated glass
3. Glass shaUers and remains in its frame or anchor­ in single Ihickness wilh inlerlayer no less than
age in a precarious condilion, liable lo fall out at 0.03 in. Ihat is captured mechanically in a wall
any lime; or systcm glazing pocket, and whose perimeter is
4. Glass falls out of its frame 01' anchorage, either in securcd to the wall syslem frame by a wet­
fragments, shards, or whole panels. glazed perimeter bcad of !-in. minimum glass

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 ASeE/SEI 41-06

contact widlh, or other approved anchorage frame contact in a given rectangular window frame.
system; Both equations are based on the principie that a
1.4. Any glass component that meets Ihe relative reclangular window frame (specitically one Ihal is
displacement requirement of Eq. 11-11. anchored mechanically to adjacent stories ol' Ihe
primary slruclural system of Ihe building) becomes a
AJall"., 2:: 1.25Dp (Eq. 11-11)
parallelogram as a result ol' slory drift, and Ihat glass­
or 0.5 in., whichever is greater, to-l'rame contact occurs when the length of lhe shorter
diagonal of the parallelogram is equal to the diagonal
where
of the glass panel ¡tself.
Dp relative seismic displacemenl that The 1.25 factor in Eqs. 11-11 and 11-12 reUect
the componenl must be designed lo uncertainties associated with calculated inelastic seis­
accommodate; and mic displacements in building slructures. Wright
Djalkl.' = relative seismic displacemenl (drift) (1989) stated Ihat "[P]osl-elastic deformations calcu­
causing glass fallout from the curtain lated using the structural analysis process may well
wall, storefront, or parlition, as underestímate the actual building deformalion by up to
determined in accordance wilh an 30%. It would therefore be reasonable to require Ihe
approved engineering analysis curtain wall glazing system to withstand 1.25 times
melhod; the computed maximum story displacemenl to veril'y
adequate performance." Wright's comments form the
2. Immediate Occupancy Nonstruclural
basis for using the 1.25 factor.
PeñormaDce Level. Glazed exterior wall systems
and their supporting structure shall be capable of
1/.9. /.5.4 Evaluation Requirements To establish com­
resisting seismic design forces computed in accor­
pliance with criteria 1.1, 1.2, 1.3,2.1, or 2.2 in
dance with Section 11.7.4. Glass components
11.9.1.5.3, glazed exterior wall systems shall be evalu­
meeting any of the following criteria need nol be
ated visually to determine glass type, support details,
rehabililaled for performance levels higher than the
mullion configuration, sealant type, and anchors. To
Life Safety Nonstructural Performance Level: establish compliance with criteria lA or 2.3, an
2.1. Any glass componenl wilh sufficienl elearance
approved analysis shall be used.
from the frame such that physical contacl
between the glass and the frame wiIJ nol occur el 1.9./.5.4 Evaluation Requirements Alternatively, to
at Ihe relative seismic displacement tha! Ihe establish compliance with criteria lA or 2.3, glazed
componenl must be designed to accommodale, exterior wall systems may be tested in accordance
as demonslrated by Eq. 11-10; with AAMA 501.4 (AAMA 2000).
2.2. Annealed or heat-slrengthened laminaled glass
in single Ihickness with inlerlayer no less than 11.9.2 PartitioDS
0.03 in. Ihal is captured mechanicaJly in a wall
system glazing pockel, and whose perimeter is 11.9.2.1 Definition and Scope
secured to Ihe wall system frame by a wet­ Partitions shall include vertical non-load-bearing
glazed perimeter bead of 4-in. minimum glass interior components that provide space division.
contact width, or other approved anchorage Heavy partitions shall inelude partitions con­
system; and structed of masonry materials or assemblies.
2.3. Any glass component that meets Ihe relalive Light partitions shall inelude partitions con­
displacement requirement of Eq. 11-12. structed of metal or wood studs surfaced with lath and
AJallo., 2:: l.5 X 1.25Dp (Eq. 11-12) pi aster, gypsum board, wood, or other facing materials.

or 0.5 in., whichever is greater. /1.9.2./.1 Evaluation Requirements Glazed partilions

that span rrom floor lo ceiling or to the underside of
el 1.9.1.5.3 Acceptance eriteria One method of de ter­ tloor or roof aboye shall be rehabilitaled in accordance
mining Afallolll' which is used in Eq. 11-11, is to use wilh Section 11.9.1.5.
AAMA 501.4 (AAMA 2000).
Del,al in Eq. 11-10 is derived [rom a similar equa­ Cll.9.2.1 Defmition and Scope
tion in Bouwkamp and Meehan (1960) Ihat permits Heavy partitions inelude hollow elay lile or con­
caJculation of the slory drift required to cause glass-to­ crete block. Only non-Ioad-bearing partitions are

335
SEISMIC REHABILlTATION OF EXISTING BUILDINGS

considered in this section. Structural partitions includ­ 2. Light Partitions. Nonstructurallight partitions
ing heavy masonry partitions shall be rehabilitated in need nol be rehabilitated 1'or lhe Life Safely
accordance with Chapter 7. Nonstructural Performance Leve!.
Partitions may span laterally from the tloor to the
underside of the tloor or the roof aboye, with connec­ 11.9.2.3.2 Immediate Occupancy Nonstructural
tions at the top that may or may not allow for isolation Peiformance Level
from in-plane drift. Other partitions extend only up lo
l. Heavy Partitions. Nonstructural heavy partitions
a hung ceiling, and may or may not have lateral brac­
shall be capable 01' resisting out-of-plane forces
ing aboye that level to Slructural support, or may be
computed in accordance with Section 11.7.4. The
free-standing.
drift ratio computed in accordance with Sec­
Modular office furnishings that inelude movable
tion 11.7.5 shall be límited 10 0.005.
partitíons are considered as COnlenls rather than parti­
2. Light Partitions. Nonstructurallight partitions
tions, and as such are not within the scope of this
shall be capable 01' resisting the out-of-plane forces
standard.
computed in accordance with Section 11.7.4. The
drift ratio computed in accordance with Sec­
11.9.2.2 Component Behavior and
tion 11.7.5 shall be Iimited to 0.01.
Rehabilitation Methods
Partitions shall be considered both acceleration­
11.9.2.4 Evaluation Requirements
and deformation-sensitive.
Partitions shall be evaluated to ascertain the type
Partitions nOl meeting the acceptance criteria of
01' material.
Section J 1.9.2.3 shall be rehabilitated in accordance
with Section 1 1.8.
C 11.9.2.4 Evaluation Reqrtirements
For concrete block partitions, presence 01' rein­
Cll.9.2.2 Component Behavior and
1'orcing and connecLion conditions al edges are impor­
Rehabilitation Methods
tanto For Iight partitions, bracing or anchoring 01' the
Partitions auached to the structural tloors both
top of the partilions is important.
aboye and below, and loaded in-plane, can experience
shear cracking, distortion and fracture of the partition
11.9.3 Interior Veneers
framing, and detachment of the surface tinish because
of slructural deformations. Similar partitions loaded
11.9.3.1 Defillition and Seope
out-of-plane can experience flexural cracking, failure
Interior veneers shall inelude decorative-tinish
of connections to structure, and coltapse. The high
material s applied to interior walls and partitions. These
incidence of unsupported block partílions in low and
provisions 01' lhis section shall apply to veneers
moderate seismic levels represents a signiticant col­
mounted 4 ft or more aboye the floor.
lapse threat.
Panítions subject to deformations from the struc­
11.9.3.2 Component BeJ,avior alld
ture can be protected by providing a continuous gap
Rehabilitation MetJwds
between the partilion and the surrounding structure,
Interior veneers shall be considered deformation­
combined wilh aHachment that provides for in-plane
sensitive.
movement but out-of-plane reslraint. Lightweight par­
Interior veneers not conforming lO the acceptance
titions that are not part of a fire-resistive system are
criteria of Section 11.9.3.3 shall be rehabilitated in
regarded as replaceable.
accordance with Section 11.8.
11.9.2.3 Aeeeptanee Criteria
Cll.9.3.2 Component Behavior ami
Acceptance criteria shall be applied in accordance
Rehabilitatioll Methods
with Section 11.3.2.
Interior vcneers typically experience in-plane
cracking and detachment, bUI may also be displaced or
11.9.2.3.1 Lije Safety Nonstructural Performance Level
detached out-of-plane by direct acceleration. Interior
l. Heavy Partitions. Nonstructural heavy partitions partitions loaded out-of-plane and supported on Ilexi­
shall be capable of resisting out-of-plane forces ble backup support systems can expcrience cracking
computed in accordance with Section 11.7.3 or and detachment.
J 1.7.4. The drifl ratio computed in accordance with Drin analysis is necessary to eslablish confor­
Section 11.7.5 shall be limited 10 0.01. manee with drift acceptance criteria relaled to the

336
 ASCE/SEI41-06

Nonstructural Performance Level. Nonconformance Sorne older buildings have heavy decoratÍve ceil­
requires limiting struclural drift, or special detailing lo ings 01' molded plaster, which may be direetly attached
isolate Ihe veneer supporl system from ¡he struclure lo to Ihe structure or suspended; these are typically
permil drifl; this generally requires disassembly of the Calegory a or Category c ceilíngs.
support system and veneer replacement. Inadequately
adhered veneer musl be replaced. 11.9.4.2 Component Behavior and
Rehabilitation Methods
11.9.3.3 Accep/ance Criteria Ceiling systems shall be considered bolh accelera­
Acceptance criteria shall be applied in accordance tion- and deforrnation-sensitive.
with Seclion 11.3.2. Ceilings nol conforming lo the acceptance criteria
of Section 11.9.4.3 shall be rehabilitated in accordance
n.9.3.3.1 Life Safety Nonstructural Performance with Section 11.8.
Level Backing shall be adequately attached lo resísl Where rehabilitation is required for ceilings in
seismic design forces computed in accordance with Category a or b, lhey shall be strengthened lO resíst
Seclion 11.7.3 or 11.7.4. The drift ratio computed in seismic design forces computed in accordance with
accordance with SeelÍon 11.7.5 shall be lirnited to 0.02. Seclion 11.7.3 or 11.7.4. Where rehabilitation is
required for ceilings in Calegory d, they shall be reha­
11.9.3.3.21mmediate Occupancy Nonstructural bilitated by the Prescriptive Procedure of Section 11.2.
Performance Level Backing shall be adequately
attached lo resist seismic design forces computed in Cll.9.4.2 Component Behavior and
accordance with Section 11.7.4. The dríft ratio com­ Rehabilita/ion MetllOds
pUled in accordance Wilh Seetion 11.7.5 shall be lim­ Surface-applied or furred ceilings are primarily
iled lO 0.01. intluenced by lhe performance of their supports.
Rehabilitation of the ceiling takes the form 01' ensuring
11.9.3.4 Evalua/ion Requirements good attachment and adhesion. Metal lath and plaster
Backup walls or other supporls and the auach­ ceilings depend on their attachment and bracing for
ments to that support shall be evalualed, as well as the large ceiling areas. Analysis is neeessary lo establish
condition of the veneer itself. the acceleration forces and deforrnations that must be
accommodated. Suspended integrated ceilings are
11.9.4 Ceilings highly susceptible lo damage if not braced, causing
distorlion of grid and loss 01' panels; however, this is
11.9.4.1 Definition and Scope nol regarded as a Jife safety threat with lightweight
Ceilings shall be categorized as one of the follow­ panels (Iess than 2 Ibs/st).
ing types: Rehabilitation lakes the form of bracing, attach­
l. Category a. Surface-applied or furred with materi­ ment, and edge details designed to prescriplive design
als that are applied direetly to wood joists, concrete standards such as Recommendations for Direct-Hung
slabs, or steel decking with meehanical fasteners or Acoustical and Lay-in Panel Ceilings, Seismic
adhesives; Zones 0-2 (CISCA 1991) for seismic levels O through
2. Category b. Shorl-dropped gypsum board sections 2 and in Recommendations for Direct-Hung Acoustical
(Iess than 2-ft drop) auached lo wood or metal fur­ and Lay-in Panel Ceilings, Seismic Zones 3-4 (CISCA
ring supported by carrier members; 1990) 1'or seismic levels 3 and 4.
3. Category c. Dropped gypsum board sections
greater than 2 ft and suspended metal lath and plas­ 11.9.4.3 Acceptance CriterÚl
ter; or Acceptance criteria shaIl be applied in accordance
4. Category d. Suspended acoustical board inserted with Seclion 1] .3.2.
within T-bars, together with lighting fixtures and
mechanical items, to form an integrated ceiling 11.9.4.3.1 Life Safety Nonstructural Pelformance
system. Level Ceilings in Categories a, b, oc d need nol be
rehabilitated for the Life Safety Performance Level
Cll.9.4.1 Definí/ion and Scope except as noted in the 1'ootnotes to Table 11-1.
Furring materials inelude wood or metal 1'urring Ceilings in Category c shall be capable of accommo­
acoustical lile, gypsum board, plaster, or metal panel dating the relative displacement computed in accor­
ceiling materials. dance with Section 11.7.3 or 11.7.4.

337
SEISMIC REHABILlTATION OF EXISTING BUILDlNGS

J1.9.4.3.2 lmmediate Occupancy Nonstructural ~ .

Performance Level Ceilings in category a or b shaJl be
capable 01' resisting seismic design forces computed in
accordance with Section I t .7.4. Ceilings in category c
shall be capable 01' accommodating the relative
------.
displacement computed in accordance with Sec­
tion 11.7.5. Ceilings in category d shall be rehabili­
tated by the Prescriptive Procedure of Section 11.7.2.
'\.
~
11.9.4.4 Evalllation Reqllirements
The condition of the ceiling finish material, ils
attachment lo the ceiling support system, the attach­
/
ment and bracing ol' the ceiling support system to the
structure, and the potential seismic impacts of other
nonstructural systems on the ceiJing system shall be
evaluated. FIGURE 11-1. Parapet Aspect Ratio.

11.9.5 Parapets and Appendages 11.9.5.2 Component Beltavior and

Reltabilitation Metltods
11.9.5.1 Definition and Scope Parapets and appendages shall be considered
Parapets and appendages shall ¡nelude exterior acceleration-sensitive in the out-of-plane direction.
nonstructural features Ihat projecI aboye or away from Parapets and appendages not conl'orming lo the
the building. They shall inelude sculptures and orna­ requirements ol' Section 11.9.5.3 shaJl be rehabililated
mental features in addition lo concrele, masonry, or in accordance wilh Seclion 11.8.
terra cotta parapels. The following parapets and
appendages shall be rehabilitated in accordance with Cll.9.5.2 Component Beltavior and
this section: Rehabilitation Methods
l. Unreinforced masonry parapets with an aspect ratio Malerials or components thal are nol properly
greater than 1.5; braced may become disengaged and topple; the results
2. Rcinforced masonry or reinforced concrete parapets are among the most seismically serious consequences
with an aspect ratio greater than 3.0; of any nonstructural components.
3. Cornices or ledges constructed of stone, terra cOlla, Prescriplive design slrategies l'or masonry para­
or brick, unless supported by a steel or reinforced pels nol exceeding 4 ft in height consist of bracing in
concrete struclure; and accordance wilh the concepls shown in FEMA 74
4. Sculptures and ornamental features constructed of (FEMA 1994) and FEMA 172 (FEMA 1992), with
stone, terra cotta, masonry, or concrete with an detailing to conform lo accepted engineering practice.
aspect ratio greater Ihan 1.5. Braces for parapets should be spaced al a maximum of
8 ft on cenler and, where the parapel construction is
The aspecI ratio of parapels and appendages shall discontinuous, a continuous backing component
be defined as the height of the component aboye the should be provided. Where there is no adequate con­
level of anchorage (h) divided by the width of the neclion, roof conslruclion should be tied to parapet
component (d) as shown in Figure 11 l. For horizontal walls al the rool' leve!. Other parapels and appendages
projecting appendages, the aspect ratio shall be should be analyzed for acceleration torces, and braced
defined as the ratio 01' Ihe horizontal projection beyond and connected accordíng lo accepted engineering
the vertical support 01' the building to the perpendicu­ principies.
lar dimensiono
11.9.5.3 Acceptance Críteria
Cll.9.5.1 Defmítion and Scope Acceptance criLeria shall be applied in accordance
Other appendages, such as tlagpoles and signs with Seclion 11.3.2.
Ihat are similar to the aboye in size, weight, or poten­
LÍal consequence 01' failure may be rehabilitated in 11.9.5.3. J Life Safety Nonstructural Perfomwnce
accordance with this section. Level Parapels and appendages exceeding Ihe aspecl

338
 ASeE/SEI 41-06

ratios from Seetion 1 J .9.5.1 shall be capable of resist­ resisting both horizontal and vertical seismic design
ing seismic forces compuled in aeeordance wilh forces computed in aceordance with Section 11.7.3
Section 11.7.4. or 11.7.4.

11.9.5.3.2 1mmediate Occupancy Nonstructural 11.9.6.3.2 lmmediate Occupancy Nonstructural

Performance Level Parapets and appendages shall be Performance Level Canopíes and marquees shall be
capable of resisting seismic forces compuled in accor­ capable of resisting bOlh horizontal and venical seis­
dance with Section 1J .7.4. míe desígn forees eompuled in aeeordanee with
Seclion 11.7.4.
11.9.5.4 Evaluation Requiremellts
The condition of mortar and masonry, conneclion 11.9.6.4 Evaluation Requirements
to supports, typc and stabiJily of Ihe supporting struc­ Buckling in bracing, connection lo supports, and
ture, and horizontal continuity 01' the parapcl coping, Iypc and slability of lhe supporling struelure shall be
shall be considered in Ihe evaluatíon. considered in the evaluation.

11.9.6 Canopies and Marquees

11.9.7 Chimneys and Stacks
11.9.6.1 Defmitioll and Scope
11.9.7.1 Definition and Scope
Cano pies shall inelude projcctíons from an exte­ Chimneys and stacks Ihat are eanlilevered aboye
rior waIl thal are extensions of Ihe horizontal building building roofs shall be rehabilitaled in aecordanee with
slructure or independent structures Ihal are lied to the
Ihis section. Líght melal residemial chimneys need nol
building. Marquees shall inelude free-standing struc­
comply with the provisions of this documenl.
tures. Can vas or other fabric projeclions need nol be
rehabilitaled in accordance with this section.
11.9.7.2 Componmt Behavior and
RelUlbilitation Methods
Cll. 9. 6. 1 Definition and Scope
Chimneys and slacks shall be eonsidered
Canopies and marquees are generally used to pro­
aeeeleralion-sensitive.
vide weather protection.
Chimneys and slacks nol eonfonning lo Ihe
Marquees are often construcled of metal or glass.
aeceplanee erileria of Section 11.9.7.3 shall be
rehabilÍlaled in aecordanee wilh Section 11.8.
11.9.6.2 Component Behavior and
RelUlbilitatioll Methods
Canopies and marquees shall be considered C11.9.7.2 Component Behaviorand
acceleration-sensitíve. Rehabilitation Methods
Canopies and marquees not conforming lo the Chimneys and stacks may faíl through tlexure,
acceptanee criteria 01' Seclion 11.9.6.3 shall be shear, or overlurning. They may also disengage from
rehabilitaled in aeeordance wilh SeelÍon 11.8. adjoining tloor or roof slructures and damage Ihem,
and Iheir eollapse or overturning may also damage
C11.9.6.2 Component Behavior and adjoining struclures. Rehabilitation may take the form
Rehabilitation Methods of strenglhening andlor bracing and material repair.
The variely of design 01' canopies and marquees IS Residential chimneys may be braeed in accordance
so greal Ihat they musl be independently analyzed and with the coneepts shown in FEMA 74 (FEMA 1994).
evalualed for Iheir abilily lo withsland seismic forees.
Rehabilitation may lake the form of improving auaeh­ 11.9.7.3 Acceptallce Criterio
menl 10 lhe building slruclure, slrengthening, braeing, Aeceplanee eriteria shall be applied in accordanee
01' a combinalion of measures. with Seclion 11.3.2.

11.9.6.3 Acceptance Criterio /1.9.7.3.1 Life Safety NOllstructural Performance

Aeeeplanee criteria shall be applíed in aecordance Level Chimneys and slacks shall be capable 01' resist­
with Seclion 11.3.2. ing seismÍc forees eomputed in accordanee with
Seclion 11.7.3 or 11.7.4. Residential chimneys shall be
1 l. 9.6.3. 1 Lije SaJety Nonstructural Performance pennilled lo meel the prescriptive requirements of
Level Canopies and marquees shall be eapable of Section 11.7.2.

339
SEISMIC REHABILITATlON OF EXISTING BUlLDlNGS

11.9.7.3.2 Immediate Occupancy Nonstructural details LO eliminate or reduce interaction between

Peljormance Level Chimneys and stacks shall be capa­ stairs and the building structure.
ble 01' resisring seismic forces compured in accordance Rehabilitation of enc10sing walls or glazing
wilh Secrion 11.7.4. Residential chimneys shall be should follow the requirements 01' the relevant sections
permiued lo meel the prescriptive requirements 01' oí' this document.
Section 11.7.2.
11.9.8.3 Acceptallce Criterio
11.9.7.4 Evaluation Requirements Acceptance criteria sha\l be applied in accordance
The condition of the morlar and masonry, connec­ with Section 11.3.2.
tion to adjacent structure, and type and stability of
foundations shall be considered in the evaluation. //.9.8.3./ Lije Safety Nonstructural Peiformance
Concrete shall be evaluated for spalling and Level Stairs shaH be capable 01' resisling the seismic
exposed reinforcement. Steel shall be evaluated for design forces computed in accordance with Sec­
corrosion. tion 11.7.3 or 11.7.4 and shall be capable ol' accom­
modating the expected relative displacement computed
in accordance with Section 11.7.5.
11.9.8 Stairs and Stair Enclosures
J/.9.8.3.2 Immediate Occupancy Nonstnlctural
11.9.8.1 Definition and Scope
Performance Level Stairs shall be capable 01' resisting
Stairs shall include (he lreads, risers. and landings
the seismic design forces compuled in accordance with
that make up passageways between 11oors, as well
Section 11.7.4 and shall be capable 01' accommodating
as the surrounding shafts, doors, windows, and tire­
the expected relative displacement compuled in accor­
resistant assemblies that constitute the stair enc\osure.
dance with Section 11.7.5.

11.9.8.2 Component Behavior and 11.9.8.4 Evaluation Requirements

Rehabilitation Methods The materials and condition 01' stair members and
Each 01' the separate components of the stairs their connections to supports, and the types and stabil­
shalJ be defined as either acceleration- or deformation­ ity 01' supporting and adjacent walls, windows, and
sensitive depending on the predominant behavior. other portions of ¡he stair shaft system shall be consid­
Components of stairs that are attached to adjacenl ered in the evaluation.
tloors or tloor framing shall be considered deformation­
sensitive. AII other stair components shall be consid­
ered acceleration-sensitive. 11.10 MECHANICAL, ELECTRICAL, AND
Stairs not con1'orming lO the acceptance criteria 01' PLUMBING COMPONENTS: DEJ<'INITION,
SectÍon 11.9.8.3 shall be rehabilirated in accordance BEHAVIOR, AND ACCEPTANCE CRITERIA
with Section 11.8.
11.10.1 Mechanical Equipment
C 11.9.8.2 Componellt Behavior alld
11.10.1.1 DefillUion and Scope
Rehabilitatioll Methods
Equipment used roe the operation 01' the building,
The stairs themselves may be independent of the
and that meets one or more 01' the following criteria
structure or integral with the structure. 11' integral, they
shall be rehabilitated in accordance with this section:
should form part 01' the overall structuraJ evaluation
and analysis, with particular altention paid to the pos­ 1. AH equipment weighing over 400 lbs;
sibility 01' response moditication due lO localized stiff­ 2. Unanchored equipme11l weighing over 100 lbs that
ness. U independent, the stairs must be evaluated tor does not have a factor of safety against overturning
normal stair loads and their ability to withstand direct of 1.5 or greater where design loads, ca1culated in
acceleralion or loads transmiUed from the structure accordance with Section 11.7.3 oc 11.7.4, are
through connections. applied;
Stair enclosure materials may 1'all and render the 3. Equipment weighing over 20 lbs that is attached lo
stairs unusable due to debris. ceiling, waIJ, or other support more than 4 ft aboye
Rehabilitation of integral oe independent stairs the tloor; and
may take the form of necessary structuraI strengthen­ 4. Building operation equipment inc1uding:
ing or bracing, or the introduction of connection 4.1. Boilers and furnaces;

340
 ASCFlSEI41-06

4.2. Conveyors (nonpersonnel); attached to a vertical structure or suspended, and fail­

4.3. HVAC system equipment, vibration-isolated; ure of piping or electrical wiring connected to the
4.4. HVAC system equipment, non-vibration­ equipment
isolated; and Conslructíon of meehanical equipmenl to nation­
4.5. HVAC system equipment mounted in-Jine with ally recognized codes and slandards, such as those
ductwork. approved by the American National Standards Institute
(ANSI), provides adequale slrenglh lO accommodate
CH. 10. 1.1 Definí/ion and Scope all normal and upset operatíng loads.
Equipment such as manufacturing or processing For posidon retention, basic rehabilitation consisls
equipment related to the occupanl's business should of securely anchoring tloor-mounted equipment by
be evalualed separately for the effects that failure due boIting, with detailing appropriate to the base con­
lo a seismíe event could have on the operation of Ihe struction of the equipment. ASHRAE RP-812
building. (ASHRAE 1999) provides more information on
designiog and detailing seismic anchorage.
Funetion and operabilíty of mechanical and elec­
11.10.1.2 Component Behavior and trical components is affected only indirectly by
Rehabilitation Methoda increasing design forces. However, on the basis of past
Mechanical equipment shall be considered earthquake experience, il may be reasonable lo con­
acceleratíon-sensilive. elude Ihat if slruclural íntegrily and stabílity are main­
Mechanical equipmenl nol conforming lo the tained, funetion and operability after an earlhquake
acceptance criteria of Section 11.10.1.3 shall be reha­ will be provided for many types of equipment compo­
bilitated in accordance with Section 11.8. nents. For complex components, testing or experience
may be the only reasonable way to improve the assur­
CH.10.J.2 Component Behavior and ance of functíon and operability. Testing is a well­
Rehabilita/ion Me/hods established alternative method of seismic qualification
The provisions of Section 11.10 focus on position for small to medium-sized equipment. Several national
retention, which is a primary consideratíon for the Life standards have testing requirements adaptable for seis­
Safety Performance Leve!. míe qualification.
At the Immediate Occupancy Performance Level, Seismic forces can be established by analysis
position retention alone may be insufficient to assure usíng the default Eqs. 11-1 and 11-2. Equipmenl
conformance with the stated goals of the performance weighing over 400 lbs and located on the third floor
leve!. The expectation ís that allhough sorne nonstruc­ or aboye (or on a roof of equivalenl height) should be
tural damage is expected, the building will function analyzed usíng Eqs. 11-4 and 11-5.
following the earthquake, provided utílitíes are avail­ Existíng attachments for attached or suspended
able. To achieve this level of functionality, the equipment must be evaluated for seismic load capacity,
designer must consider the essential post-earthquake and strengthened or braced as necessary. Attachments
functions of the building and Ihen identify those that provide secure anchoring eliminate or reduce
mechaníeal, electrical, and plumbing components that the likelihood ol' piping or electrical distribution
musl operate for the building to function. Components failure.
may be identitled as critical (components that must be
functional) and noncritical (those components where 11.10.1.3 Acceptance Crueria
function folIowing an earthquake is desirable but not Acceptance criteria shall be applied in accordanee
essential to the continued occupancy of the building). with Section 11.3.2.
For critical components where operability is vital, the
requirements of Section 2.4.5 of the 2003 NEHRP 11.10.1.3.1 Life Safety Nonstructural Perfomlance
Recommended Provisions for Seismic Regulations for Level Equípment anchorage shaIl be capable of resist­
New Buildings and Other Structures, 2003 Edition ing seismic design Corees computed in aecordance
[FEMA 450 (FEMA 2004)] provide methods for seis­ with Seetion 11.7.3 or 11.7.4.
mically qualifying the component.
Position retention failure of components consists 1 l. 10. 1.3. 2 1mmediate Occupancy Nonstructural
of sliding, tíltíng, or overtuming of floor- or roof­ Performance Level Equipment anchorage shaIl be
mounted equipment off its base, and possible loss of capable of resisting seismic design Corees computed in
attachment (with consequent falling) for equipment accordance with Section 11.7.4.

341
SElSMIC REHABILlTATION OF EXISTING BUILDlNGS

11.10.1.4 Evaluation Requirements prescriptive design methods, such as concepts

Equipment shall be analyzed to establish described in FEMA 74 (FEMA 1994) or FEMA 172
acceleration-induced forces, and supports, hold­ (FEMA 1992). Category I vessels wilh a capacity less
downs, and bracing shall be visually evaluated. than 1,000 gal should be designed to meet the force
provisions of Section 11.7.3 or 11.7.4, and bracing
Cl1.10.1.4 Evaluation Requirements strengthened or added as necessary. Other Category 1
Existing concrete anchors may have to be tested and Category 2 vessels should be evaluated against a
by applying torque to the nuts to contirm that adequate recognized standard, such as API 650 (APl 1998) for
strength is present. vessels containing petroleum products or other chemi­
cals, or AWWA 0100-96 (AWWA 1996) for water
11.10.2 Storage Vessels and Water Heaters vessels. ASHRAE RP-812 (ASHRAE 1999) provides
more information on designing and detailing seismic
11.10.2.1 Definition and Scope anchorage and bracing.
Storage vessels and water heaters shall inelude an
vessels that contain l1uids used for building operation. 11.10.2.3 Acceptance Criterio
Vessels shall be e1assitied into one 01' the follow­ Acceptance criteria shall be applied in accordance
ing two categories: with Section 1 1.3.2.

1. Category l. Vessels with structural support of con­ 1/.10.2.3.1 Life Safety Nonstructural Performance
tents, in which the shell is supported by legs or a Level
skirt; or
2. Category 2. F1at-bottom vessels in which the 1. Category 1 Equipment. If the Analytical
weight of the contents is supported by the noor, Procedure js selected based on Table 1 JI,
roof, or a structural platform. Category 1 equipment and supports shall be
capable of resístíng seismic forces computed in
Cll.10.2.1 Definítion (lIld Scope accordance with Section 11.7.3 or 11.7.4. If the
The vessel may be fabricated of materials such as Prescríptive Procedure ís selected based on
steel or other metal s, or tiberglass, or it may be a Table 11-1, Category 1 equipment shall meet
glass-lined tank. These requiremenls may also be prescriptive requirements in accordance with
applied, with judgment, to vessels that contain solids Section 11.7.2.
that act as a tluid, and vessels containing tluids not 2. Category 2 Equipment. If the Analytical
involved in the operation of lhe building. Procedure is selected based on Table 11-],
Category 2 equipment and supports shall be
capable of resisting seísmic forces computed in
11.10.2.2 Component Behavior and
accordance with Section 11.7.3 or 11.7.4. If lhe
Rehabilitation Methods
Prescriptive Procedure is selected based on
Tanks and vessels shall be considered acceleration­
Table 11-1, Category 2 equipment shall meet
sensitive.
prescriptive requiremenls in accordance wíth
Tanks and vessels not conforming lo the accept­
ance criteria of Section 1 L 10.2.3 shall be rehabilitated Section 11.7.2.
in accordance with Section 11.8.
/ J. 10.2.3.2 Immediate Occupancy Nonstructural
Performance Level
Cll.10.2.2 Component Behavior and
Rehabilitation Methods l. Category 1 Equipment. If the Analytical
Category 1 vessels fai! by stretching of anchor Procedure is selected based 00 Table 11-1,
bolts, buckling and disconnection 01' supports, and Category 1 equipment and supports shall be capa­
consequent lilting or overlurning of the vessel. A ble of resisting seismic forces compuled in accor­
Calegory 2 vessel may be displaced from its founda­ dance with Seclion 11.7.4. If the Prescriplíve
lion, or its shell may fail by yielding near lhe bottom, Procedure is selected based on Table 11-1,
creating a visible bulge or possible leakage. Category 1 equipment shall meet prescriptive
Displacement of bOlh types of vessel may cause requirements in accordance wilh Section 11.7.2.
rupturing 01' connecting piping and leakage. 2. Category 2 Equipment. If the Analytical
Calegory 1 residential water heaters with a capac­ Procedure is selected based on Table 11-1,
ity no greater lhan 100 gal may be rehabilítaled by Category 2 equipment and supports shall be capa­

342
 ASCFJSEI 41-06

ble of resisting seismic forces compuled in accor­ piping system characterized by containment of con­
dance with Section 11.7.4. If the Prescriplive tenIS or mainlenance of a vacuum wilh no discernable
Procedure is selecled based on Table 11-1, leakage) is required. Operabilily (the condition of a
Category 2 equipmenl shall meet prescriptive piping system characterized by leak tightness as welI
requiremems in accordance with Section 11.7.2. as continued delivery. shutolf, or lhrottle of pipe con­
tents tlow by mean s of unimpaired operalion of equip­
11.10.2.4 Evaluation Requirements ment and components such as pumps, compressors,
AII equipment shall be visually evalualed 10 and valves) is desirable but requires a significantly
determine lhe existence 01' hold-downs, supports, and higher level of elfort to achieve.
bracing. The most common faHure of piping is joint fail­
ure, caused by inadequaLe support or bracing.
Cll.10.2.4 Evaluation Requiremetlts
Existing concrete anchors may have lO be tesled 11.10.3.3 Acceptallce Criteria
by applying torque to the nuts lo contlrm lhal adequate Acceptance criteria shall be applied in accordance
strenglh is present. with Section 11.3.2.

11.10.3 Pressure Piping 11.10.3.3. / Life Safety Nonstructural Performance

Level If the Prescriptive Procedure is selected based on
11.10.3.1 Definition and Scope Table 11-1, piping shall meet the prescriptive require­
The requiremenls of this section shaIl apply lo aH ments of Section 11.7.2. If the Analytical Procedure is
piping (except tire suppression piping) that carries seleeted based on Table 11-1, piping shalI be capable
fluids which, in their vapor stage, exhibil a pressure of resisting seismic forces computed in accordance
of 15 psi, gauge, or higher. with Section 11.7.3 or 11.7.4. Piping that runs
between noors or across seismic joints shall be capa­
11.10.3.2 Component Behavior alld ble of accommodating relative displacements com­
Rehabilitation Methods pUled in accordance with Section 11.7.5.
Piping shall be considered acceleralion-sensilive.
Piping that runs between floors or across seismic J 1.10.3.3.2 lmmediate Occupancy Nonstructural
joints shalI be considered both acceleration- and Performance Level If the Prescriptive Procedure is
deformation-sensitive. selected based on Table 11-1, piping shall meet the
Piping nol conforming to the acceptance criteria prescriptive requirements of Section 11.7.2. If lhe
of Section 1 1.10.3.3 shall be rehabilitated in accor­ Analytical Procedure is selected based on Table 11-1,
dance with Seclion J1.8. piping shall be capable of resisting seismic forces
computed in accordance with Section 11.7.4. Piping
C11.10.3.2 Compollellt Behavior and that runs between floors or across seÍsmic joints shall
Rehabilitatioll Methods be capable of accommodating relative displacements
Appendix Chapter 6 of the 2003 NEHRP computed in accordance with Section 11.7.5.
Recommended Provisions for Seismic Regulations
for New Buildings and Other Structures, 2003 11.10.3.4 Evaluation Requirements
Edítion[FEMA 450 (FEMA 2004)] provides prelimi­ High-pressure piping shall be tested by an
nary criteria for the establishment of such performance approved method. Lines shall be hydrostatically tested
criteria and their use in the assessment and design of to 150% of lhe maximum anticipated pressure of the
piping syslems. The performance criteria, from least system.
restrictive to most severe, are: position retention, leak
tightness, and operability. In particular, the interaction Cll.10.3.4 Evaluatioll Requirements
of syslems and interface with the relevant piping High-pressure piping may be lested in accordance
design standards is addressed. For the Life Safety with ASME B31.9 (ASME 2(00).
Performance level, the focus is on position retenlion,
which is defined as the condilion of a piping system 11.10.4 Fire Suppression Piping
characterized by the absence of collapse Of faH of any
par! of the system. 11.10.4.1 Definition alld Scope
For the Immediate Occupancy Nonstructural Fire suppression piping shaU ¡nelude tire sprinkler
Performance Level, leak tightness (the condition of a piping consisLing of maín risers and laterals weighing,

343
SEISMIC REHABILlTATION OF EXISTING BUILDlNGS

loaded, in lhe range 01' 30 lo lOO lbs/lineal fl, wilh adjoining materials at lhe sprinkler heads shall be
branches of decreasing size lo 2lbs/fl. evaluated.

11.10.4.2 Component Behavior and C11.10.4.4 Evaluation Requiremellts

Rehabilitation Methods The suppor! and bracing 01' bends 01' the main
Fire suppression piping shall be considered risers and laterals, as well as mainlenance 01' adequate
acceleralion-sensitíve. Fire suppression piping lhal tlexibility lo prevenl buckling, are especially important.
runs between noors or across seismic joints shall be
considered both acceleralion- and deformation-sensitive. 11.10.5 Fluid Piping other than Fire Suppressiou
Fire suppression piping nol conforming lo lhe
acceptance criteria 01' Section 11.9.4.3 shall be rehabíl­ 11.10.5.1 Defillitioll alld Scope
ítatOO in accordance with Seclion 11.8. Piping, other than pressure piping or tire suppres­
sion lines, that transfers tluids under pressure by
C11.10.4.2 Component Behavior and gravily or that are open lo the aLmosphere-including
Rehabilitation Methods drainage and ventilation piping, hot, cold, and chillOO
The most common failure of tire suppression water piping; and piping carrying liquids, as well as
piping is joint faHure, caused by inadequate support or fuel gas lines-shall meet the requirements 01' Ihis
bracing, or by sprinkler heads impacting adjoining section.
materials. Fluid piping other than tire suppressíon piping
Rehabilitation is accomplished by prescriptive shall be c1assitied ioto one of the following two
design approaches lO suppor! and bracing. The pre­ categories:
scriptive requirements of NFPA 13 (NFPA 2002)
should be used. l. Category 1. Hazardous material s and tlammable
liquids that would pose an immediate life safety
11.10.4.3 Acceptance Criterio danger ir exposed, beca use oI' inherent properties of
Acceplance criteria shall be applied in accordance the containOO material; or
with Seclion 11.3.2. 2. Category 2. Materials that, in case of line rupture,
would cause property damage bul pose no immedi­
11.10.4.3.1 Life Safety Nonstructural Performance ate life safety danger.
Level If lhe Prescriptive Procedure is selected based
on Table 11-1, tire suppression piping shall meet Ihe C11.10.5.1 Definitioll alld Scope
prescriptive requirements 01' Section 11.7.2. If lhe Hazardous material s and tlammable Iiquids that
Analytical Procedure is selecled based on Table 11-1, would pose an immediate life safety danger if exposed
tire suppression piping shall be capable 01' resisling are del1ned in NFPA 325-94 (NFPA 1994),49-94
seismic design forces compuled in accordance wilh (NFPA 1994), 491M-91(NFPA 1991), and 704-90
Seclion 11.7.3 or 11.7.4. Fire suppression piping thal (NFPA 200 1).
runs belween tloors or across seísmic joints shall be
capable of accommodating relative displacements
11.10.5.2 Compollent Behavior alEd
compuled in accordance with Section 11.7.5.
RehabilitatiolE Methods
11./0.4.3.2 lmmediate Occupancy Nonstructural Fluid piping other than tire suppression piping
Performance Level Ir the Prescriptivc ProcOOure is shall be considered acceleration-sensitive. Piping that
selected based on Table 11-1, tire suppression piping runs between 1100rs or across seismic joints shall be
shall meet lhe prescriplive requirements of Sec­ considerOO bolh acceleration- and deformation-sensilive.
tion 11.7.2. If the Analytical Procedure is selected Fluid piping no! conforming to the acceptance
based on Table 11-1, fire suppression piping shall be criteria of SecLÍon 11.10.5.3 shall be rehabilitated in
capable 01' resisling seismic design 1'orces compuled accordance with Seclion 11.8.
in accordance wÍlh Section 11.7.4. Fire suppression
piping that runs between tloors or across seismic joints C11.10.5.2 Component Behavior alld
shall be capable of accommodaling relative displace­ Rehabilitation Methods
ments compulOO in accordance with Section 11.7.5. The mosl common failure is joint failure, caused
by inadequate supporl or bracing.
11.10.4.4 Evaluation Requirements Category 1 piping rehabilitalion is accomplished
The support, tlexibility, protection al seismic by strengthening support and bracing, using the pre­
movement joints, and freedom from impact from scriptive methods of Pipe Harzgers and Supports:

344
 ASCElSEI41-06

Materials, Design and Manufacture, SP-58 (MSS Procedure is selected based on Table 11-1, fluid piping
1993). The piping syslems themselves should shall be eapable of resisting seismic design forces
be designed to meel lhe force provisions of Sec­ computed in accordance with Section 11.7.4. Piping
tion 11.7.3 or 11.7.4 and relative displacement provi­ thal runs between tloors and across seismic joints shall
sions of Seelion 11.7.5. The effeels of lempcralure be eapable of accommodating relative displacements
differences, dynamic fluid forces, and piping contents computed in accordance with Section 11.7.5.
should be taken inlo aceoun!.
Category 2 piping rehabililation is aceomplished 11.10.5.4 Evaluation Requirements
by slrenglhening support and bracing using the pre­ The support, flexibility, and protection al seismic
seriplive melhods of SP-58 as long as lhe piping faJls joints of fluid piping other than fire suppression piping
wilhin lhe size limitations of Ihose guidelines. Piping shall be evaluated.
thal exceeds lhe limitations of lhose guideJínes shall Piping shall be insulaled from detrimental heat
be designed to meel lhe force provisions of Sec- effects.
Lion 11.7.3 or 11.7.4 and relalive displaeemenl provi­
sions of Seelion 11.7.5. Cll.10.5.4 Eva/ua/ion Requiremen/s
More informalion on designing and delaiJing seis­ The support and bracing of bends in the main
míe bracing can be found in ASHRAE RP-812 risers and lateraIs, as well as mainlenance of adequate
(ASHRAE 1999). flexibility to prevenl buckling, are espccially
importanL
11.10.5.3 Acceptance Criteria
Aeceplance crileria shall be applied in accordance 11.10.6 Dudwork
with Section 11.3.2.
11.10.6.1 Definition and Scope
1 1.10.5.3.1 Life Safety Nonstructural Performance Ductwork shall inelude HVAC and exhaust duct­
Level work systems. Seismic restraints shall no! be required
for duclwork Ihal is nOl conveying hazardous malerials
l. Category 1 piping systems. If lhe Prescriptive
and thal meets either of the following condilions:
Procedure is selecLed based on Table 11-1, tluid
piping supports and braeing shall meel lhe prescrip­ 1. HVAC duCls are suspended from hangers 12 in.
live requirements 01' Seetion 11.7.2. If the Analylical or less in length from lhe lOp of the ducllO the
Procedure is selected based on Table 11-1, fluid supporting struclure. Hangers shall be installed
piping shall be capable of resisling seismic design without eccentricitíes that induce momenls in the
forces eomputed in aceordanee with Seetion 11.7.3 hangers; or
or 11.7.4. Piping lhal runs bctween tloors and 2. HVAC ducts have a cross-seclÍonal area of less than
aeross seismie joints shall be capable of accommo­ 6 sf.
dating relalive displaeemenls compuled in accor­
dance wilh Section 11.7.5. 11.10.6.2 Component Behavior and
2. Category 2 piping systems. lf the Prescriptive Rehabilitation Methods
Procedure is selecled based on Table 11-1, fluid Ducts shall be considered acceleration-sensilive.
pipillg supports and bracing shall meel the prescrip­ Ductwork that runs between tloors or across seismic
live requirements of Seclion 11.7.2. If the Analytical joinls shall be consídered both acceleration- and
Procedure is selected based on Table 1 1- 1, fluid deformation-sensitive.
piping shall be capable of resisting seismic design Duetwork not conforming (O lhe acceptance crite­
forees compuled in aeeordance Wilh Seclion 11.7.3 ría of SeclÍon 11.10.6.3 shall be rehabilitated in accor­
or 11.7.4. Piping thal runs belween tloors and dance with Section 11.8.
across seismic joints shaJl be capable 01' accommo­
daling reIative displacemenls computed in accor­ e 11.10.6.2 Component Behavior and
dance with Seclion 11.7.5. Rehabüitation Methods
Damage 10 ductwork is caused by failure of sup­
J 1./0.5.3.2 Immediate Occupancy Nonstructural ports or lack 01' bracing that causes deformation or
Peiformance Level If lhe Prescriptive Procedure is ruplure of the ducts at joints, leading to leakage from
selecled based on Table 11-1, fluid piping supporls the system.
and bracing shall meellhe prescriptive requiremenls of Rehabilitation consists 01' strengthening supporls
Seclion 11.7.2 ror essential facilities. 11' the Analytical and slrenglhening or adding bracing. Prescriptive

345
SEISMIC REHABILlTATlON OF EXISTING BUILDINGS

design methods may be used in accordance with cn.10.7.2 Compollent Behavior and
Rectangular Industrial Duct Construction Standards Rehabilitatloll MetllOds
(SMACNA 1980) and HVAC Duct Construction Failure of these components eonsists of sliding,
Standards, Metal and Flexible (SMACNA 1985). lilting, or overlurning of tloor- 01' roof-mounted equip­
More information on designing and delailing seismie ment off their bases, and possible loss oí' attaehmenl
bracing can be found in ASHRAE RP-812 (ASHRAE (wilh consequent falling) for equipment auaehed lo a
1999). vertical structure or suspended, and failure of e1eetrieal
wiring conneeted lo the equipment.
11.10.6.3 Acceptance Criteria Construetion 01' eJeetrieal equipment lo nationally
Aeceptance criteria shall be applied in accordance reeognized eodes and standard s, such as those
with Section 11.3.2. approved by ANSI, provides adequate strength to
aecommodate all normal and upset operating loads.
I 1./O.6.3.J Lije Safety Nonstructural Performance Basie rehabilítation consists of securely anehor­
Level Duetwork shall meet lhe requirements of pre­ ing noor-mounted equipment by bolting, wilh
seriptive standards in accordance with Seelion 11.7.2. detailing appropriate to the base eonstruetion 01'
the equipmenl.
11./0.6.3.2 lmmediate Occllpancy Nonstructural
Performance Level Ductwork shall meet lhe require­
11.10.7.3 Acceptallce Criteria
ments of prescriptive standards in aceordance with
Aeeeptanee eriteria shaJl be applied in aecordance
Seclion 11.7.2.
with Seetion 11.3.2.
11.10.6.4 EvaluatiOll Requirements
Duetwork shall be evaluated visually lo determine J1./0.7.3./ Lije Safety NOllstructural Pe/formance
its length, connection type, and cross-sectional area. Level If the Prescriptive Procedure is selected based on
Table 11-1, electrical equipmenl shalJ meet lhe pre­
11.10.7 Electrical and Communications Equipment scriptive requirements 01' Seclion I J .7.2. If the
Analytieal Proeedure is selecled based on Table 11-1,
11.10.7.1 Dejinition alld Scope electrieal equipment shall be eapable of resisting seis­
AII electrical and eommunicalion equipment, mic design forees eomputed in accordance with
including panel board s, bauery racks, mOlor control Section 11.7.3 or 11.7.4.
centers, switch gears, and other lixed components
10caIed in eleclrical rooms or elsewhere in the building
1 J. /0.7.3.2 Immediate Occupancy Nonstrllctllral
thal meet any of the following criIeria shall comply
Performance Level If the Prescriplive Proeedure is
with Ihe requirements of Ihis seclion:
selected based on Table 1/ 1, eleetrieal equipment
1. AII equipment weighing over 400 lbs; shall meet the prescriptive requiremenls of Sec­
2. Unanchored equipment weighing over 100 lbs that tion 11.7.2. If the Analylical Proeedure is seleeted
does not have a factor of safety against overturning based on Table I 1-1, eleetrical equipmenl shall be
of 1.5 or greater where design loads computed in capable of resisting seismic design forees computed
aceordance witb Section 11.7.3 or 11.7.4 are in aeeordanee with Scetion 11.7.4.
applied;
3. Equipment weighing over 20 lbs that is altached lo
11.10.7.4 Evaluation Requiremellts
ceiling, wall, or olher support more than 4 ft aboye
Equipment shaIl be visually evaluated to deter­
lhe tloor; and
mine its eategory and the exislence of the hold-downs,
4. Building operalion equipmenl.
supporls. and braces.
11.10.7.2 Componellt Behavior and
Rehabilitation Methods Cll.l0.7.4 Evalllation Reqlliremellts
Electrical equipment shalJ be eonsidered Larger equipment requiring lhe Analylical
acceleration-sensilive. Proeedure must be analyzed to determine forces, and
Eleclrical equipment not conforming lo the be visually evaluated. Concrete anehors may have to
aeceptance eriteria of Seclion 11.\0.7.3 shall be reha­ be tested by applying torque lo the nUlS lo confinn that
biJílated in accordanee wilh Section 11.8. adequate strenglh is present.

346
 ASCFJSEI 41-06

11.10.8 Electrical and Communications 11.10.9 Light Fixtures

Distribution Components
11.10.9.1 Deflnition and Scope
11.10.8.1 Deflnition and Scope Lighling tixlures shall be classified into one 01' the
AH electrical and communications transmission following categories:
lines, conduit, and cables, and their supports, shall
1. Category 1. Lighting recessed in ceilings;
comply with the requirements of this seetion.
2. Category 2. Lighting surface-mounled 10 ceilings
or walls;
11.10.8.2 Component Behavior and 3. Category 3. Lighting supported within a suspended
Rehabilitation Methods ceiling system (integrated ceiling); or
Electrical distribution equipment shall be consid· 4. Category 4. Lighting suspended from ceilings or
ered acceleration-sensitive. Wiring or conduit Ihal mns structure by a pendant or chain.
belween floors or across expansion or seismic joints
shall be considered both acceleration· and defomlation­ 11.10.9.2 Component Behavior and
sensitive. Rehabilitation Methods
Eleetrical and communications distribution com­ Light tixtures not conforming to the acceptance
ponents nOl conforming 10 (he acceptance criteria of criteria of Seetion 11.10.9.3 shall be rehabilitated in
Seetion 11.10.8.3 shall be rehabilitated in accordance accordance with Section 11.8.
with Section 11.8.
Cll.10.9.2 Component Behavior and
C11.10.8.2 Component Behavior and Rehabi/itation Methods
Rehabilitation Methods Failure 01' Category 1 and 2 componenls occurs
Failure occurs most commonly by inadequale sup­ through failure of altachment of the light fixture
port or bracing, deformation of the aUached structure, and/or failure of the supporting ceiling or wall. Failure
or impact from adjoining materials. of Category 3 components occurs through loss of sup­
Rehabilitation may be accomplished by strenglh­ port from the T-bar system, and by distortion caused
ening support and bracing using the prescriptive by deformation of the supporting struclure or deforma­
methods contained in Rectangular Industrial Duct tion of the ceiling grid system, allowing ¡he fixture to
Construction Standards (SMACNA 1980) and HVAC fall. Failure of Category 4 components is caused by
Duct Construction Standards, Metal and Flexible excessive swinging Ihat results in the pendant or chain
(SMACNA 1985). support breaking on impact with adjacent material s, or
the support being pul1ed out of the ceíling.
Rehabililalion 01' Category 1 and 2 components
11.10.8.3 Acceptance Criteria
involves attachment repair or tixture replacement in
Acceptance criteria shall be applied in accordance
association with necessary rehabilitation of Ihe sup­
with Section 11.3.2.
porling ceiling or wall. Rehabilitalion of Calegory 3
componenls involves Ihe addition of independent sup­
11.10.8.3.1 Lije Safety Nonstructural Performance port for ¡he fixture from the struclure or substructure
Level Electrical and communications distribution com­ in accordance with FEMA 74 (FEMA 1994) design
ponents shall meet the requírements of prescriptive concepls. Rehabilitation of Category 4 components
standards in accordance with Section 11.7.2. involves strengthening of auachment and ensuring
freedom to swing without impacting adjoining
11.10.8.3.2 lmmediate Occupancy Nonstructural materials.
Performance Level Electrical and communications dis·
tribution components shall meet fue requirements of 11.10.9.3 Acceptance Criteria
prescriptive slandards for essential facilities in accor­ Acceptance criteria shall be applied in accordance
dance with Section ] 1.7.2. with Section 11.3.2.

11.10.9.3.1 Lije Sqfety Nonstructural Performance Level

11.10.8.4 Evaluation Requirements
Components shall be visualIy evalualed lo deter­ l. Categories 1 and 2. The conneclÍon to ceiling or
mine the existence 01' supports and bracing. wall shall be present with no visible signs of distress.

347
SElSMIC REHABIUTATlON OF EXISTING BUILDlNGS

2. Category 3. Systems bracing and support shall Storage racks not conforming to the acceptance
meet prescriptive requirements in accordance with criteria of Section 11.11.1.3 shall be rehabilitated in
Section 11.7.2. accordance with Section 11.8.
3. Category 4. Fixlures weighing over 20 lbs shaIl be
adequately articulated or connections lo the build­ Cl1.11.1.2 Component Behavior and
ing shaIl be ductil e and the fixture shall be free to Rehabilitation Methods
swing without impacting adjoining materials. Storage racks may fail internally (through inade­
quate bracing or moment-resisting capacity) or exter­
11.10.9.3.2 1mmediate Occupancy Nonstructural nally (by overturning caused by abscnce or failure of
Performance Level . foundation attachmenls).
Rehabilitation is usually accomplished by the
l. Categories 1 and 2. The conneclion lo ceiling or
addilion of bracing to the rear and side panel s of
wall shall be present wilh no visible signs of distress.
racks and/or by improving the connection of the rack
2. Category 3. Systems bracing and support shall
columns to the supporting slab. In rare instances, foun­
meel prescriptive requirements for essential facilities.
dation improvements may be required to remedy
3. Category 4. Fixtures weighing over 20 lbs shall be
insufficient bearing or uplift load capacity.
arliculaled or connections lo lhe building shall be
Seismic t'Orces can be established by analysis in
duclile and the fixlure shall be free lo swing with­
accordance with Seclion 11.7.3 or 11.7.4. However,
out impacting adjoining malerials.
spedal aUention should be paid lo the evaluation and
analysis of large, heavily loaded rack systems because
11.10.9.4 Evaluation Requirements
01' their heavy loading and lightweighl structural
Light tixture supports shall be visually evalualed
members.
to determine the connection type and adequacy.

lJ.lJ.I.3 Aceeptallce Criteria

11.11 FURNISHINGS AND INTERIOR Acceptance criteria shall be applied in accordance
EQUIPMENT: DEFINITION, BEHAVIOR, AND with Seclion 11.3.2.
ACCEPTANCE CRITERIA
1 1.11.13.1 Lije SaJety Nonstructural Performance
11.11.1 Storage Racks Level Storage racks shall be capable of resisting seis­
míe design forces computed in accordance with
11.11.1.1 Deftnition alld Scope Seetion 11.7.3 or 11.7.4.
Slorage racks shall inelude systems for holding
materials either permanently or temporarily. 11./1.1.3.2 lmmediate Occupancy Nonstructural
Performance Level Storage racks shall be capable of
C11.11.1.1 Defillition and Scope resisting seismic design forces computed in accor­
Storage racks are usually constructed 01' metal. dance with Section 11.7.4.
Storage racks are generally purchased as proprietary
systems installed by a tenanl and are oflen not under lJ.lJ.1.4 Eva/uation Requirements
lhe direct conlrol 01' lhe building owner. Thus, lhey are Buckling or racking failure of storage rack com­
usually not part of lhe construction contrae! and often ponents, conneclion to support structures, and type and
have no foundmion or foundalion attachment. stability oí' supporting struclure shall be considered in
However, they are often permanently installed and the evaluation.
their síze and loaded weight make lhem an important
hazard to eíther life, property, or the surrounding 11.11.2 Bookcases
slructure. Storage rack s in excess 01' 4 ft in heighl
localed in occupied localions shall be considered 1/.1/.2.1 Defillition and Seope
where lhe Life Safety Nonstructural Performance Bookcases constructed of wood or metal, in excess
Level is selected. 01' 4 ft high, shall meet the requiremenls oí' lhis section.

11.11.1.2 Component Behavior alld 11.11.2.2 Component Behavior and

Rehabilitatioll Methods Rehabilitation Methods
Storage racks shall be considered acceleration­ Bookcases shall be considered acceleration­
sensitive. sensitive.

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 ASeE/SEI41-06

Bookcases nOI conforming lo lhe acceplance crÍle­ Compuler access tloors not conforming to the
ría 01' Section 11.11.2.3 shall be rehabililaled in aCCOf­ acceptance criteria of Section 11.113.3 shal1 be reha­
dance with SeclÍon 11.8. bililated in accordance with Seclion 11.8.

C11.11.2.2 Component Behavíor and C11.11.3.2 Component Behavior and

Rehabilitation Methods Rehabilitation Methods
Bookcases may deform or overlurn due lo inade­ Computer access tloors may displace laleralIy or
quate bracing or attachment lo tloors Of adjacent buckle vertically under seismic loads. Rehabilitation
walls, columns, or olher structural members. Reha­ of access t100rs usually ineludes a combination 01'
bililalion is usuafly accomplished by lhe addition 01' improved attachment of computer and communication
metal cross-bracing to lhe rear of lhe bookcase to racks through the aceess tloor panels to the supporting
improve ils inlernal resistance 10 racking torces, and steel structure or to the underlying t100r system, while
by bracing lhe bookcase both in- and out-of-plane to improving the lateral-Ioad-carrying capacity of the
lhe adjacenl struclure or walls lo prevent overturning strel stanchion syslem by installing braces or improv­
and racking. ing the connection of lhe stanchion base lo the sup­
porling tloor, or both.
11.11.2.3 Acceptance Criteria Rehabilitation should be designed in accordance
Acceptance critería shall be applied in aeeordance with eoncepts deseribed in FEMA 74 (FEMA 1994).
with Section 11.3.2. The weight of the tloor system, as well as supporled
equipment, should be included in lhe analysis.
11.1/.23.1 Life Salet)' Nonstructural Performance
Level Bookcases shall be capable of resisting seismic 11.11.3.3 Acceptance Criteria
design force s computed in aeeordance wilh Sec­ Acceptance criteria shall be applied in accordance
tion 1l.73 or 1l.7.4. with Seelion 11.3.2.

J1.11.2.3.2 lmmediate Occupancy Nonstructural 11. J1.3.3.1 Life Salety Nonstructural Performance
Performance Level Bookcases shall be capable 01'
Level Computer access tloors need no. be rehabilitated
resisting seismic design force s computed in accOf­
tor lhe Lite Safety Nonslruetural Performance Level.
dance with Section I J. 7.4.
11.11.3.3.2 Immediate Occupancy Nonstructural
11.11.2.4 Evaluation Requirements
Performance Level If the Prescriptive Procedure is
The loading, type, and condition of bookeases,
selected based on Table 11-1, prescriplive require­
their eonneetion to support struetures, and type and
ments of Section J 1.7.2 shall be meto If the Analylieal
stability 01' supporting structure shalI be considered
Procedure is selected based on Table 11- J, computer
in lhe evalualion.
access tloors shall be capable of resisting se1smic
design forces computed in accordance with Sec­
11.11.3 Computer Access Floors
tion 11.7.4.
11.11.3.1 Definítion and Scope
Compuler aecess lloors shall inelude panelized,
11.11.3.4 Evaluation Requirements
elevaled floor systems designed to facilitate aceess lo Bucklíng and racking ofaccess tlOOf supports,
wiring, tiber oplies, and olher services associated wilh eonnection lo lhe support struclure, and the effecls
of mounted equipment shall be considered in the
computers and other electronic components.
evaluation.
Cll.11.3.1 Definítion and Scope
Access tloors vary in height bul generally are less Cll.11.3.4 Evaluation Requirements
lhan 3 ft aboye lhe supporting structural floor. The Possible future equipment should also be consid­
syslems inelude struclurallegs, horizontal panel sup­ ered in the evalualÍon.
ports, and paneIs.
11.11.4 Hazardous Materials Storage
11.11.3.2 CompOllent Behavior and
Rehabilita/ion Methods 11.11.4.1 Definition and Scope
Compuler access floors shaJl be considered bolh Hazardous malcrials storage shall inelude
acceleration- and deformation-sensitive. permanently installed conlainers--free-standing, on

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SEISMIC REHABILlTATION OF EXISTING BUILDINGS

supports, or stored on countertops or shelves-that 11.11.5 Computer and Communication Racks

hold materials detined to be hazardous by the National
Institute for Occupational Sa1'ety and HealLh, including 11.11.5.1 Definition and Scope
the following types: Computer and communication racks shall include
free-standing rack systems in excess of 4 n in heighl
1. Propane gas tanks;
designed to supporl compulcr and other electronic
2. Compres sed gas vessels; and
equipmcnl. Equipmenl stored on computer and com­
3. Dry or Iiquid chemícal storage containers.
munication racks need not meet the requirements of
Large nonbuilding structures, such as large tanks this section.
found in heavy industry or power plants, f1oating­
roo1' oil storage tanks, and large (greater than 10ft CIJ.ll.5.1 Definition and Scope
long) propane tanks at propane manu1'acturing or Racks may be supported on either structural or
distribution plants need not meet Lhe requirements access floors and may or may not be anached directly
of this section. to these supports.

11,11.4.2 Component Behavior and 11.11.5.2 Component Behavior and

Rehabilitation Methods Rehabilitation Methods
Hazardous materials slorage shall be considered Computer and communication racks shall be con­
acceleration-sensitive. sidered acceleration-sensitive.
Hazardous materials storage noL conforming to Computer communication racks not conforming
the acceptance criteria 01' Section 11.11.4.3 shall be to the acceptance criteria of Section 11.1 1.5.3 shall be
rehabilitated in accordance with Section 11.8. rehabilitated in accordance with Section 11.8.

C11.11.4.2 Component Behavior and Cll.11.5.2 Component Behavior and

Rehabilitation Methods Rehabilitation Methods
Upset of the storage container may release the Computer amI communicaLion racks may rail
hazardous material. Failure occurs because 01' buckling internally (through inadequate bracing or moment­
and overturning 01' supports aml/or inadequate bracing. resisting capacity) or externally (by overturning
Rehabilitation consists of strengthening and increasing caused by absence or faiJure 01' tloor attachments).
supports or adding bracing designed according to con­ Rehabilitatíon is usually accomplished by the
cepts described in FEMA 74 (FEMA 1994) and addiLion of bracing lo the rear and side panels of the
FEMA 172 (FEMA 1992). racks, and/or by improving lhe connection 01' the rack to
the supporting tloor using concepts shown in FEMA 74
(FEMA 1994) or FEMA 172 (FEMA 1992).
11.11.4.3 Acceptance Criteria
Acceptance criteria shall be applied in accordance
11.11.5.3 Acceptance Criteria
with Section 11.3.2.
Acceptance criteria shalI be applied in accordance
with Section 11.3.2.
11.11.4.3.1 Lije Safety Nonstructural Pelformance
Level Hazardous materials storage shall meet /1.11.5.3.1 Lije Safety Nonstructural Performance
prescriptive requirements in accordance wilh Sec­ Level Computer and communication racks need not be
tion 11.7 .2. rehabilitated for the Lite Safety Nonstructural
Performance LeveL
11.11.4.3.2 1mmediate Occupancy Nonstructural
Performance Level Hazardous materials storage shall 11.11.5.3.2 Immediate Occupancy Nonstructural
meel prescriptive requirements for essential facilities Pelformallce Level 11' the Prescriptive Procedure is
in accordance with Section 11.7.2. selected based on Table 11-1. computer and communi­
catíon racks shall meellhe prescriptive requiremenls
11.11.4.4 Evaluation Requirements of Section 11.7.2. If lhe Analytical Procedure is
The location and types of hazardous material s, selected based on Table 11 l. computer and communi­
container materials, manner of bracing, internal lateral cation racks shall be capable 01' resisting seismic
resistance, and lhe effecl of hazardous material spills design forces compuled in accordance Wilh Sec­
shall be considered in the evalualion. tion 11.7.4.

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 ASeE/SEI 41-06

11.11.5.4 Ellaluation Requirements scriptive requirements of Section 11.7.2. If the

Buckling or racking failure of rack components, Analytical Procedure is selecled based on Table 11 1,
theír connection lo support struclures, and type and elevator componenls shall be capable of resisting seis­
slabilíly of (he supporling structure shall be considered míe design forces computed in accordance with
in lhe evaluation. The effect of rack fitilure on equip­ Seclion 11.7.3 or 11.7.4.
ment shall also be considered.
11.11.6.3.2 lmmediate Occupancy Nonstructural
11.11.6 Elevatol'S Performance Level If lhe Prescriptive Procedure is
selected based on Table ] 1-1, elevalar components
11.11.6.1 Dej'it,ition and Scope shall meet the prescriptive requirements oí' Sec­
Elevalors shall inelude cabs and shafts, as weH as tion 11.7.2. If the Analytical Procedure is selected
aH equipment and equipmenl fOoms associated with based on Table 11-1, elevator components shall be
elevator operation, such as hoists, counterweighls, capable oí' resisting seismic design farces computed
cables, and controllers. in accordance wilh Section 11.7.4.

11.11.6.2 Component Behallior and 11.11.6.4 ElItlluation Requirements

Rehabilitation Melhods The construction ol' elevator shafts shall be con­
Components oí' elevalOrs shall be considered sidered in the evaluation.
acceleration-sensilive. Shafls and hoislway rails,
which rise through mulliple t1oors, shall be considered C11.11.6.4 Ellaluation Requirements
both acceleration- and deformation-sensitive. The possibility ol' dísplacement or derailmenl of
Elevator componenls not confoílning lo the hoistway counterweights and cables should be consíd­
acceptance crileria of Section 11.11.6.2 shall be reha­ ered, as should ¡he anchorage of e1evator machinery.
bililated in accordance with Seclion J 1.8.
11.11.7 Conveyors
C 11.11.6.2 Compollent Behallior alld
Rehabilitation Methods 11.11.7.1 Definition and Scope
Componenls of elevators may become dislodged Conveyors shall include material conveyors,
or derailed. Shafl walls and (he conslruction of including an machinery and controllers necessary lo
machinery room walls are often no! engineered and operation.
musl be consídered in a way similar to that for other
partitions. Shaft walls that are oí' unreinforced 11.11.7.2 Component Behallior and Rehabüitation
masonry or hollow lile must be considered with spe­ Methods
cíal care, since failure of these components violates Conveyors shall be considered both acceleration­
Life Safety Nonstructural Performance Level criteria. and deí'ormation-sensitive.
Elevator machinery may be subjecl to the same Conveyors nol conl'orming lo the acceplance crÍle­
damage as other heavy tloor-mounted equipment. ria ol' Section 11./1.7.3 shall be rehabilitated in accor­
ElectrÍeal power loss renders e\evators inoperable. dance with Section 11.8.
Rehabilitation measures inelude a variety oí' tech­
niques taken fmm specit1c component sections for C11.11. 7.2 Compollent Behallior and
partitions, conlrollers, and machinery. Rehabilitation Rehabilita/ion Methods
specitic to elevator operation can inelude seismic Conveyor machinery may be subject to the same
shutoffs, cable restrainers, and counterweight relain­ damage as other heavy tloor-mounted equipmenl. In
ers; such measures should be in accordance Wilh addition, de1'ormation 01' adjoining building materials
ASME AI7.1 (ASME 2000). may render the conveyor inoperable. EleClrical power
loss renders the conveyor inoperable.
11.11.6.3 Acceptance Criterio Rehabilitation of Lhe conveyor involves prescrip­
Acceptance criteria shall be applied in accordance tive procedures using special skills provided by the
with Section 1/.3.2. conveyor manufacturero

11.11.6.3.1 Life Safety Nonstrtlclural Performance 11.11.7.3 Acceptance Criteria

Level If the Prescriptive Procedure is selected based on Acceptance crileria shall be applied in accordance
Table 1 1- J, elevator components shall meet the pre­ with Seclion 11.3.2.

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SEISMIC REHABILlTATION OF EXISTING BUILDINGS

11. / /.7.3./ Life Safety Nonstructural Performance social, historie, and economie characteristics oí' the
Leve! Conveyors need nol be rehabilitated for the Lite building inventory. AlLhough financial incentives can
Safety Nonslructural Performance Level. induce voluntary risk mitigation, carefully planned
mandalory or directed programs, developed in coopera­
11.11.7.3.2 lmmediate Occupancy Nonstructural tion wilh Ihose whose inleresls are atIecled, are
Performance Level If the Analytical Procedure is generalJy more etlective. Potential benetlts of such
selected based on Table 11 1, conveyors shall be capa­ programs inelude reduction of direet earthquake
ble 01' resisting seismic design torces computed in losses--casualties, eosts lo repair damage, and loss
accordance with Seclion 11.7.4. If the Prescriplive of use of buildings-as well as more rapid overaIl
Procedure is selected based on Table J I 1, conveyors rceovery. Rehabilitated buildings may also ¡ncrease
shall meet prescriptive slandards in accordance with in value and be assigned lower insurance rates.
Section 11.7.2. Additional issues lhat should be eonsidered for posi­
tive or negative etlects incIude the interaetion of
11.11. 7.4 Evaluatioll Requiremellts rehabilitation wilh overall planning goals, historie
The stabilíty oí' machinery shaIl be considered in preservalion, and the local economy. These issues are
Ihe evaluation. discussed in FEMA 275 (FEMA 1998).

A.2.1 Potential Costs of Local or Directed Programs

A. USE OF THIS STANDARD FOR LOCAL OR The primary cosls oí' seismic rehabililation-lhe
DIRECTED RISK MITIGATION PROGRAMS construction work itself, ineluding design, inspection,
and administration-are normal1y paid by the owner.
A.l GENERAL Addilional costs that should be weighed when creating
seismic risk reduction programs are those associated
This ASCE Standard for Seismic Rehabilitation oí' with developing and administering the program, such
Buildings is wriuen in mandatory language suÍlable as the costs of identifying high-risk buildings, environ­
for adoption and enforcement by code ofticials in local menlal or socioeconomic impact reports, Iraining pro­
risk mitigation programs, by organízatíons or govern­ grams, plan checking, and construction inspection.
mental agencies in direcled mitigation programs The construction cosls inelude not only the cost of
covering many buildings, or for reference by building the pure structural rehabilitation, but also Ihe cosls
owners voluntarily underlaking rehabílítation of build­ associated with new or replaced linishes that may be
ings. This appendix provides guidance on the use oí' required. In sorne cases, seismic rehabilitation work
this standard ror local or dírecled risk mitigalion will trigger other local jurisdictional rcquirements,
programs. such as hazardous malerial removal 01' partial or full
Local or directed risk miligation programs may compliance with lhe Americans with Disabilities Act.
target certain building types for rehabilitalion or The costs of seismic 01' funclional improvements LO
require complete rehabílitation coupled with OIher nonslrucLUral systems should also be considered.
renovation work. The incorporation oí' variable There may also be costs lO the owncr associaled with
Rehabilitation Objeclives and the use of Model lemporary disruption 01' loss of use 01' the building
Building Types in thís standard allows creation of during construclion. To offset these cosls, there may
subsets of rehabilitation requirements 10 suit local con­ be low-interest earthquake rehabilitalion loans avail­
ditions 01' seismicity, building invenlory, social and able from stale or local government, or building tax
economic considerations, and other factors. Provísíons credils.
appropriate for local situaljons can be extracted' put If seismic rehabilitation is the primary purpose 01'
into regulatory language, and adopted jnto appropriate conslruetion, the costs of various nonseismic work that
codes, standards, 01' local ordinances. may be required should be ineluded as direct con se­
quences. On the other hand, if the seismic work is an
addcd ¡eature of a major renovalion, the nonseismic
A.2 INITIAL CONSIDERATIONS FOR improvemenls probably would have been required
MITIGATION PROGRAMS anyway and thereiore should nOI be attributed to
seismic rehabililation.
Local or directed programs can either target high-rísk A discussion oí" these issues, as well as guidance
building types or set overall prjorities. These decísions on the range of costs of seismic rehabiJitation, are
should be made with full consideration of physical, included in FEMA 156 (FEMA 1994) and 157 (FEMA

352
 ASeE/SEI 41-06

1995), and in FEMA 276 (FEMA 1999). Since A.2.3 Historie Preservation
the data for these documents were developed prior Seismie rehabilitation of buildings can affect his­
to this standard, the information is not based on torie preservation in two ways. First, lhe introduction
buildings rehabilitated specitically in accordance of new components that will be associated with the
with the current document. However, performance rehabilitation may in sorne way impact the historie
levels defined in this standard are not intended to fabric of lhe building. Second, the seismie rehabilita­
be signiticantly di1'1'erent than parallellevels used tion work can serve to better protect the building from
previously, and costs should stíll be reasonably possibly unrepairable fulure earthquake damage. The
representative. e1'1'ects of any seismic risk reduction program on
historie buildings or preservation districts should be
A.2.2 Timetables and Effeetiveness carefuJly considered during program development,
Presuming that new buildings are being con­ and subsequent work should be carefully monitored
structed with adequate seismic protection and that to assure compliance with national preservation guide­
older buildings are occasionally demolished or lines discussed in Section A.6.
replaced, the inventory of seismically hazardous build­
ings in any community wil1 be gradually reduced. This
aUrition rate ís normally small, since the structures of A.3 USE IN PASSIVE PROGRAMS
many buildings have use fui lives of J00 years or more
and very few buildings are actually demolíshed. If Programs that only require seismic rehabilitation in
buildings or districts become historically significant, association with other activity on the building are
they may not be subject to attrition at all. Thus, in often c1assified as "passive." "Active" programs, on
many cases, doing nothing (or waiting for an outside the other hand, are lhose thal mandate seismic rehabili­
influence to force action) may present a large cumula­ tation for targeted buildings in a certain time frame,
live risk to the inventory. regardless of olher activity associated with lhe build­
Jt has often been pointed out that exposure time is ing (see Section 1.6.3). Activities in a building that
a significant element of rísk. The time aspect of risk may passively generate a requirement to seismically
reduction is so compelling that it ofien appears as part rehabilitate-such as an increase in occupancy, struc­
of book and workshop titles; for example, Between tural modificalion, or a major renovation tha! would
Two Earthquakes: Cultural Property in Seismic Zones significantI y exlend Ihe life of the building-are
(Feilden 1987); Competing Against Time (California called "lriggers." The concept of certain activities
Governor's Board of Jnquiry 1990); and In Wait for the triggering compliance wilh current standard s is
Next One (EERI 1995). Therefore, an important con­ weIl established in building codeso However, lhe
sideration in the development of programs is the time details of lhe requiremenls have varied widely.
allolted to reach a certain risk reduction goal. It is gen­ These issues have been documented with respecl to
erally assumed that longer programs create less hard­ seismic rehabilitation in California (Hoover 1992).
ship than short ones by al10wing more flexibility in Passive programs reduce risk more slowly lhan do
planning for the cost and possible disruption 01' reha­ active programs.
bilitation, as well as by aIlowing natural or accelerated
attrition to reduce undesirable impacls. On the other A.3.l Selection of Seismic Rehabilitation Triggers
hand, the net reduction of risk is smaller due to the This standard does not cover triggers for seismic
increased exposure time of the seismically deficient rehabilitation. The extent and detail of seismic lriggers
building stock. will greatly affecllhe speed, effectiveness, and
Given a high perceived danger and certain advan­ impacls of seismic risk reduction, and the selection
tageous characteristics of ownership, size, and occu­ of triggers is a policy decision expecled to be made
pancy of the target buildings, mandatory programs localIy by the person, agency, or jurisdietion responsi­
have been completed in as Hule as five to ten years. ble for the inventory. Triggers tha! have been used or
More extensive programs-involving complex build­ considered in (he pasl include revision of specified
ings such as hospital s, or with significant funding proportions of the slruclure; renovatíon 01' specified
Iimitations-may have completion goals of 30 to percenlages 01' the building area; work on the building
50 years. Deadlines for individual buildings are also Ihat costs more than a specified percentage 01' the
ofien determined by the risk presented by building building value; change in use that increases lhe occu­
type, occupancy, location, soil type, funding availabil­ pancy or importance of Ihe building; and changes of
ity, or other faClors. ownershíp.

353
SEISMIC REHABlLlTATION OF EXISTING BUILDINGS

A.3.2 Selection oC Passive Seismic Rehabilitation practice. Therefore, these building types have some­
Standards times been targeted in active programs.
This standard purposely atfords a wide variety of A more pragmatic consideration is the ease of
options that can be adopted for seísmíc rehabilitatíon locating targeted buildings. If certain building types
lo facilílale risk reduclion. Standard s can be selected cannot be easily identitied, eíther by the local jurisdic­
with varying degrees of risk reduclion and varying tion or by the owners and their engineers, enforcement
costs by designating difIerent Rehabilitation could become difficuIt and costly. In the extreme,
Objectives. As described previously, a Rehabililation every building designed prior to a given acceplable
Objeclive is created by specifying a desired target code cycle would require a seismic evaluation lO deter­
Building Performance Level for specif1ed earthquake mine whether targeted characteristics or other risk fac­
ground motion criteria. A jurisdiction can thus specify tors are present, the cost of which may be significant.
appropriate standards by extractíng applicable require­ An alternate procedure might be to select easily identi-·
ments and incorporating them ioto its own,code or fiable building characteristics 10 set timelines, even if
standard, or by reference. more accurate building-by-building priorities are
A single Rehabilitation Objective could be somewhat compromised.
selected under alltriggering situations [the Basic
Safety Objective (BSO), for example], or more strin­ A.4.2 Selection oC Active Seismic Rehabilitation
gent objectives can be used for important changes to Standards
the building and less stringenl objeclives for minor As discussed for passive programs in Sec­
changes. For example, il is sometimes necessary for tion A.3.2, this standard is written to facilitate a wide
design professionals, owners, and building officials lo variation in risk reduction. Faclors used to determine
negotiate the extent of seismic improvements done in an appropriate Rehabilitation Objective include local
association with building alterations. Complete reha­ seismicity, the costs oí' rehabilitation, and local socio­
bilitation is often required by local regulation for com­ economic conditions.
plete renovation or major structural alteralions. It is It may be desirable to use Simplified Rehabili­
lhe intent of lhís standard to províde a common frame­ tation Methods for active or mandated programs. Only
work for all of lhese various uses. Limited Performance Objectives are included in this
standard for this method. However, if a program has
idenlified a local building type with few variations in
A.4 USE IN ACTIVE OR MANDATED material and contiguration, a study of a sample of
PROGRAMS typical buildings using Systematic Methods may
eslablish that compliance with the requirements of
Active programs are mosl often largeled al high-risk Simplified Rehabilitation meets ¡he BSO, or beuer,
building types or occupancies. Active seismic risk for this building type in this location. Such risk and
reduction programs are ¡hose ¡hal require owners lo performance decisions can only be made at the local
rehabilitate their buildings lO specit1ed Rehabililation leve!.
Objectives in a certain time frame or, in the case of
government agencies or other owners of large invento­
ries, to set self-imposed deadlines for completion. A.S SOCIAL, ECONOMIC, AND POLITICAL
CONSIDERATIONS
A.4.1 Selection of Buildings to be Included
Programs would logically larget only the highest­ The scope of this standard is limited lO [he engineering
risk buildings DI' al leasl create priorities based on risk. basis for seismically rehabilitating a building, but the
Risk can be based on the likelihood of building failure, user should also be aware 01' significant nonengineer­
the occupancy or importance 01' buildings, soil types, ing issues and social and economic impacIs presented
or olher faclors. This standard is primarily wriUen to in Ihis section. These problems and opportunities,
be used in the process of rehabilitation and does nol which vary with each situation, are discussed in
directly address the comparative rísk level of varíous FEMA 275 (FEMA 1998).
building types 01' other risk factors. Certain building
types, such as unreinforced masonry bearing wall A.S.1 Construction Cost
buildings and older, improperly detailed reinforced If seismic rehabilitation were always inexpensive,
concrete frame buildings, have historically presented a the social and polítical costs and controversies would
high risk, depending on local seismicily and building largely disappear. Unfortunately, seismic rehabilitation

354
 ASCElSEl 41-06

oftcn requires removal of archileclUral malerials to least 50 years old, and is Iisted in or is potentially eli­
access lhe vulnerable portions of Ihe struclure. gible for the National Regisler ol' Hisloric Places
Nonseismic upgradíng (e.g., electrieal, handieapped andJor a state or local register as an individual slrue­
aecess, historie restoration) is frequently triggered by a ture, or as a contributing struelUre in a district
building eode's renovalion permil requirements and is Struetures less than 50 years old may also be his­
desirable Lo undertake at the same time. toric if they possess exceptional signitieanee. For
historie buildings, users should develop and evaluate
A.5.2 Housing alternative Solulions with regard lo lheir effect on
Although seismic rehabilitalíon ullimalely lhe los8 of historic eharaeter and fabrico This sectÍon
improves the housing stock, units can be temporaríly provides guidance for developing such alternative
10Sl during lhe construction phase, which may be very solutions.
lenglhy, and can require relocalíon of tenants.
A.6.1 Secretary oC the Interior's Standards
A.5.3 Impacts on Lower-Income Groups
Por hislorie buildings, users should develop aller­
Lower-íncome residents and commercial tenanlS
nalÍve solutions using the Stalldards jor rhe Treatment
can be displaced by seismie rehabilitation and nonseis­
oi Historie Propel1ies with Guidelines jor Preserving.
míc upgrading, which can raise rents and real estate
Rehabilitating. Restoring, and Reeonstrueting Historie
prices because of lhe need lo recover the costs of lhe
Buildings (Seerelary of Ihe Interior 1995).
work. Possible hardships on lhese groups need lo be
In addition lo rehabilitation, the Secretary of the
given heavy consíderation because lhey may affect the
Interior also has standards for preservation, reSlora­
vcry societal fabric of a community.
tion, and reconstruclion [Standards jor the Trearment
A.5.4 Regulations oj Historie Propel1ies (Secretary of lhe Interior
As wilh etl'orts lO impose safety regulations in 1992)]. A seismie rehabilitation projeel may inelude
olher tields, mandating seismie rehabílitation is often work thal falls under the Rehabilílation Standards,
controversial. Thís standard is wrítten as mandalory lhe Trealment Standards, or bolh. This standard is
code provisions ror possible applieation and adaptation inlended for use as part of rehabilitalion, preservalion,
for that use. In sueh cases, political controversy should and resloralion work done on historie buildings.
be expecled and nonengineering issues of all kinds For historie buildings as well as for other struc­
should be carefully considered. lures of architeetural inleresl, it is importanl lo nole
Ihat Ihe Seerelary ol' the Interior's Standards define
A.5.5 Architecture rehabililation as "the process of relurning a property 10
Even ir a building is not historie, there are often a state of utility, through repair or alteration, which
signiticant architectural impacts. The exterior and makes possible an effieient eontemporary use while
interior appearanee may ehange, and the division of preserving lhose portions and features of the property
spaces and arrangement ol' circulation routes may whieh are signifieanl 10 its historie, architectura) and
be altered. cultural values." Further guidanee on the treatmenl of
historie properties is eontained in publications listed
A.5.6 Community Revítalization in lhe Teehnieal Preservaríon Services jor Historie
Seismie rehabílitation not only poses issues and Buildings Sales Publíeation Catalog available online
implies costs, bUl also conters benetits. In addition to at http://www.er.nps.govlhpsltpsltpscal.htm.
enhaneed public safety and economic protection from
earlhquake loss, seismic rehabilitation can playa lead­ A.6.2 Application oC Building Codes and Standards
ing role in the revitalization of older commercial and It should be nOled that many codes covering his­
industrial areas as well as residential neighborhoods. torie buildings allow sorne amount of tlexibility in
Potenlial synergies between lhese two programs in required performance, depending on the effect of reha­
a community should be carefully explored by local bililation on important historie features.
planners, officials, and design prol'essionals. If a building eontains items of unusual arehitee­
tural interest, consideration should be given lo the
A.6 CONSIDERATIONS FOR HISTORIC value of these items. It may be desirable to rehabilitate
BUILDINGS the building 10 lhe Damage Control Struetural
Performance Range as specified in this standard lo
11 must be determined early in the process whether a ensure that the architectural fabrie survives eertain
building is "historie." A building is historie if it is at earthquakes.

355
SEISMIC REHABlLlTATION OF EXISTJNG BUILDJNGS

A.6.3 Rehabilitation Strategies Aj Effective cross-seetional area of a

In development of initial risk mitigation strategies, beam--column joint, in. 2, in aplane para11 el
eonsideration must be given to the arehiteetural and to the plane of reinforcement generating
historie value of the building and its fabrie. Develop­ shear in the joint, ealculatcd as speeitieu in
ment of a Historie Strueture Report identil'ying the Seetion 6.5.2.3.1, Eq. 6-5
primary historie fabrie may be essential in the prelimi­ An Area of net mortared/grouted seetion,
nary planning stages for eertain buildings. Sorne Eqs. 7-1, 7-2, 7-4, 7-6
strueturally adequate solutions may nevertheless be Ani Area of net morlared/grouted seetion of
unaceeptable because they involve destruetion of his­ masonry intill, Eq. 7-15
torie fabrie or eharaeter. Alternate rehabilitation meth­ A, Area of non-prcstressed tension reinforce­
ods thal lessen the impact on the historie fabrie should mem, in. 2, Tables 6-18, 6-20
be developed for consideration. Partial demolition may Area oí' reinforeement, Eq. 7-13
be inappropriate for historie struetures. Components A; Area of eompression reinforeement, in. 2 ,
that ereate irregularities may be essential to the his­ Tables 6-18, 6-20
torie charaeter of the strueture. The adviee of historie Al' Area 01' shear reinforcemenl, Eq. 6-4
preservation experts may be neeessary early in lhe Ale Nominal area of the web, Eq. 5-7
rehabilitation proeess. Area of link stitl'ener web, Eq. 5-28, 5-31
Struetural rehabilitation of historie buildings may Area of the web cross seetion, = b.d,
be aeeomplished by hiding the new struclural me m­ Chapter 6
bers or by exposing them as admiuedly new compo­ Ax Accidental torsion amplitication factor,
nents in the building's hislory. Oflen, the exposure of Eq.3-1
new struelural members is preferred because altera­ B Width offooting, Eqs. 4-6, 4-7, 4-8
tions ol' thís kind are reversible (Le., they could con­ BI Damping coefticient used to adjust one­
eeivably be undone at a future time wilh no loss of sceond period spectral response fOf lhe
historie fabrie to the building). The decision lO hide or effect of viscous damping, Eqs. 1-10, 1-11
expose structural members is a complex one and is BD/ Numerical damping eocfticient taken equal
best made by a preservation professional. to the value of B I , as determined in
Seclíon 1.6.1.5.1, at {3
A.6.4 Rehabilitation Objectives Effcclive damping fJ equal lo Ihe value of
If seismie rehabilitation is required by the govern­ {3D' Eq. 9-2
ing building jurisdíetion, the mínimum seismie BMI Numerieal damping coefticient taken equal
requirements should be matehed with a Rehabilitation to the value 01' B I , a'l determined in
Objective detined in this standard. Seetion 1.6.1.5.1, at {3
EtTective damping {3 equal to the value of
SYMBOLS fJM' Equation 9-4
Bs Cocflieíent uscd to adjust short-period
A Cross-seetional area 01' apile, Eq. 4-9 speclral response for the etTee! of viscous
Cross-seetional area of shear wall boundary damping, Eqs. 1-8, 1-9, J-11
members or diaphragm chords, in. 2, e (or e) Damping eoet1icienl for viscoclastie device
Eqs. 8-2, 8-4, 8-5 (or devicej), Eqs. 9-22,9-24,9-29,9-30,
Ab Gross area of bolt or rivet, Eqs. 5-18, 5-22, 9-35,9-37
5-24 en Moditication factor to relate spectral dis­
Sum of net mortared area of bed joints plaeement of an equivaJenl single-degree­
aboye and below the test unil, Eq. 7-2 of-freedom (SDOF) system to the roof
A, Area of eolumn, Eq. 5-8 displacement of the building multi-degree­
A, EtfeclÍve net area of the horizontalleg, of-freedom (MDOF) syslem, Eq. 3-14
Eq.5-20 Damping eoeflicient for tluid-viscous
Al Area ol' foundation footprinl if the founda­ dcviee, Eq. 9-25
tion componenls are interconnected later­ el Moditication factor lO relate expected
ally, Eq. 4-14 maxímum ínelastie displaeemems to dis­
Ag Gross area 01' the horizontalleg, Eq. 5-19 placements caIculated for linear elastic
Gross area of cast iron eolumn, Eq. 5-36 response, Eqs. 3-4, 3-5, 3-9, 3-14,
Gross area of column, in. 2 , Eq. 6-4 3-19

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Cz Modificatíon factor lo represenl the effects in the direction under consideration, as pre­
of pinched hysteresis shape, cyc1ic stiffness scribed by Eq. 9-11
degradation and strength deterioration on Dp Relative seismic displacement lhat the
the maximum displacemenl response, componenl must be designed lo accommo­
Eqs. 3-4, 3-5,3-9,3-14,3-19 date, Eqs. 11-8, 11-9, ll-lO, Il-lI
Ch Coefficienl lO account for effect of nonuni­ Dr Drift ratio for nonstructural components,
form moment given in Load and Resistance Eq. 11-7
Factor Design Specification lar Structural DTD Total design displacement, in. (mm), of a
Steel Buildings (LRFD) (AISC 1999), componenl of the ¡solation system, includ­
Eq.5-9 ing both translational displacement at lhe
CF¡ Slage combination factors for use with center of rigidily and the component of tor­
velocity-dependent energy dissipation sional displacement in the direction under
devices as calculated by Eq. 9-31 or 9-32 consideration, as specitied by Eq. 9-6
Cm Effective mass factor from Table 3-1, DTM Total maximum displacement, in. (mm),
Eqs. 3-9, 3-15 of a component of the isolatÍon system,
C, Numerical value for adjuslment of period including both translational displacement at
T, Eq. 3-6 the cenler of rigidity and lhe component of
Cvx Verlical distribution factor for the pseudo­ torsional displacement in the direclion under
laleral force, Eqs. 3-10, 3-11 consideralion, as speciíied by Eq. 9-7
D Generalized deformation, unitless E Young's modulus of elasticity, Eqs. 4-9,
Relative displacement between two ends of 5-1,5-2,5-17,8-2,8-4,8-5
an energy dissipation unit, Eqs. 9-1, 9-20, Ec Modulus of elasticily of concrete, psi,
9-22 Eq.6-6
D- Maximum negative displacement of an Efe Expected elastic modulus of frame mate­
energy dissipation unit, Eqs. 9-21, 9-23 rial, ksi, Eq. 7-7
D+ Maximum positive displacement of an Eu)Op Energy dissipated, kip-in. (kN-mm), in an
energy dissipation unit, Eqs. 9-21, 9-23 isolator unÍ[ during a fulI cycle of
D Relative velocity between two ends ol' an reversible load over a test displacement
energy dissipation unit, Eqs. 9-22, 9-25 range from A+ 10 A, as measured by
D"ve Average disp[acement ol' an energy dissipa­ the area enclosed by the loop of the
tion unit, equallo (ID+I + ID 1)/2, Eq. 9-24 force-deflection curve, Eq. 9-13
Delear Required clearance between a glass compo­ Em Masonry elastic modulus
nent and the trame, Eq. 11-9 Eme Expected elastic modulus of masonry
DCR Demand-capacity ratio, computed in accor­ in compression as determined per
dance wilh Eq. 2-1 or required in Eq. 2-2 Section 7.2.2.4, Eq. 7-7
DCR Average demand-capacity ratio for a story, E, Modulus of elaslicity of reinforcement, psi,
computed in accordance with Eq. 2-2 Chapter 6
DD Design displacement, in. (mm), al the cen­ EJe Expected elastic modulus of reinforcing
ter of rigidity of lhe isolalion system in [he steel per Section 7.2.2.8
directÍon under consideration, Eqs. 9-2, F Force in an energy dissipation unit,
9-6,9-8,9-10,9-14,9-15,9-18,9-22 Eqs. 9-1, 9-20, 9-22, 9-25
D~ Design earthquake larget displacemenl, in. F- Negative force, k, in an isolator or energy
(mm), at a control node Jocated al the cen­ dissipalion unit during a single cycle 01'
ter of mass of the tirst tloor abo ve lhe iso­ prototype testing al a displacement ampli­
lation syslem in the direclion under consid­ tude of A-, Eqs. 9-12, 9-21,9-23, 9-38
eration, as prescribed by Eq. 9-10 Ft Positive force, k, in an isolator or energy
DM Maximum displacement, in. (mm), al the dissipalion unit during a single cycle of
center of rigidity oí' the isolation system in prototype testing at a displacement ampli­
lhe direclion under consideration, Eqs. 9-4, lude of á+, Eqs. 9-12, 9-21, 9-23, 9-38
9-7,9-11,9-16,9-17,9-19 Fu Factor to adjust spectral acceleration in lhe
D~ BSE-2 target displacement, in. (mm), at a short-period range for site class, Eq. 1-7
control node localed at the cenler of mass Fa Allowable axial buckling stress, Eq. 5-36
of the first t100r aboye Ihe isolation system F¡ Inertia force at tloor level i, Eq. 9-27

357
SEISMIC REHABILlTATION OP EXlSTlNG BUILDING S

Lateral load applied at floor level i, Height of the relaining wall, Eq. 4-16
Eqs. 3-12, C3-2 Moment of inertia, Eq. 6-6
m-th mode horizontal inertia force at tloor Moment of inertia of a beam, Eqs. 5-1,
level i, Eq. 9-34 5-17
Horizontal seismic force for design of a Moment of inertia of a column, Eq. 5-2
structural or nonstructural component and Moment oí' inertia of column section,
its connection to the structure, Eqs. 2-3, Eq.7-7
2-4, 2-5, 2-6, 2-7 Moment of inertia oí' most l1exible trame
Component seismic design force applied member confining infill panel, Chapler 7
horizonlally at the center 01' gravity of the Moment of inertia of gross concrete section
component or distributed according to the about centroidal axis, neglecling
mass dislribulion of the component, reinforcement, Chapter 6
Eqs.II-I, 11-2, 11-3, 11-4 Component performance factor; 1.0 shall
Component seismic design force applied be used 1'01' lhe Life Safety Nonstruclural
vertically at the center of gravÍly of lhe Performance Levcl and 1.5 shall be used
component or distributed according to the for the Immediate Occupancy
mass distribution of the component, Nonstructural Performance Level,
Eqs. 11-2, 11-5, 11-6 &ls. 11-1,11-3,11-4,11-5,11-6
Diaphragm lateral force al tloor level x, j A coefficient used in linear procedures to
Eq.3-12 estimate lhe actual forces delivered lo
Expected tensile strength, Eqs. 5-20, 5-22, force-conrrolled components by olher
5-24 (yielding) components, Eqs. 3-4, 3-19
Factor to adjust spectral acceleration at K Lenglh faclor 1'01' brace; defined in Load
1 sec for site c1ass, Eq. 1-8 and Resistance Factor Desígn Specificatioll
Design shear strength of bolts or rivets, for Structllral Steel BlIildings (LRFD)
Chapter 5 (AISC 1999), Chapler 5
F", Unfactored nominal shear strength of bolts K' Slorage sliffness as prescribed by
01' rivets given in Load and Resistance Eq.9-23
Factor Desígn Specijicatíon for Structural K" Loss slitl'ness as prescribed by Eq. 9-24
Steel Buildings (LRFD) (AISC 1999), Ko Rotational stitl'ness 01' a partially restrained
Eq.5-18 connection, Eqs. 5-15, 5-16, 5-17
Lateral load applied at 11001' level x, Effeclive rotational slitl'ness 01' Ihe founda­
Eg. 3-11, Fig, C7-2 tion, Eq' 4-14
Specified minimum yield stress l'or the lype
ol' stecl being used, Eq. 5-7 = M*( 2; y, Eq. 4-14
F, 01' a beam, Chapter 5 Flexural stiffness, Eqs. 5-27, 5-29
F,of a column, Chapter 5
K"
KDmax Maximum eftective stitl'ness, k/in., 01' the
Expected yield slrength, Eqs. 5-1 through isolation system at the design displacemenl
5-8,5-19,5-23,5-25,5-31,5-34 in lhe horizontal direction under considera­
F, of a llange, Chapler 5 tion, as prescribed by Eq. 9-14
Ú)wer-bound yield slrength, Chapler 5 KDmin Minimum effective sliffness, klin.
Soil shear modulus, Eqs. 4-6, 4-12, 4-14, (kN/mm), of the isolation system at the
Shear modulus of steel, Eqs. 5-28, 5-33 design displacement in Ihe horizontal direc­
Modulus of rigidity of wood structural tion under consideration, as prescribed by
panels, psi, Eqs, 8-2, 8-4, 8-5 Eq.9-15
Shear stitTness of shear wall or diaphragm Formal conversion factor rol' calculaling
assembly, Eqs. 8-1,8-3 LRFD reference resistance bascd on allow­
Masonry shear modulus able stress factor, Section C8.3.2.5
Shear modulus of masonry as determined EtTectivc stillness 01' the building in the
per Section 7.2,2.7 direction under consideralion, rOl' use with
Initial 01' maximum shear modulus, the NSP, Eq. 3-14
Eqs. 4-4, 4-5, 4-12 Elastic stiffness of a link beam, Eqs. 5-27,
H Horizontal load on footing, Chapter 4 5-30

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K¡ Elastic stiffness of the building in the direc­ Me Ultimate moment capacity of footing,
tion under consideration, for use with the Eq.4-8
NSP, Eq. 3-13 MCE Expected flexural strength of a member or
KMmru: Maximum effective stiffness, k/in., of the joiot, Eqs. 5-3,5-4,5-6,5-15,5-16,5-18,
isolation system at lhe maximum 5-22,5-24, 5-25, 5-26, 5-32
displacement in the horizontal direction MeE:.: Expected bending strength of a member
under consideration, as prescribed by about the x-axis, Eqs. 5-10, 5-11, 5-13, 6-1
Eq.9-16 MCEy Expected bending strength of a member
KMmin Minimum effective stitfness, k/in., of the about y-axis, Eqs. 5-10, 5-11, 5-13, 6-1
isolation system al the maximum displace­ MCLx Lower-bound tlexural slrenglh of the mem­
menl in the horizontal direction under con­ ber aboul the x-axis, Eq. 5-12
sideration, as prescribed by Eq. 9-17 MCLy Lower-bound flexural strenglh of the mem­
Ks Shear stiffness, Eqs. 5-27, 5-28 ber about the y-axis, Eq. 5-12
Ksh Horizontal spring stíffness, Chapter 4 Mees Moment acting on the slab column strip,
Kw Global stiffness of steel plate shear wall, Chapler 6
Chapler 5 Mn Nominal moment strength at section,
Kx Effective translational stiffness of the foun­ Chapler 6
dation, Eq. 4-14 Mnes Nominal moment slrenglh of the slab col­
L Lenglh of footing in plan dimension, umn strip, Chapler 6
Eqs. 4-7,4-8 Mar Total overturning moment induced on the
Length of pile in vertical dimension, element by seismic forces applied at and
Eq.4-9 aboye the level under consideralion,
Length of member along which deforma­ Eqs. 3-4, 3-5
tions are assumed to occur, Chapler 6 MpeE Expected plastic moment eapacity, Eq. 5-6
Length of wall or wall pier, Eqs. 7-3, 7-5 MST Stabilizing moment produced by dead
Diaphragm span, distanee between shear loads acting on the e1ement, Eqs. 3-4, 3-5
walls or colleetors, Eqs. 8-3, 8-4, 8-5 MUD Design moment, Chapter 6
Lb Lenglh or span of beam, Eqs. 5-6, 5-17 MUDx Design bending moment about the x-axis
Distanee between points braeed against for axial load PUF' kip-in., Eq. 6-1
lateral displaeement of the compression MUDy Design bending moment about the y-axis
flange or between points braeed to prevent for axial load PUF' kip-in., Eq. 6-1
twist of the cross sections; given in Load MUFx Bending moment in the member about the
and Resistance Factor Design Specijication x-axis, ealculated in accordance with
for Structural Steel Buildings (LRFD) Section 3.4.2.1.2, Eq. 5-12
(AISC 1999), Eq. 5-9 MUFy Bending moment in the member about the
Le Length of beam, c1ear span between y-axis, eaIculated in aeeordanee with
columns, Chapter 5 Section 3.4.2.1.2, Eq. 5-12
Lin! Length of infiII panel, Eqs. 7-10, 7-12 Mx Bending moment in a member for the
Lp The limiting unbraeed length between x-axis, Eqs. 5-10, 5-11, 5-13
points of lateral restraint for the full plaslie My Bending momeot in a member for the
moment capaeity to be effeetive; given in y-axis, Eqs. 5-10, 5-11, 5-13
Load and Resistance Factor Design Yield moment strength at seetion, Eq. 6-6
Specification for Structural Steel Buildings N Number of piles in apile group, Eq. 4-9
(LRFD) (AISC 1999), Eqs. 5-6, 5-9 N Average Standard Penetration Test (SPT)
Lr The limiting unbraced lenglh between blow eount in soil within the upper 100 ft
poinlS of lateral support beyond which e1as­ of soil, caleulated in aeeordance wilh
tic lateral torsional buekling of the beam Eq.2-8
is lhe failure mode; given in Load and (N¡)60 SPT blow counl normalized l'or an effeetive
Resistance Factor Design Speeification stress of 1 ton psf and eorreeted to an
for Structural Steel Buildings (LRFD) equivalent hammer energy efficieney of
(AISC 1999), Eq. 5-9 60%, Eq. 4-5
M Design moment at a seetion, Eq. 6-4 Nb Number ol' bolts or rivets, Eqs. 5-18, 5-22,
M* Effeetive mass for lhe first mode. Eq. 4- 14 5-24

359
SEISMIC REHABILITATION OF EXISTING BUILDINGS

N II
FaclOred axial load normal lo cross section Qo Design aClion due lO dead load, Eqs. 3-2,
occurring simultaneously with VI/' To be 3-3
laken as posilive for compression, negalive QE Design action due lo design earlhquake
for lension, and to include effects of ten­ loads, Eqs. 3-18, 3-19
sion due to creep and shrinkage, Eq. 6-4 QG Design action due to gravity loads,
P Vertical load on footing, Eq. 4-8 Eqs. 3-2, 3-3, 3-\8, 3-\9, 7-5
Axial force in a member, Eqs. 5-2, 5-4 QL Design action due to Iive load, Eqs. 3-2, 3-3
Pe Lower-hound 01' vertical compressive Qs Design action due lO snow load, Eqs. 3-2,
strength for wall or wall pier, Eqs. 7-7, 3-3
7-13 Quo Deformation-conlrolled design action due
PCE Expecled axial slrength 01' a member or lO gravity and earthquake loads, Eqs. 2-1,
joiot, Eqs. 5-19, 5-20, 5-21, 5-26 3-18,3-20
Pn Lower-bound axial strength of column, QUF Force-conlrolled design action due lo grav­
Eqs. 5- lO, 5-11, 5-\2, 5-36 ity and earlhquake loads, Eqs. 3-19, 3-21
Lower-bound axial compressive force due Qv Yield slrenglh 01' a componenl, Figs. 2-3,
to gravity loads specified in Eq. 3-4 2-5
Po Superimposed dead load al the top of Ihe Q'y SubsUtute yield strength, Fig. 2-5
wall or wall pier under consideration, R Ratio of the elastic-strenglh demand to the
Eqs. 7-\, 7-3 yield-strength coefficient, Eqs. 3-14, 3-15
PEY Probability of exceedance in Y years, Rmax Maximum strenglh ratio, Eq. 3-16
expressed as a decimal, Eq. 1-2 Rar Response moditication factor for overturn­
PI Plasticity index for soil, determined as ing momenl MOT, Eq. 3-5
lhe difference in water content 01' soil at Rp Component response modification factor
the liquid limit and plastic limit, from Table 11-2, Eq. 11-3
Section 1.6.1.4.\ RRS¡',a Ratio of response spectra factor for hase
Po Nominal axial load strength at zero eccen­ slab averaging, Eq. 4-11, Fig. 4-7
tricity, Chapter 6 RRS, Ratio 01' response spectra factor for embed­
PR Mean return period, Eq. \-2 menl, Eq. 4-12
PUF Design axial force in a member, Eqs. 5-10, SI Spcctral response acceleration parameter
5-11, 5-12 at a one-second period, oblained from
Pye Expecled yield axial slrength of a member, response acceleration maps, Eqs. 1-1, 1-3,
Eqs. 5-2, 5-4 \-5
Q Generalized force in a component, Sa Spectral response acceleration, Eqs. 1-8,
Figs. 2-3, 2-5, 5-1, 6-1, 7-1, 8-1 1-9, 1-10,3-10,3-15,3-16
Q"iloM' AIJowable bearing load specified for ¡he So Distance between n-lh pile and axis of rota­
design of deep foundations for gravity tion of apile group, Eq. 4- 10
loads (dead plus live loads) in the available Ss Spectral response acceleration parameter at
design documents, Eq. 4-2 short periods, obtained rmm response
Qc Expected bearing capacity 01' deep or shal­ acceleration maps, Eqs. 1-1,1-3,1-7
low foundation, Eqs. 4-2, 4-3, 4-7 SXI Spectral response acceleration parameter at
QCE Expected strength of a component al the a l-sec period for any Earthquake Hazard
deformation level under consideration, Level and any damping, adjusted for sile
Eqs. 2-1, 3-20,5-3 through 5-8, 5-18, 5-22, class, Eqs. 1-5, 1-10, 1-11, 1-13, 1-14,
5-24, 5-25, 5-26, 5-30, 5-31,5-32, 5-34, l 15, 1 16
5-35,7-3,7-15 Sxs Spectral response acceleration parameter at
QCE:b Expected bending strength of the beam, shorl periods for the selected Earthquake
Eq.5-14 Hazard Level and damping, adjusted for
QCL Lower-bound estimale of the strength ol' a site c1ass, and determined in accordance
component at the de1'ormation level under with Section 1.6.104 or 1.6.2.1, Eqs. 1-4,
consideration, Eqs. 3-21,5-36, 6-5, 7-4, 1-8,1-9,1-11,1-13,1 14,1-15,1-16,4-]6,
7-5,7-6,7-14 11-1, 11-3, Il-4, 11-5, 11-6
QClJ.> Lower-bound strength of the connection, T Fundamental period of the building in lhe
Eq.5-14 direction under consideralion, seconds,

360
 ASeE/S El 41-06

Eqs. 1-8, I 10, 3-6, 3-7, 3-8, 3-9, 3-10, elemenls below lhe isolalion system, as
3-11,4-10,4-11,4.12,9-29 prescribed by Eq. 9-8
Tensile load in column, Eq. 5-13 Ve Nominal shear strenglh provided by con­
Fundamenlal period of lhe building using a crete, Eq. 6-4
model with a tixed base, seconds, VCE Expected shear slrenglh 01' a member,
Eqs. 4-14, 4-15 Eqs. 5-11, 5-31,5-32,5-34
T Fundamenlal period ol' the building using a Va Lower-bound shear strenglh, Eq. 7-4
model wíth a tlexíb!e base, seconds, Vd Base shear al A", Fig. 3-1, Chapter 3
Eqs. 4-14,4-15 Vdl Lower-bound shear strength based on díag­
T/T'JJ Effective period lellglhening ralio, onal tension stress tor wall or wall pier,
Eqs. 4-13, 4-14, 4-15, Fig. 4-8 Chapler 7
To Period al which the conslanl acceleration V¡¡. Expecled slory shear slreng!h of lhe bare
regíon oí' lhe design response speclrum slee! frame taken as lhe shear capacily of
begins al a value = 0.2Ts, Eqs. 1-8, 1-12 the column, Chapter 7
TCE Expected tensile strength of column com­ Vg Shear aCling on slab critical section due to
puted in accordance with Eq. 5-8 gravity loads, Chapter 6
TD Effeclive period, in seconds, ol' the seismic­ Vi The tOlal calculated laleral shear force in
isolaled slruclure al the design the direction under consideration in an ele­
displacemenl in lhe direclion under consid­ menl or at story i due lo earlhquake
eration, as prescribed by Eq. 9-3 response to the selected ground shaking
Te Etfective fundamental period of the build­ level, as indicated by Ihe selecled linear
ing in the direction under consíderation, for analysis procedure, Eqs. 2-2
use wilh the NSP, Eqs. 3- 13, 3-14 Vine Expected shear strength of infill panel,
Effeclive fundamental period, in seconds, Eq.7-8
oí' the building slructure aboye the Vn Nominal shear strength al sectíon, Eq. 6-4,
isolation interface on a fixed base in the 6-5
direclÍon under consideration, Vo Shear slrenglh of slab al crilical section,
Eqs. 9-10, 9-1J Chapter 6
T¡ Elastic fundamental period of lhe building Vp< Panel zone shear, Chapler 5
in the direction under consideration, l'or use Vr Expected shear strength of waIl or waIl pier
wilh lhe NSP, Eq. 3-13 based on rocking shear, Eq. 7-3
TM Effeclive period, in seconds, of the seismic­ Vs Nominal shear slrenglh provided by shear
isolaled struclure al the maximum displace­ reinforcemenl, Chapler 6
men! in lhe direction under consideralion, The total lateral seismic design force or
as prescribed by Eq. 9-5 shear on elements aboye the isolation sys­
Tm m-th mode period of !he rehabilitated build­ tem, as prescribed by Section 9.2.4.402,
ing including the sliffness of the velocíty­ Eq.9-9
dependent devices, Eq. 9-35 V, Base shear in the building al the targel dis­
Ts Period al which lhe constant acceleration placement, Chapter 3
region of the design response spectrum VI" Lower-bound shear strenglh based on toe
transitions lo the constanl velocity region, compressive stress for wall oc wall pier,
Eqs. 1-8, 1-9, 1-10, 1-11, 1-12, 1-13,3-9, Chapler 7
3-14 VleSC Test load al tirst movement of a masonry
T" Secant fundamental period of a rehabili- unit, Eq. 7-2
laled building caIculaled using Eq. 3-14 bul Vu Factoced shear force al section, Chapler 6
replacing lhe etl'eclive stiffness (Ke) with Vy Yield strength of the building in !he direc­
(he secant stitTness (K,) al !he targel dis­ lion under consideralÍon, tor use with lhe
placemenl, Eq. 9-37 NSP, Eq. 3-15
V Pseudo-Ialeralload, Eqs. 3-9, 3-10 Vya Nominal shear strength of a member
Design shear force at seclion, Eq. 6-4 moditied by lhe axial load magnilude,
V* Modified equivalent base shear, Chapter 9 Chapler 5
Vó The tOlallaleral seismic design force oc W Weight of a component, calculated as spec­
shear on elements of the isolation system or ified in this standard, Chapter 2

361
SEISMIC REHABILlTATION OF EXISTING 'BUlLDlNGS

Effective seismic weight of a building, b Parameler used lo measure deformation

including total dead load and applicable capacity in component load-det'ormation
portions of other gravity loads Iisted in curves, Figs. 2-3, 5-1, 6-1
Seclion 3.3.1.3.1, Eqs. 3-9, 3-15,4-14 Shear wall length 01' width, Eqs. 8-1,
The total seismic dead load, kips (kN). For 8-2
design of the isolation syslem, W is the Diaphragm width, Eqs. 8-4, 8-5
total seismic dead-Ioad weíght of the struc­ The shortest plan dimension of the rchabili­
ture above the isolation interface, Eqs. 9-3, tated building, ft (mm), measured perpendi­
9-5 cular lo d, Eqs. 9-6, 9-7
WD Energy dissipaled in a building or element Transverse dimension of full footprint of
thereof or energy dissipation device during building foundation, Eq. 4-11
a full cyc1e of displacement, Eqs. 9-24, 9-39 ba Connection dimension, Eqs. 5-22, 5-23
Wj Work done by an energy dissipating device, bb! Beam tlange width in equations 1'or
j, in one complete cycle corresponding to beam-column connections in Sec­
tloor displacement, Eqs. 9-26, 9-28, 9-29, lions 5.5.2.4.2 and 5.5.2.4.3
9-36,9-37 be, Column tlange width in equalions 1'or
W. Maximum strain energy in a frame as cal­ beam-column connections in
culated by Eq. 9-27 Seclions 5.5.2.4.2 and 5.5.2.4.3
Wmj Work done by device j in one complete be Effective foundation size, ft, Eq. 4-11,
cyc1e corresponding to modal tloor Fig.4-7
displacemenls 8m/. Eq. 9-33 b, Flange width, Tables 5-5, 5-6, 5-7
Wmk Maximum slrain energy in lhe frame in the bll Width of rectangular glass, Eq. 11-9
m-th mode determined using Eq. 9-34 b, Connection dimension, Eqs. 5-24, 5-25
Wp Component operatíng weight. Eqs. 11-1, b. Web width, in., Eq. 6-4
11-3, 11-4, 11-5, 11-6 e Para meter used to measure residual
X Height of upper support attachment at level strenglh, Figs. 2-3, 5-\, 6-1, 7-1, 8-1,
x as measured from grade, Eq. 11-7 Chapter 4
Y Time period in years corresponding to a el Size of rectangular or equivalent rectangu­
mean return period and probability of lar column, capital, o[ bracket measured in
exceedance, Eq. 1-2 the direction of the span for which
Height of lower supporl attachment at level moments are being determined, in.,
y as measured from grade, Eq. 11-7 Section 6.5.4.3
Z Plastic section modulus, Eqs. 5-1, 5-2, 5-3, Clearance (gap) between vertical glass
5-4,5-6 edges and the trame, Eq. I 1-9
Z' Adjusted resistance for mechanical fas­ e] Clearance (gap) between horizontal glass
tener, Chapter 8 edges and the frame, Eq. 11-9
a Parameter used 10 measure deformation e, = 1.5(ejrf ) + 1, Eq. 4-14
capacily in component load-deformation d Depth 01' soil sample ror calculation of
curves, Figures 2-3, 5-1, 6-1 effective vertical stress, Eq. 4-5
Site c1ass factor, Eq. 3-14 Parameter used to measure deformation
Clear width 01' wall between verLÍcal capacity, Figs. 2-3, 5-1, 6-1, 7-1, 8-\
boundary elements, Eqs. 5-33, 5-34 Distance from extreme compression fiber
Equivalent width of infill strul, Eqs. 7-7, to centroid of tension reinforcement, in.,
7-9,7-10,7-11,7-12 Eq.6-4
Longitudinal dimension of fuJl footprint of The longest plan dimension of the rehabili­
building foundalion, Eq. 4-11 tated building, ft (mm), Eqs. 9-6, 9-7
a' Parameter used to measure deformation da Elongation 01' anchorage at end of wall
capacity in component load-deformalion determined by anchorage details and load
curve, Fig. 2-5 magnitude, Eq. 8-1
al = e,exp(4.7 - 1.6hjro), Eq. 4-14 Detlection at yield of tie-down anchorage
al = e.[25In(hjro) - ]6], Eq. 4-]4 or detlection al load level to anchorage at
al' Component amplification factor from end 01' wall determined by anchorage
Table 11-2, Eq. 11-3 details and dead load, in., Eq. 8-2

362
 ASeE/SEI 41-06

db Overall beam deplh, Eqs. 5-7, 5-8, 5-21, J, Yield strength of tension reinforcement,
5-22,5-23,5-24,5-25,5-26,5-29 Eqs. 6-2, 6-3
Nominal diameter of bar, in., Eq. 6-3 Yield strenglh of shear reinforcemenl,
d bg Depth 01' the bolt group, Table 5-5 Eq.6-4
de Column deplh, Eq. 5-5 j~e ExpeCled yield slrength of reinforcing sleel
dí Depth, 1'1, of a layer 01' soils having similar as determined in Section 7.2.2.8
properties, and located within 100ft of the g Acceleration of gravity 386.1 in./sec 2 (or
surface, Eqs. 1-6, 1-7 9,807 mm/sec2 for SI units), Eqs. 3-14,
d. Deplh to gmundwaler level, Eq. 4-5 4-14,9-2,9-3,9-4,9-5,9-30
dz Overall panel zone depth between continu­ h Period effect factor 1 + 0.15 . In Te'
ity plates, Chapter 5 Eq.3-16
e Length of eccentric braced frame (EBF) Average story height aboye and below a
link beam, Eqs. 5-28, 5-29, 5-30, 5-32 beam--column joint, Eq. 5-17
Parameter used to measure deformation Clear height of waJI between beams,
capacity, Figs. 2-3, 5-1, 6-1, 7-1, 8-1 Eqs. 5-33, 5-35
Actual eccentricity, ft (mm), measured in Distance from inside of compression tlange
plan between the center of mass of the Lo inside ol' tensionflange, Eq. 5-7
structure aboye the isolation interface and Heighl of member along which deforrna­
the center of rigidity of the isolation sys­ tions are measured, Chapter 6
tem, plus accidental eccenlricity, fL (mm), Overall thickness 01' member, in., Eq. 6-4
taken as 5% 01' the maximum building Heighl 01' a column, pilaster, or wall,
dimension perpendicular lo Lhe direction of ChapLer 7
force under consíderation, Eqs. 9-6, 9-7 Shear wall heighl, Eqs. 8-1, 8-2
Foundalion embedmenl deplh, fl, Average roof elevalion of struclure, relalive
Eqs. 4-12, 4-14, Fig. 4-8 10 grade elevation, Eq. 11-3
en Nail deformalion al yield load per nail for Effeclive struClure heighl, Eq. 4-14,
wood slrucLural panel sheathing, Eqs. 8-2, Fig.4-8
8-4,8-5 he Assumed web depLh for stability, Chapler 5
j; Fundamental frequency of Ihe building, Gross cross-sectíonal dimension of column
Eq.9-24 core measured in the direclion 01' joim
la Axial compressíve slress due to gravíty shear, in., Chapler 6
loads specitied in Eqs. 3-2, 7-5 h"", Heighl of column belween beam cenler-
Le Expectcd vertical compressive stress, lines, Eq. 7-7
Chapler 7 h"Jf Effeclive heighl of wall or wall pier com­
j~ Compressive strength of concrete, psi, ponent<; under consideralion, Eqs. 7-3, 7-5
Eqs. 6-4, 6-5 h¡ Height from the base of a building to tloor
f'e Compressive strength of concrete, psi, level i, Eqs. 3-12, 4-14, 9-9
Table 6-5 hin! Height of infill panel, Eqs. 7-7, 7-10, 7-12,
j~ Lower-bound masonry compressive 7-13,7-14
strength, Eqs. 7-5, 7-6,7-14 h" Height lo mof leve), n, Eq. 3-6
j;ne Expecled compressíve slrength 01' masonry hp Heighl of rectangular glass, Eq. 11-9
as delermined in Section 7.2.2.3 hw Height of wall or segmenl 01' waJl consid­
fpe Average compressive stress in concrete due ercd in the direction of shear force,
to effective prestress force only (afler Chapter 6
allowance for all preslress )osses), hx Heighl fmm base 10 tloor leve) x, fI,
Chapler 6 Eqs. 3-11,9-9
¡; Stress in reinforcemenl, psi, Eqs. 6-2, 6-3 k Exponent used for determining the vertical
j; Lower-bound masonry lensile strength, dislribution 01' lateral forces, Equation 3-11
Chapler 7 Coefficient uscd for calculalíon of column
L Expecled masonry tlexural tensile slrenglh shear strenglh, Chapter 6
as determined in Section 7.2.2.5 k¡ Distance from the center oí" lhe split tee
J~'ie Expected shear slrenglh of masonry infill, stem lo Ihe edge of the split tee tlange
Eq.7-8 tillel, Eq. 5-25

363
SEISMIC REHABILlTATION OF EXISTING BUILDINGS

keff Eftective stiffness of an isolator unit, as q Vertical bearing pressure, Eq. 4-8
...
prescribed by Eq. 9-12, or an energy dissi­ quilo". Allowable bearing pressure specitied in the
pation unit, as prescribed by Eq. 9-23 or available design documents for the design
9-38 of shallow foundations for gravity loads
kl¡ Horizontal seismic coefticient in soil acting (dead plus live loads), Eq. 4-1
on retaining wall, Eq. 4-16 q" Expected bearing capacity 01' shallow foun­
k" Winkler spring stiffness in overturning dalion expressed in load per unÍl area,
(rotation) 1'or pile gl'OUp, expressed as Eqs. 4-1,4-3,4-7, 4-8
moment/unit rotal ion, Eq. 4-10 qin Expected transverse strength of an inl1l1
k,,. Winkler spring stiffness in vertical direc­ panel, Eq. 7-14
lion, expressed as force/unit r Governing radius of gyration. Eq. 5-36
displacement/unit area, Eq. 4-6 ro Equivalent 1'oundation radius fOl' rotation,
Pile gl'OUp axial spring stiffness expressed Eq. 4-14, Fig. 4-8
as force/unir displacement, Eq. 4-9 rin! Diagonallength 01' in ti JI panel, Eq. 7-7
kv Shear buckling coefticient, Chapler 5 T, Equivalent foundation radius rOl' transla­
k,." Axial sti1'fness of n-th pile in apile group, tíon, Eq. 4-14, Fig. 4-8
Eq.4-10 s Spacing 01' shear Teinforcement, Eq. 6-4
lb Length of beam, Eq. 5-1 s·, Minimum separation distance between
Provided lenglh of straight development, adjacent buildings al level i. Eq. 2-8
lap splice, or standard hook, in., Eq. 6-2 Su Undrained shear slrenglh of soil, lbs/fL2,
l¡Jeff Assumed distance to intill slrut reaction Chapte.. I
point for beams, Eq. 7-11 Sil Average value of the undrained soil shear
( Length of column, Eqs. 5-2, 5-36 strenglh in the upper 100 ft oí' soil, ca1cu­
leeu Assumed distance to inlm strut Teaction lated in accordance with Eq. 1-6, Ibs/tV
poinl for columns, Eq. 7-9 t Thickness of eontinuity plate, Chapter 5
I,¡ Required lenglh 01' development for a EfTective thickness 01' wood slruclural panel
straight bar, in., Eq. 6-2 or plywood for shear, in., Eqs. 8-2, 8-4, 8-5
le Length 01' embedment of reinforcement, in., t" Thiekness 01' angle, Eqs. 5-21, 5-23
Eq.6-3 t lTj Thickness of beam nange, Chapter 5
1[> Length 01' plastic hinge used for calculation IbJ'" Thickness 01' beam wcb, Chapter 5
of inelastic deformation capacity, in., Eq. 6-6 tcl Thickness of column f1ange, Chapler 5
lw Length of entire wall or a segmenl of wall tel!' Thickness of column web, Chapter 5
considered in lhe direction of shear force, tr Thickness 01' tlange, Eqs. 5-25, 5-29
in., Chapler 6 till1 Thickness 01' inlíll panel, Eqs. 7-7, 7-13,
m Componenl demand modificalion factor 10 7-14
account ror expecled ductilily assoeiated tI' Thickness of panel zone including doubler
with this action al lhe selected Slruclural plates, Eq. 5-5
Performance Level. m-factors are specified Thickness 01' tlange plate, Eq. 5-26
in Chapters 4 lhrough 8, Eqs. 3-20, 5-9 t, Thickness 01' split tec stem, Eqs. 5-24, 5-25
me Eflective m-factor, Eq. 5-9 1,..; Thickness 01' web, Eqs. 5-7, 5-2'-)
m, Value of m-factor for the column in ten­ Thickness 01' plate wall, Eq. 5-33
sion, Eq. 5-13 Thickness 01' walI web, in., Chapler 6
mx Value of m for bending about the x-axis of tz Thickness of panel zone (doubler plales not
a member, Eqs. 5-10, 5-11, 5-13,6-1 necessarily included), Chapter 5
my Value of m for bending about lhe y-axis 01' v Maximum shear in the direclion under con­
a member, Eqs. 5-10, 5-1 1, 5- 13, 6-1 sideration, Eq. 8-5
n Total number 01' stories in lhe vertical seis­ VmL Lower-bound masonry shear slrength,
mic framing, Eq. C3-2 Eqs. 7-1,7-4
Shear wave velocity reduction factor, VIL Lower-bound bed-joint shear slrength
Eq.4-12 delined as lower 20lh percentile of V W
PD+L Gravity compressive stress al the lest loca­ Eq.7-1
tion considering actual dead plus live loads VIO Bcd-joint shear stress from single test,
in place al time of testing, Eq. 7-2 Eq.7-2

364
 .
ASCF/SEI 41-06

Shear al yield in lhe direction under consíd­ storefront, or partition, as determined in

eration in Ib/ft, Eqs. 8-1,8-2,8-3,8-4,8-5 accordance with an approved engineering
W Water content of soil, calculated as the analysis method, Eqs. 1I -10, ll-ll
ratio of the weight of water in a unít di Story displacement (drift) of story i divided
volume of soil to the weight of soil in the by the story height, Chapter 5
unit volume, expressed as a percentage, da Estimated lateral deflection of Building 1
Section 1.6.104.1 relative to the ground at level i, Eq. 2-8
Length of connection member, Eqs. 5-23, d i2 Estimated lateral detlection of Building 2
5-25 relative to the ground at level i, Eq. 2-8
Wi Portion of the effective seismic weight diO! Detlection of infill panel at mid-Iength
located on or assigned lo tloor level l, when subjected to transverse loads,
Eqs. 3-11,3-12, C3-2, 4-14, 9-9 Eq.7-13
Portion 01' the effeclive seismic weight dp Additional earth pressure on retaining wall
located on or assigned to tloor level x, due to earthquake shaking, Eq. 4-16
Eqs. 3-11,3-12, C3-2, 9-9 d, Axial deformation al expected tensile yield
Width of panel zone between column load, Section 5.6.2
tlanges, Chapter 5 d,., Average in-plane wall displacement,
x Elevation in structure of component relative Eq.3-8
to grade elevation, Eq. 11-3 dy Displacement al effective yield strength,
y The distance, ft (mm), between the center Fig. 3-1, Eq. 3-16
of rigidity of the isolalion system rigidily Generalized yield deformation, unitless,
and the element of interest, measured per­ Fig.5-1
pendicular lo the direction of seismic load­ Calculated detlection of diaphragm, shear
ing under consideration, Eqs. 9-6, 9-7 wall, or bracing element at yield, Eqs. 8-1,
Generalized deformation, Figs. 2-3, 2-5, 8-2, 8-3, 8-4, 8-5
5-1,6-1,8-1 I(dcX) Sum of individual chord-splice slip values
Total elastic and plastic displacement, on bolh sides of lhe diaphragm, each mullí­
Chapter 5 plied by ils dislance to the nearest support,
Calculated deflection of diaphragm, wall, Eqs. 8-4, 8-5
or bracing element, in., Chapter 6 IED Total energy dissipated, in.-kips, in the
Negative displacemenl amplitude, in. (mm), isolation system during a full cycle of
of an isolator or energy dissipation unit response al the design displacement, Do>
during a cyc1e of prototype testing, Eq.9-]8
Eqs. 9-12, 9-13, 9-38 IEM Total energy dissipated, in.-kips, in the iso­
Positive displacement amplitude, in. (mm), lation system during a full cycle of
of an isolator or energy dissipation unit response al the maximum displacement,
during a cyc1e of prolotype tesling, D M , Eq. 9-19
Eqs. 9-12, 9-13, 9-38 IIF+ Dlmax Sum, for all isolator units, of the maximum
Average displacement of an energy dissipa­ absolute value of force, kips (kN), at a
tion unít during a cycle of prototype positive displacement equal lo DD, Eq. 9-14
testing, equal lo (ld+1 + Id-I)/2, Eq. 9-39 IIF+ DlmiO Sum, for all isolalor units, of the mínimum
Axial deformation at expected buckling absolute value of force, kips (kN), al a
load, Section 5.6.2 positive displacement equal to DD' Eq. 9-15
Diaphragm deformation, Eqs. 3-7, 3-8 IIp Mlmax Sum, for all isolator units, of the maximum
Lesser of target displacement or displace­ absolule value of force, kips (kN), at a
ment at maxímum base shear, Fig. 3-1, positive displacement equal to DM , Eq. 9-16
Eq.3-16 IIF+ MI mi" Sum, for all isolator unils, of the mínimum
Ditferentiated displacement between Ihe absolute value of force, kips (kN), al a
top and bottom of the wall or wall pier positive displacement equal to D M , Eq. 9-17
components under consideration over a IIF- Dlmax Sum, for aU isolalor units, of the maximum
height, heff, Fig. 7-1 absolute value of force, kips (kN), al a
Relative seismic displacement (drift) caus­ negative displacement equal lo DD'
ing glass fallout from the curtain wall, Eq.9-14

365
 ..
SEISMIC REHABILlTATION OP EXISTING BUILDlNGS

¡!F-D!min Sum, for all isolator uníts, of the mínimum Etleclive damping of lhe isolation syslem
absolute value of force, kips (kN), at a al the maximum displacement, as pre­
negative displacement equal to DD, scribed by Eq. 9-19
Eq.9-15 m-lh mode damping in the building frame,
¡!F-Mlmax Sum, for aH isolator unils, of lhe maximum Eq.9-33
absolute value of force, kíps (kN), al a Unit weight, weightlunit volume (Ibs/tP or
N/m), Eq. 4-4
negalive displacement equal to D M ,
Eq.9-16 Coeflicienl for calculation of joinl shear
¡IF-Mlmín Sum, for an isolalOr units, of the minimum slrength, Eq. 6-5
absolute value of force, kips (kN), at a 'Yf Fraction of unbalanced moment transferred
negative dísplacemem equal lo DM , by flexure al sla~olumn connections,
Eq.9-17 Chapter 6
Factor equallO 0.5 for fixed-free can­ Total unit weight of soil, Eqs. 4-5, 4-16
tilevered shear wall, or 1.0 for fhed-fixed Unit weight of water, Eq. 4-5
wall pier, Eqs. 7-3, 7-5 Displacement al floor i, Eqs. 9-26,9-27.
Velocity exponent for a fluid-viscous Displacement at floor i due to lateral load
device, Eq. 9-25 F¡. Eqs. C3-2
al Positive post-yield slope ratio equallo the m-lh mode horizontal displacemenl at floor
positíve posl-yield stiffness divided by the i, Eq. 9-34
effective sti ffness, Fig. 3-], Chapter 3 m-lh relalive displacement belween lhe
az Negative post-yield slope ralio equallo the ends of device j along its axis, Eq. 9-35
negalive post-yield stiffness divided by the Relalive displacement belween the ends of
effective sliITness, Fig. 3-1, Eq. 3-17 energy dissipaling device j along the axis
ae EfTective negalive post-yield slope ratio of the device, Eqs. 9-29, 9-37
equallo the effective post-yield negative Target displacement, Fig. 3-1
stiffness divided by the effective stitTness, Defleclion at level x of Building A, deter­
Eqs. 3-]6, 3-17 mined by an elastic analysis as defined in
IXp-A Negative slope ratio caused by P-d effects, Chapter 3, Eqs. 11-7, ] 1-8
Fig. 3-1, Eq. 3-17 Deflection at level x of Building B, deter­
f3 Modal damping ratio, Chapter 1, Eqs. l 13, mined by an elastic analysis as detined in
4-13 Chapter 3, Eq. 11-8
Factor to adjusl fundamental period of the Dellection at leve] y of Building A, deler­
building, Eq. 3-6 mined by an elastic analysis as detined in
Ratio of expected frame strength, vf,., to Chapter 3, Eq. 11-7
expected intill strength, Vine' Chapter 7 Displacement multiplier, greater than 1.0,
Damping ¡nherent in the building frame lo account for the etl'ects of torsion.
(typically equal to 0.05), Eqs. 9-26, 9-28, Eq.3-1
() Generalized deformation, radians,
9-30
Effective damping ratio of the Figs. 5-1, 6-]
structure-foundation system, Eq. 4-13 Angle between intill diagonal and horizon­
Effective damping of the isolation system tal axis, tan (J híniLinj' radians, Eq. 7-7
at the design displacement, as prescribed Angle between lower edge of compressive
by Eq. 9-18 strut and beam, radians, Eqs. 7-11, 7-12
Effeclive damping of isolator unit, as pre­ Angle between lower edge ol' compressive
scribed by Eq. 9-13, or an energy dissipa­ strul and column, radians, Eqs. 7-9,
tion unit, as prescribed by Eq. 9-39; also 7-10
used for the elIeclive damping 01" the build­ Story drift ratio, radians, Chapter S
ing, as prescribed by Eqs. 9-26, 9-28, 9-30, Angle of inc1ination of energy dissipation
9-31,9-32,9-36 device, Eq. 9-30
Etlective damping in m-lh mode prescribed Generalized yield deformation, radians,
by Eq. 9-33 Fig.5-1
Foundation-soil interaction damping ratio, Yield rotation, radians, Eqs. 5-1, 5-2, 5-30,
Eq. 4-13, 4-14, Fig. 4-8 5-35,6-6

366
 ASeE/SEl 41 ~06

K A knowledge factor used to reduce compo- ACRONYMS

nent strength based on lhe level of knowl­
edge obtained for individual components AAMA American Archítectural Manufaclurers
during data collection, Eqs. 3-20, 3-21, 6-1 Association
A Near tield effect factor, Eq. 3-17 ABK Agbabian, Barnes and Kariotis Joint
Correcrion factor related to unit weight of Venture
concrete, Eq. 6-5 ACI American Concrete Institute
Al Coefficienl used 10 determine equivalent AISC American Inslitute 01' Steel Construction
width 01' infill strut, Eq. 7-7 AISI American Iron and Steel Inslitute
A2 Infill slenderness faclor, Eq. 7-14 ANSI American National Standards InstÍtute
J.L Coefticient 01' shear friction, Chapter 6 APA American Plywood Association
Expected ductilily demand, Eq. 4-15 API American Petroleum Institute
JI Poisson's ratio, Eq. 4-6,4-14 ASCE American Society of Civil Engineers
JI, Shear wave velocity in soil, ft/sec, Sec- ASHRAE American Society 01' Heating,
tion 1.6.104.1 RefrigeraLÍon and Air Conditioning
Shear wave velocity at low strains, Eq. 4-4 Engineers
Shear wave velocity for sile soil condilions ASME American Society of Mechanical
taken as average value 01' velocity to a Engineers
depth of be below foundatÍon, n/sec, ASTM American Society for Testing and
Eq.4-12 Materials
v, Average value of the soil shear wave veIoc- ATC Applied Technology Council
ity in the upper 100 ft of soil, AWS American Welding Society
caJculated in accordance with Eq. 1-6, ft/sec AWWA American Water Works Associalion
P Ratío 01' non-prestressed tension reínforce- BNC Ball and Con e System, a rolling seismic
ment, Chapter 6 isolator
Pl"'¡ Reinforcement ralio producing balanced BOCA Building OtTIcials and Code
strain conditions, Chapler 6 Administrators
Pg Total of vertical reinforcement ratio plus BRANZ Building Research Association 01' New
horizontal reinforcement ratio in a wall or Zealand
waJl pier, Chapter 7 BSE-l Basic Safety Earthquake-l
Plp Yield deformation of a link beam, Chapter 5 BSE-2 Basic Safety Earthquake-2
Pn Ratio of distributed shear reinforcement in BSO Basic Safety Objective
a plane perpendicular to the direction of the BSSC Building Seismic Safety Council
applied shear, Chapter 6 CBF Concentric Braced Frame
r' Ratio of non-preslressed compression rein- CISCA Ceilings and Interior Systems
forcement, Chapter 6 Construction Associalion
l' Reinforcement ralÍo for transverse joint CP Collapse Prevention
reinforcement, Chapter 6 CQC Complete Quadratic Combination
cr Standard deviation 01' the variatíon 01' the CRSI Concrete Reinforcing Steel Institute
material strengths, Chapter 2 CUREE California Universities for Research in
u~ Effective vertical stress, Eq. 4-5 Earthquake Engineering
cP Strength reduction factor CUSEC Central United States Earthquake
Angle 01' shearing resistance for soil, Consortium
Chapter 4 DCR Demand Capacity Ratio
CPi Modal displacement 01' floor i, Eq. 9-30 DDS Double Diagonal Sheathing
CPu First mode displacement at level i, Eq. 4-14 EBF Eccentric Braced Frame
CPrj Relative modal displacement in horizontal EDD Energy Dissipation Device
direction of energy dissipation device j, EDS Energy Dissipation System
Eq.9-30 EERC Earthquake Engineering Research Center
X A factor to calculate horizontal seismic EERI Earthquake Engineering Research
force, Fp, Eqs. 2-6, 2-7 Institute
w/ Fundamental angular frequency equal lO FEMA Federal Emergency Management
21T!/, Eq. 9-24 Agency

367
SElSMIC REHABILlTATION OF EXISTING BUILDlNGS

FPS Friction-Pendulum System, a sliding seis­ SJI Steel Joisl InslilUle

mic isolator SMACNA Sheel Melal and Air Condilioning
FR Fully Restrained ContraclOrs National Association
GFRC Glass Fiber Reinforced Concrete SMF Special Moment Frame
HDR High-Damping Rubber Bearings, an elas­ SPT Standard Penelration Test
tomeric seismic isolator SSI Soil-Struclure Interaction
HR Hazards Reduced TMS The Masonry Society
HVAC Heating, Ventilation, and Air UBC Uniform Building Code
Conditioning UCBC Uniform Code for Building Conservalion
mc International Building Code URM Unreinforced Masonry
ICBO International Conference of Building USGS United Stales Geological Survey
Otlicials WWPA Western Wood Products Association
10 Irnmediate Occupancy
LDP Linear Dynamic Procedure
LRB Low-Damping Rubber Bearings wilh a DEFINITIONS
Lead Core, an elaslorneric seismic isolator
LRFD Load and Resistance Factor Design Acceleration-Sensitive Nonstructural
LS Life Safety Component: A nonstructural component that is
LSP Linear Static Procedure sensitive to, and subject to, damage from ¡nerLial
MCE Maximum Considered Earlhquake loading.
MDOF Multi-Degree 01' Freedom System Acceptance Criteria: Limiling values 01' proper­
MEP Meehanical, Eleclrical, and Plumbing ties such as drift, strength demand, and inelastic defor­
MSJC Masonry Standards Joint Commiuee mation used to determine the acceptability of a
NAVFAC Publicalion of Ihe U.S. Department of the component at a given performance leve!.
Navy Action: An imernal moment, shear, torgue, axial
NBS Nalional Bureau oí' Standards load, deformalion, displacemenl, or rotation corre­
NCEER National Center for Earthquake spondíng to a displacement due to a structural degree
Engineering Research of freedom; designated as force- or deformalion­
NDE Nondestructive Examination controlled.
NDP Nonlinear Dynamic Procedure Active Fault: A fault for which there is an aver­
NDS Nalional Design Specitication age historie slip rate 01' 1 mm per year or more, and
NEHRP National Earthquake Hazard Reduction evidence of seismic activity within Holocene times
Program (past 11,000 years).
NFPA National Fire Protection Association Adjusted Resistance: The reference resistance
NIST National Institute of Standards and adjusted lo inelude the effects of applicable adjustmenl
Technology (formerly NBS) factors resulting from end use and other modifying
NSP Nonlinear Static Procedure faclors excluding time-effecl adjustments, which are
OMF Ordinary Moment Frame considered separately and are not incJuded.
PCI Preeast Concrete Inslitute Aspect Ratio: Ratio of height-lo-width for shear
PR Partial1y Restrained walls and span-to-width for horizontal diaphragms.
PS-# Product Standard-# Assembly: Two or more interconnected
QAP Quality Assurance Plan components.
RB Low-Damping Rubber Bearings, an elas­ Authority Having Jurisdiction: The organiza­
tomeric seismic isolalor tion, polítical subdivision, oftice, or individual Jegally
RM Reinforced Masonry charged with responsibility for administering and
SAC SEAOC, ATC, and CUREe Joim Venture enforcing the provisions of lhis standard.
SBC Southern Building Code Balloon Framing: Continuous stud framíng from
SBCCI Soulhern Building Code Congress sill to roof, with intervening tloor joists nailed to studs
Internalional and supported by a Jet-in ribbon.
SDI Sleel Deck Institule Base: The level at whieh earthguake etlects are
SDOF Single-Degree of Freedom imparted lo the building.
SEAOC SlruclUral Engineers Association of Beam: A structural member whose primary func­
California tion is lo carry loads transverse to its longitudinal axis.

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 ASeE/SEI 41-06

Bearing Wall: A walllhal supporls gravily loads for adminislering and enl'orcing the provisions of a
of al leasl 200 lbs/lineal ft from f100rs andlor roofs. legally adopted building codeo
Bed Joint: The horizonlallayer of mortar on Coefficient ofVariation: For a sample ol' data,
which a masonry unit is laido the ratio ol' the standard deviation for the sample to the
Boundary Component: A slruclural componenl mean value for the sample.
al the boundary of a shear walI or a diaphragm or al an Collar Joint: Vertical longitudinal joint belween
edge of an opening in a shear wall or a diaphragm lhal wythes of masonry or belwecn masonry wylhe and
possesses tensile and/or compressive slrength to trans­ back-up construction; can be tilled with mortar or grout.
fer lateral forces lo the laleral-force-resisting syslem. Collector: See Drag Strut.
Braced Frame: A verlicallaleral-force-resístíng Cotumn (or Beam) Jacketing: A rehabililation
elemenl consisting of vertical, horiwntal, and diagonal method in which a concrete column or beam is
componenls joined by concentric or eccenlric encased in a steel or concrele "jacket" lo strenglhen
connections. andlor repair lhe member by confining lhe concrete.
BSE- t: Basic Safely Earlhquake-l, laken as lhe Component: A part of an architeclural, mechani­
lesser of lhe ground shaking for a 1O%/50-year earth­ cal, electrical, or slruclural system of a building.
quake or Iwo-thirds of lhe BSE-2 al a site. Component, Flexible: A component, including
BSE-2: Basic Safely Earlhquake-2, taken as Ihe i!s attachments, having a fundamental period greater
ground shaking based on Ihe Maximum Considered than 0.06 seco
Earlhquake (MCE) al a site. Component, Nonstructural: An architeclural,
BSO: Basic Safety Objeclive is a Rehabilitatíon mechanical, or electricaI component ol' a building that
Objective that achieves lhe dual rehabilitation goal s of is permanently inslalled in, or is an integral parl ol', a
lhe Life Safely Building Performance Level ror the building system.
BSE-I Earthquake Hazard Level and the Collapse Component, Primary: A slmclural component
Prevention Building Performance Level for the BSE-2 that is required lO resíst seismic 1'orces in order for the
Earthquake Hazard Leve!. structure to achieve lhe selected performance leve!.
Building Occupancy: The purpose for which a Component, Rigid: A component, including ílS
building, or part (hereof, is used or in tended to be attachmenls, having a fundamental period less than or
used, designated in accordance with lhe applicable equaJ lo 0.06 seco
building codeo Component, Secondary: A structural componenl
Building Performance Level: A Iimiting damage that is not required lo resisl seismic force s in order for
stale for a building, considering structural and non­ lhe slructure to achíeve lhe selected performance leveJ.
slructural components, used in lhe definition of Component, Structural: A component of a
Rehabilitation Objectives. building Ihat provides gravity- or lateral-load resis­
Cast Iron: A hard, brittle, nonmalleable iron­ tance as par! of a continuous load path 10 the founda­
carbon alloy containing 2.0% lo 4.5% carbono Shapes lion, including beams, columns, slabs, braces, walls,
are obtained by reducing iron ore in a blast furnace, waIl piers, coupling beams, and connections; desig­
forming il into bars (or pigs), and remelting and cast­ nated as primary or secondary.
ing il into its tinal formo Composite Masonry Wall: Multi-wythe masonry
Cavity Wall: A masonry wall wilh an ajr space wall acting with composite aClion.
between wylhes. Composite Panel: A structuraI panel composed
Chord: See Diaphragm Chord. 01' thín wood strands or wafers bonded together with
Clay Tile Masonry: Masonry conslructed wilh exterior adhesive.
hollow units made 01' c1ay lile. ConcentrÍc Braced Frame: Braced trame ele­
Clay-Unit Masonry: Masonry constructed wilh menl in which component worklines inlersecl al a sin­
sol id, cored, or holJow units made of c1ay; can be gle point or al muItiple points such that Ihe dislance
ungrouted or grouted. belween íntersecling worklines (or eccenlricity) is less
Closed Stirrups or Ties: Transverse reinforce­ lhan or equal lo Ihe width of Ihe smallest component
ment defined in Chapter 7 of ACI 318 (ACI 2002) connecled al lhe joint.
consisting of standard stirrups or lies with 90-degree Concrete Masonry: Masonry conslrucled with
hooks and lap splices in a pauern that endoses longi­ solid or hollow units made ol' concrete; can be
tudinal reinforcemenl. ungrouled or grouted.
Code Official: The individual representing a local Condition of Service: The environmenl lo which
jurisdiclion who is legally ¡;harged with responsibility lhe slruclure will be subjecled.

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 SEISM1C REHABILlTAT10N OF EXISTING BU1LDlNGS

Connection: A link thal transmits actions from Demand: The amount of force 01' deformalion
one component or element to another component or imposed on an elemenl 01' component.
elemenl, calegorized by type of action (momenl, shear, Design Displacement: The design earthquake
or axial). displacement of an isolation 01' energy dissipation sys­
Connection Hardware: Proprielary or cuslom­ tem, or elements lhereof, excluding additional dis­
fabricaled body of a componenl Ihal is used lo link placemem due lo actual and accidental lorsion.
wood componenls. Design Earthquake: A user-specilied earthquake
Connectors: Nails, screws, lags, bohs, split rings, for the design of a building having ground shaking cri­
shear plales, headed sluds, and we1ds used lo link leria descl'ibed in Chapler l.
components lo other components. Design Resistance (Force or Moment, as appro­
Contents: Movable items wilhin the building priate): Resislance provided by member or connec­
introduced by lhe owner or occupants, weíghing tion; the product of adjusted resistance, the resistance
400 lbs or more. faclor, and time-effecl factor.
Continuity Plates: CoJumn stiffeners allhe 10p Diagonal Bracing: Inclined components designcd
and boltom 01' a panel zone. to carry axial load, enabling a structural frame lo act
Control Node: A nodc located al Ihe cenler of as a truss lo resist laleral forces.
mass al lhe roof 01' a building used in (he Nonlinear Diaphragm: A horizontal (01' nearly horizonlal)

I
Stalic Procedure (NSP) lO measure lhe effecls 01' earth­ slruclural e1ement used to transfer inertial lateral
quake shaking on a building. fOl'ces lo vertical elements 01' the lateral-torce-resisting
Corrective Measure: Any modificalion of a com­ system.
ponenl or element, or the struclure as a whole, implc­ Diaphragm Chord: A boundary component per­
mented lo improve building performance. pendicular lO lhe applied load (hal is provided lo resist
Coupling Beam: A component lhal lies or tensíon or compressíon due to lhe díaphragm momen!.
couples adjacenl shear walls acting in the same Diaphragm ColJector: A componenl parallel lo
plane. _ lhe applied load lhat is provided lo Iransfcr laleral
Cripple Studs: Shorl studs belween a header and forces in the diaphragm lo vertical elcments 01' lhe
lop plale al openings in waIl framing, or studs belween laleral-force-resisting system.
the base and si1l of an opening. Diaphragm Ratio: See Aspect Ratio.
Cripple Wall: Short wall between Ihe foundalÍon Diaphragm Strut: See Diaphragm Tie.
and first 1100r framing. Diaphragm Tie: A component paralleJ to the
Critical Actiom TIle component aClion lhal applied load lhal ís provided lo lransfer wall anchor­
reaches ils elaslic limil at lhe lowest leve) of laleral age or diaphragm inertial forces within or across the
detlcclion or loading of Ihe SlrUClure. diaphragm. Also caBed diaphragm strut.
Cross Tie: A componenl Ihal spans Ihe width of DitTerentiaJ Compaction: An eanhquake-induced
lhe diaphragm and delivers out-of-plane wall torces process in which soils become more compact and set­
over the ful1 depth 01' lhe diaphragm. tle in a nonuniform manner across asile.
Decay: Decomposition of wood caused by action Dimensioned Lumber: Lumber from nominal 2
of wood-deslroying 1'ungi. The lerm "dry rol" is used through 4 inches thick and nominal 2 or more inches
inlerchangeably with decay. wide.
Decking: Solid sawn lumber or glue-Iaminaled Displacement-Dependel1t Energy Dissipation
decking, nominally 2 lo 4 in. thick and 4 or more in. Devices: Devices having mechanical properties such
wide. Decking shalI be longue-and-groove or con­ thal Ihe force in lhe device is related to lhe reJalive
neCled at longitudinal joints wilh nails or metal clips. displacement in lhe device.
Deep Foundation: Driven piles made of stee1, Displacement Restraint System: Colleclion 01'
concrele, or wood, or cast-in-place concrele piers or structural components and elements that limil lateral
drilled shafts of concrete. displacement of seismically-iso)ated buildings during
Deformability: The ratio 01' lhe ultimale deforma­ the BSE-2.
lion lo lhe Iimil deformalion. Dowel-Bearing Strength: The maximum com­
Deformation-Sensitive Nonstructural pression strength oí' wood or wood-bascd products
Component: A nonstruclural component Ihat is when subjected to bearing by a steel dowel or bolt of
sensitive to deformalion imposed by lhe drift or specitic diameler.
deformalion of the slructure, including detlection Dowel-Type Fastel1ers: Bolts, lag screws, wood
or deformation of diaphragms. screws, nails. and spikes.

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 ASCElSEl41-06

Dressed Size: The dimensions of lumber after Foundation System: An assembly of structural
surfacing with a planing machi ne. components, located at the soil-struclure interface,
Dry Rot: See Decay. Ihat transfer loads from the superstructure into the sup­
Dry Service: Structures wherein the maximum porting soil.
equilibrium moisture content does not exceed 19%. Fundamental Perlod: The longest natural period
Earlhquake Hazard Level: Ground shaking of the building in the direction under consideration.
demands of specitied severity, developed on either a Gauge or Row Spacing: The center-to-center dis­
probabilistic or deterministic basis. tance between fastener rows or gauge lines.
Eccentrlc Braced Frame: Braced frame element Glulam Beam: Shortened term for glue­
in which component worklines do not intersect at a laminated beam, which is a wood-based component
single point and the distance between the interseeting made up of layers of wood bonded with adhesive.
worklines (or eccentrieity) exceeds the width of the Good Condition: Masonry found during eondi­
smallest component connecting at the joint. tion assessment to have mortar and units intact and no
Edge Distance: The distance from the edge of the visible cracking.
member to the center of the nearest fastener. Grade: The c1assification of lumber with regard
EtTective Damping: The value of equivalent vis­ lo slrength and utility, in accordance with the grading
cous damping corresponding to the energy dissipated rules of an approved agency.
by the building, or element thereof, during a cycle of Grading Rules: Systematic and standardized cri­
response. teria for rating the quality of wood products.
EtTective Stiffness: The value of the lateral force Gypsum Wallboard or Drywall: An interior wall
in the building, or an element thereof, divided by the surface sheathing material; can sometimes be consid­
corresponding lateral displacement. ered for resistíng lateral forces.
EtTective Void Ratio: Ratio of collar joint area Head Joint: Vertical mortar joint placed between
without mortar to the total area of the collar joint. masonry units in the same wythe.
Element: An assembly of slructural componenls High-Deformability Component: A component
that act together in resisting forces, incJuding gravily whose deformability is not less than 3.5 when subjected
frames, moment-resisting frames, braced frames, shear to four fuJly reversed cycles al the limít deformation.
walls, and diaphragms. Hollow Masonry Unit: A masonry unit with net
Energy Dissipation Device: Non-gravity-Ioad­ cross-sectional area in every plane parallel to the beat­
supporting element designed to dissipate energy in a ing surface less than 75% of the gross cross-sectional
stable manner during repeated cycles of earthquake area in (he same planeo
demando Hoops: Transverse reinforcement defined in
Energy Dissipation System: Complete colIection Chapter 21 of ACI 318 (ACI 2002) consisting of
of all energy dissipation devices, their supporting closed tíes with 135-degree hooks embedded into the
framing, and connections. core and no lap spliees.
Expected Strength: The mean value of resislance Infill: A panel of masonry placed within a steel or
of a component at the deformation level anticipated concrete frame. Panel s separated from the surrounding
for a population of similar components, incJuding con­ frame by a gap are termed "isolated infills." Panels
sideration of the variability in material strength as wells that are in full contact with a frame around its fulI
as strain-hardening and plastic section development perimeter are tenned "shear infills."
Fair Condition: Masonry found during condition In-Plane Wall: See Shear Wall.
assessment to have mortar and units intact but with Isolation Interface: The boundary between the
minor cracking. upper portion of the structure (superstructure), which
Fault: Plane or zone along which earth materials ís isolated, and the lower portion of the structure,
on opposite sides have moved differentially in which is assumed to move rigidly with the ground.
response to tectonic forces. Isolation System: The coIlection of structural
Flexible Connection: A link between components components that ¡neludes all individual isolator units,
that permits rotational andlor translational movement all structural components that transfer force between
without degradation of performance, including universal components of the isolation system, and all connec­
joints, bellows expansion joints, and tlexible metal hose. tions to other structural components. The isolation
Flexible Diaphragm: A diaphragm with horizon­ system al so ineludes the wind-restraint system, if such
tal deformation along its length more than twice the a syslem is used to meet the design requirements of
average story drift. Ihis section.

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SElSMIC REHABILlTATION OF EXISTING BUILDINGS

Isolator Unit: A horizontally t1exible and verti­ are generated in the structure to the foundation and,
calIy stiff structural component of the isolation system ultimately, the supporting soil.
that permits large lateral deformations under seismic Load Sharing: The load redistribution mecha­
load. An isolator unit shall be used either as part of or nism among paralIel components constrained to
in addition to the weight-supporting system of the detlcct together.
building. Load/Slip Constant: The ratio of the applied
Joint: An area where ends, surfaces, or edges of load to a connection and the resulting lateral deforma­
two or more componenls are attached; categorized by tion of the connection in the direction of the applied
type oí" fastener or weld used and method of force load.
transfer. Low-Deformability Component: A component
King Stud: Full-height studs adjacent to openings whose detormability is 1.5 or less.
that provide out-of-plane stability to cripple studs at Lower-Bound Strength: The mean minus one
openings. standard deviation of the yield strengths, Q}, for a
Knee Joint: A joint that in the direction of fram­ population of similar components.
ing has one column and one beam. Lumber: The product 01' the sawmill and planing
Landslide: A down-slope mass movement of mili, usually not further manufactured other than by
earth resulting from any cause. sawing, resawing, passing lengthwise through a stan­
Lateral-Force-Resisting System: Those elements dard planing machine, crosscutting lo lenglh, and
of the structure that provide its basic lateral strength matching.
and stiffness. Masonry: The assemblage of masonry units, mor­
Light Framing: Repetilive framing with small, tar, and possibly graut and/or reínforcement; c1assifíed
uniformly spaced members. with respecl 10 the Iype 01' masonry unit, including
Lightweight Concrete: Structural concrete that clay-unít masonry, concrete masonry, or hollow-c1ay
has an air-dry unit weight not exceeding 115 pcf. tile masonry.
Limit Deformation: Two times the initial defor­ Mat-Formed Panel: A structural panel manufac­
mation that occurs at a load equal lo 40% of the maxi­ tu red in a mat-tormed process including oriented
mum strength. strand board and waferboard.
Limited-DeformabiUty Component: A compo­ Maximum Considered Earthquake (MCE): An
nent that is neither a low-deformability nor a high­ extreme earthquake hazard level delined by MCE
det{)fmability component. maps which are based on a combination of mean
Link Beam: A component between points of 2%150-year probabilistic spectra and 150% 01' median
eccentrically connected members in an eccentric deterministic spectra at a given site.
braced frame element. Maximum Displacement: The maximum earth­
Link Intermediate Web Stiffeners: Vertical web quake dísplacement 01' an isolation or energy dissipa­
stiffeners placed within a link. tion system, or elements thereo1', cxc\uding additional
Link Rotation Angle: Angle of plastic rotation displacement due to actual or accidental !Orsion.
between the link and the beam outside of the link, Mean Returo Period: The average period of
derived using the specified base shear, V. lime, in years, betwecn lhe expected occurrences 01' an
Liquefaction: An earthquake-induced process in earthquake of specilied severity.
which saturated, loose, granular soils lose shear Model Building Type: One of the common build­
strength and liquel'y as a result ol' increase in pore­ ing types Jistcd and described in Table 10-2.
water pressure during earthquake shaking. Moisture Content: The weight of the water in
Load and Resistance Factor Design: A method wood expressed as a percentage of the weight of the
01' proportioning structural components (members, oven-dried wood.
connectors, connections, and assemblages) using load Moment Frame: A building framc systcm in
factors and strength reduction factors such that no which seismic shear forces are resisted by shear and
applicable limit state is exceeded when the structure is tlexure in members and joints ol' the framc.
subjected to all design load combinations. Narrow Wood Shear Wall: Wood shear walls
Load Duration: The period of conlinuous appli­ Wilh an aspect ratio (height-Io-width) greater than 2: ].
cation ol' a given load, or the cumulative period of inter­ Nominal Size: The approximate rough-sawn com­
miUent applications of load. See Time-Effect Factor. mercial size by which lumber products are known and
Load Path: A path through which seismic forces sold in the market. Actual rough-sawn sizes vary 1'rom
are delivered from the point at which inertial torces nominal. Re1'ercnce to standards or grade rules is

372
 ASCFJSEI 41-06

required to determine nominal to actual finished size Particleboard: A panel manufactured from small
relationships, which have changed over time. pieces of wood, hemp, and tlax, bonded with synthetic
Nominal Strengtb: The capacily of a slructure or or organic binders, and pressed inlo nat sheets.
componen( to resist the effects of loads, as determined Perforated Wall or In611 Panel: A walI or panel
by (l) computations using specified material strengths not meeting the requirements for a solid waIl or intill
and dimensions, and formulas derived from accepted panel.
principies of structural mechanics; 01' (2) fieId tests or Pitcb or Spacing: The longitudinal centel'-to­
Iaboratory tests of scaled models, allowing fol' model­ cenler distance between any two conseculive holes or
ing effects and differences between laboratory and fasteners in a row.
field conditions. Platform Framing: ConstruclÍon method in
Nonbearing Wall: A wall that SUppOrlS gravity which stud walls are constructed one floor al a Lime,
loads less than 200 lbs/lineal f1. with a tloor or roof joiSI bearing on top of the wall
Noncompact Member: A steel section that has framing at each level.
width-lo-lhickness ratios exceeding the limiting values Ply: A single sheet of veneer, or several slrips laid
for compactness specilied in Load and Resistance with adjoining edges Ihal form one veneer lamina in a
Factor Desigll Specijication for Structural Steel glued plywood panel.
Buildings (LRFD)(AISC 1999). Plywood: A structural panel composed oí' plies of
Noncomposite Masonry Wall: Multi-wythe wood veneer arranged in cross-aligned layers bonded
masonry wall acting without composite action. with adhesive cured upon application of heat and
Nonstructural Component: See Component, pressure.
Nonstructural. Pole: A round timber of any size or length, usu­
Nonstructural Performance Level: A limiting alIy used with Ihe larger end in the ground.
damage stale for nonstructural building components Pole Structure: A structure framed wilh generally
used lO define Rehabilitation Objeclives. round, continuous poi es that provide Ihe primary verti­
Ordinary Moment Frame: A moment frame sys­ cal frame and lateral-Ioad-resisting system.
tem that meets the requirements for Ordinary Moment Poor CondUion: Masonry found during condition
Frames as defined in seismic provisions for new con­ assessmenl lo have degraded mortar, degraded
struction in AISC 341, Seismic Provisions. Chapter 5 masonry units, or significant cracking.
(AISC 2002) . Pounding: The action of two adjacent buildings
Oriented Strand Board: A structural panel com­ coming Ínlo contacl with each other during earthquake
posed of thin, elongated wood strands with surface excitalion as a resull of their close proximity and dif­
layers arranged in the long panel direction and core ferences in dynamíc response characteristics.
layers arranged in the cross-panel direction. Preservative: A chemical that, when suitably
Out-of-Plane Wall: A wall (hat resists lateral applied to wood, makes Ihe wood resistant to auack by
forces applied normal lO its plane. fungí, insects, marine borers, or weather conditions.
Overtuming: Behavior that results when the Pressure-Preservative-Treated Wood: Wood
moment produced at the base ol' verticallateral-force­ products pressure-trealed by an approved process and
resisting elements is larger than the resistance pro­ preservalive.
vided by the building weight and Ihe foundation resist­ Primary Component: See Component,
ance to uplif1. Primary.
Panel: A sheet-type wood product. Primary (Strong) Panel Axis: The direction that
Panel Rigidity or Stiffness: The in-plane shear coincides with the length of the panel.
rigidity of a panel; the product of panel thickness and Probability of Exceedance: The chance,
modulus of rigidity. expressed as a percentage (%). that a more severe
Panel Sbear: Shear stress acting through the event will occur within a specitied period, expressed in
panel thickness. number of years.
Panel Zone: Area of a column at a beam-to­ Puncbed Metal Plate: A light sleeI pIale fastener
column connection delineated by beam and column with punched teeth of various shapes and configura­
tlanges. tions that are pressed into wood members (() effect
Parapet: Portions of a wall exlending above the force transfer.
rool' diaphragm. P-A EtTect: The secondary effect of vertical loads
Partially Grouted Masonry Wall: A masonry and lateral defleclion on the shears and moments in
wall containing grout in sorne of the cells. various components of a struclure.

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SEJSMJC REHABJUTATION OF EXISTING BUILDJNGS

Redundancy: The quality of having alternative Row oí Fasteners: Two or more fasteners aligned
load paths in a structure by which lateral force s can be with Ihe direction of load.
transferred, allowing the structure to remain slable fol­ Running Bond: A patlern 01' masonry where lhe
lowing the 1'ailure of any single element. head joints are staggered between adjacent courses by
Re-Entrant Corner: Plan irregularity in a at least one-quarter of lhe length of a masonry uní!.
diaphragm, such as an extending wing, plan inset, or Scragging: The process of subjecting an elas­
E-, T-, X-, or L-shaped contiguration, where large ten­ tomeric bearing to one or more cycles of large­
sile and compressive 1'orces can develop. amplitude displacement.
Rehabilitation Measures: Modifications to exist­ Seasoned Lumber: Lumber that has been dried
ing components, or installation of new components, either by open-air drying within lhe limiLs of moislure
that correct deficiencies identified in a seismic evalua­ contenls attainable by this method, or by controlled air
tion as part 01' a scheme to rehabilitate a building to drying.
achieve a selected Rehabilitation Objective. Secondary Component: See Component,
Rehabilitation Method: One or more procedures Secondary.
and strategies for improving the seismic performance Seismic Evaluation: An approved process or
oí' existíng buildings. methodology of evalualing deficiencies in a building
Rehabilitation Objective: One or more rehabili­ which prevent the building from achieving a selecled
tatíon goals, each goal consistíng 01' the selection of a Rchabilitalion Objective.
target Building Performance Level and an Earthquake ShalIow Foundation: lsolated or continuous­
Hazard Level. spread footings or mats.
Rehabilitation Strategy: A technical approach Shear Wall: A wall that resists lateral torces
1'or developing rehabilitation measures for a building applied parallel with its plane. Also known as an
to improve seismic performance. in-plane wall.
Reinforced Masonry Wall: A masonry wall with Sheathing: Lumber or panel products Ihal are
the following mínimum amounts of vertical and hori­ attached to parallel framing members, typically form­
zontal reinforcement: vertical reinforcement 01' at leasl ing wall, tloor, ceiling, or roof surfaces.
0.20 in. 2 in cross section at each corner or end, at each Short Captive Column: A column with a height­
side of each opening, and at a maximum spacing of to-deplh ralio less than 75% of the nominal height-to­
4 ft throughout. Horizontal reinforcement of at least depth ratios of the typical columns al thal leve!.
0.20 in. 2 in cross section at the top oí' the wall, at the Shrinkage: Reduction in the dimensions of wood
top and bottom 01' walI openings, al structurally con­ due lo a decrease of moisture content.
nected rool' and lloor openings, and al a maximum Simplified NSP Analysis: A nonlinear slatic
spacíng of 10 fl. analysis in which only primary lateral-force-resisting
Repointing: A method of repairing cracked or elemenls are modeled, and component degradation is
deteriorating mortar joinls in which ¡he damaged or not explicitly mode!ed.
deteriorated mortar is removed and the joints are Simplified Rehabilitation Method: An approach
retilled wíth new mortar. applicable to certain types of buildings and Rehabilita­
Required Member Resistance (or Required tion Objectives in which an analysis of the response of
Strength): Action on a component or connec­ lhe entire building lo earlhquake hazards is not required.
tion, determined by structural analysis, resulting Slip-Critical Joint: A bolted joint in which slip
from the 1'actored loads and the critical load resislance of the connection is required.
combinations. Solid Masonry Unit: A masonry unit with net
Resistance: The capacily of a structure, compo­ cross-sectional area in every plane parallel lo the bear­
nent, or connection to resÍst the etIects of loads. ing surface equal to 75% 01' more of the gross cross­
Resistance Factor: A reduction factor applied to sectional area in the same plane.
member resístance thal accounts for unavoidable devi­ Solid Wall or Solid Infill Panel: A wall or íntill
ations of the actual strength from the nominal value panel wilh openings nol exceeding 5% of the waIl sur­
and for the manner and consequences of failure. face area. The maximum lenglh or height of an open­
Rigid Diaphragm: A diaphragm with horizontal ing in a solid wall must not exceed \0% 01' the wall
deformalion along ils length less than half the average width or story heighl. Openings in a sol id wall or intill
slory drift as specitied in Section 3.2.4. panel must be located wÍlhin the middle 50% of a wall
Rough Lumber: Lumber as it comes from the length and slory height, and must not be comiguous
saw prior lo any dressing operation. with adjacent openings.

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 ASCElSEI41-06

Special Momeot Frame (SMF): A moment Target Displacemeot: An estimate of the maxi­
trame system that meets the special requirements mum expecled displacemenl of Ihe roof oí" a building
for trames as defined in seismic provisions for new caIculaled for Ihe design earthquake.
construction. Tie: See Drag Strut.
Stack Bood: A placement of masonry units such Tie-Dowo: A device used lO resisl upli1'l of the
Lhat the head joinLs in successive courses are aligned chords of shear wal!s.
vertical!y. Tie-Down System: For seismically isolated struc­
Stirt' Diapbragm: A diaphragm lhat is neílher tures, the collection of slfuclural connections, compo­
flexible nor rígido nenlS, and elements thal provide reslraint against uplift
Storage Racks: Industrial pallet racks, movable of lhe structure aboye lhe isolalion system.
shelf racks, and stacker racks made of cold-formed or Timber: Lumber 01' nominal cross-section dimen­
hOI-roUed struclural members. Does not inelude other sions of 5 in. or more.
types of racks such as drive-in and drive-through Time-Effect Factor: A factor applied lo adjusled
racks, cantilever wall-hung racks, portable racks, or resistance to accounl for effects of duration of load.
racks made of materials other than steel. (See Load Duration.)
Story: The portion of a structure belween the 10pS Total Design Displacement: The design eartb­
of two successive finished tloor surfaces and, for the quake displacemem 01' an isolalion or energy dissipation
lOp-mosl story, from lhe top of the tloor finish to lhe system, or componenls thereof, incIuding additional
top of the roof structura) elemenl. displacement due lo aclual and accidenlal torsion.
Strengtb: The maximum axial force, shear Total Maximum Displacement: The maximum
force, or moment Lhal can be resisted by a earthquake displacement of an isolalion or energy dissi­
componenl. pation syslem, or components lhereof, incIuding addi­
Stress Resultant! The nel axial t'Orce, shear, or lional displacement due to actual and accidental torsioo.
bending moment imposed on a cross section of a Transverse Wall: A wall thal is oriented trans­
slructural componen!. verse lo in-plane shear waIls, and resisls lateral fon::es
Strong-Back System: A secondary system, such applied normal lo ils planeo AIso known as an oul-of­
as a frame, commonly used to provide oUl-of-plane plane wall.
support for an unreínforced or under-reínt'Orced Unreinforced Masonry (URM) Wall: A masoory
masonry wall. wall conlaining less lhan (he minimum amounts of
Strong Columo-Weak Beam: A connection reint'Orcemenl as defined for reinforced masonry walls;
where lhe capacity of the column in any momenl assumed 10 resiSl gravjly and laleralloads solely
frame joint is greater Ihan that of the beams, ensuring Ihrough resistance of the masonry materials.
inelastic action in lhe beams. V-Braced Frame: A concenlric braced frame
Strudural Component: See Component, (CBF) in which a pajr al' diagonal braces localed
Structural. eilher aboye or below a beam is connected to a single
Structural Peñormance Level: A límiting struc­ point wiLhin lhe clear beam span.
(ural damage state; used in the definilíon of Rehabili­ Velocity-Dependent Energy Dissipation
tation Objectives. Devices: Devices having mechanical characlerislics
Structural Peñormance Range: A range of such thal the force in the device is dependenl on lhe
slructural damage staLes; used in the detinition of relative velocily in the devÍce.
Rehabilitation Objectives. Veneer: A masonry wylhe lhat provides lhe exle­
Structural System: An assemblage of struclural rior finish of a wall system and transfers oUl-of-plane
componenls Ihat are joined together 10 provide regular load directly lo a backing, but Ís nol considered lo add
inleraction or inlerdependence. load-resisling capacily lo the wall system.
Stud: Vertical framing member in interior or Vertical Irregularity: A disconlÍnuity of slrength,
exterior walls 01' a building. sliffness, geometry, or mass in one slory wÍlh respect
Subassembly: A porlion oí" an assembly. lo adjacenl stories.
Sub-Diapbragm: A portion 01' a larger diaphragm Waferboard: A non-veneered slruclural panel
used lo dislribule loads belween members. manufactured 1'rom 2- to 3-in. i1akes or wafers bonded
Systematic Rebabilitation Metbod: An approach together with a phenolic resin and pressed inlo sheet
lo rehabililation in which complele analysis of the panels.
response of Ihe building lo earthquake hazards is Wall Pier: Vertical porlion of a wall between Iwo
performed. horizonlally adjacent openings.

375
SEISMIC REHABILlTATION OF EXISTING BUlLDINGS

Wind-Restraint System: The collection of struc­ American Society of Civil Engineers (ASCE).
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385
 INDEX
acceJeration, vertical. See vertical seismic effects adhered veneer, 329
acceleration-sensitive nonstructural components, adjacent buildings or activity, 30-31, 295-296
320-321 aesthetic features of building, 6
acceleration time hislOries, 28, 67, 73 air-bag tests (masonry), 205
acceptance criteria for Rehabilitatíon Objective, alarm systems. See fire alarm systems
34,38-42 alternative construction methods, 52-53
alternalive (experimental data), 50-53 alternative materials, 52-53
building analysis procedures, 73-75 alternative modeling parameters, 50-53
concrete components: cast-in-place alternative radonal building analysís procedures, 38
diaphragms, 193; rrames with analysis procedures, 2, 34-42
concrete infills, 174, 176, 178; frames acceptance criteria, in general, 73-75. See
with masonry infills, 176-177; post-ten­ also acceptance criteria for
sioned beam-column moment frames, Rehabilitation Objective
167; precast concrete frames, 170; pre­ concrete. See concrete components
cast diaphragms, 194; reinforced beam­ energy dissipation systems, 280-284
column moment frames, 160-166; shear linear. See linear analysis procedures
walls, 183-187; shear walls, precast, masonry. See entríes at masonry
190; slab-column moment frames, nonlinear. See nonlinear analysis
170-171 procedures
energy dissipation systems, 283, 284, seismic isolation systems, 266-273,
287 269-271
foundation soil of buildings, 95-96 selection of, 54
masonry, 207; infills, 219-220, 222; rein­ steeL See steel components
torced walls, 213-215; unreinforced wood and Iight metal, 233-236, 242
walls,211-212 anchorage
nonstructural components, 318-319; archi­ to masonry walls, 22-23
tectura!, 329-338; furnishings and inte­ stecl to concrete, 108
rior equipment, 346-350; mechanical, walls to diaphragms, 46-47
electrical, and plumbing, 338-346 anchorage to foundatíon, 309
seismic isolation systems, 277 anchored veneer, 329-330
steel components, 109-111, l 14-116; appendages. See parapets and ornamentatíon
braced frames (concentric), 130-131; archaeological significance. See historie or
braced trames (eccentric), 132; cast or archaeological significance considerations
wrought iron, 143; diaphragms, 111, archaic diaphragms, 140-141
136-142; FR moment frames, 108, archaic stee1 components, 105
119-124; pile foundations, 142; plate arching action (masonry), 212, 221-222
sheer walls, lll, 116, 134; PR moment architectural components, 311-350. See also
frames, 128-129 nonstructural components; specific component
wood and light metal framing, 232-233, by name
234, 242-243; foundation, 257-258; acceleralion- and deformation-sensilive
other wood elements, 258-259; shear components, 320-321
walls, 241-244, 248; sheathing, component evaluation, 318-319
241-244,247-249,253-257 condition assessment, 312-313
accidental torsional moment at a story, 55-56 evalua(Íon procedures, 32]-327
acronyms, dictionary of, 365-366 historical significance considerations,
active geologic fau1ts, 77 313-318
mitigation schemes, 82 impact of rehabilitalion, 353
active rehabilitation programs, 351, 352 nonstructural, 16,314,329-338
active seismic systems, 260 rehabilitation objectives, 319-320
actual torsional moment at a story, 55-56 rehabilitation procedures, 327
adequacy. See acceptance criteria for seismic hazards, 316
Rehabilitatíon Objective structural-nonstructural consideralions, 320

387
SElSMIC REHABILlTATION OF EXISTING BUILDlNGS

art objects, 18 boIted end plate connections, 110, I 15, 128

as-buiJt information, 7, 29-33 boIted tlange pIate connections, 110,115, 128
experiments on slruclural subassemblies, boIts. See connections, wood and light metal
50--52 framing
investigation. See destructive examination; bond strength
nondestructive examinalion repointing of masonry walls, 209-210
requirements for collection 01',31-33 steel and concrete, 157. See a/so reinforeing
steel components, 100-\07 steel
ASeE 31 deficiency reference numbers, 303-306 book shelves and bookcases, 18, 3 I 5, 346-347
aspecl ratio of wood walls, 236 boundary component details, 300
attachment. See connections braced frames (concrete), /91-192
attachments ror nonstructural components, 328 Structural Performance Levels, 12
authorities having jurisdiction braced frames (steel), 290
construction qualily assurance, 49 correcting lorsional irregularities, 43
responsibilities of, 2 deformation- and force-controlled actions,
axial capacily of pi les, 95 40
axialloads foundution dumping SSI effects, 99
on concrete components, 154-156, 179 global stiffening or strengthening, 43
on seismic isolators, 267 símplifíed rehabilitation, 306-307
Steel Braced Frame building type, 290, 294
backbone curve, experimental data, 51, 53 steel, rehabilitulion of, 129- I 33
bare metal deck diaphragms, 135- J36 Slructural Performance Levels, 12
bars, reinforcing. See reinforcing steel braced horizontal wood diaphragms, 251, 252,
base-isolated structures, nonstructural components 257,258
and, 320 braced masonry walls, 210
base slab averaging, 97 bracíng nonstructural components, 328
Basic Safety Objective. See BSO BSE-I Earthquake Hazard Level, 8-9
baner piles and piers, 197 seismic isolation systems, 269
beam-column concrete moment frames. See a/so simplified rehabilitation and, 288
moment frames (concrete) speclral response acce1eralion parameters,
posHensioned, 158, 166-167; simplilied 22-28; udjusling for exceedance proba­
rehabilitation, 298 bilities, 22, 24-25; adjusting for site
reinforced, 158, 159-166; modeling param­ c1ass, 22, 25-26; general response spec­
eters and aeceptance criteria, 160--162, trum, 26-27; site-specitic characteristics,
164; simplified rehabilitation, 298 27-28
simplified rehabilitation, 298 BSE-2 Earlhquake Hazard Leve!, 8-9
beams, concrete. See posHensioned concrete seismic isolaLion sysLcms, 269, 274
beam-column moment frames; reinforced spectraI response acceleration parameters,
concrete beam-column moment frames 22-28; adjusting for exceedancc proba­
beams,steel, 109,114,118-119 bilities, 22, 24-25; adjusting for site
acceptance criteria, 119-124 c1ass, 22, 25-26; general response spec­
bearing capacity. See capacities of building trum, 26-27; site-specilic characleristics,
components 27-28
bcarings for seismic isolation. See elastomeric BSO (Basic SafeLy Objectivc), 9
seismic isolators simplilicd rehabililation and, 288, 295
biaxial bending of concrete columns, 154 structural vs. nonstructural components,
bilateral load, seismic isolators dependent on, 319
276 building, existing. See as-built information
bilinear hysteretic behavior of rubber bearings, building analysis procedures. See analysis
262-264, 268 procedures
blocking at wood shear walls, 239 building codes and standards, historie buildings,
board sheathing, 307 353

388
 ASeE/SEr 41-06

building component acceptance. See acceplance diaphragms, 57

criteria for Rehabilitation Objective energy dissipation systems, 278, 279-280
building components, 313-317. See also specific foundation capacity, 56-57,60,83-96,
component by name or material 100
architectural. See architectural components multidirectionaJ seismic effects, 59
as buih, 30. See also as-built information overturning etIects, 60-61
capacities of. See capacities of building seismic isolation systems, 266-269
components soil-structure interaclion (SSI) effects, 58
gravity loads for load combinations, 59 slee) components, 107, 114-116
local modification of, 42-43 two- vS. three-dimensional, 54-55
modeling. See mathematical modeling of wood and light metal framing, 231-232
rehabilitation needs building operation. See disruption of operalion
nonstructural. See nonstructural building owners
components cost and impacl awareness, 6
shared between buildings. See shared selection of Rehabilitation Objective, 2
elements between buildings Building Performance Levels, 4, 8-9
simplified rehabilitation, 295-311. See also nonstructural. See Nonslructural
simplified rehabilitation Performance Levels
stiffness or. See stiffness (structural) structural. See Structural Performance
strength of. See strength of building Levels
components targeting, 10-21
structural. See structural components building period, 62-63, 69
subassembly experiments, 50-52 seismic isolation systems and, 27]
systematic rehabilitadon. See systematic building pounding
rehabilitation as-built information colIection, 30-31
building configuration building separation requirements, 48
analysis and modeling, 57 building separation, design requirements for,
as built, 29-30 47-48
foundation, 76 building status. See historie or archaeologicaI
building conlents, 346-350. See also specific signiticance considerations
content category building system deticiencies, correcting, 295-297
Nonstructural Performance Levels, 18, 315 building lypeS, 290-292, 352
building damage, 2-3. See also Building buildings, historie. See historie or archaeo\ogical
Performance Levels significance considerations
performance ando See Nonstructural buried structures, tlotation of, 80
Performance Levels; Structural
Performance Levels cabinets, 17-18
building evaluation. See also condition assessment canopies and marquees, 337
determination lo rehabilitate, 2, 351. See Nonstructural Performance Leve\s, ] 6, 314
also selection of Rehabilitation Objective preservation of egress, 319
highest risk, 352 capacities of building components, 41-42. See
nonstructural components, 312-313, also stiffness; strength of building components
321-327 bearing fai\ure, potentiaI of, 80
prior to rehabilitation program, 6 foundation, 83-86. See also foundation
simplitied rehabilitation, 309-311 captive columns, 299
steel components, 106-107 carbon equivalent of steel components, 101
typical deficiencies for model building cast-in-place concrete
types, 293-302 connections lo exísting concrete, 157
building models, 54-56. See also linear analysis diaphragms, 14, 192-194
procedures; nonlinear analysis procedures pile foundations, \95
concrete components, 150-151 simp\itíed rehabilitation, 299-300
design review. See verification of design cast or wrought iron, lO l
assumptions cavity wall conslruction, 202

389
SEISMIC REHABILlTATION OF EXISTING BUILDlNGS

CBF (concentric braced frames), 129-131, composite parlially restrained connections, 128
217-218 comprehensive collection of as-built inrormation,
ceilings, 335-336 31-33
Nonstructural Performance Levels, 16, 3 14 concrete components, 146-147
preservation of egress, 320 masonry, 200
chemical properties of steel components, 104 steel componenls, 105-106
Chevron bracing, 306-307 wood and light metal framing, 227
chimneys and stacks, 337-338 comprehensíve condition assessment
Nonstructural Performance Levels, 16, 314 concrete material s and components, 150
chord rotation for beams, detined, 116 masonry, 203-204
chords. See diaphragm chords steel components, 107
c1adding, 16 wood and light metal framing, 231
coated masonry walIs, 209 compression testing (masonry), 65, 204-205
code otlicials, selectíng Rehabilitatíon Objective, 2 compressive strength. See strength of building
Coefficient Method for calculating target displace­ components
ment, 70 computer access tloors, 315, 347
coefficient 01' friction, sliding isolation bearings, compuler and communication racks, 315,
265-266 348-349
Collapse Preventíon Building Performance computer systems, 18
Level (5-E), 8-10, 21 concentric braced frames (CB F), 129-131,
foundation soil acceptance eriteria, 96 217-218
soil condition ¡nformalion, 76-77 concrete componenls, 143-197
Collapse Prevention Structural Performance anchorage lo, 108
Level (S-5), 12-14, 16. See a/so acceptance assumptions and requirements ror rehabilita­
críteria for Rehabilitatíon Objectíve tion, 151-158
masonry walls, 212, 215 braced frames, 12, 191-192
seismic ¡solation and energy dissipation sys­ cast-in-place: conneclÍons to existing con­
tems,260 crete, 157; diaphragms, 14, 192-194;
coUecting data. See data collection pile foundations, 195; simplitied rehabili­
columns, concrete. See post-tensioned concrete tation, 299-300
beam-column moment frames; reinforced con­ data collection for rehabilitation,
crete beam-column moment frames 144-151
columns, steel, 109, 114, ] 19 diaphragms, 14
acceptance cri teria, 119-124 foundalion elements. 195-197
combíned elastomeric-slíding isolation systems, frames Wilh infills, 173-178
259, 266. See a/so seismic isolation systems momenl frames, 158-171; post-tensioned
common elements. See shared elements between beam-column, 158, 166-167; reinforced
buildings beam-column, 158, 159-166; simplitied
communication racks, 315, 348-349 rehabilitalion, 298-299; slab-column,
communications components. See eleclrical 158-159, ]66-171; Structural
componenls Performance Leve1s, 12
community revitalization, 353 precast diaphragms, 14, 194
compaction, ditIerential. See differential precast frames, 171-173
compaction rehabiJitatÍon measures, 158
complíance vs. performance, 1 reinforcing stee1: acceplance criteria for lin­
complianl bearings, 44 ear procedures, 155; development of,
component properties. See data collection; 156--157; properties measuremenl,
material properties ]45-149, 156
component stiffness. See stiffness (structural) shear walls, 12, 178-187; precast, 187-191;
component strength. See strength of building simplified rehabilitation, 299-300; Stee)
components Frames with Concrete Shear Walls build­
components of buildings. See en tries at building ing type, 29), 296
component simplitied rehabílitation, 309-311

390
 ASeE/SEI 41-06

concrete intills, 135, 173 properties of, 41; concrete material s,

concrete frames with, 173-174, 177-178 143-148; masonry, 198-205; simplifíed
Concrete Moment Frame building type, 291, 297 rehabilitation, 309-311; steel malerials,
Concrete Shear Wall building Iypes, 291 , 297 100-106; wood and light metal framing,
concurrent mullidirectional seismic effects, 59 224-230
condition assessment construction qualily assurance, 48-50
concrete materials, 148-151 concrete components, 158
masonry, 198-199, 202-205 of energy dissipation systems, 285
nonstruclural components, 312-313 QAP (qualily assurance plan), 48, 49
simplified rehabilitatlon, 309-31 1 seismic isolalion system design, 275
steel components, 106-107 contents 01' buildings, 346-350. See also specific
wood and light metal framing, 230-232 content category
configuration of building Nonstructural Performance Levels, 18,315
analysis and modeling, 57 continuity of structural components, 45, 308
as buill, 29-30 control node displacement, modeling, 68
foundation, 76 conveyors, 315,349-350
confinement jackets, 43 core drilling (concrete), 145-147
beam-column concrete moment trames, 166 costs of operalion disruption. See disruplÍon of
shear walls, 185, 187 operalion
connections cosls of rehabilitation, 6, 350-353
continuity of structural components, 45, 308 eSlimating, 7-8. See also costs of
detllrmatlon- and force-controlled actions, rehabililalion
40 seismic isolation and energy dissipalion
lO existing concrete, 157-158 syslems, 259
to masonry walls, 203 sleel elements encased in concrete, 106
moment-resisting beam-column connec­ coupling beams (reinforced concrete), 181-187,
lÍons,298 300
nonstruclural component auachments, 328 CP. See entries al Collapse Protection
simplitíed rehabilitation, 308-309 cripple waIls, 225, 302
sleel anchorage (O concrete, 108 criteria ror rehabilitalion acceplance. See accept­
steel braced frames, 307 ance criteria for Rehabilitation Objective
steel moment frame connection types, 108, cross líes, 307
112,298 cycles of tesling. See lest requirements
steel strength property testing, 147
Structural Performance Levels, 13 daily operalion. See disruplion of operation
walls anchored lo diaphragms, 46-47 Damage Control Slruclural Performance Range
wood and light metal framing, 224, 226, (S-2), ll, 14
230-231,233; additional altachment to seismic isolation and energy dissipation
diaphragms, 252; 1'oundation, 257-258; syslems, 260
modeling parameters and acceplance cri­ damage slates (postearlhquake), 2-3. See also
teria, 235, 243; rehabilitation with, 239; Building Performance Levels
shear walls, 243-244, 248; sheathing, performance ando See Nonstructural
244-249,253-257 Pedllrmance Levels; Slructural
construction, adjacent. See adjacent buildings or Performance Levels
activity damped response spectrum for ground shaking
construction costs. See costs oI' rehabilitation hazard,27
construction date, concrete and, 144 damping effects
construction documeOls, 7-8 energy dissipation. See energy dissipation
construction materials. See also specific material systems
by name seismic isolalors. See seismic isolation
ahernative (experimental data), 52-53 systems
in-place testing. See in-place materials soil-slructure interaction (SSI), 58, 96,
testing 98-99

391
SElSMIC REHABILlTATION OF EXISTING BUILDINGS

data collcction dcmolítion

as-built information. See as-built mass reduction, 44
information partíal,43
experiments on structural subassemblies, design characteristics
50-52 - concrete components, 146
historieal information, 313-318 evaluation of rehabilitation design, 7-8
masonry, 198-205 tlat roor snow load, 64
nonstructuralcomponents, 318-319 foundalion capacities, 83-86
site characterization, 76-81. See also site­ foundation loads, 77
specitic characteristics gravity loads, 59
steeJ materials and components, 100-107 masonry strcngth, 200
wood and light melal framing, 224-232 seismic isolation systems, 271-272
date of construction, concrete and, 144 steel components, 107-108
DCRs (demand capacity ratios), 35-36, 154 vcritication of assumptions, 59-60, 75;
dead loads, 60, 77 energy dissipation systems, 285; seismic
deadlines for rehabilitation work, 351 isolation systems, 275
debris, fall ing, 313, 320 wood and light metal framing, 224
dccision to rehabilitate, 2, 351. See also selection Design Earthquake, seismic isolation systems, 269
of Rehabiliration Objective design professionals, expertise or, 1-2
deep concrete foundations, 195, 197 design requirements, 44-48, 275. See (lIso reha­
default force analysis equations for nonstructural bilÍlalion design
components, 322 nonlinear analysis procedures, 321-327
default material properties nonstruclural components, 318-319
concrete componenlS, 147-148 design review. See veritication of design
masonry, 201-202 assumptions
steel components, 102, 106 designation 01' target performance levels, 20-21
wood and light metal framing, 225, 227, desktop equipmem, 18
228-230 destructive examination, 29, 32
default sile class, 26 concrete materials and camponents,
dellection compatibility deficiencies, 297 145-147
deformability. See strength of building historic significance and, 29
components steel componcnts, J06-107
dcrormation analysis of nonstructural components, wood and light metal ü·aming, 227,
326-327 231-232
deformation-controlled actions, 39-4\, 75 determination lo rchabilítale, 2, 351. See (lIso
calculating (analysis), 73-74, 75 selectÍon of Rehabililation Objcctive
component capacity calculations, 41-42 dctcrminist maps of earthquake probabilities. See
concrete components, 153-154 MeE, ground malion maps
local corrective measures, 43 diagonal compression lcsting (masonry), 204-205
masonry, 205, 219 diagonal lumber sheathing, 237
steel components, 107 diagonallumber sheathing shear walls, 241
subassemblies based on experimental data, wood siding over, 244
51-52 diagonal wood shealhing, 250, 252, 254-255,
wood and light metal framing, 230, 256
232-233,233-236 diagonally concentric equivalenl struts, 218
deformalion ralio, 40 díaphragm chords, 45, 46, 193
deformation-sensilive nonslructural components, continuity of, 308
320-321 wood,249
degradalion inspeclion diaphragm coJlectors, 45, 46
steel components, 106 diaphragm ties, 45-46
wood and Iight metal framing, 230, 232 diaphragms, 140. See also specific diaphragm
demand capacity ratios. See DCRs type by name

392
 ASeE/SEI 41-06

analysis and modeling, 57, 65-66,67, 72, double diagonally sheathed wood diaphragms,
73 250,252,254-255,256
building period estimation, 63 double splil tee connectÍon, 110, 115, 127
cast-in-place concrete, 14, 192-194 double straight-sheathed wood diaphragms, 250,
deformation- and force-controlled actions, 253,256
40,65-66,67 additional attachment, 252
design requirements, 45-46 doweled bars (concrete reinforcement), 157
simplitied rehabiJitation, 307-308 drainage piping. See fluid piping
steel, rehabilitation of, 111, 135-142 drift values
Structural Performance Levels and, 14 nonstructural components, 320-321,330
wall anchorage to, 46-47 simplitied rehabilitation, 297
wood, 14, 229,249-257; default expected Struclural Performance Levels and, 12-14
strength values, 229; drilled-in anchor connection systems, 157-158
modeling parameters and acceptance drilled shafts, stiffness and capacity, 95
criteria, 234-235, 242-243 drywall oc gypsum plaster, 225, 237-238, 240, 247
dictionary of acronyms, 365-366 simplified rehabilitatíon, 306
diclÍonary of symbols, 354-365 ductilily demands, concrete components, 154
diclionary of terms, 366-374 ducts, 17
differential compaction, 80, 80-81 ductwork, 314
induced by Iiquetaction, 80 dynamic analysis procedures, selection of, 54. See
miligation schemes, 82 also analysis procedures; LDP; NDP
directed risk mitigation programs, using Ihis seismic isolation syslems, 269-271
standard for, 350-354 dynamic p-a effects, 58
discontinuity irregularities, 36, 43
discontinuous sheer walls, 178, 180-187 earthquake effects, secondary, 317
displacement-dependent energy displacement Earthquake Hazard Leve1s, 8-9
devices, 279, 286 defining hazard due to ground shaking,
linear analysis procedures, 280-281, 282 22-27 '
nonlinear analysis procedures, 283 exceedance probabilities, 22, 24--25
displacement multiplier due to horizontal torsÍon, maps of, 22-23
55 seismic isolation systems, 269
displacement of residents by seismic rehabilita­ simplified rehabilítation, 293
tion, 353 eccentric braced frames, 131-133,218
displacement of seismic isolators, 272, 274 econornic acceptability of rehabilitalion design,
displacement of soil slopes (Iandsliding), 7-8. See also costs of rehabilitation
81-83 economic considerations. See COSIS of rehabilitation
disruplion of operalion education prerequisites of design professionals,
considering significance of, 6 1-2
nonstructural performance, not consídered, effeclive damping ratio. See damping effects
19-20 effective mass factor, 64, 65
dissipation devices, 44, 259-261, 277-287 effective period of building, 62-63, 69
implementation strategies, 278 seismic isolation systems and, 271
mathemalical modeJing, 278, 279-280 effeclive seÍsmic weight of building, 64
distance between buildings, 47-48 etlective snow load, 64
distribution, electrical. See electrical components effective stiffness. See also stiffness (structural)
documents and reports concrete components, 152
as-built inforrnation collection requirements, seismic isolation systems, 266-268
3/-33 etl'ectívely monolíthic construction, concrete sheer
construclÍon documents, 7-8 walls, ] 88, ] 89, 190
construction quality assurance, 49 effectiveness of risk mitigation programs, 351
experimental data, 50-51, 53 egress, preservation of, 319-320
maintenance of, 50 elastíc modulus in compression (masonry), 199
doors, 16, 320 elastomeric seismic isolators, 261-264

393
SEISMIC REHABILlTATION OF EXISTING BUILDlNGS

electrical components, 311-329, 344-346. See nonstructural components, 312-313,

also nonstrucluraI components 321-327
acceleralion- and deformation-sensitíve prior to rehabilitation program, 6
components, 320-321 simplified rehabilitation, 309-311
component evaluation, 318-319 steel components, 106-107
computer access tloors, 315, 347 typical deticiencies ror model building
condition assessment, 312-313 types, 293-302
ductwork. See ductwork evaluation of construclion. See construction qual­
evaluation procedures, 321-327 ity assurance
historical significance considerations, 313-318 evaluation 01' rehabililation design, 7-8
Nonstructural Performance Levels, 17, 314 exceedance probabililies for seismic hazards, 22,
operational performance qualifications, 18 24-25
rehabilitation objectives, 319-320 exhaust ductwork systems, 314
rehabililation procedures, 327 existing building characteristics. See as-built
seismic hazards, 316 information
structural-nonstructural consideralions, 320 expected capacities. See capacities of building
electrical distribution equipment, 17 components
elevators, 315, 349 expected material properties, 41
Nonstructural Performance Levels, 17 concrete material s and components, 145
preservation 01' egress, 319 masonry, 199, 201-202, 219; walls and wall
embedded anchors to masonry walls, 222 piers, 208, 21 1
embedded structures, flotation of, 80 steel components, 103
embedment, etrect on foundation capacity, 90-91 w<:X?d and light metal framing, 226,
RRS factor (kinematic interaction effects), 227-228, 232-233; defauIt values,
97-98 228-230; diaphragms, 249
emergency lighting, 17 expected strength, 41
empirical equations 1'01' building period, 62, 63 experimental data, collecting
enclosures, stair. See stairs and tire escapes alternative construction materials and meth­
energy dissipation systems, 44, 259-261, 277-287 ods, 53
implementation strategies, 278 structural subassemblies, 50-52
mathematical modeling, 278, 279-280 expertise 01' design professionals, 1-2
enhanced light gage metal frame shear walIs, 240, exposure time, risk 01', 351
249 exterior ornamentation. See parapels and
enhanced masonry infills, 216-217 ornamenlalion
enhanced masonry walls, 208-210. See also exterior wall components, 329-333
masonry walls Nonstructural Performance Levels, 314
Enhanced Rehabilitation Objectives, 9 exterior wall systems, glazed, 331-332
enhanced wood diaphragms, 251-252 face brick, 202
enhanced wood frame shear waJls, 238-239 fair-condition masonry, delined, 198-199
enlarged openings (masonry walls), 209 fault rupture, 77
environmental conditions mitigalion schemes, 82
energy dissipation systems, 284-285 FEMA 178 standard, 288
seismically isolated buildings, 273-275 FEMA 273 standard, 3
equipment, Nonstructural Performance Levels for, FEMA 274 standard, 79
17-18 FEMA 343 case studies, 3
esthetic teatures of building, 6 FEMA 356 standard, 3
estimating costs, 7-8. See also costs 01' FEMA 440 standard, 72
rehabilitation tíberboard sheaLhing, 238, 248-249
evaluation of building. See also condition stucco on, 245-246, 306
assessment file cabineLs, 17-18
determination to rehabilitate, 2, 351. See tile maintenance, 50
also selection 01' Rehabililation Objective fire alarm systems, 17
highest risk, 352 tire escapes. See stairs and tire escapes

394
 ASCFJSEI41-06

fire resistance, 274 as-buílt information, 30

tire suppression piping, 17, 314 concrete components, 195-197
fixed base assumption, foundation soil analysis, damping effects of SS!, 58, 96, 98-99
56-57 flexibility 01', 58
fixtures (lighting). See lighting kinematic effects of SSI, 58, 96-98
tlagpoles. See parapets and ornamentatíon Jiquefaction mitigation measures, 82
tlanged construction rehabilitalion of, 100
masonry strength considerations, 213 risk reduction. See mitigating seismíc-geo­
stifl'ness and strength measurement, 153 logic site risk
tlat-bouomed vessels. See storage vessels and seísmic earth pressure, 99-] 00
water heaters shared elements between buildings, 47
t1at rool' snow load, 64 simplified rehabilitation, 309
flatjack tests (masonry), 199 site characterization, 76-81. See also síte­
flexibility of foundation, 58 specific characteristics
flexible base assumption, foundation soíl analysis, strength and stítTness analysis, 56-57,
96 83-96; expected capacities, 83-86; over­
flexible diaphragms, 57 turning effccts, 60; strength and stiffness,
flexural strength 56-57
concrete components, 154-156, 169; reín­ Structural Performance Levels, 13
forced shear walls, 179-180; shear walls, wood,257-258
184, 185 foundation aspect ratio, 91
masonry, 199-200; default values, 201-202; foundation rocking, 88, 90
reÍnforced walls and wall piers, 213 FPS (friction-pendulum system). See sliding
flooding or inundation (earthquake-induced), 81 seismic isolators
mitígation schemes, 83 FR beam--column connections, 119, 121-124
flotalÍon of buried structures, 80 FR moment frames, 108, 112-124
flow sUdes, evaluating potential for, 79 acceptance criteria, 109, 114-115, 119-124
fluid piping, 314. See also plumbing systems and rehabilitatíon measures, 124
components stíffness assessment, 113-118
fluid viscoelastíc energy dissipation devices, strenglh assessment, 118-119
279-280 trames. See specific frame by name or material
fluid viscous energy dissipation devices, 280 friction, sliding isolation bearings, 265-266
footings (masonry), 223 friction-pendulum system. See sJiding seismic
footings (wood), 257-258 isolators
force analysis, nonstructural components, fuel piping. See fluid piping
322-326 ful1y restrained (FR) moment frarnes, 108,
force-controlled actions, 39-41, 286 112-124
anchorage to masonry walls, 22-23 acceptance criteria, 109, 114-115, 119-124
calculating (analysis), 74-75 rehabilitation measures, 124
component capacity calculations, 42 stiffness assessment, 113-118
concrete components, 153, 154 strength assessment, 118-119
masonry, 205 fundamental period of building, 62-63, 69
steel components, 107 seismic isolation systems and, 271
subassembJies based on experimental data, furnishings and interior equipment, 346-350
51-52 Nonstruclural Performance Levels, 315
wood and Iight metal framing, 230, 233, furred ceilings, 335. See also ceiJings
233-236
force-det1ection characteristics of seismic isola­ general design requirements, 44-48, 275. See also
tors, 276 rehabilitatíon design
force-deformation characteristics. See load­ nonlinear analysis procedures, 321-327
deformation characteristícs nonstructural components, 318-319
foundation general force analysis equations for nonstructural
anchorage to, 309 componenls, 322-326

395
SEISMIC REHABILITATION OF EXISTING BUILDINGS

general response spectrum for ground shaking Response Speclrum Method, 66-67. See
hazard, 26-27 a/so LDP (Linear Dynamic Procedure);
geologic faults, 77, 82 energy dissipation systems, 282-283;
geologic site hazards, 6 seismíc isolation systems, 269, 272
damping effects 01' SSI, 58, 96, 98-99 seismic isolator criteria, 269
fault rupture, 77, 82 time history analysis, 28, 67, 73
tlooding or inundation, 81, 83 ground settlement, differential. See ditIerential
foundation tlexibility. See tlexibility of compaction
foundation grout injections, 209
foundation rehabilitation. See foundation, gypsum pI aster, 237, 246
rehabilitation of simplitied rehabilitation, 306
foundation strength and stiffness, 83-96; gypsum sheathing, 238, 247
expected capacities, 83-86 gypsum wallboard. See drywall
kínematic effects of SSI, 58, 96-98
landsliding, 81-83 hazardous materíals piping, 341
liquefaction, 77-80, 82 hazardous material s storage, 18, 315, 347-348
risk reduction. See mitigating seismíc-geo­ hazards
logic site risk from adjacent buildings, 31
seismic earth pressure, 99-100 secondary effects of earthquakes, 317
simplified rehabilitation, 309 seismic. See seismic hazards
site characterization, 77-81 site-specific mitigation schemes, 82-83
girder-wall connections, deticiencies in, 308 Hazards Reduced Nonslructural Performance
glass block units, 330 Level (N-D), 16-18, 19,312,314-315
glazed exterior wall systems, 331-332 component evaluation, 318
global structural stiffening, 43 evaluation procedures, 321-323
global structural strengthening, 43-44 rehabilitation approaches, 327-328
glossary of acronyms, 365-366 HDR (high-damping rubber bearings) for seismic
glossary of symbols, 354-365 isolators, 262-263
glossary of terms, 366-374 heavy partitions. See partitions
goals of rehabil itation, 8-10, 351 high-damping rubber bearings (seismic isolators),
Enhanced Rehabililalion Objectives, 9 262-263
Limited Rehabilitation Objectives, 9; high-pressure piping, 341
priorilizing deticiency corrections, 294; high-risk buildings, identifying, 352
seismic isolation and energy dissipation higher mode effects (building analysis), 37
systems, 259 historic or archaeological significance considera­
partial rehabilitatíon, 9-10, 292; prioritizing lions, 6, 313-319, 353-354
deticiency corrections, 294; simplified as-built information, 29
rehabilitation, 33; typical deficiencies for component evaluation, 318-319
model building types, 293-302 data collection, 313-318
Partial Rehabilitalion Objective, 9-10, 292; foundation information collection, 76
prioritizing deficiency corrections, 294; preservation goals, 351
simplitied rehabilitation, 33; typical deti­ seismic ¡solation systems, 259-260
ciencies for mode\ building types, history of architectural nonstructul'al components
293-302 (U.S.),313-317
Reduced Rehabilitalion Objeclive, 9 hooked bars (concrete reinforcement), 156-157
good-condition masonry, defined, 198-199 , horizontal distribution 01' pseudo-lateral force,
grade beams, adding to concrete foundations, 197 65
granular soils, 84-86. See a/so soil conditions horizontallumber sheathing shear waIls, 236-237,
gravity loads for load combinations, 59 240-241
ground improvement techniques, 82 with cut-in braces or diagonal blocking,
ground motion, 21-28 238,248
detining (characterizing), 22-27,66, 73 siding over, 237
liquefaction from. See Iiquefaction wood siding over, 244

396
 ASeE/SEl 41-06

horizontal response spectrum for ground shaking inelastic demands. See DCRs (demand capacity
hazard, 26-27 ratios)
horizontal seismic etfects on nonstructural compo­ intllled openings (masonry walls), 209
nents, 322-324 infills, steel walls with, 134-135
horizontal steel bracing, 139-140 Steel Frames with IntilI Masonry Steel
horizontal structural components, 14 Walls building type, 291, 296
horizontal torsion inspection. See also entríes at evaluation
design requirement8, 44 degradation inspection: steel components,
modeling effects 01', 55-56 106; wood and light metal framing, 230,
housing los8 during constructions, 353 232
HVAC equipment and syslems, 17,314,317 design review. See veriticalÍon of design
duclwork, 314 assumptions
hybrid isolation systems, 259, 266. See also seis­ destructive cxamination, 29, 32; concrete
míe isolation systems materials and components, 145-147;
hysteretic behavior 01' rubber bearings, 262-264. historie significance and, 29; steel com­
See also seismic isolation systems ponents, 106-107; wood and Iight metal
framing, 227, 231-232
idealized force-displacement curves, 69. See also energy dissipation systems, 285
10ad-de1'ormation characterislÍCs maintenance of reports, 50
Immediate Occupancy Building Performance nondestructive examinaLion (NDE), 29, 32;
Level (I-B), 10,20-21 concrete maleria)s and components, 147,
foundation soil acceptance criteria, 96 148, 150; historie signiticance and, 29;
subassemblies based on experimemal dala, masonry, 203-204; steeI components,
51 106-107; wood and light metal framing,
Immediate Occupancy Nonstructural Performance 227,231-232
Level (N-B), 16-19,314-315 seismic isolation systems, 274
architectural components, 329-331, special requircments for QA, 49
333-338 installation of foundation, 76
component evaluation, 318 interactÍon review of nonstrucLural components,
evaluation procedures, 321-322, 323 312-313
furnishings and interior equipment, 346-350 interior veneen" 314, 334-335. See also veneer
mechanical, electrical, and plumbing com­ aLtachments (masonry)
ponents, 338-346 Intermediate Moment Frames. See also reinforced
rehabilitation approaches, 327-328 concrete beam-column
seismic isolation and energy dissipation interpanel conneclions, 300
syslems, 260 inundalÍon, 81, 83
Immediate Occupancy Structural Performance investigation. See data colIection; inspection
Level (S-I), 11-14. See also acceptance crite­ 10. See entries al lmmediate Occupancy
ria for Rehabilitation Objeclive iron. See cast or wrought iron
masonry walls, 212, 215 irregularities, building systems, 296
seismic isolation and energy dissipation irregularities, component
syslems, 260 analysis and modeling, 57
impact echo testing (masonry), 204 determination for linear analysis, 35-36
in-place materials testing, 223-224 removal 01' reduction, 43
concrete materials and components, isolation from seismic hazards. See seismic isola­
144-148 tion systems
masonry, 198-202
sleel materials and components, 101-106 jacketing. See confinement jackets
wood and light metal framing, 224-230 joint failure, piping. See plumbing systems and
in-plane discontinuity irregularities, 36 components
in-plane masonry joint modeling, FR moment frames, 113
infills, 217-220 jointed construction, concrete sheer walls, 189,
unreínforced walls, 210-212, 213-215 190

397
SElSMIC REHABILlTATION OF EXISTING BUILDlNGS

jurisdiction. See authorities having jurisdiction 137-141; FR moment frames, 113,

118-123; plate sheer walls, 133-134;
K-bracing, 306--307 PR moment trames, 125-128
K factor. See uncertainty in as-built data verification 01' design assumptions, 59--60,
kinematic eftecLs 01' SSI, 58, 96--98 75
knee-braced wood frames, 258 lead-rubber bearings (seismic isolators), 262
knowledge factor for as-built data, 32-33 level 01' seismicity, 28, 319
concrete components, 151 Life Safety Building Performance Level (3-C),
masonry, 205 8-10, 21. See also simplified rehabilitation
steel components, 107 Lite Sa1'ety Nonstructural Performance
wood and light metal framing, 232 Level (N-C), 16--18, 19,314-315. See also
acceptance criteria ror Rchabilitation Objective
laboratory testing. See also in-place materials architectural components, 329-338
testing component evaluation, 318
concrete components, 145 evaluation procedures, 321-323
masonry, 205 foundation soil acceptance critcria,
steel components, 104 96
lag bolts. See connections, wood and Iight metal 1'urnishings and interior equipment, 346-350
framing masonry walls, 212, 215
landsliding, 81-83 mechanical, electrical, and plumbing com­
lap-sliced bars (concrete reinforcement), 156-157 ponents, 338-346
large-scale load tests (masonry), 205 rehabilitation approaches, 327-328
lateral displacement, seismic isolators, 272 soil condition information, 76--77
lateral earth pressures, 80 Lile Safety Structural Performance Level (S-3),
lateral forces, seismíc isolators, 271-272 12-15,260
lateral load distribution, 68--69, 309 light gage metal frame shear walls, 240, 249
lateral spreads Iight metal framing. See wood and light metal
evaluating potential for, 79, 83 framing
mitigation schemes, 82 light partitions. See partitions
LDP (Linear Dynamic Procedure), 66--67, Iighting fixtures, J7, 314, 345-346
282-283. See also linear analysis procedures preservation of egress, 320
acceptance criteria, in general, 73-75 rehabilitation measures, 328
concrete components, 151, 155; acceptance Límited Rehabilitation Objectives, 9
criteria, 155; braced frames, 191-192; prioritizing deticiency corrections, 294
frames wÍlh concrete íntills, 177; trames seismic isolation and energy dissipation
with masonry infills, 174, 176; post-ten­ syslems, 259
sioned beam-column moment frames, Limited Safety Structural Performance Range
167; rein1'orced beam-column moment (S-4), II
frames, 159, 163-165; shear walls, 182, seismic isolation and energy dissipation
184-185, 186; shear walls, precast, 189, systems, 260
190; slab-column moment frames, 168, linear analysis procedures, 2, 34-37, 61-67
170 acceptance criteria, in general, 73-75. See
foundation soil acceptance criteria, 96 also acceptance criteria for
horizontal torsion effects, 55 Rehabilitation ObjecLive
masonry. See also entries at masonry: infill component capacity calculations, 41-42
panels, 220; reinforced walls, 214; unre­ concrete components, 151; accepLance cri te­
inforced walls, 211 ría, 155; braced rrames, 191-192; rrames
multidirectional seismic e1'1'ects, 59 with concrete intills, 176, 177; n'ames
overlurning effecls, 60--61 with masonry inlills, 174, 176; post­
seísmic isolation syslems, 270, 272 tensioned beam-column moment
steel components, 109-111; braced frames frames, 167; reinforced beam-column
(concentric), 129-131; braced frames moment frames, 159, 163-165; shear
(eccentric), 131, 132; diaphragms, 135, walls, 184-187; shear walls, precast, 189,

398
 ASCElSEI41-Q6

] 90; slab-column moment frames, 168, masonry, 199,205-208; walls and wall
170 piers, 211
dynamic. See LDP (Linear Dynamic steel components, 101-103, 105
Procedure) wood and light metal framing, 226,
energy dissipation systems, 280-283 227-228
foundation son acceptance criteria, 96 lower-income groups, impact on, 353
horizontal torsíon effects, 55 LRB (low-damping rubber bearings) for seismic
masonry. See also entries at masonry: ¡nfill isoJators, 262
panels, 219, 220; reinforced walls, 214; LRFD methodo\ogy, 229-230
unreinforced walls, 211 LS. See entries at Life Safety
multidirectional seismic effects, 59 LSI (Liquefaction Severity Index), 79
nonstructural components, 327 LSP (Linear Static Procedure), 35-37, 61--66. See
overturning effects, 60-61 also linear ana\ysis procedures
primary and secondary components, 56-57 acceptance criteria, in general, 73-75
seismic isolation systems, 266-272 concrete components, 15], 155; acceptance
se\ection of, 54 criteria, 155; braced trames, 191-192;
static. See LSP (Linear Static Procedure) trames with concrete infills, 177; frames
steel components, 109-111; braced frames with masonry infiUs, 174, 176; post-ten­
(concentric), 129-131; braced frames sioned beam-column moment trames, 167;
(eccentric), 131, 132; diaphragms, 135, reinforced beam-column moment trames,
137-141; FR moment frames, l13, 159, 163-165; shear walls, 182, 184-185,
118-123; plate sheer walls, 133-134; PR 186; shear walls, precast, 189, 190; slab­
moment frames, 125-128 column moment frames, 168, 170
verification of design assumptíons, 59--60, energy dissipation systems, 280-282
75 force and deformation determination, 63--66
wood and light metal framing, 242 foundation soil acceptance criteria, 96
Iiquetaction, 77-80, 82 horizontal torsion effects, 55
Iíve loads, 77 masonry. See also entries at masonry: infill
load-deformatíon characteristics panels, 219, 220; reinforced walls, 214;
concrete components, 152-153; braced unreinforced walls, 211
frames, ] 92; frames with infills, 174, multidirectional seismic effects, 59
177-178; reinforced beam-column overturning effects, 60--61
moment frames, 159; shear walls, 182; period of building, calculating, 62--63
slab-co\umn moment frames, 168 seismic isolation systems, 269-271
energy dissipation systems, 279, 284, sleel components, 109-111; braced frames
285-287 (concentric), 129-131; braced frames
foundations, 77 (eccenlric), 131, 132; diaphragms, 135,
masonry, 206-208 137-141; FR momenl frames, 113,
seismic iso\ators, elastomeric, 261-264 118-123; pIare sheer walls, /33-134; PR
seismic iso\ators, sliding, 264-266 moment frames, 125-128
wood and Iight metal framing, 232 verification of design assumptions, 59--60,
load path corrections, 295 75
loading rates, seismic isolators dependent on, 276 wood and light metal framing, 223-224
local modification of components, 42-43
local risk mitigation programs, using this standard maintenance of energy dissipation systems, 285
for, 350-354 mandated rehabilitatíon programs, 352
local strengthening of componenls, 43 manufacturing equipment, 17
longitudinal reinforcement of concrete compo­ maps 01' earthquake probabilities, 22-23
nents, 154 marquees. See cano pies and marquees
low-damping rubber bearings (seismic isolators), masonry íntills, /34-135, 171, 173,216-222. See
262 also masonry rehabilitalion
lower-bound strength, 41 in concrete-braced frames, 191
concrete components, 147-148, 149 unreinforced, 134-135

399
SEISMIC REHABILITATION OF EXISTING BUILDINGS

masonry rehabiJitation, 197-223,311. See also measuring performance. See verification 01' design
masonry infills; masonry walls assumptions
data collection for, 198-205; condition mechanical components, 311-329, 338-346. See
assessment, 202-205; properties of in­ also nonstructural componcnts
place components, 198-202 acceleration- and deformation-sensitive
foundation elements, 223 components, 320-321
nonSlructuraJ componeOls, 330 component evaluation, 318-319
masonry walls, 205-216. See also masonry condition assessmenl, 312-313
rehabililalion evaluation procedures, 321-327
anchorage lo, 222-223 hislorieal significance considerations,
reinforced: modeling paramelers and accept­ 313-318
ance crileria, 206-208; out 01' plane, 215; N onstructural Performance LeveJs, 17, 314
in plane, 213-215; Structural operational performance qua1itications, 18
Performance Levels, 13; unreinforced rehabilitation objectÍves, 319-320
walIs with reinforced cores, 209-210; rehabilitation procedures, 327
visual condition assessment, 202-203 seismic hazards, 3 16
simplified rehabilitation, 301-302 structural-nonstructural considerations, 320
mass reduction, 44 mechanical properties 01' seismic isolation sys­
material properlies, 41 tems, 261-266
concrete materials, 143-148 mechanical pulse velocity testing (masonry),
masonry, 198-205 203-204
simplified rehabilitation, 309-311 metal deck diaphragms, 136-139
steel materials, 100-106 Structural Performance Levels and, 14
wood and light metal framing, 224-230 metal framíng. See steel componenls; wood and
materials. See construction materials light metal framing
mathematical modeling of rehabilitalÍon needs, metal lath, piaster on, 238, 240, 247-248
54-56. See also linear analysis procedures; metallurgical properties of steel components, 104
nonlinear analysis procedures methods 01' analysis. See analysis procedures
concrete components, 150-151 methods of seismic rehabilitation, 64
design review. See veritication of design mezzanine connections, improving, 309
assumptions minimum building separation, 47-48
diaphragms, 57 minimum collection of as-huilt information, 31-32
energy dissipalion syslems, 278, 279-280 concrete components, 146-147
foundation capacity, 56-57, 60, 83-96, 100 steel components, 105
multidireetional seismic effects, 59 minimum lateral displacement, seismic isolators,
overturning effecls, 60-61 271
seismic isolalion systems, 266-269 minimum lateral forces, seismic isolators, 271-272
soil-struelure ¡nteraction (SSI) effects, 58 mínimum site-specitic spectral amplitude, 27
slee! components, 107, 114-116 mínimum vertical load, seismic isolalOrs, 276
two- vs. three-dimensional, 54-55 mitigaling seismic-geologic sile risk, 6, 81-83
wood and light metal framing, 231-232 soil-structure interaetion (SS1), 58
Maximum Considered Earthquake (MCE) mitigation programs, using this standard I'or,
ground motion maps, 22-23, 292 350-354
seismic isolation systems, 269 model building types, 290-292, 352
simplitied rehabilitalion, 293 moment frames (concrete), 158-171
maximum displacement, seismic isolators, 271 Concrete Moment Frame building Lype, 29 1,
maxÍmum vertical load, seÍsmic isolators, 276 297
MCE (Maximum Considered Earthquake) post-tensioned concrete beam-column, 158,
ground molíon maps, 22-23, 292 166-167
seismic ¡solation systems, 269 reinforced concrete beam-column, 158,
simplilied rehabilitation, 293 159-166
mean return periods (earlhquakes), 8 simplified rehabilitation, 298-299
means 01' egress, 319-320 slab-column, 158-159, 166-171

400
 ASeE/SEI 41-06

moment frames (steel), 108-129 steel materials and components, 101

connection types, 108, 112 wood and light metal framing, 226
correcting torsional irregularities, 43 nonbuilding slruclures, 2
deformation- and force-controlled aclions, 40 nondestruclÍve examination (NDE), 29, 32
global stiffening or slrengthening, 43-44 concrete materials and components, 147,
simplified rehabilitation, 297-299 148,150
Steel Moment Frame building lype, 294 historic significance and, 29
Structural Performance Levels, 12 masonry, 203-204
moment-resistíng beam-column connections, 298 steel components, 106-107
monolithic reinforced concrete shear walls, wood and Iight metal framing, 227,
179-187 231-232
mortar inspeclion, 203, 209-210 nonlinear analysis procedures, 2, 35, 37-38,
muhídirectional seismic effecls 312-313,321-327
analysis and modeling, 59, 67 acceptance criteria, in general, 75. See also
design requirements, 44 acceptance criteria for Rehabilitation
nails. See connections, wood and light metal Objective
framing component capacity calculations, 41-42
nalional earthquake hazard maps, 22 concrete components, 151-153; braced
NDE. See nondeslruclive examination frames, ]92; frames with concrete intills,
NDP (Nonlinear Dynamic Procedure), 37-38, 174, 177-178; frames with masonry
72-73. See also nonlinear analysis procedures intills, 174-176; post-tensioned beam­
acceptance crileria, in general, 75 column moment frames, 167; reinforced
concrete components, 151-153; braced beam-column moment frames, 159-160,
frames, 192; frames with concrete infills, 165-166; shear walls, 175, J 82-184,
178; frames with masonry infills, 176; 185; shear walls, precast, 189-190; slab­
post-tensioned beam-column moment column moment frames, 168, 171
frames, 167; reinforced beam-column damping effects of SSI, 58, 96, 98-99
moment frames, 160, 165-166; shear dynamic. See NDP (Nonlinear Dynamic
walls, 184, 185; shear walls, precasl, Procedure)
189-190; slab-column moment trames, energy díssipation systems, 282-283
168, 171 foundation soil acceptance criteria, 96
energy dissipation systems, 283 horizontal torsion effects, 55
foundation soi1 acceptance criteria, 96 masonry. See also entries at masonry: infill
horizontal torsion effects, 55 pane1s, 219-220; reinforced walls, 215;
masonry. See also entríes at masonry: infill unreinforced masonry, 206-207; unrein­
panels, 220; reinforced walls, 215; unre­ forced walIs, 211-212
inforced walls, 212 multidireclional seismic effects, 59
multidirectional seismic effects, 59 nonstructural components, 327
overturning effecls, 60-6] overturning effects, 60-61
seismic isolation systems, 270-271, 273 primary and seeondary components, 56--57
steel components, ] 14-116; braced frames seismic isolation syslems, 268, 272-273
(concenlric), 130, 131; braced frames selection of, 54
(eccentric), 131, 132; diaphragms, 135, static. See NSP (Nonlinear Slatic Procedure)
137-141; FR momenl frames, 118, 119, steel components, 1] 4-116; braced frames
122-124; plale sheer walls, 133-134; (concentríe),129-131; braeed frames
PR moment frames, 126, 128 (eccentric), 131-132; diaphragms, 135,
veritication of design assumptions, 59-60, 75 137-141; FR moment frames, 113-118,
NEHRP (National Earlhquake Hazards Reduction 122-124; plate sheer walls, 133-134; PR
Program) design map set, 22 momenl frames, 125-126, 128
new building codes, 1 verification of design assumptions, 59-60,
nominal material properties, 4 J 75
concrete materials and components, 145 wood and Jight metal, 242
masonry, 199 wood components, 233-236

401
SEISMIC REHABILlT~TlON OF EXISTlNG BUILDINGS

nonlinear foundatíon behavíor, 87, 88 multidirectional seismic effects, 59

nonlinear time hislory analysis. See NDP overturning etl'ects, 60-61
nonstrucLUral components, 311-350. See aLso seism ic isolation systems, 270-271, 272-273
entries af building components simplitied, 68, 75
architectural, 16, 314, 329-338 steel components, 114-116; braced frames
coments of buíldings, 346-350. See aLso (concentric), 129-131; braced trames
specific confent category; NonstructuraJ (eccentric), 131, 132; diaphragms, 135,
Performance Levels, 18, 315 137-141; FR moment frames, 113-119,
design requirements, 47 122-124; plate sheer walls, 133-134; PR
electrical. See electrical components moment frames, 125-126, 128
evaluation of, 312-313, 321-327 subassemblies based on experimental data,
tlotation of buried structures, 80 51
malhematical modeling, 56-57 verification ol' design assumptions, 59-60,
mcchanical: Nonstructural Performance 75
Levels, 17, 314; structural­
nonstructural considerations, 320 obtaining data. See data collection
Nonstructural Performance Levels, 16 operating temperature, energy dissipation devices,
plumbing systems and components, 17,316, 284
317,340-344 Operational Building Performance Level (I-A),
rehabilitation approaches, 312, 327-328 10,20
seismic hazards, 316 operational disruption
seismic ¡solation systems and, 273 considering significance of, 6
Nonstructural Performance Levels, ] 5-20 nonstructural performance, not considered,
applicability of, 314-315 19-20
componem evaluation, 3 18 Operational Nonstructural Performance
evaluation procedures, 321-327 Level (N-A), 15-18
target designation, 20-21 seismic isolation and energy dissipalion
Not Considered Nonstructural Performance systems, 260
Level (N-E), 16-18, 19-20 operational performance qualifications, 18
Not Considered StrucLUral Performance Ordinary Moment Frames, 112. See also rein­
Level (S-6), 12-14, 16 forced concrete beam-column
notch toughness, 104 ornamentation. See parapel<; and ornamentalion
NSP (Nonlinear Static Procedure), 37, 67-72. See orthotropic strengths (wood framing), 227-228
aLso nonlinear analysis procedures out-of..plane discominuity irregularities, 36
acceptance criteria, in general, 75 out-of-plane masonry
concrete components, 151-153; braced ¡nfins, 220-222
frames, 192; frames with concrete intills, reinforced walls, 212-213, 215
177-178; frames with masonry infills, overlurning effects
174-175, 176; posHensioned beam-col­ analysis and modeling, 60-61
umn moment frames, 167; reinforced design requirements, 44
beam-column moment frames, foundation strengthening, 309
159-160, 165-166; shear walls, seismic isolation systems and, 274
182-183,185; shear walls, precast, simplified rehabililalion, 300
189, 190; slab-column moment frames, wood and Iight metal frame shear walls, 236
168,171
energy dissipation systems, 283 P-ll etl'ects
force and deformation determination, analysis and modeling, 58
69-72 design requirements, 44
foundation soil acceptance criteria, 96 panel-to-panel conncctions, 300
horizontal torsion effects, 55 panel zone modeling
masonry. See aLso entries af masonry: ¡ntiII acceptance criteria, 121, 123
panels, 219-220; reinforced walls, 215; FR moment frames, 1J3
unreinforced walls, 211-212 strength assessment, 109, 114, 119

402
 ASCFJSEI 41-06

panels, prefabricated, 331 sliffness and capacity, 94-95

parapets and ornamentation, 336-337 wood, 257-258
Nonstructural Performance Levels, 16,314 piping, 17. See also plumbing systems and
preservation 01' egress, 319 components
partíal demolilion, 43 plan irregularities (building syslems), 1,295
partíal rehabílitation, 9-10, 292 plaster ceilings, 335. See a/so ceilings
príoritizíng deficiency corrections, 294 plaster on metallath, 238, 240, 247-248
simplífíed rehabilitation, 33 plumbing syslems and components, 340-344. See
typical deficiencies for model building also nonstructural components
types, 293-302 Nonstructural Performance Levels, 17
partially restrained (PR) moment frames, 108, 112 secondary effects 01' eanhquakes, 317
acceptance criteria, 110, 115, 128-129 seismic hazards, 316
rehabilitation measures, 129 pole struclurcs, wood, 257-258
sti Ifness asscssmenl, 125-126 polítical considerations with rehabililation pro­
strength assessment, 126-128 grams, 352-353
parlicleboard sheathíng, 238-239, 248-249 polytetrafluoroethylene-based seismic isolators,
parlilion load, 64 265-266
partitions, 333-335 poor condition masonry, defined, 198-199
Nonstructural Performance Leve\s, 16, 314 post-tensioned anchors, 310
preservation 01' egress, 3 J9 post-tensioned concrete beam-column moment
passive energy díssipation systems, 44, 259-261, trames, 158, 166-167. See also moment frames
277-287 (concrete)
implemenlalion strategies, 278 simplified rehabilitation, 298
mathematical modelíng, 278, 279-280 postearthquake damage states. See damage slates
passive pressure mobilization curve, 93-94 pounding (building)
passive rehabilitation programs, 351-352 as-buiH information collection, 30-31
perforated infills, 218 building separatíon requirements, 48
perforated sheer walls, 178 PR moment frames, 108, 1 12
performance acceptance criteria, 110, 115, 128-129
criteria foro See acceptance crileria for rehabilitation measures, 129
Rehabilitatíon ObjecLive stiffness assessment, 125-126
foundalion. See foundatíon slrenglh assessment, 126-128
nonslruclural. See Nonslructural precasl concrete
Performance Levels conneclÍons: simplitied rehabilitation, 308;
qualitalive\y describing, 8 Structural Performance
seismic. See mitigaling seismic-geologic Levels, 13
sile risk diaphragms, 14, 194-195
struclural. See Structural Performance frames, 171-173, 299
Levels prefabricated panels, 331
targe! levels. See Building Performance shear walls, 187-191,300-301
Levels simplified rehabilitation, 299, 300-301
verification of, 34 Precastffih-Up Concrete Frame building type,
period oí' building, 62-63, 69 292,298-299
seismic isolation systems and, 271 prefabricated panels, 331
periodic structural observalion. See construction preliminary rehabilitalion designs, 34
quality assurance prescriptive capacities of foundations, 86
permining process, 49-50 prescriptive evaluation 01' nonstructural compo­
pier capacity determination, 84-86 nents,322
piers, masonry. See masonry walls preservation of egress, 319-320
pile cap uplift, 297 pressure piping, 314
pile foundalions, 195-197 prestressed-cored masonry walls, 209
capacily delermination, 84-86 prestressing steels, sampling, 147
steel, rehabilitation oí', 142-143 presumplÍve capacities 01' foundations, 83-86

403
SEISMIC REHABILITATION OF EXISTING BUILDINGS

primary building components, 38-39. See also scismic isolation and energy dissipation
entries al building component syslems, 259
mathematical modeling, 56-57 steel elemenls encased in concrete, 106
steel components, \09-111 rehabilitation designo 54-56. See aiso linear
subassemblies based on experimental data, 52 analysis procedures; nonlinear analysis
primary costs of seismic rehabilitation, 353-354 procedures
prisms ror testing masónry strength, 199 concrete components, 150--151
probability 01' earLhquakes, 8-9 diaphragms, 57
exceedance probabilities, 22, 24-25 energy dissipalion systems, 278, 279-280
maps of, 22-23 foundalion capacity. 56-57, 60, 83-96, lOO
procedures for building analysis. See analysis multidireclional seismic effecls, 59
procedures nonslruclural components, 318-319
process of seismic rehabilitation, 64 overturning effecls, 60--61
projections from buildings, nonstructural. See preliminary, 34
canopies and marquees; parapets and requirements for, 44-48, 275; nonlinear
ornamentation analysis procedures, 321-327; nonstruc­
properties of materials. See in-place materials test­ tural components, 318-319
ing; material properties review of. See verification oí' design
prototype tests assumplions
energy dissipation systems, 285-286 seismic isolalion syslems, 266-269
seismic isolation systems, 275-276 soil-struclurc ínteraction (S SI) ctfects, 58
pseudo-lateral force, 63-65 steel components, 107, 1 14-1 16
energy dissipation systems, 281 two- vs. three-dímensional, 54-55
pseudo-static analyses for slope stabílity, 81 wood and líght metal framíng, 231-232
PTFE-based seismic isolators, 265-266 rehabilitation goal s, 8-10, 351
pushover analysis. See NSP Enhanced Rehabilitation Objectives, 9
Limited Rehabilitation Objectives, 9;
QA (quality assurance). See construction quality prioritizing deficiency corrections, 294;
assurance seismic isolation and energy dissipation
QAP (quality assurance plan), 48,49 systems, 259
partial rehabilitation, 9-10,292; prioritizing
radiation damping, foundation damping due to, 98 deficiency correcLÍons, 294; simplificd
radiography of masonry, 204 rehabilitation, 33; typical dei1ciencies 1'or
ratio of response spectra (RRS), 97 model building types, 293-302
Rayleigh's method ror approximating building Partial Rehabilitation Objective, 9-10,292;
period, 62, 63 prioritizing deficiency corrections, 294;
re-entrant corners (diaphragms), 307 simplitied rehabilitation, 33; typical deti­
Reduced Rehabilitation Objective, 9 ciencies for model building types,
reducing seismic risk, 6, 81-83 293-302
soil-structure interaction (SSI), 58 Reduced Rehabilitation O~icclive, 9
reduction of component cross sections, 43 rehabililation measures, 131
reduction of component irregularities, 43 concrete components, 158; cast-in-place
redundancy, adding, 296 diaphragms, 193-194; foundation com­
regional seismicity. See level of seismicity poncnts, 196-197; frames with concrete
regulalions on seismic rehabilitation, controversy infills, 178; trames with masonry intills,
on,353 177; post-tensioned beam-column
rehabilitation, decision for, 2, 351. See also selec­ moment frames, 167; precast concrete
tion of Rehabilitation Objective frames, 172, 173; precast diaphragms,
rehabilitation, detined, I 194-195; reinforced beam-column
rehabilitalion, regulations on, 353 moment frames, 166; shear wal1s,
rehabilitation costs, 6, 350--351, 352-353 185-187; shear walls, precast,
estimating, 7-8. See aiso costs of 190--191; slab-column moment
rehabilitation frames, 171

404
 ASCFlSEI 4 [-06

energy dissípatíon. See energy dissipation modeling parameters and acceptance

systems critería, 160-162, 164
historie preservation and, 351 simplified rehabilitation, 298
ímplementation strategies. See rehabilitation reinforeed concrete columns supporting diseontin­
strategies uous shear walls, 180-187
isolation. See seismie isolation systems reinforeed concrete eoupling beams,
masonry foundation elements, 223 181-187
nonstruetural eomponents, 312, 327, Reinforeed Masonry BearÍng Wall building types,
327-328 292,300-301
simplitled rehabilitation, 289, 295-311. See reinforeed masonry intills, 134-135. See a/so
also simplified rehabilitation masonry infilIs
steeI eomponents: braeed feames reinforeed masonry walls. See a/so masonry
(eoneen trie). 131; braeed frames (eceen­ modeling parameters and aceeptanee
trie), 132-133; diaphragms, 136-142; eritería, 206-208
FR moment feames, 124; pile founda­ out of plan e, 215
lions, 142-143; pIale sheer walls, 134; in plane, 213-215
PR moment frames, 129 Struetural Performance Levels, 13
typieal defieieneies for model building unreinforeed walls with reinforeed eores,
types, 293-302 209-210
wood and light metal framing, 233-236; visual condition assessment, 202-203
enhaneed shear walls, 238-239; founda­ reinforeed walls for masonry, 292, 300-301
tion, 258; light gage metal frame shear reinforeing sleel
walls, 240 bars, 157
rehabilitadon methods, 7, 33-34 Cor concrete eomponents: aeeeptanee
active or mandated rehabilitation, 352 erÍleria for linear procedures, 155;
simplified. See simplified rehabilitation development of, 156-157; properties
systematie method. See systematie measurement, 145-149, 156
rehabilitation for masonry, 200-201
Rehabilitation Objeetive removal of component irregularities, 43
critería for. See aeeeptanee eriteria 1'or repair of earthquake-damaged buildings, 3, 328.
Rehabilitation Objeetive See a/so entríes at rehabilitation
goals 01', 8-10, 351; Enhaneed replaeement
Rehabilitation Objeetives, 9; Limited of energy dissipation systems, 285
Rehabilitation Objeetives, 9, 259, 294; of nonstruetural eomponents, 328
Redueed Rehabilitation Objeetive, 9 of seismie isolation systems, 274
historie buildings, 354 repointing (masonry walls), 209-210
measures ímplemented. See rehabilitation reports and documents
measures as-built information eollection requirements,
partial rehabilitation. See partíal 31-33
rehabilitation eonstruetion documents, 7-8
passive rehabililation programs and, 352 eonstruction quality assuranee, 49
seleetion of, 2, 6, 7; active rehabilitation experimental data, 50-51, 53
programs, 352; decísion to rehabilitate, 2, maintenance of, 50
351; historie buildings, 354; passive reseue potential, preservation of, 319-320
rehabilitation programs, 352; struetural response aceeleration parameters. See speetral
vs. nonstruetural components, 319 response aeeeleration parameters
struetural vs. nonstruetural eomponents, 319 response control systems, 259-261,287. See also
rehabilitation strategies and process, 4-8, 42-44 energy dissipation systems; seismie isolation
historie buildings, 354 systems
simplified rehabilitation, 295-311 response-history analysis. See time history analy­
rein1'oreed concrete beam-eolumn moment 1'rames, sis of ground motion
158, 159-] 66. See a/so moment Crames response sensitivity of nonstruetural eomponents,
(concrete) 320-321

405
SEISMIC REHABILITATION OF EXISTING BUILDINGS

Response Spectrum Method (LDP), 66-67. See secondary effects 01' earthquakes, 317
also LDP (Linear Dynamic Procedure) site hazards. See geologic site hazards
energy dissipation systems, 282-283 site-specific characteristics, 27-28
seismic isolation systems, 269, 272 seismic isolation systems, 259-277
retaining walls (masonry), 223 analysis procedures, 271-273
return periods (earlhquakes), 8 design review, 275
revíew. See ínspection general considerations, 269-271
revitalízation 01' communíty, 353 mechanical properties and testíng, 261-269
rígid diaphragms, 57 system requirements, 273-275
risk mitigatíon programs, using this standard for, testing and design properties, 275-277
350-354 seismic joints between buildings, 47
RM walIs. See reinforced masonry walls seismic rehabilitalion. See en tries al rehabilitation
rocking on foundations, 88, 90 seismic weighl of building, 64
rod-braced wood frames, 258-259 seismicity level, 28, 319
rolling seismic isolalors, 261 selection 01' analysis procedure, 54. See also
roof-framing conneclions, improving, 309 analysis procedures; linear analysis procedures;
RRS (ratio of response spectra), 97 nonlinear analysis procedures
rubber bearings 1'or seismic isolation. See elaS­ seismic ísolation systems, 269-271
tomeric seismic isolators selection of Rehabilitation Objeclive, 2, 6, 7. See
also Rehabilitation Objective
SAC Joint Venture project, 3 active rehabilitalion programs, 352
sacrificial wind-restraint systems, 276 decision to rehabilitate, 2, 351. See also
safety regulations, controversy over, 353 selection of Rehabilitation
sampling material s for laboratory testing Objective
concrete components, 145-147 historic buildings, 354
masonry,2oo passive rehabilitatíon programs, 352
nonstructural components, 313 slructural vs. nonstructural components, 319
steel components, 104 separation between buíldings, 47-48
scheduling rehabilitation work, 351 sequence of tests. See test requirements
scragging, 262-263 seulement, differentíaL See differentíal
screws. See conneclions, wood and lighl metal compaclion
framing shallow bearing foundations, load-deformation
sculptures, exterior. See parapeis and characteristics, 88-94
ornamenlation shaJlow concrete foundalions, 195-197
secondary building components, 38-39. See also shared elements bctween buildings, 30-31,
entries at building component 47-48
mathematical modeling, 56-57 shear frictíon strength, concrete, 156
steel components, 109-111 shear modulus, masonry, 200
subassemblies based on experimental data, 52 shear stitTness. See stitfness (structural)
secondary eifects of earthquakes, 317 shear strength
Secretary 01' the Interior's slandards on historic concrete components, 156, 162, 169; shear
buildings, 353 walls, 184
Seed-Idriss procedure, 79 masonry, 200, 301; anchorage to masonry
seismic bracing, 317 walls, 222-223; default values,
seismic earlh pressure, 99-100 201-202; reinforced walls and wall piers,
seismic evaluation. See evaJuation 01' building 213
seismic hazards shear walls, 209-210
ground shaking, 22-27 building types Wilh, 291; Concrete Shear
miligaling risk, 6, 81-83; soil-structure Wall building types, 291, 297; Precasl
Ínteraction (SSI), 58 Concrete Frame with Shear Walls, 292,
nonstructural components, 316 299; Steel Frame building types,
probability of eanhquakes, 8-9; exceedance 290-291
probabilities, 22, 24-25; maps 01', 22-23 concrete, 178-187

406
 ASCE/SEI 41-06

concrete, prceast, 187-191,300--301 single-Iayer horizontallumber sheathing or siding

correcting torsional írregularities, 43 shcar walls, 236-237, 240-241
deformation- and force-controlled actions, with cut-in braces or diagonal blocking,
40 238,248
foundation damping SSI effects, 99 siding over, 237
global stiffening or strengthening, 43 wood siding over, 244
simplified rehabilitation, 299-306 single stnlight-sheathed wood diaphragms,
wood and light metal, 228-229, 236-249. 249-250,252-253,256
See also structural panel sheathing additional attachment, 252
(wood); diagonal lumber shealhing, 241, site characterization, 76-81. See also site-specific
244; líght gage metal frame, 240, 249; characteristics
modeling parameters and acceptance cri­ site cJass adjustments to spectral response
tería, 234, 242; rehabilitation procedures, acceleration parameters, 22, 25-26
238-239; single-Iayer horizontal lumber site c1asses, defined, 26
sheathing or síding, 236-237, 238, site hazards. See geologíc site hazards
240-241, 244, 248; types of, 236-240 site-specific characteristics
sheathing (wood) foundations, 86
default expected strength values, 229 seismic-geological hazard mitígation, 81-83
diagonallumber sheathing, 237 seismic hazards, 27-28
tiberboard or particleboard, 238-239, site-specilic subsurface investigation, 30
248-249 slab-column concrete moment frames, 158-159,
gypsum sheathing, 238, 247 166-171. See also moment trames (concrete)
modeling parameters and acceptance slabs (concrete), 192-193
criteria, 234-235 sliding-block displacement analysis, 81
single-Iayer horizontal lumber shear walls, sliding seismic isolators, 26 t
236-237,240-241; with cut-in braces or mechanical propenies of, 264-266
diagonal blocking, 238, 248; siding over, sliding support, bearing length and, 45
237; wood siding over, 244 slope stability (landsliding). See landsliding
structural panel sheathing, 235-236, 237, snow load, 64
240,244-245,250-252,255-257;reha­ social considerations with rehabilitation programs,
bilitalion with, 238-239; simplified reha­ 352-353
bilitation, 310 soil conditions. See also granular soils
stucco on, 245-246, 306 compaction, diflerential. See differential
shelves, 18,315,346-347 compaction
shotcrete, 209 flooding, 81, 83
siding. See vertical wood síding foundation information, collecting, 76-77
signs. See parapets and ornamentation ground improvement techniques, 82
simplified NSP analysis, 68, 75 improving for concrete foundatíons, 196-197
simplified rehabilitation, 7, 33, 288-311 landsliding, 81-83
active or mandated rehabilitation, 352 liquefaction potential, 77-80
correction of deticiencies, 295-311; build­ seismic isolation systems, 270
ing systems, 295-297; connections, soil-structure interaction (S SI), 58-59, 96-99
308-309; diaphragms, 307-308; cvalua­ solid víscoelastic energy dissípation devices, 279
lion 01' materials and condilions, span, diaphragm, 307
309-311; foundations and geologic haz­ span-to-depth ratio, diaphragm, 307-308
ards, 309; moment frames, 297-299; pri­ spandrels, 179
oritizing, 294; shear walls, 299-306; Special Moment Frames, 112. See also reinforced
stccl braced trames, 306-307 concrete beam-column
foundation soil acceptance criteria, 96 special seismic systems, 259, 260
Iimitations 01' use, 288-289 special test requirements for construction QA, 49
proccdure for, 288-295 spectral response acceleration parameters, 22-28
single diagonally sheathed wood diaphragms, 250, splices of reinforcement for concrete, 156-157,
252,253-254,256 184

407
SEISMIC REHABILlTATION OF EXISTING BUILDINGS

spread footings and mats, 83-84, 223 diaphragms, 193; frames with concrete
sprinkler systems. See tire suppression piping infills, 177-178; trames with masonry
SPT blow count, 26, 79 intills, 174-176; post-tensioned beam­
square reinforcing bars, 157 column moment frames, 167; precast
SSI (soil-structure interaction), 58-59, 96-99 concrete frames, 170; precast
stability díaphragms, 194; reinforced beam-col­
dead loads to resíst overturning, 60 umn moment trames, 159-160; shear
historical considerations, nonslructural com­ walls, 181-184; shear walls, precast,
ponents, 313 189-190; slab-column momenl frames,
seismic isolation systems, 269, 274 168
soil slopes (Iandsliding), 81-83 diaphragms, deticiencies in, 307
stacks. See chimneys and stacks elastomeric seismic isolators, 262-264
stairs and fire escapes, 338 energy dissipation systems, 279
Nonstructural Performance Levels, 16, 314 foundation, 83-96; expected capacities,
preservation of egress, 319 83-86
Standard Penetration Test (SPT) blow count, 26, global structural stiffening, 43
79 masonry: intiJIs, 217-218, 220-222; rein­
static analysis procedures, selection 01', 54. See forced walls, 213, 215; unreinforced
also linear analysis procedures; LSP; nonlinear walls, 210-211, 212
analysis procedures; NSP mathemalical modeling, 55, 56; primary and
static P-d effects, 58 secondary componenls, 56-57
Sleel Braced Frame building type, 290, 294 seísmic ísolalion systems, 266-268, 277
steel components, 100-144 steel components: braced frames, 129-131,
braced frames, 129-133. See also braced 306; cast or wrought iron, 143;
frames (steel); simplified rehabilitation, diaphragms, 135, 137-141; FR moment
306-307 tI'ames, 113-118; pile foundations, 142;
casl and wrought iron, 143 plate sheer walls, 133; PR momenl
condition improvement, 310 frames, 125-126
data collection for rehabilitation, 100-107 subassemblies based on experimental data,
diaphragms, 111, 135-142 51
frames with inli1ls, 134-135 vertical stitfness irregularilies, 36
general assumptions and requirements, wood and Iight metal framing, 226-227,
107-108 232; default values, 228-230; other wood
moment frames, 108-129. See also moment elements, 258; shear walls, 240-244,
frames (steel); conneclion types, 108, 248; sheathing, 240-241, 244-245,
112, 298; simplitied rehabilitation, 247-248,252-257; structural panel
297-298 sheathing, 235-236
pile foundations, 142-143 storage racks, 3 15, 346
plate sheer walls, 111, 116, 132, 133-134 storage vessels and waler heaters, 314
prefabricated panels, 331 stories, torsional moments at, 55-56
reinforcements for concrete: acceplance cri­ straight bars (concrete rcinforcement), 156-157
teria ror linear procedures, 155; develop­ straight-sheathed wood diaphragms, 249-250,
ment of, ] 56-157; properties measure­ 252-253, 256
ment, 145-149, 156 additional attachment, 252
Steel Frame building types, 290-291, 294-296 strain limits on concrete, 156
Steel Light Frame building type, 290, 294 strategies 01' rehabililation, 4-8, 42-44
Steel Moment Frame building type, 290, 294 historie buildings, 354
steel truss diaphragms, 139-140 simplitied rehabi1itation, 295-311
stiff diaphragms, 57 strength, bond. See bond strength
stitlening elements for masonry walls, 210 strength 01' building components, 41-42
stilfness (structural) concrete components, 153-154; bond
concrete components, 151-153; braced strength with steel, 157; braced trames,
frames, 191-192; cast-in-place 192; casl-in-place diaphragms, 193;

408
 ASCFlSEI 41-06

rrames with concrete infills, 178; l'rames foundation. See foundation

wilh masonry infills, 176; number of Iíquefaction mitigation measures, 82
tests required, 146-147; post-tensioned local modification of, 42-43
beam-column moment l'rames, 167; pre­ primary/secondary designation, 38-39
cast concrete frames, 170; precast seismic isolation syslems, 275
diaphragms, 194; reinforced beam-col­ shared betwecn buildings. See shared
umn moment frames, 160-163; shear elements belween buildings
walls, 184; shear walls, precasl, 190; sleel. See steel componenls
slab-column moment frames, 168-170; Structural Performance Levels ol', 12-14
slmin limils, 156 subassembly experiments, 50-52
diaphragms, deficiencies in, 307 slructural evaluation. See also condition assessment
elastomeric seismic isolalors, 262-263 delermination lo rehabilitate, 2, 351. See
foundation, 83-96; expecled capacities, also selection of Rehabilitation Objective
83-86 highest risk, 352
global structural strengthening, 43-44 nonstructural components, 312-313,
local strengthening, 43 321-327
masonry, J99-200, 205-208; anchorage lo prior lo rehabilitation program, 6
masonry waJIs, 222-223; default values, simplitied rehabilitalion, 309-311
201-202; infills, 218-219, 222; number steel components, 106-107
of tests required, 104- 106; reinforced typical deticíencies for model building
walls, 213, 215; unreinforced walls, 211, types, 293-302
212 structural irregularity determination for linear
mathematical modeling, 56 analysis, 35-36
nonslructural components, 328 slructural observation. See construction qualily
reinforcing steel, 200. See also reinforcing assurance
sleel structural panel sheathing (wood), 235-236, 237,
steel components, 101-103, 107-108; bond 240,244-245,250-252,255-257
slrenglh with concrete, 157; braced rehabilitation with, 238-239
rrames (concentric), 130; braced l'rames simplitied rehabilitation, 310
(eccentric), 132; casI or wrought iron, Structural Performance Levels, 11-15
143; diaphragms, 135-141; FR moment seísmíc isolation and energy dissípation sys­
l'rames, 118-119; number ol' tests tems,26O
required, 104- 106; pile foundalions, 142; targel designation, 20-21
plate sheer walls, 133-134; PR moment Structural Performance Nol Considered. See
frames, 126-128 Not Considered Struclural Performance
subassemblies based on experimental data, Leve I (S-6)
51-52 Struclural Perfonnance Ranges, 11
torsional strength irregulariLies, 36, 43 seismic isolation and energy dissipation sys­
wall design requirements, 47 lems,26O
wood and Iight metal framíng, 226-230, struts (concrete), 193
232; foundalion, 257-258; other wood stucco, 245-246
elements, 258; shear walls, 241-244, simplified rehabililation, 306
248; sheathing, 241, 244-245, 247-248, studs, stucco on, 245-246, 306
252-257; structural panel sheathing, subassemblies (structural), experimental dala on,
235-236 50-52
slrenglh ralio (building analysis), 37 suhsurface investigalion, 30
structural components. See also entries at building subsurface soil conditions. See soil conditions
component superstructure modeling, seismic isolators,
buried, tlotation of (Iiquefaclion), 80 268-269
concrete. See concrete components supplemental energy díssipation, 44, 259-261,
continuity of, 45, 308 277-287
criteria foro See acceptance criteria for ímplementation strategies, 278
Rehabililalion Objectíve mathemalical modeling, 278, 279-280

409
SEISMIC REHABlLlTAll0N OF EXISTING BUILDlNGS

surface-applied ceilings, 335. See also ceilings concrete components, 156

surface hardness tests (masonry), 204 irregularilies, 36, 43
surface nondestructive examinalion, concrete tolal displacement, seismic isolalors, 271
components, 150 tolal lorsional moment, 55-56
suspended ceilings, 335. See also ceilings lraining prerequisiles of design professionals,
symbols, dictionary of, 354-365 1-2
syslem adequacy. See acceplance crileria fm lriggers for seismic rehabilitalion, 351
Rehabilitalion Objcclive luned mass and liquid dampers, 259, 260
systematic rehabililation, 7,33-34,53-75. See two-dimensional building models, 54-56
also specific material by name typical deliciencies for model building types,
acccplance crileria, 73-75 293-302
aClivc or mandated rehabililation, 352
analysis procedures, 61-73 ultimate strength, concrete componenls, 145-147
design requirements, 44-48, 275. See also ultrasonic pulse velocity testing, 147,203
rehabilitation design; nonlinear analysis unblocked diaphragms, deficiencies in, 307
procedures, 321-327; nonstructural com­ uncertainly in as-built data, 32-33
ponents, 318-319 concrete com ponenls, 151
energy dissipation. See energy dissipalion masonry, 205
systems steel components, 107
general requirements, 54-61 wood and light metal framing, 232
scismic isolation. See seismic isolation underpinning footing, 196
systems Uniform Building Code (1961), 313
tanks. See storage vessels and water heaters unreinforced masonry. See also entríes al masonry
target Building Performance Levels, 10-2 \. See infills, 134-135. See also masonry intills
also Building Performance Levels shear strenglh tcsting, 200
target displacement, modeling, 70-72 walls, 209-210, 292, 301-302; bearing
lensile strenglh walls, 292, 301-302; distribution DI' seis­
concrete components, 145-149 mic forces, 66; load-<leformation charac­
masonry, 104-106, 199 teristics, 206-208; out of plane,
steel components, 101-1 06 212-213; period of building, approximat­
tension ties for concrete foundations, 196, 197 ing, 62, 63; in plane, 210-212; with rein­
test prisms (masonry), 199 forced cores, 209-210; simplified reha­
test reports, maimenance of, 50 bilitation, 301; Structural Performance
test requirements Levels, 13
for construction QA, 49 Unreinforced Masonry Bearing Wall building
energy dissipation systems, 285-287 type, 292, 301-302
seismic isolation systems, 275-276 untopped precast concrete diaphragms, 194
testing in place. See in-place material s testing uplift at pile caps, 297
three-dimensional building models, 54-55 URM. See unrcinforced masonry
Tier I Seismic Evaluation, 288, 289 usual colJection of as-built information, 3 J -32
Tier 2 Seismíc Evaluation, 288, 289 concrete components, 147
Tier 3 Seismlc Evaluation, 1, 6 masonry,2oo
tilt-up construction, concrete sheer walls, 189 steel components, 104-105
Precastffilt-Up Concrete Frame building wood and Iight metal framing, 227
type,292,298-299
time history analysis of buildings. See NDP velocity-dependent energy dissipation devices,
time history analysis of ground motion, 28, 67, 73 279-280,286
timetable for risk mitigation programs, 351 linear analysis procedures, 281-283
top and bottom clip angle connections, 110, 115, nonlinear analysis procedures, 283-284
126-127 veneer allachments (masonry), 202, 210, 329-330
torsional strength. See also strenglh of building interior veneers, 334-335
components ventilation piping. See fluid piping

410
 ASCFlSEI 41-06

verification of design assumptions, 59-60, 75 water heaters, 314

energy dissipation systems, 285 water piping. See fluid piping
seismic ¡solation systems, 275 water table
verification of performance, 34 Iiquefaction and, 77-80
verificatíon of rehabilitation design, 7-8 subsurface soil conditions, 76-77
vertical compression strength (masonry), 204, 213 weak story irregularities, 36
vertical distribution of pseudo-lateral force, 65 weldability of materials. See carbon equivalent of
vertical irregularities (building systems), 295 steel components
vertical load, seismic isolators, 276 wind forces
vertical load stability, seismic isolators, 274, energy dissipation syslems, 285
275-276 seismic isolation systems, 276
vertical response spectrum for ground shaking seismicalIy isolated buildings, 274
hazard,27 windows, jammed, 320
vertical seismic etIects wood and light metal framing, 223-259, 293-294
analysis and modeling, 59 connectors, 224, 226, 230-231, 233; model­
design requiremenls, 48 ing paramelers and acceplance criteria,
nonstruclural components, 324-326 235, 243; rehabilitatíon with, 239
seismic isolators and, 267 data collectíon for rehabilitatíon, 224-232;
vertical stiffness irregularitíes, 36 condilion assessmenl, 230-232; proper­
vertical stiffness modeling for sha\low bearing tíes of in-place componenls, 224-230
footings, 92 diaphragms, 14,249-257; default expecled
vertical structural componenls, 12-13 strength values, 229; modeling parame­
vertical wood siding shear walls, 237, 241-242 lers and acceptance criteria, 234-235,
viscoelastic energy dissipation devices, 279-280 242-243
visual condition assessment foundations, 257-258
concrete componenls, 148-150 general assumptions and requiremenls,
masonry, 202-203 232-236
nonstructural components, 312-313 shear walls, 228-229, 236-249; diagonal
steel components, 106-107 lumber shealhing, 241, 244; Iighl gage
wood and light metal framing, 225, 228, metal frame, 240, 249; modeling parame­
231 lers and acceptance criteria, 234, 242;
visual inspection. See inspection rehabilitation procedures, 238-239; sim­
vocabulary of rehabilitation, glossary of, 366-374 plitied rehabilitalíon, 302, 306; single­
volumetric nondeslructive examinalíon, concrele layer horizontallumber sheathing or
components, 150 siding, 236-237, 238, 240-241, 244,
248; types 01',236-240
wall anchors, adding, 308 structural panels, 235-236, 237, 240,
wall piers, 179 244-245, 250-252, 255-257; rehabilita­
walIboard, 225 tíon with, 238-239; simplified rehabilita­
walls, 46-47. See also specific type ofwall by lÍon, 310
name or material wood condilion, improving, 310
cavity wall construclÍon, 202 Wood Frame building types, 290, 293-294
deformalion- and force-controlled actions, wood lath, gypsum plaster on, 237, 246
40 simplified rehabilitation, 306
lateral earth pressures on, 80 wood slUd walls, 13
panels-cladding connections, 308 wrought ¡ron. See cast or wroughl iron
retaining soil (seismic earth pressure),
99-100 x-ray testing of masonry, 204
sleel plale sheer walls, rehabilitalíon of,
111, 116, 133-134 yield strength. See strength of building
StructuraI Performance Levels, 12-13 components

411
 GMI S.A.
INGENIEROS CONSULTORES
Civil Engineering
Seismology
Rehabilitation of Buildings

, 1_­

.. -:
- - - -

ASCE/SEI Standard 41-06, Seismic Rellabilitation ofExisting

Buildings, is the latest generation of performance-based seismic
rehabilitation methodology. This new national consensus standard
was developed from FEMA 356, Prestandard and Commentary for tlle
Seismic Rehabilitation of Buildings, which served as a starting point
for the formal standard development process.

ASCE/SEI Standard 41-06 represents state-of-the-art knowledge in

earthquake engineering and is a valuable tool for the structural
engineering profession to improve building performance in future
earthquakes. It includes significant improvements in current
understanding of building behavior in earthquakes, such as:

• Improved C-coefficients for calculation of the

pseudo-Iateral force and target displacement based on
recommendations in FEMA 440.
• Comprehensive soil-structure interaction provisions including
kinematic effects and foundation damping effects.
• Revised acceptance criteria for steel moment frames to reftect
final conclusions of the SAC Joint Venture research.
• Expanded acceptance criteria for concentrically braced frames
defined as a function of brace slenderness, compactness, and
level of connection detailing.
• Updated nonstructural provisions to be consistent with current
NEHRP Provisions for new buildings.

ASCE/SEI Standard 41-06 is a valuable tool for structural

engineers and the public for improving seismic performance
of existing buildings. The completion of the new Standard
represents a considerable advancement for the
engineering community. ISBN ~ 13 : 978 ~ O ~ 7844 ~ 0884~ 1
ISBN~10 : O~ 7844~0884~X

ASCE
Ame,.ican Society of Civil Engineers
9 780784 408841