Building Code Requirements for
Special Seismic Certification of
Nonstructural Components
&
Implementation in California Hospital
Construction
Chris Tokas S.E., F. SEAOC
Manager, Hospital Seismic Retrofit Program
Office of Statewide Health Planning and Development
1
Special Seismic Certification is
Also Known As (AKA)
• Seismic Certification of Nonstructural
Components (IBC 2009 Section 1708.4
and the CBC 2010 Section 1708A.4)
• Special Certification for Designated
Seismic System (ASCE 7-05 Section
13.2.2)
2
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1
CBC Seismic Requirements for
Equipment
3
NEHRP Provisions
ATC 3.06 the Next
Generation Building
Code of the 70’s
• First published by BSSC in 1985
• Was updated on 3-year cycle (1988, 91, 94, 97 ,00, 03),
However now on 5 -6 year cycle
–
–
–
–
1992 -Adopted by BOCA, SBCCI
1993 - Adopted by ASCE 7 for Seismic
1995 - IBC resolves to adopt as basis for IBC
2006 - Adopting ASCE-7-05 as Reference Basis
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2
Nonstructural Importance
Factor - Ip
• Nonstructural Component Importance
Factor, Ip, assigned to all components
• The values of Ip is either 1.0 or 1.5
• Ip shall be taken as1.5 if :
– Component is required to function for lifesafety
– Component contain hazardous materials
– Component is in an essential facility and its
failure could impair the continued operation of
the facility
5
What is Designated Seismic
System?
• Nonstructural
components/systems which
are assigned an Ip= 1.5 are
called “Designated Seismic
Systems”
(CBC 2010 Section 1702A)
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Seismic Qualification Requirements for
Certain “Designated Seismic Systems”
Chapter 13 of ASCE 7-05
• Seismic qualification required for
Designated Seismic Systems
assigned to Seismic Design
Categories C through F as follows:
– Active mechanical and electrical
equipment that are required to function
following the DBE
– Components containing hazardous
contents
7
Components Supports and
Attachments
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Drivers of Change - Earthquake
Lessons Learned
9
Intent of Building Code
• Provide reasonable assurance of
seismic performance that will:
– Avoid serious injury and life loss,
– Avoid loss of function in critical
facilities,
– Minimize structural and
nonstructural repair costs where
practical to do so.
10
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Statutory Mandate for OSHPD
• HOSPITAL FACILITIES SEISMIC
SAFETY ACT 1983 (HSSA 83)
– Hospital buildings that house patients
who have less than the capacity of
normally healthy persons to protect
themselves… must be reasonably
capable of providing services to the
public after a disaster
11
Seismic Performance of
Nonstructural Components
• Damage to nonstructural components can result
in:
– Significant economic losses
• Cost of building contents exceeds building cost
– Temporary partial/total loss of operation/functionality
(downtime)
– Injuries
– Loss of Life
• Past emphasis : Life safety only (Position
Retention)
• Present: Performance Based
12
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Capital Investment for Modern
Building Construction
100%
2 0 .0 %
1 7 .0 %
80%
4 4 .0 %
60%
6 2 .0 %
C o n te n ts
N o n s tru c tu ra l
S tr u c tu r a l
7 0 .0 %
40%
4 8 .0 %
20%
1 8 .0 %
0%
O ffic e
1 3 .0 %
H o te l
8 .0 %
H o s p ita l
E. Miranda, 2003
13
Quantification of Seismic Resilience for a
Critical Facility
Quality of
Building %
Enhancement of resilience
Significant Seismic
Event Occurs
0
Robustness Vulnerability
e.g. Patients/Day
Pre-EQ
Level =100%
Without the Earthquake
Earthquake
Effects (Damaged
systems or
equipment)
Δt = Rapidity
Rebuilding of Capacity (Repair,
Retrofit, Replacement)
t0
Parking lot palliative interim
measures until weather inclement
or National Guard withdraws
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t1
Hospital building
Recovers
Time
14
7
Seismic Certification of
Nonstructural Components
CBC 2010 Section 1708A.4:
• The registered design professional
shall state the applicable seismic
certification requirements for
nonstructural components and
designated seismic systems on the
construction documents.
CONT’D
15
Seismic Certification of
Nonstructural Components
CBC 2010 Section 1708A.4
• The manufacturer of each designated
seismic system components subject to
the provisions of ASCE 7 Section 13.2.2
shall test or analyze the component and
its mounting system or anchorage and
submit a certificate of compliance for
review and acceptance by the
registered design professional
responsible for the design of the
designated seismic system and for
approval by the building official.
CONT’D
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8
Seismic Certification of
Nonstructural Components
CBC 2010 Section 1708A.4
• Certification shall be based on:
– An actual test on a shake table,
– By three-dimensional shock tests,
– By an analytical method using
dynamic characteristics and forces,
– By the use of experience data (i.e.,
historical data demonstrating
acceptable seismic performance), or
– By more rigorous analysis providing
for equivalent safety.
17
NEHRP Commentary
...
18
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Seismic Certification by Analysis
19
Seismic Certification by Analysis
•
Seismic Certification of Tanks by Analysis
Using ASME BPVC
– Tanks (without vibration isolators) designed by:
1. A registered design professional in accordance with ASME
Boiler and Pressure Vessel Code, 2007 (BPVC 2007); and,
2. Satisfying the force and displacement requirements of
Sections 13.3.1 and 13.3.2 of ASCE 7-05 having an
importance factor, I = 1.5; and,
3. Reviewed and approved by OSHPD
– Shall be considered to satisfy the Special Seismic
Certification requirements on the basis of ASCE 705 Section 13.6.9.
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Seismic Certification by Analysis
•
Seismic Certification of Tanks by Analysis
Using ASCE 7-05 Chapter 15
– Tanks Classified as Nonbuilding Structures in
ASCE 7-05 shall be considered to satisfy Special
Seismic Certification requirements if all of the
following conditions are satisfied:
1. Tank design is in accordance ASCE 7-05 Chapter 15 with
R = 0 = Cd = 1, and
2. Attachments and Supports are designed in accordance
with ASCE 7-05 Chapter 15 with R, 0, and Cd values
provided therein, and
3. Tank design is reviewed and approved by OSHPD.
21
Seismic Certification by Analysis
• For a product line with multiple products analysis is too
time consuming. Active and Energized components must
be qualified by test or experience data.
• Analyzing a custom 40-units HVAC product line will be
similar to designing 40-hospital buildings.
• Same HVAC product line can be qualified by just two
shake table test.
• Shake Table test is not a destructive test, hence tested
unit may be installed and used
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Seismic Qualification by Testing
23
ASCE/SEI 7-05 Referenced Seismic
Qualification Testing Protocol
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AC-156 Seismic Qualification by Shake
Table Testing of Nonstructural
Components
• Companion Document to 2009 IBC/ASCE 7-05
• Acceptance Criteria published by ICC Evaluation
Services
• First published in 2000, latest version 2007
• Provides testing protocol and test spectra
definition
• Test Spectra is tied directly to Fp force equation
• Acceptance Criteria tied to Ip factor.
• For Ip= 1.5, Equipment to remain functional
following the test
25
Translating Building Code
Requirements to a Testing Protocol
Transform
Building Code Design
Seismic Force on NonStructural Components
(Static Demand)
Shake Table Test
Dynamic Demand
26
Illustration by Jeff Gatscher & Scott Littler
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Translating Building Code
Requirements to a Testing Protocol
• Protocol accounts for site specific design
parameters
27
Excerpt of Figure 3.3-3 from FEMA 450 Part 1 (2003 NEHRP Provisions) L.A. area -MCE ground motion 0.2 sec spectral response acceleration (5% ofcritical damping), site class B
Translating Building Code
Requirements to a Testing Protocol
• Protocol accounts for above grade installation
– Independent of building/structure type
Roof 1.53g
1st Floor 0.8g
28
Olive View Hospital M. C., 1994 Northridge Earthquake
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Translating Building Code
Requirements to a Testing Protocol
• Required Response Spectrum for Nonstructural
Building Components
A, (g)
– Two normalized acceleration factors, that when
combined, partially defines the horizontal equipment
qualification RRS
A FLX
Fp
z

1  2 
h

 S DS
Wp

0.4a p S DS 
z
1  2 
Rp
h

I p 1.0
z

ARIG  0.4 S DS 1  2 
h

0
0.06
T0
T, (sec)
Ts
– AFLX is limited to a maximum value of 1.6 SDS.
29
Translating Building Code
Requirements to a Testing Protocol
Spectral Response Acceleration, A (g's)
• Normalized Nonstructural Building Component RRS
Horizontal RRS
Horz.
5% Damping
Vertical RRS
A
FLX
2A
FLX
3
A
A
FLX
f
A
Vert.
2A
RIG
3
FLX
FLX
10 f
A
RIG
(f )
FLX
3
FLX
15 f
2
A
FLX
f
(f )
FLX
FLX
0.1
f
FLX
f
0
16.7
33.3
30
Frequency, f (Hz)
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Seismic Simulation Arrangement
*
*
30 Seconds
UUT response
Accelerometers to be
Used to Capture
Component Response
31
i.e. Resonant frequency
etc.
Seismic Simulation Test Results and
Acceptance Criteria
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Seismic Simulation Test Results and
Acceptance Criteria
• Acceptance Criteria
– Account for post event pass/fail criteria
• Post event functionality for critical facilities
Photo by: Philip Caldwell
33
Seismic Simulation Test Results and
Acceptance Criteria
• Account for post event pass/fail criteria
– Ip= 1.5 Post test functionality verified
34
Photo by: Philip Caldwell
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Seismic Certification by Experience
• Requirements for Qualification
by Experience Data (for
OSHPD)
– Characterization of experience
motions as measured by
instruments
– Verification of post-earthquake
Functionality and Structural
Integrity
– Equipment must be of equal or
better construction
– Project seismic demand must be
less than Certification basis
– Requires maintenance of data
base for continuous evaluation of
the performance of installed
equipment experiencing new
earthquake
35
HOSPITAL FACILITIES
SEISMIC SAFETY ACT 1983 (HSSA 83)
§129680. Hospitals housing patients less able
to protect themselves; Legislative intent
It is the intent of the Legislature that hospital
buildings that house patients who have less
than the capacity of normally healthy persons to
protect themselves, and that must be reasonably
capable of providing services to the public after a
disaster…. In order to accomplish this purpose,
the office shall propose proper building
standards for earthquake resistance based upon
current knowledge…
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CBC 2010, Section 1708A.4
•
List of Systems Requiring Special
Seismic Certification
1.
Emergency and standby power systems including
generators, turbines, fuel tanks, and automatic
transfer switches.
2.
Elevator equipment (excluding elevator cabs).
37
CBC 2010, Section 1708A.4
• List of Equipment and Components Requiring
Special Seismic Certification:
3. Components with hazardous contents (excluding pipes,
ducts, and underground tanks).
4. Smoke control fans.
5. Exhaust fans – New addition in the CBC 2010 to
Ensure That Pressurization in Building will not Interfere
with Opening or Closing of Exit Doors.
6. Switchgear.
7. Motor control centers.
8. X-Ray machines in fluoroscopy rooms.
9. CT (Computerized Tomography) Scanners – New
addition in the CBC 2010 to Ensure that Stroke/Head
Injury Patients and Trauma Center/Emergency Rooms
will have Adequate Access to Imaging
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CBC 2010, Section 1708A.4
•
List of Equipment and Components Requiring
Special Seismic Certification:
10. Air conditioning units.
11. Air handling units.
12. Chillers.
13. Cooling Towers (excluding Cooling Towers designed as
nonbuilding structures).
14. Transformers.
15. Electrical substations.
16. UPS (Inverters) and associated batteries.
17. Distribution panels including electrical panelboards,
18. Control panels including fire alarm, fire suppression,
preaction, and auxiliary or remote power supplies.
39
CBC 2010, Section 1708A.4
•
Components Exempt from Special Seismic
Certification:
1. Equipment and components installed in
nonconforming buildings unless the equipment or
component provides a service/system or utility to
conforming buildings, or building is designated as SPC
3 or higher.
2. Equipment and components weighing not more than
20lbs. supported directly on structures (and not
mounted on other equipment or components) with
supports and attachments in accordance with a SCE 7
Chapter 13 as modified by Section 1615A.
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CBC 2010, Section 1708A.4
•
Special Seismic Certification for OSHPD 2
and 3 Buildings:
– Special Seismic Certification is required for
Designated Seismic System (components
with importance factor equal to 1.5). Typical
components that require special seismic
certification in OSHPD 2 & 3 buildings
include:
•
•
•
•
•
Emergency generators
Automatic transfer switches
Smoke control fans
Medical gas systems
Fire alarm panels
41
CBC 2010 Section 1708A.4/ASCE 7-05 Section
13.2.2: Special Seismic Certification
Special Seismic Certification for Designated
Seismic System, ASCE/SEI 7-05 Section
13.2.2 and CBC 2010 Section 1708A.4
Analysis
Testing
Experience Data
ASCE/SEI7-05 Sections
13.3, 13.4, 13.5, & 13.6
ASCE/SEI 7-05 Section 13.2.5
ASCE/SEI 7-05 Section
13.2.6
Project Specific Submittal to
OSHPD
OSHPD Special Seismic Certification
Preapproval (OSP)
42
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OSHPD Special Seismic Certification
Preapproval (OSP)
• OSP requirements of a product line with
similar structural configuration:
– Testing of at least two units (typically the
smallest & largest units), and
– Verification of similarities for interpolated units
(CBC 2010 Section 1708A.4).
43
Special Seismic Certification By a
Single Test
• One dynamic test is
Acceptable when:
– A single product is certified
• NOT a product line with more
than one product with variations;
and,
– Manufacturing process is ISO
9001 certified
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OSP Requirements (Continued)
• OSHPD strongly recommends:
– The Owner and his California licensed
structural engineer meet and review the
proposed test plan with OSHPD prior to any
testing to ensure that there will be no issues
with the OSP approval when submitted.
45
Statutory OSHPD Review
Requirements
§129680. Hospitals housing patients less
able to protect themselves; Legislative
Intent
(a) It is the intent of the Legislature that hospital buildings that
house patients who have less than the capacity of normally
healthy persons to protect themselves, and that must be
reasonably capable of providing services to the public after a
disaster, shall be designed and constructed to resist, insofar as
practical, the forces generated by earthquakes, gravity, and
winds. In order to accomplish this purpose,
the office
shall propose proper building standards for earthquake
resistance based upon current knowledge, and provide
an independent review of the design and
construction of hospital buildings.
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23
Regulatory OSHPD Approval
Requirements
CBC 2010
• 1601A.3 Enforcement Agency Approval. In addition to
requirements of California Code of Regulations (C.C.R.) Title
24, Parts 1 & 2, any aspect of project design,
construction, quality assurance, or quality control programs
for which this code requires approval by
the design professional, are also subject
to approval by the enforcement agency.
47
Excerpts from Test Report
Submittals -Testing Lab X
• The UUT was subjected to triaxial base
excitations.
• A simulated ground motion was derived
using QKE-xxxx software and was based
on the RRS defined by the following
parameters
Parameters used for Required Response Spectrum (RRS)
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Excerpts from Test Report
Submittals -Testing Lab X
• Testing Time History
– The duration of the record was set to 30 sec
49
Excerpts from Test Report
Submittals -Testing Lab X
• Comparison of Achieved (TRS) 5% Damped Spectra
and AC156 RRS
50
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TRS Analysis - AC156 Criteria
(Based on a maximum 1/6 octave bandwidth resolution)
10
Spectral Response Acceleration, A (g's)
RRS
TRS
1.3RRS
0.9RRS
UUT
SDS=1.33g, z=1
1
TRS shall envelop the RRS in
the rage of 1.3 Hz >f >33.3 Hz
Amplified Region, RRS
ZPA Region, RRS
0.1
0.1
1
1.3
8.3
10
33.3
100
51
Frequency, f (Hz)
Excerpts from Test Report
Submittals -Testing Lab X
•
•
•
•
•
•
•
Installation of UUT and Pre-test inspection . . .
Pre-test functional compliance verification . . .
Resonance search test (Pre-test) . . .
Seismic Simulation Test . . .
Post test inspection . . .
Resonance search test (Post test) . . .
Post-test functional compliance Verification . . .
52
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OSHPD Special Seismic Certification
Preapproval (OSP) at OSHPD Website
• OSHPD Special Seismic Certification Preapproval (OSP)
Requirements and Application form is available at:
– http://www.oshpd.ca.gov/FDD/Pre-Approval/index.html
• List of Equipment and Components with OSHPD Special
Seismic Certification Preapproval (OSP) is available at:
– http://www.oshpd.ca.gov/FDD/PreApproval/special_seismic_cert_pre-approval.html
53
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Progress in OSHPD Special Seismic
Certification Preapproval (OSP)
• 115 Special Seismic Certification Pre-Approvals
to date (OSP Program started in July, 09).
11,000 Equipment
• Currently processing on average more than
three (3) new OSP’s per week.
• Most Categories have Multiple Pre-approvals.
55
Progress in OSHPD Special Seismic
Certification Preapproval (OSP)
• Several Testing facilities Available
• Available list of tested equipment
56
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Options When No Equipment with
Special Seismic Certification is Available
• Differ the Special Seismic Certification and
Require the Manufacturer to Provide the
Certification
– Certification must be complete prior to installation.
• Emergency Waiver – OSHPD may waive the
requirements for emergency replacements
57
Questions?
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Is Third Party Review Subject to
OSHPD Review and Approval?
• Yes
• Required by Statute
• Required by the CBC 2010 Section
1601A.3
61
Can the Analysis be Bookended
Similar to Testing?
• No
• Analysis is only good for the unit analyzed
– limited variations and/or grouping may be acceptable
– i.e. analysis of the smallest and largest buildings
(under OSHPD jurisdiction) can’t be used for
permitting all OSHPD buildings (of a given structural
configuration).
– However, testing of a few connections to verify an
analysis methodology can justify all connections of
similar configurations
62
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What Rp Can be Used for Special
Seismic Certification?
•Rp = 1.0 & Ip= 1.5 for Special Seismic Certification by
Analysis (Attachments design can use Rp in ASCE 7),
Since Functionality can’t be Verified by Analysis
•Rp/Ip = 1.0 for Special Seismic Certification by Shake Table
Test. Both Structural Integrity and Functionality
shall be maintained after shake table test.
63
Why is Rp based on the AC-156
Requirements?
• ASCE 7-05 does not provide Rp values for special
seismic certification of active electrical and mechanical
equipment, since it does not provide analysis as an
option for special certification of active mechanical and
electrical equipment.
• ICC-ES AC 156 requires Rp/Ip = 1 for Shake Table Test.
– Require Post-Test Structural Integrity for Ip = 1
– Require Post-Test Structural Integrity and Functionality for Ip
= 1.5
• Critical equipment and components should remain
essentially elastic for post-earthquake functionality
64
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Can the Active Mechanical and Electrical
Equipment get an OSP by analysis
alone?
• No
• Active and energized components must be
certified by shake table testing or experience
data.
• ONLY connecting elements, attachments,
and supports can be justified by supporting
analysis for active and energized components
65
Does the Design need to comply
with the CBC 2010 for OSP?
• Yes
• All components shall be
designed in accordance with
the CBC requirements
– Both demand and capacity shall
be based on the CBC and
referenced material standards.
• Stability and local affects shall
be part of the design as
required by the code.
• The CBC does not permit 1/3rd
allowable stress increase for
most materials, including steel
and concrete.
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