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2016 DOE NPH Meeting Comparison of ASCE 7 and ASCE 43 for Informed Adoption of ASCE 7 for Seismic Design of SDC-1 SSCs Sanj Malushte, PhD, PE, SE, CEng, F.ASCE Bechtel Fellow and Technology Manager Acknowledgements: Brent Gutierrez, Quazi Hossain, Joe Hunt October 18-19, 2016 * ASCE 7 and ASCE 43 excerpts have been reproduced with permission from ASCE; this material may be downloaded for personal use only. Any other use requires prior permission of the American Society of Civil Engineers.

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Page 1: Comparison of ASCE 7 and ASCE 43 for Informed Adoption of ... · PDF file2016 DOE NPH Meeting Comparison of ASCE 7 and ASCE 43 for Informed Adoption of ASCE 7 for Seismic Design of

2016 DOE NPH Meeting

Comparison of ASCE 7 and ASCE 43 for Informed Adoption of ASCE 7 for Seismic Design of SDC-1 SSCs

Sanj Malushte, PhD, PE, SE, CEng, F.ASCEBechtel Fellow and Technology Manager

Acknowledgements: Brent Gutierrez, Quazi Hossain, Joe Hunt

October 18-19, 2016* ASCE 7 and ASCE 43 excerpts have been reproduced with permission from ASCE; this material may be downloaded for personal use only. Any other use requires prior permission of the American Society of Civil Engineers.

Page 2: Comparison of ASCE 7 and ASCE 43 for Informed Adoption of ... · PDF file2016 DOE NPH Meeting Comparison of ASCE 7 and ASCE 43 for Informed Adoption of ASCE 7 for Seismic Design of

Sanj Malushte

Comparison of ASCE 7 and ASCE 43

October 18, 2016

Outline Role of ASCE 7/IBC in Seismic Design of Nuclear Facilities ASCE 43 Seismic Design Categories and Seismic Performance Targets ASCE 43/DOE 1020 is based on SSC-specific SDC and Limit State ASCE 43 approach for SDC-dependent uniform risk Design Response

Spectrum ASCE 43 Fμ factors and Damping Ratios ASCE 7 Risk Categories and associated facility-wide Performance Levels ASCE 7 SSC Categorization and Expected Limit States ASCE 7 Seismic Performance misconception in ASCE 43/DOE 1020 ASCE 7 approach for risk-based (Maximum Direction) MCER spectrum Why does ASCE 7 reduce MCER spectrum by 2/3 factor?

Page 3: Comparison of ASCE 7 and ASCE 43 for Informed Adoption of ... · PDF file2016 DOE NPH Meeting Comparison of ASCE 7 and ASCE 43 for Informed Adoption of ASCE 7 for Seismic Design of

Sanj Malushte

Comparison of ASCE 7 and ASCE 43

October 18, 2016

Outline ASCE 7 Role of Seismic Importance Factors ASCE 7 Treatment of Vertical Seismic Excitation ASCE 7 Seismic Design Parameters and their basis/verification Significance of ASCE 7 Seismic Design Categories Significance of verified versus unverified structural systems Performance of Individual SSCs when designed per ASCE 7 Adjustments to ASCE 7 Seismic Design Parameters for LS C & D Proposed Analysis Modifications for LS C & D Table for Design of SDC-1 Structural Elements Table for Design of SDC-1 Nonstructural Components Summary

Page 4: Comparison of ASCE 7 and ASCE 43 for Informed Adoption of ... · PDF file2016 DOE NPH Meeting Comparison of ASCE 7 and ASCE 43 for Informed Adoption of ASCE 7 for Seismic Design of

Sanj Malushte

Comparison of ASCE 7 and ASCE 43

October 18, 2016

Role of ASCE 7 in Seismic Design of Nuclear Facilities ANS Standard 2.26-2004 (R2010) Appendix A provide criteria for

determination of Seismic Design Categories for SSCs based on unmitigated radiological dose consequences due to their failure*

ANS 2.26 defines SDCs 1-5 and Limit States 1-4, and defers design of SDC-1 and SDC-2 SSCs to IBC (which in turn invokes ASCE 7)

DOE-STD-1020-2012 also defers seismic design of SDC-1 and SDC-2 nuclear facilities to ASCE 7

DOE 1020 Table 3-1 provides guidance for adopting ASCE 7 requirements for design of SDC-1 and SDC-2 SSCs, including the impact due to Limit States C and D

ASCE 43-05 also invokes ASCE 7 for SDC-1 and SDC-2 SSCs* The methodology in DOE-STD-3009 is used for determining dose consequences

Page 5: Comparison of ASCE 7 and ASCE 43 for Informed Adoption of ... · PDF file2016 DOE NPH Meeting Comparison of ASCE 7 and ASCE 43 for Informed Adoption of ASCE 7 for Seismic Design of

Sanj Malushte

Comparison of ASCE 7 and ASCE 43

October 18, 2016

Role of ASCE 7 in Seismic Design of Nuclear Facilities For SDC-1 and SDC-2 SSCs, the rules/guidance in ASCE 43 and

DOE 1020 are based on somewhat outdated and/or incomplete understanding of ASCE 7 seismic design goals and rules

The upcoming DOE 1020 revision (2016) may revisit seismic categorization rules for SDC-1 and SDC-2 SSCs

ASCE 43-xx is considering an option to allow seismic design of SDC-2 SSCs per ASCE 43 rules, using a performance goal that is yet to be finalized

This presentation provides seismic performance basis and risk goal of ASCE 7 to aid its adoption/modification for design of SDC-1 SSCs; it also recommends a performance goal for SDC-2 SSCs

Page 6: Comparison of ASCE 7 and ASCE 43 for Informed Adoption of ... · PDF file2016 DOE NPH Meeting Comparison of ASCE 7 and ASCE 43 for Informed Adoption of ASCE 7 for Seismic Design of

Sanj Malushte

Comparison of ASCE 7 and ASCE 43

October 18, 2016

ASCE 43 Seismic Design Categories and Seismic Performance Targets ASCE 43-05 recognizes SDCs 1-5; however, Table 1-2 “requires”

performance goals (annual risk of failure to meet the desired limit state) for SDCs 3-5 only as 1E-4, 4E-5, and 1E-5

Table 1-3 “estimates” the performance goal for SDCs 1 and 2 as being <1E-3 and <4E-4, respectively*

* The estimates for SDC-1 and SDC-2 do not reflect the risk-based design approach in ASCE 7-10 and the nuances associated with the use of seismic importance factor to change facility’s seismic performance level

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Sanj Malushte

Comparison of ASCE 7 and ASCE 43

October 18, 2016

ASCE 43/DOE 1020 is based on SSC-specific SDC and Limit State! In ASCE 43/DOE 1020 seismic design construct, the seismic design

basis (SDB) for each SSC is defined as a combination of its SDC and Limit State (LS), which are independent of each other

The SDC defines the acceptable annual failure risk to achieve the assigned limit state, which could range from large permanent distortion short of collapse (LS A) to essentially elastic (LS D)

SDB 1A is the lowest seismic design basis (i.e., relatively large annual risk of collapse-resistant performance acceptable), whereas SDB 5D is the most rigorous seismic design basis (1E-5 annual risk to meet essentially elastic performance)

The SDB is to be individually determined for each SSC!

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Sanj Malushte

Comparison of ASCE 7 and ASCE 43

October 18, 2016

ASCE 43 approach for Uniform Risk Design Response Spectrum SDC determines the acceptable annual risk level; accordingly, each

point on the DRS corresponds to the target annual risk Generic seismic fragility models are considered, with composite

log-standard deviations ranging from 0.30 to 0.60 ASCE 43 assumes that nuclear code-compliant design practice

results in a design that has 1% conditional probability of failure against the specified design spectrum (i.e., the selected DRS value has less than 1% failure probability for beta ranging from 0.3 to 0.6)

ASCE 43 further seeks to achieve the DRS values such that there is less than 10% probability of failure if the ground motion is 1.5-times DRS; however, this goal is not met for all beta values and hazard curve slopes

Page 9: Comparison of ASCE 7 and ASCE 43 for Informed Adoption of ... · PDF file2016 DOE NPH Meeting Comparison of ASCE 7 and ASCE 43 for Informed Adoption of ASCE 7 for Seismic Design of

Sanj Malushte

Comparison of ASCE 7 and ASCE 43

October 18, 2016

ASCE 43 approach for Uniform Risk Design Response Spectrum ASCE 43 provides empirical formula for converting a target

uniform hazard spectrum to the desired uniform risk DRS (although the DRS could be obtained by direct convolution of the fragility curves with the hazard curve for each frequency)

The UHRS to DRS conversion is accomplished after the site amplification effects are accounted for

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Sanj Malushte

Comparison of ASCE 7 and ASCE 43

October 18, 2016

ASCE 43 Fμ Factors and Damping Ratios For Limit States A, B, and C, ASCE 43 specifies ductility factors (Fμ

values) to reduce the elastic demands; the values depend on type of structural system (and specific members) and systems/components

Fμ values range from 1.5 to 5.25 for structural members (depending on limit state and type of structural system); much smaller values are specified for equipment and distribution systems

ASCE 43 also specifies varying level of member-dependent damping ratio that depends on “Seismic Response Level”, which in turn depends on the elastic demand to member capacity ratio (Response Level 3 is usually appropriate for SSCs designed to LS A-C)

Damping ratios range from 5% to 10% for structures responding at Response Level 3, and from 5% to 15% for distribution systems

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Sanj Malushte

Comparison of ASCE 7 and ASCE 43

October 18, 2016

ASCE 7 Risk Categories and Performance Levels Unlike ASCE 43, ASCE 7 accords Risk Categories and Seismic

Performance Levels to the entire structure/facility (i.e., they are not meant for individual SSCs)

Risk Categories: The categories of Low Risk (I), Standard (II), Substantial Hazard (III), and Essential (IV) are accorded based on failure consequences to occupants, public, and economic impact

Expected Seismic Performance Level depends on the structure’s risk category; they are Collapse-Resistant (for categories I and II), Intermediate (for category III); and Life Safety (for category IV)

These are facility-wide performance levels; the response/limit states of individual SSCs vary (depending on the implication of their individual failure on the facility’s expected holistic performance level)

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Sanj Malushte

Comparison of ASCE 7 and ASCE 43

October 18, 2016

ASCE 7 Risk Categories and Performance Levels

Page 13: Comparison of ASCE 7 and ASCE 43 for Informed Adoption of ... · PDF file2016 DOE NPH Meeting Comparison of ASCE 7 and ASCE 43 for Informed Adoption of ASCE 7 for Seismic Design of

Sanj Malushte

Comparison of ASCE 7 and ASCE 43

October 18, 2016

ASCE 7 Risk Categories and Performance Levels

Page 14: Comparison of ASCE 7 and ASCE 43 for Informed Adoption of ... · PDF file2016 DOE NPH Meeting Comparison of ASCE 7 and ASCE 43 for Informed Adoption of ASCE 7 for Seismic Design of

Sanj Malushte

Comparison of ASCE 7 and ASCE 43

October 18, 2016

ASCE 7 SSC Categorization and Limit States Primary Classification: Structural and Nonstructural Types of structural elements: primary (part of seismic force resisting

system) and ordinary/non-critical In Risk Category II structures, primary structural elements are expected

to respond at LS A with about 10% probability of failure due to MCERshaking; ordinary structural elements have about 25% probability of failure to meet LS A

In Risk Category IV structures*, primary structural elements are expected to respond at LS B with about 10% probability of failure due to MCER shaking; ordinary structural elements have about 10% probability of failure to meet LS A (the improved performance is achieved by using Ie, Structure Seismic Importance Factor, equal to 1.5)

* Risk Category III structures have intermediate performance/failure probabilities

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Sanj Malushte

Comparison of ASCE 7 and ASCE 43

October 18, 2016

ASCE 7 SSC Categorization and Limit States Nonstructural elements have less than 25% of the combined mass such

that their individual failure will not jeopardize structure’s collapse-resistant performance

Types of nonstructural components: architectural, mechanical, and electrical (based on type); active/passive; ordinary and designated (depending on importance/safety significance); distributed/non-distributed; passive (position retention) and passive (confinement)

Ordinary nonstructural components are expected to respond at LS A with about 25% probability of failure due to MCER shaking; designated nonstructural components have about 10% probability of failure to meet LS A (the improved performance is achieved by using Ip, Nonstructural Component Seismic Importance Factor, equal to 1.5)

Designated active components have 10% probability of failure at LS D

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Sanj Malushte

Comparison of ASCE 7 and ASCE 43

October 18, 2016

ASCE 7 SSC Categorization and Limit States

From ASCE 7-10 Commentary; improved discussion is included in ASCE 7-16

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Sanj Malushte

Comparison of ASCE 7 and ASCE 43

October 18, 2016

ASCE 7 SSC Categorization and Limit StatesASCE 7 also seeks to protect against local failure that does not result in global collapse but could result in injury risk to a few persons. Critical structural elements can lead to global collapse, ordinary elements to endangerment of a limited number of lives, and noncritical elements do not have safety consequences. For ordinary elements in Risk Category II structures, the standard accepts a 25% probability of failure given MCER shaking. Failure probabilities for ordinary elements in Risk Category III and IV structures are respectively 15% and 9% for MCER shaking. It is anticipated that the failure probabilities for anchorage of rigid nonstructural components attached at grade to the structure may be in the same range as the probabilities for ordinary elements. However, the uncertainties associated with the reliability for anchorage of rigid nonstructural components that are elevated within a structure are much higher than for structural elements because the methods used to characterize the strength demands on nonstructural components are more approximate than those used for overall building demands, and appropriate reliability levels have not yet been established for them. Furthermore, demands on anchorage of flexible nonstructural components and distributions are significantly more complex, especially when points of attachment of the nonstructural components are elevated within a structure and need to consider both inertial effects and relative displacements.

Excerpt from ASCE 7-16 Chapter 1 Commentary (Public Draft Version)

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Sanj Malushte

Comparison of ASCE 7 and ASCE 43

October 18, 2016

ASCE 7 Seismic Performance Misconception in ASCE 43/DOE 1020

Note: ASCE 7 R-values are structural system-based, rather than individual member-based

Page 19: Comparison of ASCE 7 and ASCE 43 for Informed Adoption of ... · PDF file2016 DOE NPH Meeting Comparison of ASCE 7 and ASCE 43 for Informed Adoption of ASCE 7 for Seismic Design of

Sanj Malushte

Comparison of ASCE 7 and ASCE 43

October 18, 2016

ASCE 7 Seismic Performance Misconception in ASCE 43/DOE 1020 DOE 1020 Table 3-1 misses the point that ASCE 7 has holistic structure-

wide performance levels, rather than individual SSC-based limit states Accordingly, it does not capture how ASCE 7 delivers a graded

performance for SSCs, depending on whether they are primary or ordinary structural elements, or ordinary or designated nonstructural components

DOE 1020 Table 3-1 does not distinguish between primary and ordinary / noncritical structural elements (it does not mention them)

Table 3-1 does not recognize that ASCE 7 separates primary structural elements as designated yielding members and other structural elements

DOE 1020 Table 3-1 is silent about treatment of nonstructural components; most users mistakenly treat them on the same par as primary structural elements

Page 20: Comparison of ASCE 7 and ASCE 43 for Informed Adoption of ... · PDF file2016 DOE NPH Meeting Comparison of ASCE 7 and ASCE 43 for Informed Adoption of ASCE 7 for Seismic Design of

Sanj Malushte

Comparison of ASCE 7 and ASCE 43

October 18, 2016

ASCE 7 Seismic Performance Misconception in ASCE 43/DOE 1020 ASCE 7 uses Ie, structure Seismic Importance Factor, to change

performance level from Collapse-Resistant to Life Safety; it does so by reducing the effective R-value as (R/Ie) while maintaining the reference design ground motion at MCER (this is why “R/Ie” always appears in the denominator of the seismic base shear equation)

ASCE 43 and DOE 1020 mistakenly treat Ie as an instrument to change from SDC-1 to SDC-2 under the false premise that use of Ie meant to increase the design ground motion

Limit States C and D are essentially not covered in ASCE 7 (except for active components required to function after earthquakes and even LS B is achieved only for primary structural elements); the suggested Ravalues are based on tweaks to system level behavior

The table does not mention Ωo and Cd, critical ASCE 7 design parameters

Page 21: Comparison of ASCE 7 and ASCE 43 for Informed Adoption of ... · PDF file2016 DOE NPH Meeting Comparison of ASCE 7 and ASCE 43 for Informed Adoption of ASCE 7 for Seismic Design of

Sanj Malushte

Comparison of ASCE 7 and ASCE 43

October 18, 2016

ASCE 7 approach for risk-based (MD) MCER spectrum ASCE 7 MCER spectrum corresponds to 2E-4 annual collapse risk Chapter 11 provides the default MCER spectrum, which is based on

risk-adjusted spectral acceleration values at 1-Hz and 5-Hz frequencies; the rest of the spectrum shape is conservatively fashioned based on WUS spectral shapes

The risk-adjusted accelerations correspond to 10% probability of failure on the seismic fragility curve for collapse limit state, having 0.60 as the log-standard deviation

Chapter 11 provides prescriptive site amplification factors for 1-Hz and 5-Hz frequencies; these are applied to the risk-adjusted values corresponding to the reference rock horizon (corresponding to the Ground Motion Model)

Page 22: Comparison of ASCE 7 and ASCE 43 for Informed Adoption of ... · PDF file2016 DOE NPH Meeting Comparison of ASCE 7 and ASCE 43 for Informed Adoption of ASCE 7 for Seismic Design of

Sanj Malushte

Comparison of ASCE 7 and ASCE 43

October 18, 2016

ASCE 7 approach for risk-based (MD) MCER spectrum ASCE 7 Chapter 21 provides option to perform site-specific site-

amplification analysis and site-specific PSHA Risk-adjusted spectral acceleration values can thus be obtained for

multiple frequencies* (rather than just for 1-Hz and 5-Hz frequencies) provided that the site-specific spectrum is not less than 80% of the default spectrum

Both default and site-specific spectra are developed for Maximum Direction (MD) ground motion (rather than the more logical GeoMean motion predicted by the ground motion models)

The MD specification is a hedge that helps deliver structural designs that have stronger assurance of 10% probability of failure against MCER shaking (although it is philosophically impure)

* Unlike ASCE 43, ASCE 7 risk-adjusted acceleration values are based on direct convolution

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Sanj Malushte

Comparison of ASCE 7 and ASCE 43

October 18, 2016

ASCE 7 approach for risk-based (MD) MCER spectrum

Note: The so-called “Design Response Spectrum is 2/3 of the MCER spectrum

Page 24: Comparison of ASCE 7 and ASCE 43 for Informed Adoption of ... · PDF file2016 DOE NPH Meeting Comparison of ASCE 7 and ASCE 43 for Informed Adoption of ASCE 7 for Seismic Design of

Sanj Malushte

Comparison of ASCE 7 and ASCE 43

October 18, 2016

ASCE 7 approach for risk-based (MD) MCER spectrum For the same target performance goal, say 2E-4, the ASCE 7 MCER

spectrum will be much higher than the corresponding ASCE 43-based DRS because of: ASCE 7 design is based on the C10% point on the fragility curve,

rather than the C1% point (leading to an increase factor of about 1.3*), and

Frequency-dependent MD correction factor (ranging between 1.1 and 1.5)

This is the reason why ASCE 7-based spectrum can be higher than even the SDC-3 DRS per ASCE 43 (corresponding to 1E-4 performance goal); however, ASCE 7 needs to set its spectrum higher because of its less robust design approach and lower confidence level)

* Although ASCE 43 also stipulates less than 10% probability of failure against 1.5xDBE, it does not fully meet this criterion for βc=0.6; this leads the ASCE 7 MCER spectrum to be a bit higher

Page 25: Comparison of ASCE 7 and ASCE 43 for Informed Adoption of ... · PDF file2016 DOE NPH Meeting Comparison of ASCE 7 and ASCE 43 for Informed Adoption of ASCE 7 for Seismic Design of

Sanj Malushte

Comparison of ASCE 7 and ASCE 43

October 18, 2016

Why does ASCE 7 reduce MCER spectrum by 2/3 factor? For structures, the ASCE 7 R-values correspond to Life Safety

performance level; the R-values for collapse-resistant performance are about 1.5-times the specified R-values

Rather than designing to the full MCER spectrum with 1.5R as the R-values, ASCE 7 keeps the same R-values but reduces the MCERspectrum by 2/3 factor (the net result is the same)

This approach has meant that the original R-values in UBC-97 time-frame are not drastically changed, and the so-called design response spectrum is more palatable at 2/3 of the actual risk-adjusted MCERspectrum (whereby it looks closer to the 475-year UHRS that west coast practitioners were used to)… This was done as an appeasement to west coast practitioners many years ago, and the artifice still continues to occur

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Sanj Malushte

Comparison of ASCE 7 and ASCE 43

October 18, 2016

ASCE 7 Role of Seismic Importance Factors ASCE 7 uses two seismic importance factors, Ie and Ip, to influence

the seismic performance of structures and nonstructural components, respectively

Ie is accorded to the structure as a whole, which affects the design of its primary and ordinary elements

Ie = 1.5 results in the primary structural elements being designed to smaller ductility demand, whereby they respond at LS B for the MCER shaking with about 10% failure probability (for Ie = 1.25, corresponding to Risk Category III structures, the response is at an intermediate response state); such ad hoc use of Ie also results in reduction of the annual collapse risk below 2E-4 (however the level of reduction depends on the nature of hazard curve)

Page 27: Comparison of ASCE 7 and ASCE 43 for Informed Adoption of ... · PDF file2016 DOE NPH Meeting Comparison of ASCE 7 and ASCE 43 for Informed Adoption of ASCE 7 for Seismic Design of

Sanj Malushte

Comparison of ASCE 7 and ASCE 43

October 18, 2016

ASCE 7 Role of Seismic Importance Factors Ip is accorded to individually to each nonstructural component, as a

binary value of 1.0 or 1.5, to improve its LS A conditional failure probability for MCER shaking from 25% to about 10% (note that it does not ever lead to an LS B performance at 10% conditional probability of failure, except for active components as noted below)

For active components required to function after the MCER event, LS D seismic qualification testing using deemed ISRS with Ip = 1.5 is expected to result in about 10% conditional probability of failure under MCERshaking; however, the nonstructural component performance expectation is generally rather empirical (rather than rigorously verified)

The impreciseness is attributable to ASCE 7’s simplistic seismic demand characterization for nonstructural components and the less rigorously verified Rp values (the component response modification factors)

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Sanj Malushte

Comparison of ASCE 7 and ASCE 43

October 18, 2016

ASCE 7 Treatment of Vertical Seismic Excitation Because of its overt focus on collapse resistant or life safety

performance level at the structure scale, ASCE 7 does not rigorously account for the vertical shaking effect (since collapse resistant/life safety performance levels are more controlled by the horizontal shaking)

ASCE 7 thus simplistically treats the structure and nonstructural components as being rigid in the vertical direction and takes the vertical motion to be half of the horizontal component

Vertical shaking can adversely affect floors/slabs; however, ASCE 7 implicitly considers that their local failure may not lead to global collapse (however, rigorous consideration/treatment of vertical excitation is recommended for nonbuilding structures in FEMA P-1050 and upcoming ASCE 7-16)

More rigorous treatment of vertical excitation is needed for LS C and D!

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Sanj Malushte

Comparison of ASCE 7 and ASCE 43

October 18, 2016

ASCE 7 Seismic Design Parameters and their basis/verification R, the Response Modification Factor, is an attribute of the seismic force

resisting system (SFRS); it is used to reduce the seismic demand in the designated yielding members (DYMs) of the SFRS

Other primary structural elements, which are also part of the SFRS, are either designed for amplified seismic load using the system overstrength factor (Ωo) or the expected strength of the DYMs; this ensures that poor performance of non-DYM primary structural elements does not adversely impact the expected ductile system performance

The non-DYMs are thus designed for ductility factor no greater than (R/Ωo), which corresponds to the true system ductility w/o system overstrength

Cd, the displacement amplification factor, is used to estimate the inelastic drifts; it is a proxy for extent of inelastic deformation response

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Sanj Malushte

Comparison of ASCE 7 and ASCE 43

October 18, 2016

ASCE 7 Seismic Design Parameters and their basis/verification The ASCE 7 seismic design parameters are empirical in nature,

reflecting the general consensus of the committee members However, since late 2000’s, there has been a systematic attempt to

validate the prescribed values using the FEMA P-695 methodology to analytically verify if the structures designed using those values indeed result in a 10% probability of collapse at MCER shaking (i.e., to verify the appropriateness of using the C10% point on the fragility curve for MCER spectrum construction)

This verification process has been applied to many high and moderate ductility structural systems, and the process has led to some revisiting of R-values and/or switch to MD motion (more the latter)

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Sanj Malushte

Comparison of ASCE 7 and ASCE 43

October 18, 2016

Significance of ASCE 7 Seismic Design Categories Unlike its use/meaning in ASCE 43 practice, the SDC concept in ASCE

7 is used as a graded tool for analysis/design/construction rigor that corresponds to the risk consequences due to structure’s failure

The ASCE 7 SDC thus depends on the seismic shaking level and structure’s Risk Category; the higher the SDC, the higher the rigor for analysis/design/construction process

Unlike ASCE 43, increased SDC does not lead to increased design ground motion; however, the increased rigor improves the structure’s performance assurance (whether for Collapse Resistant or Life Safety performance level, as the case may be)

Note that SDC is an instrument to influence structure’s performance, not that of nonstructural elements

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Sanj Malushte

Comparison of ASCE 7 and ASCE 43

October 18, 2016

Significance of verified versus unverified structural systems Use of “verified” structural systems (i.e., moderate and high ductility

systems) provides strong assurance that the 2E-4 target performance goal will be met; this assurance level is even stronger when the ASCE 7 analysis/design rules for SDC D and above are applied

In contrast, the performance assurance degrades if unverified structural systems (i.e., low ductility and undetailed systems) are used, especially using analysis/design rules for SDC C or below

The above observation enables distinction between SDC-1 and SDC-2 applications; i.e., only high and intermediate structural systems should be used for SDC-2 applications, and low ductility structural systems should be used for SDC-1 applications

Other adjustments are still needed for design to LS C and LS D

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Sanj Malushte

Comparison of ASCE 7 and ASCE 43

October 18, 2016

Performance of Individual SSCs when designed per ASCE 7

ASCE 7 (facility-wide) Functional Performance

Level at MCER

Description of SSCs considered in ASCE 7** ASCE 7 Section 13.1.1 treats any supported SSC as an NS

component unless its mass is more than 25% of the total mass of the structure and components (based on expectation that a large

component can affect structure’s performance level at structural scale (component’s own safety importance is defined per Section

13.1.3, which can trigger Ip=1.5)

SSC-specific Limit State for which ≈2E-4 risk target is delivered Legend: Shades of Green – at 2E-4 (or smaller); shades of grey – 2E-4 or larger (but somewhat indeterminate); Red – Not possible per ASCE 7 unless various seismic

design parameters and requirements are adjusted; Blue text indicates deemed suitability for application to ASCE 43 SDBs

A B C D

Collapse Prevention, forRisk Category I and II

structures (w/ Ie=1.0), and Ip=1.0 or 1.5 * for NS

components

* Ip=1.5 required if condition 1 or 2 of Section

13.1.3 is applicable, or when required per Section 13.2.3

Primary Elements of Seismic Force Resisting System (whose failure can lead to structural collapse); 1st row

for SDC ≥ D

w/intermediate or high ductility systems Suitable for SDB 2A

w/low ductility systems Suitable for SDB 1A

w/undetailed systems Not recommended

Ordinary Structural Elements Annual Risk≈2.9E-4

Ordinary Nonstructural (NS) Components w/Ip=1.0 Annual Risk≈2.9E-4

NS components w/Ip=1.5 per Item 1 of Section 13.1.3 Suitable for SDB 1A

NS components w/Ip=1.5 per Item 2 of Section 13.1.3 (ASCE 7 considers LS A satisfactory for confinement)

May be okay for SDB 1A

Nonstructural Components requiring Ip=1.5 due to Consequential Damage concern per Section 13.2.3 (this is ASCE 7’s equivalent of

ANS 2.26 Seismic II/I treatment)Suitable for SDB 1A

Intermediate, for Risk Category III structures

(w/Ie=1.25), and Ip=1.0 or 1.5 * for NS components

* Ip=1.5 required if condition 1 or 4 of Section

13.1.3 is applicable, or when required per Section 13.2.3

Primary Elements of Seismic Force Resisting System (whose failure can lead to structural collapse) ; 1st row

for SDC ≥ D

w/intermediate or high ductility systems

w/low ductility systems

w/undetailed systemsOrdinary Structural Elements

Ordinary Nonstructural (NS) Components w/Ip=1.0 Annual Risk≈2.9E-4

NS components w/Ip=1.5 per Item 1 of Section 13.1.3 Suitable for SDB 1A (w/ or w/o Ie=1.25)

NS component w/Ip=1.5 per Item 4 of Section 13.1.3 Questionable for SDB 1A

Nonstructural Components requiring Ip=1.5 due to Consequential Damage concern per Section 13.2.3

Suitable for SDB 1A (w/ or w/o Ie=1.25)

ASCE 7-10 Facility “Performance Levels” and List of SSCs/Limit States for which 2E-4 Performance Goal is individually delivered (including deemed suitability for direct adoption for DOE 1020/ASCE 43 Seismic Design Bases 1A, 1B, 2A, 2B, and 2D for various SSCs)

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Performance of Individual SSCs when designed per ASCE 7

ASCE 7 (facility-wide) Functional Performance

Level at MCER

Description of SSCs considered in ASCE ** ASCE 7 Section 13.1.1 treats any supported SSC as an NS component unless its mass is more than

25% of the total mass of the structure and components (based on expectation that a large component can affect structure’s performance

level at structural scale (component’s own safety importance is captured in Section 13.1.3, which

can trigger Ip=1.5)

SSC-specific Limit State for which ≈2E-4 risk target is delivered

Legend: Shades of Green – at 2E-4 (or smaller); shades of grey – 2E-4 or larger (but somewhat indeterminate); Red – Not

possible per ASCE 7 unless various seismic design parameters and requirements are adjusted; Blue text indicates deemed

suitability for application to ASCE 43 SDBs

A B C D

Life Safety, corresponds toRisk Category IV w/Ie=1.5

* and Ip=1.5 **

* Ie=1.5 in effect converts the ASCE 7 DRS to the full MCER spectrum; use of Iecan thus be avoided by setting DRS as the full

MCER spectrum (rather than 2/3 of it)

** Ip=1.5 required if any of the four conditions of

Section 13.1.3 is applicable, or when required per

Section 13.2.3 (Ip=1.0 for the remaining)

Primary Elements of Seismic Force Resisting System (whose forces

and/or deformation must be controlled to help

deliver Life Safety performance level) ; 1st row

for SDC ≥ D

w/intermediate or high ductility

systems

Suitable for SDB 2B

w/low ductility systems (for SDC ≤

C)

Suitable for SDB 1B

w/undetailed systems (for SDC ≤

C)

Not recommended

Ordinary Structural ElementsSuitable for SDB 1A & 2A (due to

Ie=1.5)Ordinary Nonstructural (NS) Components

w/Ip=1.0Annual

Risk≈2.9E-4Nonstructural component with Ip=1.5 per Item 1

of Section 13.1.3 or capable of consequential damage (due to Seismic II/I consideration) per

Section 13.2.3 (i.e., components w/ position retention or passive function requirement)

Suitable for SDB 2A

Nonstructural component with Ip=1.5 per Item 2 or 4 of Section 13.1.3 (i.e., components with

confinement function)

Questionable for SDB 2A

Nonstructural component with Ip=1.5 per Item 3 of

Section 13.1.3 (i.e., components with active function requirement);

Seismic Qualification per ICC ES AC 156) *

* AC 156 uses approximate, rather than location-

specific, horizontal and vertical ISRS

Component Anchorage

(gets verified by testing)

Unsuitable for SS items since

approx. ISRS are used

can be at LS B or better based on

test results

can be at LS B or better based on

test results

can be at LS B or better based on

test results

Component Integrity and

Functionality (LS A, B, and C do not

apply here; LS D level verified by

testing)

N/A N/A N/A

Annual Risk≈2.9E-4;

could be okay for

SDB 2D if the ASCE 7

approx. ISRS are

amplified by 1.5 factor

Nonstructural Components requiring Ip=1.5 due to Consequential Damage concern per Section

13.2.3

Suitable for SDB 2A

ASCE 7-10 Facility “Performance Levels” and List of SSCs/Limit States for which 2E-4 Performance Goal is individually delivered (including deemed suitability for direct adoption for DOE 1020/ASCE 43 Seismic Design Bases 1A, 1B, 2A, 2B, and 2D for various SSCs)

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Adjustment of ASCE 7 Seismic Design Parameters For LS C & D R is overall response reduction factor for LS A response of primary

structural elements*, which is the product of Rd, the true system ductility, and Ωo, the system overstrength factor

The systems overstrength factor of individual overstrength factors due to material overstrength, design overstrength, and redundancy

ASC E 7 already stipulates reduction of R by 1.5 factor to achieve LS B response for structural elements

For LS C response of the designated yielding elements, it is proposed that the ductility factor be reduced to Rd (=R/Ωo)

For LS C design of non-DYM primary structural elements, it is proposed to use a smaller overstrength factor, say half of Ωo

Make risk-consistency adjustments for design of ordinary elements* ASCE 7 R-values are higher than ASCE 43 Fμ values, but ASCE 7 spectrum is also higher

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Proposed Analysis Modifications for LS C & D Use of site-specific spectrum recommended (but optional) for SDC-1

SSCs Calculate vertical seismic response using the NEHRP vertical spectrum

(or site-specific) Require use of modal response spectrum analysis for structural analysis Require SRSS combination of directions Develop ISRS for design/qualification of equipment, systems, and

components; perform HF screening for active equipment Use equivalent static analysis method for equipment, systems, and

components only if it can be justified Because of higher confidence for LS D design, use the geomean design

spectrum (rather than the ASCE 7 required maximum direction spectrum)

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Comparison of ASCE 7 and ASCE 43

October 18, 2016

Table for Design of SDC-1 Structural ElementsDesign Topic Pertinent Seismic Design Considerations for application of ASCE 7

SDB-based Modifications to Pertinent ASCE 7 Requirements1A 1B 1C 1D

General Structural Design Considerations

Applicable ASCE 7 Risk Category and Structure Importance Factor (Ie)II

Ie=1.0IV

Ie=1.50IV

Ie=1.50IV

Ie=1.50

NEHRP vertical spectrum required for seismic design? No No Yes Yes

Permit housing nonstructural components w/Ip=1.5 per Item 2, 3, or 4 of Section 13.1.3? No Yes Yes Yes

Permit housing nuclear safety significant components w/position retention function No Yes Yes Yes

Permit housing nuclear safety significant components w/confinement function No No Yes Yes

Permit housing nuclear safety significant components w/post-earthquake active operability requirement No No Yes Yes

Considerations for Primary/Ordinary Structural Elements

Source for structural design parameters and height limitations for Building-like Nonbuilding Structures

Chapter 12 orChapter 15

Chapter 12 orChapter 15 Chapter 12

N/A (values are system-independent for LS D, see

below)

Convert ASCE 7 spectrum to GeoMean Spectrum? No No No Yes

Limit State based adjustments to ASCE 7-specified values for R, Ωo, and Cd

RA= RΩoA= ΩoCdA=Cd

RB = RΩoB= ΩoCdB=Cd

1.25≤RC=R/Ωo≤2.75*ΩoC = 1.5

CdC = 0.7RC ≥ 1.5

RD = 1.1 *ΩoD= 1.5CdD = 1.0

* RD = 1.2 is permitted for concrete structures

Require Modal Response Spectrum or Time-History Analysis (regardless of Table 12.6-1 requirements)? No No Yes Yes

ELF based on Fundamental Period per Section 15.4.4? Yes Yes Yes Yes

Use 100-40-40 or SRSS directional combination (i.e., more stringent than Section 12.5)? No No Yes Yes

Apply/modify drift limits (Δa) per Table 12.12-1? No Yes, ΔaB=ΔaIVYes; limit toΔaC=ΔaIV/Ωo

Yes; limit toΔaD=ΔaIV/Cd

Special Overstrength Factor for use in Section 12.4.3 for design of ordinary structural elements (to achieve the same performance as

primary structural elements)1.5 1.5 1.25 1.25

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Comparison of ASCE 7 and ASCE 43

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Table for Design of SDC-1 Nonstructural ComponentsDesign Topic Pertinent Seismic Design Considerations for application of ASCE 7

SDB-based Modifications to Pertinent ASCE 7 Requirements1A 1B 1C 1D

General Nonstructural Component Design Considerations

Component Importance Factor to be used for all permitted types of SDC-1 nonstructural components (this ensures that all nonstructural

components have the same annual failure risk)1.5 1.5 1.5 1.5

Permitted SDBs for position retention related nonstructural components w/Ip=1.5 per Item 1 of Section 13.1.3 NP P P P

Permitted SDBs for confinement-related nonstructural components w/Ip=1.5 per Item 2 or 4 of Section 13.1.3 NP P P P

Permitted SDBs for post-earthquake operability related nonstructural components w/Ip=1.5 per Item 3 of Section 13.1.3 NP P P P

Permitted SDBs for Safety-Significant systems and components with position retention function NP P P P

Permitted SDBs for Safety-Significant systems and components with confinement function NP NP P P

Permitted SDBs for Safety-Significant systems and components with active post-earthquake function (Note: Perform HF-screening for

CEUS rock sites)NP NP

P for anchorage and support design if function

unaffected

P for anchorage and support design, and P for

functionality

Nonstructural Component Design Considerations

Require component force to be based on method other than the equivalent static methods in Section 13.3? No No Yes, if Equivalent Static is

not justifiedYes, if Equivalent Static is

not justified

Use same value of SDS as per Section 11.4.4 for application of Section 13.3 (equivalent static method)? Yes No; increase by factor of

1.5No; increase by factor of

1.5No; increase by factor of

1.5

Require seismic qualification based on ISRS generation using Fixed Base or SSI analysis using the full MCER horizontal and vertical

spectra (i.e., without the 2/3 reduction factor)No No

Yes, develop ISRS from SSI analysis unless fixed base

analysis is justified

Yes, develop ISRS from SSI analysis unless fixed base

analysis is justified

Modified Rp and Ωop values (note that Ωop is the component overstrength factor for design of anchorage to concrete and masonry)

RpA = RpΩopA = Ωop

RpB = RpΩopB = Ωop

RpC = Rp/Ωop ≥ 1.1 ΩopC = 0.7Ωop ≥ 1.5

RpD = 1.0ΩopD = 1.5

Apply 100-40-40 (or SRSS) directional combination rule for component anchorage/support design and testing No No Yes Yes

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Comparison of ASCE 7 and ASCE 43

October 18, 2016

Summary ASCE 7 MCER spectrum is based on 2E-4 risk target against collapse

considering 0.60 as the log-standard deviation for collapse fragility curve and using the C10% point as the structural system’s design capacity

ASCE 7 based seismic design results in 10% conditional probability of failure against the MCER shaking if intermediate and high ductility systems are used with analysis/design rules for SDC D or higher

The performance of low ductility and undetailed structural systems is unverified, and could result in annual collapse risk higher than 2E-4

For SDC-2 applications, high or intermediate ductility structural systems should be used; a performance goal of 2E-4 is deemed appropriate for SDC-2 since SDC-2 SSCs should have the same annual failure risk as safe as the primary structural elements in commercial structures

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Comparison of ASCE 7 and ASCE 43

October 18, 2016

Summary ASCE 7 design rules simultaneously result in Life Safety performance

level at 2/3 of MCER shaking (i.e., the R-values correspond to Life Safety); accordingly, there is 2E-4 Life Safety annual risk if structures are designed with 1.50 Importance Factor

Collapse Resistant and Life Safety are structure-wide performance levels; accordingly, the limit states and/or their conditional failure probabilities for individual SSCs in a structure vary depending on the type of structural elements and nonstructural components

Risk-consistent design for each SSC can be achieved by making necessary adjustments to their ASCE 7 based seismic demand

Low ductility systems are recommended for SDC-1 structures; expanded modification rules have been proposed for SDC-1 SSCs