asco seismic white paper 1103

8/14/2019 ASCO Seismic White Paper 1103

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A White Paper from the Expertsin Business-Critical Continuity TM.

Seismic Certification and the Consulting Engineer

By Bhavesh Patel


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Seismic Certication and the Consulting Engineer4 Critical Factors: Minimizing Liability

Good Specications Quality Assurance Certied Equipment

Building code standardsfor seismic certication re-quire that critical mechani-cal, electrical and plumbingequipment must endurehigher ground accelera-tion levels, or risk being redtagged during inspection,or worse. They also are be-ing more broadly appliedthan before.

International Build-ing Code (IBC) editionssince 2000 1 demand thatcritical equipment, suchas on-site power systemsthat power life safety and

critical branches, mayneed to withstand higherground acceleration levels 2 throughout the country,including those generatedby the San Andreas Fault inCalifornia. An important element indesigning power systemsto resist seismic events isseismic demand spectrum.It stands for short periodspectral acceleration andis designated in the codeas SDS. It represents thebase acceleration forces fora specic site, which canrange from 0 to 2.46.

Equipment must be certi-ed to the SDS values forboth the site at which it willbe installed and the loca-tion in the building whereit will operate.

1. IBC 2000 refers to ASCE 7-98,2003 refers to ASCE 7-02, and2006 and 2009 refers to ASCE7-05 as the performance bench-marks for seismic criteria.

2. The U.S. Geological Survey as-signs ground acceleration levels.U.S. Geological Survey Peak

Ground Acceleration mapof the continental UnitedStates showing a two per-cent in 50 year probability ofexceedance.


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For example, power sys-tems installed on rooftopsin California must be certi-ed for rooftop applica-tions at the SDS value for

the project. In Californiascase, the value is 1.93.

Bottom line, engine-gen-erators and their supportequipment, switchgearand power transfer switch-es must be able to oper-ate after a severe seismicevent.

The IBC Code require-ments for special seismic

certication of electricalequipment can be gamechangers for consulting en-gineers. The requirementsraise the bar to the levelof proof that design,construction and equip-ment specication, instal-lation and operation willenable essential facilitiesto continue their intendedfunction after severeseismic events. Proof is

actual shake table testingof a system and its compo-nents, rather than solely anengineering analysis.

Special inspectors, notbuilding code ofcials,evaluate facilities for com-pliance. If a facility doesnot comply, the inspector

has a legal right to with-draw the certicate of oc-cupancy even though thebuilding may be occupied.The insurance companycould declare the buildinguninsurable and put theconsulting engineer in thecross hairs.

Consulting engineers needto address four criticalissues to ensure their proj-ects meet code and theyprotect themselves. Theyneed to:

1. Minimize their exposureto risk and liability by fa-miliarizing themselveswith evolving seismiccode standards,

2. Develop well-writtenspecications thataccount for groundacceleration and otherseismic data for a site,

3. Work with contractorson a quality assuranceprogram, and

4. Specify equipmentproperly certied forthe specic buildinglocation.

Consulting engineers need to addressfour critical issues to ensure their projectsmeet code and that they protect themselves.

Real-Life RiskOn-site power equipmentthat is essential to build-ing operation and that isspecied and installed incritical facilities but doesnot comply with IBC stan-dards in jurisdictions thathave adopted the code riskbeing red tagged. Already,engine-generator equip-ment installed in a newconstruction hospital in St.Louis, Mo. was red taggedfor not being seismicallyqualied.

For a critical facility, such as a hospital, theability of transfer switch mechanisms to

function even during a seismic event couldliterally be life saving.


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St. Louis is near the NewMadrid fault area, whichhas generated the mostsevere ground accelerationduring a seismic event inthe U.S. Ground accelera-tion during a seismic eventis a major determinant ofdestruction. The seismic

standards of IBC refer tohigher ground accelerationlevels specied in ASCE7-05, based on the NewMadrid events of 1811 and1812.

What that meant to thehospital project is that theengine-generator manu-facturer had to send aretrot kit to the site thatwas eld installed to bring

the equipment into com-pliance. It could have beenworsefor the hospital aswell as others involved inthe project.

Non-compliant equipmentcould boost a buildingowners insurance premi-

um. If the equipment failsto operate after a seismicevent, it could result inphysical damage and per-haps loss of life. Insuranceclaims could be, and havebeen, denied.

Even if equipment operatesproperly after a seismicevent, liability still mayarise for the consultingengineer. One examplecould occur if the emer-gency power design didntinclude all of a hospitalschillers. After normalsource power failed aftera seismic event, ambienttemperature and relativehumidity might rise to lev-els that could compromisepatients on life supportor the ability of operatingrooms to function com-fortably. The consultingengineer, hospital ownerand others could be liable.

Richard Berger, chair-man of The VMC Group,a company specializing inshock, vibration, seismicand noise control and thelargest certifying agencyfor the power generationmarket said, It could bea legal issue to be tried in

court.An air handling unit at anofce building in Hous-ton, for example, did notwithstand wind speedsthat were included in thebuildings design criteria.

After Hurricane Ike hitthe area in 2008, the unitdislodged from the build-

ing allowing water to enterductwork and cause ex-tensive interior damage tothe building. The insurancecompany denied the build-

ing owners claim becausethe unit had not compliedwith building codes.

Its Not Just BuildingOwners at RiskBesides building owners,risk and liability also liewith contractors, consult-ing engineers, project en-gineers and critical equip-ment manufacturers. Thebuilding owner and otherplaintiffs could sue themfor improperly designedand installed systems. Asof May 2010, for example,Berger of The VMC Groupsaid 38 lawsuits have beenled as a result of the code.

Engineering professionalscan minimize their expo-sure by ensuring criticalequipment is specied andinstalled according to cur-rent code standards.It seems simple enough,but it isnt always. Toomany professionals maybelieve they are protectedby the master specica-tion. But if it isnt written

New Madrid Seismic Zone and vicinity. Seismic events in thezone have caused damage to structures in Ohio.

U.S. Geological Survey image


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properly, it can be of littlecomfort when litigationarises.

Bottom line, consulting en-

gineers and other projectteam members are joinedat the hip regardless oftheir role. The codes Con-sequential Damage clausemakes clear that the workof one also is the responsi-bility of others.

Consulting engineers andother team members alsomay be unaware or con-fused about changes in the

building code, especiallyfor seismic events. Onereason is that the build-ing code is the handbookfor structural engineers,not electrical engineers.The seismic certicationrequirements for electricalequipment that it containsare not included in electri-cal handbooks.

Another reason the IBCrevises its seismic provi-sions every three years isto include new informa-tion and capitalize on newtechnologies. This is whyits important for stateand local governments tobe sure the latest seismicstandards are part of theircodes.

All states have adoptedone version of the IBC codeand 44 states have ad-opted IBC 2006. The stateof Ohio, for instance, hasadopted seismic code stan-dards since it has been, andcan be, affected by NewMadrid area events. Theevents of 1811 and 1812caused structural damageacross Ohio.

Other states haveadopted seismic codestandards for the rsttime. It will take time forauthorities having juris-diction and engineeringprofessionals in thosestates to become uentwith them.

Still, many earthquake-prone communities inthe U.S. do not have up-to-date building codes

with seismic provisions.In general, structuresthat comply with seismicstandards should with-stand minor seismic eventsundamaged, moderateevents without signicantstructural damage, andsevere events withoutcollapse. This is especiallycritical for installationsin states, such as Wash-ington, Nevada, Idahoand Colorado, which can

Bottom line, consulting engineers and otherproject team members are joined at the hipregardless of their role. The codes Consequen-tial Damage clause makes clear that the work ofone also is the responsibility of others.

Working with contractors and other projectteam members on a quality assuranceprogram is one way consulting engineers

can help ensure the project satisfies codestandards and and help protect themselves.


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experience frequent andsometimes intense seismicactivity.

Interestingly, codes only

recently began to addressmitigation of contenthazards in buildings, whichcan cause casualties andexpensive damage.

Note the SEs NotesAnother reason for confu-sion about seismic quali-cation is that the criteriaare not included in themechanical, electrical andplumbing sections of the

code. Theyre in the struc-tural engineering sections.

One way to ensure prop-erly written specicationsis to review the structuralengineers notes on aproject and address themin the specications. Thespecication writer willnd data on building typeand its seismic designcategory, ground accelera-tion, soil conditions andother seismic design forcesthat the building and itscritical equipment mustwithstand.

Speciers also shouldrefer to detail in construc-tion documents since the

registered design profes-sional must include inthem pertinent seismicqualication standards forcritical systems.

Finally, the project teamcould ask an outside expertin seismic building codestandards to review on aprojects ability to qualifyfor seismic certication.

A structural engineerlicensed in California, forexample, must review andapprove all test reports oranalyses for buildings con-

structed in that state.

With practice and theproper information athand, specication writ-ers will be able to writeclear specications thathelp ensure that only codecompliant critical systemsqualify for a project. Speci-cations, however, shouldbe part of overall projectmanagement planningthat helps immunize engi-neering professionals fromexposure. Engineers withequipment manufacturerscan help with the properspecication text for thispurpose.

Other actions shouldinclude working with con-tractors on a quality assur-ance program, and specify-ing only properly certied

equipment in accordancewith the manufacturersrecommendations forseismic use and to conrmequipment is installedproperly.

Manufacturers for theirpart also should reviewthe structural engineersnotes for a project tomake certain their equip-ment is code compliant.

ASCO Power Technologiesswitchgear, for example, iscertied to withstand thehighest ground accelera-tions in the country, eventhose experienced in theNew Madrid fault zone. Theequipment also is certiedfor rooftop installation,which requires three timesthe design force as groundlevel installations. Thecompany indicates thatits power control systemscomply with the seismicstandards of the new build-ing code.

In fact, independent testsshow that ASCO transferswitches operate even dur-ing severe seismic events,

even though the IBC codesdo not require such opera-tion.

For critical facilities, such

as hospitals, that couldbe literally life saving.Because in real life, theseswitching mechanismscould undoubtedly becalled to operate during atypical 30-second quake.Tests prove the transfermechanisms do not jam orotherwise fail to completethe transfer, even duringthe vibrating conditionsof a seismic event. This is

important since standardsfor hospital emergencypower systems require thesystems be operationalwithin 10 seconds of apower outage.

Shake, Rattle and RollTo qualify for seismic cer-tication, building codesrequire that exible criticalsystems and components,such as transfer switches,switchgear, re pumpcontrollers and otheron-site power systems,be subjected to simulatedseismic events on a shaketable, rather than just anengineering analysis. Codecompliance no longer can

Watch a video of an actual shake table test at:ascouniversity.com/seismic.html
http://ascouniversity.com/seismic.htmlhttp://ascouniversity.com/seismic.html


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ASCO equipment meets the 2.46 SeismicDemand Spectrum (SDS) rating for the NewMadrid Fault Zone, which is even more severethan the 1.93 rating for California. Specifyingequipment that Is certied for any seismiclocation helps minimize risk and liability.

This stop-action image shows a 4000 ampbypass-isolation automatic transfer switchwithstanding thousands of pounds of force

in three directions. The enclosure can moveas much as three or four inches.

be achieved with engineer-ing analysis alone.When qualifying on a shaketable, testing must adherestrictly to AC156 criteriafor non-structural systemsand components. Equip-ment that has qualiedvia the Telcordia GR 63standard may need to bede-rated. The consequenc-es of not complying withthe standards may meanequipment may be red

tagged, or worselitiga-tion to determine liabilityand judgments.

The VMC Group, forexample, certied ASCOequipment on a tri-axialseismic simulator thatpunished the equipmentwith thousands of poundsof force. It was fully cabledwith the rated ampacitycable from the top, whichraised the center of gravity

and added weight. Test-ing with fully rated cablesproves the cables did notloosen from their lugs. Thesystems also were testedlive during the test andperformed as designed.

During such tests, mount-ing bolts take the brunt ofthe force. They are a criti-cal factor in withstanding a

seismic event, consideringenclosures may move asmany as three inches in allthree axes. The top of theenclosure may move up

to four inches. Test resultsshow the transfer switchsruggedness ensuresmounting bolts remainseated, doors remain shutand, the robust design ofmechanically locked criti-cal components, such ascontacts, prevents jam-ming. Bottom line, thesystem remains opera-tional throughout and afterthe test.

Bolts and braces also areimportant for anotherreasonto protect againstconsequential damage andthe potential liability thatcould result. This type ofdamage occurs when non-essential equipment breaksloose during a seismicevent and causes essentialequipment to fail. Thenotion of consequentialdamage makes the work ofone designer responsiblefor another.

Its in the Codes!Chapter 17, section 1708.5describes in more detailseismic qualication ofmechanical and electricalequipment, such as emer-gency power systems. Such
http://ascouniversity.com/seismic.html


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systems encompass opengensets, enclosures, sub-base fuel tanks, remote ra-diators, automatic transferswitches and switchgear,batteries and battery racks,battery chargers and daytanks.

It falls to the consultingengineer to determinewhether equipment is es-sential to enable a facilityto perform its intendedfunction during a seismicevent and to advise ap-propriate manufacturersthrough the specication

and construction docu-ments. If the equipment isa life-safety component,contains hazardous mate-rial or is required to func-tion in order to keep anessential facility online, its

assigned a seismic com-ponent importance factor(Ip) of 1.5. In assigning anIp of 1.5, the consultingengineer must use Section13.1.3 of ASCE 7-05 as theguide. As noted earlier,Chapter 13 of ASCE 7-05is the performance bench-mark added in the IBC2006 and 2009 buildingcodes.

The Importance factor alsoapplies to components inor attached to an Occu-pancy Category IV struc-ture (IBC 2003/2006) or

Category III structure (IBC2000) that are essential tothe continued operation ofdesignated facilities.

Occupancy Category isthe new term for Seismic

Use Group that was usedin previous versions ofthe code. Category IV isessential facilities, suchas hospitals, airports andemergency services. Cat-egory III facilities are thosethat represent a substantialhazard to human life if theyshould fail. Examples areschools, day care facilities,power plants and facilitieswith occupancy capacitiesexceeding 5,000.

Categories II and I facilitiesand their equipment needto comply with seismic

standards when the Ip is1.5 due to life safety orhazardous material.

There are instances whenan existing building couldchange categories. Bergerof The VMC Group re-counted an experienceby Goldman-Sachs with a35-story building it owns in Jersey City, N.J.

Because the brokeragehouse leased space to a911 call response center,the category for the entirebuilding changed to Oc-cupancy Category IV. Thatmade it an essential facilitythat was considered newconstruction and subject

to Category IV standards.

In another instance, if aschools gymnasium is des-ignated as an emergencyshelter, the gym cant beconsidered an island. Theentire school is categorizedas Occupancy Category IV.Equipment that needs tomeet standards, however,must carry a certicateof compliance (C of C)that is submitted to thespecifying engineer duringsubmittal review and alsosubmitted to the buildingofcial for approval.

In addition, a label, markor other identication onthe system or componentmust be afxed to deter-mine compliance. Thisidentication is the proofto the inspector that theequipment that arrived onsite is the same as whatwas submitted and ap-proved during the submit-tal process. The C of C

and the equipment labelmust contain the name ofthe certifying agency, thename of the manufacturer,the model designation ofthe equipment and theperformance criteria of theequipment (i.e. the seismiccapacity of the equip-ment).

Office buildings and other structures must meet OccupancyCategory requirements that reflect their use and impor-tance to protecting human life.

It falls to the consulting engineer to determinewhether equipment is essential to enablea facility to perform its intended function duringa seismic event.


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For his part, the buildingowner or his professionalengineering representativemust submit a statementof inspections identifyingthe buildings seismic-force-resisting systems,seismic systems, andarchitectural and electri-cal components requiringspecial inspections.

Besides the buildingsoccupancy category, thetype of soil at the projectsite also helps establishwhether seismic standardsapply to a given facility.

Soils affect an events peakground acceleration (PGA),or degree of ground mo-tion. Soft soils over bed-rock amplify motion.

Another liquees, causingfoundation failure. Thereare six soil types: hard rock,rock, very dense soil andsoft rock, stiff soil, softsoil, and extremely vulner-able soil. Soil proles are

important because theyhelp determine a sitesSDS value. The SDS valueand Occupancy Category,in turn, help dene theSeismic Category.

The question often arises:Does existing construc-tion need to meet evolvingcode standards? Thats astate-by-state deci-

A U.S. Geological Survey map of theSan Francisco Bay Area shows young,low-lying geologic deposits that mayhost liquefaction. Much of the areasinfrastructure resides on the deposits.

sion. Typically, however,if a hospital adds

a new wing,that project willneed to meetthe new criteria, but theremainder of the facilitieswill not.

Increasingly demandingseismic standards andbroader application ofthem add another di-mension to the respon-sibilities of engineering

professionals. They canminimize their exposureto risk and liability byfamiliarizing themselveswith evolving seismic codestandards, developingwell-written specicationsthat account for groundacceleration and

other seismicdata for a site, workingwith contractors on a qual-ity assurance program, andspecifying only properlycertied equipment.


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