Seismic Considerations for
Steel Storage Racks
Located in Areas Accessible to the Public
FEMA 460  September 2005
of the National Institute of Building Sciences




 SEISMIC CONSIDERATIONS FOR
 STEEL STORAGE RACKS
 LOCATED IN AREAS ACCESSIBLE TO
 THE PUBLIC

 FEMA 460  September 2005


Prepared by the
Building Seismic Safety Council
for the
Federal Emergency Management Agency




                                       National Institute of Building Sciences
                                                 Washington, D.C.
                                                         2005
NOTICE: Any opinions, findings, conclusions, or recommendations expressed in this publication do not
necessarily reflect the views of the Federal Emergency Management Agency. Additionally, neither
FEMA nor any of its employees make any warranty, expressed or implied, nor assume any legal liability
or responsibility for the accuracy, completeness, or usefulness of any information, product, or process
included in this publication.




              This report was prepared under Contract EMW-2001-CO-0269 between
              the Federal Emergency Management Agency and the National Institute
              of Building Sciences.

              Building Seismic Safety Council activities and products are described at
              the end of this report. For further information, see the Council's website
              (www.bssconline.org) or contact the Building Seismic Safety Council,
              1090 Vermont, Avenue, N.W., Suite 700, Washington, D.C. 20005;
              phone 202-289-7800; fax 202-289-1092; e-mail bssc@nibs.org.




ii
                                           PREFACE

The Federal Emergency Management Agency (FEMA), which is part of the Department of
Homeland Security, works to reduce the ever-increasing cost that disasters inflict on the nation.
Preventing losses before they occur by designing and constructing buildings and their
components to withstand anticipated forces from various hazards is one of the key components
of mitigation and is the only truly effective way of reducing the cost of future disasters.

As part of its responsibilities under the National Earthquake Hazards Reduction Program
(NEHRP), FEMA supports activities necessary to improve technical quality in the field of
earthquake engineering. Among these activities are investigations of seismic and multihazard
technical issues and the development, publication, and dissemination of technical design and
construction guidance documents. One key document is the NEHRP Recommended Provisions
for Seismic Regulations for New Buildings and Other Structures. The NEHRP Recommended
Provisions and its accompanying Commentary volume present minimum criteria for the
earthquake-resistant design and construction of buildings and building components. The NEHRP
Recommended Provisions is applicable anywhere in the nation at risk from earthquakes and is a
voluntary resource document widely used by practicing design professionals and building
officials. It serves as the basis for the seismic requirements of the nation's model building codes
and standards.

During development of the 2003 edition of the NEHRP Recommended Provisions, the issue of
the seismic safety of steel pallet storage racks located in areas accessible to the public was raised.
This issue has taken on added significance given the increasing proliferation of "big-box stores"
and the associated additional risk to the public in an earthquake, and was deemed important
enough to justify FEMA's funding of the project resulting in this report. FEMA's interest and
concern regarding the performance of steel storage racks accessible to the public actually
predates this project. In 1998, FEMA funded the Collaborative for Disaster Mitigation (CDM)
through the California Office of Emergency Services using Hazard Mitigation Grant Program
funding. One of the projects funded by the CDM was a paper by Chan and Yee at San Jose State
University entitled "Structural Behavior of Storage Racks Under Seismic Ground Motion."

This report is intended to serve as a stand-alone resource document as well as input for the 2008
update of the NEHRP Recommended Provisions. While a lack of available, nonproprietary
research data was a constraint during development of this report, FEMA believes that the
Building Seismic Safety Council's Storage Rack Project Task Group did an excellent job of
assembling and assessing data that were available and preparing this report. The guidance
contained in this document represents the best retail industry practices observed as well as the
recommendations of a panel of distinguished experts in the storage rack and earthquake
engineering fields. It is our hope that this guidance will be strongly considered by retail stores
and their operators as it will serve to increase the safety of their customers as well as reduce their
potential liability. FEMA wishes to express its gratitude to the task group as well as to the Rack
Manufacturers Institute (RMI), the Retail Industry Leaders Association, and the other individuals
and organizations contributing to this effort.
                                                            Federal Emergency Management Agency


                                                                                                   iii
                               ACKNOWLEDGEMENTS

The Building Seismic Safety Council is grateful to all those who participated in this effort.
Special thanks go to Rack Manufacturers Institute (RMI) and the Retail Industry Leaders
Association for their cooperation and to the Storage Project Task Group for their outstanding
contribution of time and expertise.

                     BSSC STORAGE RACK PROJECT TASK GROUP
Chairman

Robert E. Bachman, Consulting Structural Engineer, Laguna Niguel, California

Members

Victor Azzi, Rack Manufacturers Institute, Rye, New Hampshire
Morrison Cain, Retail Industry Leaders Association, Arlington, Virginia
Daniel Clapp, Frazier Industrial Company, Long Valley, New Jersey
Andre Filiatrault, MCEER, State University of New York at Buffalo
Ronald Gallagher, R. P. Gallagher Associates, Inc., Oakland, California
Peter Higgins, Consulting Structural Engineer, Malibu, California
John V. Loscheider, Loscheider Engineering Company, Renton, Washington
Joshua Marrow, Simpson Gumpertz and Heger, Inc., San Francisco, California
Joseph Nicoletti, URS Consultants, Belmont, California
John Nofsinger, Material Handling Industry of America, Charlotte, North Carolina
Maryann Phipps, ESTRUCTURE, El Cerrito, California

Government Liaison Members

George Crawford, Washington Military Department, Emergency Management Division,
   Camp Murray, Washington
Richard Eisner, Governor's Office of Emergency Services, Oakland, California
John Gillengerten, OSHPD, Facilities Development Division, Sacramento, California
Robert Hanson, DHS/FEMA, Walnut Creek, California
Christine Jonientz-Trisler, DHS/FEMA, Bothell, Washington
Jeffery Lusk, DHS/FEMA Region IX, Oakland, California

FEMA Project Officer

Michael Mahoney, DHS/FEMA, Washington, D.C.

NIBS/BSSC Staff

Claret M. Heider, NIBS Vice President, BSSC/MMC
Bernard F. Murphy, PE, Director, Special Projects
Carita Tanner, Editorial and Public Relations Manager


                                                                                                v
                                EXECUTIVE SUMMARY

During the past few decades, the number of large public warehouse stores (often referred to as
big-box stores) across the nation has grown significantly, changing both consumer buying habits
and the public's risk of injury during earthquakes. During an earthquake, occupant safety in a
big-box store depends on both the structural performance of the building and on the performance
of the storage racks and their contents. Earthquake ground motions can cause storage racks to
collapse or overturn if they are not properly designed, installed, maintained, and loaded. In
addition, goods stored on the racks may spill or topple off. Both occurrences pose a life-safety
risk to the exposed shopping public.

The immediate stimulus for the project that resulted in this report was a 2003 request from the
State of Washington to the Federal Emergency Management Agency (FEMA) for guidance
concerning the life-safety risk posed by the storage racks in publicly accessible areas of retail
stores, especially the risk of rack collapse of loss of stored goods during an earthquake. FEMA
asked the Building Seismic Safety Council (BSSC) to develop the requested guidance. To do so,
the BSSC established a Rack Project Task Group composed of practicing engineers, storage rack
designers, researchers, representatives of the Rack Manufacturers Institute (RMI) and the Retail
Industry Leaders Association, and members of applicable technical subcommittees responsible
for updating the NEHRP Recommended Provisions.

In developing this guidance document, the Task Group focused primarily on steel single
selective pallet storage racks. It reviewed available information on storage rack performance
during earthquakes and the background on the development of standards and code requirements
for storage racks; assessed seismic requirements for storage racks and current practices with
respect to rack design, maintenance and operations, quality assurance, and post-earthquake
inspections; and examined available research and testing data.

Based on its study, the Task Group developed short-term recommendations to improve current
practice and formulated long-term recommendations to serve as the basis for improved standards
documents such as the NEHRP Recommended Provisions, ASCE 7, and the RMI-developed
storage rack specification (ANSI MH 16.1-04 Specification for the Design, Testing, and
Utilization of Industrial Steel Storage Racks).

Over the near term, the Task Group recommends that the 2003 NEHRP Recommended
Provisions requirements for steel single selective pallet storage rack design be followed and that
connections be checked in accordance with a procedure to be developed by RMI. The Task
Group also recommends that additional guidance presented in this report be voluntarily adopted
by store owners and operators. Further, given the fact that maintenance and use of storage racks
is a key element to their acceptable performance during earthquakes, store owners and operators
should adopt an appropriate quality assurance plan; as a minimum, the best self-imposed
practices of store owners and operators should be maintained.




                                                                                                vii
The Task Group's primary long-term recommendation is that the RMI specification be brought
into conformance with the 2003 NEHRP Recommended Provisions, which is the basis for
seismic requirements found in current seismic design standards and model building codes. The
Task Group also recommends that optional performance-based and limit state procedures and
component cyclic testing procedures be incorporated into the RMI-developed specification.
Compliance with these procedures will demonstrate that the storage racks have the capacity to
resist maximum considered earthquake ground motions without collapse. Once the procedures
are appropriately integrated into ANSI MH 16.1-04, it is recommended that the 50 percent
increase factor and minimum force level included in the NEHRP Recommended Provisions
requirements and building codes and standards be waived for racks designed in accordance with
these procedures. It also is recommended that regulatory bodies periodically review the quality
assurance programs of stores and implement any regulations needed to satisfy life-safety
concerns that relate to the securing of rack contents and rack maintenance and use.

Additional recommendations appear in Chapter 13 and the reader is encouraged to consider that
chapter as well as this summary.
                                                 TABLE OF CONTENTS

1. Introduction...............................................................................................................................1
    1.1 Background .........................................................................................................................1
    1.2 Conduct of the Project ........................................................................................................2
    1.3 Scope...................................................................................................................................3
    1.4 Contents of This Report ......................................................................................................6

2. Damage to Steel Pallet Storage Racks and Content Spillage in Recent Earthquakes........7
   2.1 Background .........................................................................................................................7
   2.2 Damage Reported in the 1987 Whittier Earthquake ...........................................................8
   2.3 Damage Reported in the 1989 Loma Prieta Earthquake.....................................................8
   2.4 Damage Reported in the 1992 Landers Earthquake ...........................................................8
   2.5 Damage Reported in the 1994 Northridge Earthquake.......................................................9
   2.6 Damage Reported in the 2001 Nisqually Earthquake.......................................................14
   2.7 Damage Reported in the 2003 San Simeon Earthquake ...................................................15

3. Codes and Standards for Storage Racks ..............................................................................17
   3.1 RMI Standard....................................................................................................................17
   3.2 Model Building Code Requirements ................................................................................18
   3.3 NEHRP Recommended Provisions Requirements ............................................................18
   3.4 ASCE 7 Requirements ......................................................................................................18
   3.5 Changing Landscape of Codes and Standards ..................................................................19
   3.6 Current Seismic Requirements for Storage Racks............................................................19
   3.7 The Evolving RMI Standard.............................................................................................20
   3.8 Other Significant Research Efforts ...................................................................................21
   3.9 Future Direction ................................................................................................................22

4. Current Storage Rack Seismic Design Practices..................................................................23
   4.1 Overview...........................................................................................................................23
   4.2 Pallet Loads and Effective Seismic Weights ....................................................................24
   4.3 Rack Configuration...........................................................................................................26
   4.4 Seismic Loads...................................................................................................................26
   4.5 Member Design ................................................................................................................37

5. Performance Expectations for Storage Racks in Areas Accessible to the Public .............41
   5.1 Scope.................................................................................................................................41
   5.2 Seismic Safety Concerns...................................................................................................41
   5.3 Seismic Performance Objectives ......................................................................................41

6. Suggested Improvements to Current Storage Rack Seismic Design Practices .................45
   6.1 Intent and Scope................................................................................................................45
   6.2 Suggested Seismic Design Criteria...................................................................................46
   6.3 Structural Analysis............................................................................................................50
   6.4 Design ...............................................................................................................................54



                                                                                                                                              ix
     6.5 Tentative Procedure for Displacement-based MCE Evaluation of Steel Pallet
         Storage Rack Systems.......................................................................................................57

7. Guidelines and Responsibilities for Specifying, Purchasing, and Installing
   Pallet Storage Racks ...............................................................................................................75
    7.1 Scope ................................................................................................................................75
    7.2 Specifying and Purchasing Pallet Storage Racks .............................................................75
    7.3 Responsibilities.................................................................................................................76
    7.4 Building Considerations ...................................................................................................77
    7.5 Installation ........................................................................................................................78
    7.6 Reconfigured Racking ......................................................................................................78
    7.7 Intermixing Components ..................................................................................................78
    7.8 Used Racking....................................................................................................................78

8. Suggested Improvements for Securing Contents Within Storage Racks ..........................79
    8.1 Scope ................................................................................................................................79
    8.2 Current Restraint Practices and Regulations ....................................................................79
    8.3 Recommended Content Restraining Practices..................................................................81
    8.4 Suggested Practices for Restraining Pallet Loads ............................................................85
    8.5 Suggested Restraint Practices for Non-palletized Merchandise.......................................86
    8.6 Tests..................................................................................................................................90
    8.7 Alternative Means of Securing Contents..........................................................................91
    8.8 Future Needs.....................................................................................................................93

9. Suggestions for Storage Rack Installation, Operation, Inspection, and Maintenance.....95
   9.1 Scope.................................................................................................................................95
   9.2 Responsibilities of Installers and Operators .....................................................................95
   9.3 Initial Installation ..............................................................................................................96
   9.4 Additions, Alterations, and Reconfigurations...................................................................97
   9.5 Storage Rack System Operation .......................................................................................98
   9.6 Inspection After Initial Installation...................................................................................99
   9.7 Storage Rack System Maintenance and Repair ..............................................................100
   9.8 Inspection After Earthquakes..........................................................................................100

10. Suggested Considerations for Quality Assurance Programs ...........................................103
    10.1 Scope ............................................................................................................................103
    10.2 Minimum Components of a Quality Assurance Program.............................................103
    10.3 Quality Assurance for Rack System Design.................................................................103
    10.4 Quality Assurance for Storage Rack System Manufacture ..........................................104
    10.5 Quality Assurance for Storage Rack System Installation.............................................104
    10.6 Quality Assurance for Storage Rack System Operation...............................................104

11. Review of Past Seismic Research on Storage Rack Systems and Subassemblies...........105
    11.1 Scope ............................................................................................................................105
    11.2 Review of Experimental Research................................................................................105
    11.3 Review of Analytical and Numerical Research............................................................111
     11.4 Research Needs.............................................................................................................113

12. Inspection of Storage Racks and Recovery of Merchandise After Earthquakes...........115
    12.1 Scope ............................................................................................................................115
    12.2 Post-earthquake Hazards ..............................................................................................115
    12.3 Post-earthquake Inspection of Storage Racks...............................................................116
    12.4 Recovery of Merchandise from Damaged Racks .........................................................122

13. Summary and Recommendations.......................................................................................123
    13.1 Overview of the Storage Rack Project..........................................................................123
    13.2 Summary.......................................................................................................................123
    13.3 Recommendations.........................................................................................................126

14. References and Selected Bibliography ...............................................................................129
    14.1 References.....................................................................................................................129
    14.2 Selected Bibliography...................................................................................................131

Appendices

     A. Development of an Analytical Model for the Displacement-Based Seismic Design of
        Storage Racks in their Down-Aisle Direction .................................................................136
     B. Recommended Modifications to ANSI MH 16.1-04, Specification for the Design,
        Testing, and Utilization of Industrial Steel Storage Racks ..............................................149
     C. Recommended Modifications to the 2003 NEHRP Recommended Provisions...............153
     D. Acceptable Design and Analysis Methods for Use of Slabs-on-Grade as Foundations ..155
     E. BSSC Rack Project Reviewers and Workshop Participants ............................................159




                                                                                                                                           xi
                                           Chapter 1

                                      INTRODUCTION


1.1 BACKGROUND

During the past few decades, the number of large public warehouse stores (often referred to as
big-box stores) across the nation has grown significantly, changing both consumer buying habits
and the public's risk of injury during earthquakes. Whereas traditional retailers typically store
goods and products outside the retail space in limited access storage rooms and warehouse
facilities, big-box stores keep goods in close proximity to the consumer at all times. Typically,
shoppers in these stores browse in aisles between steel storage racks, 14 to 18 feet in height, that
hold pallets of inventory, some of which can be very heavy.

During an earthquake, occupant safety in a big-box store depends on both the structural
performance of the building and on the performance of the storage racks and their contents.
Earthquake ground motions can cause storage racks to collapse or overturn if they are not
properly designed, installed, maintained, and loaded. In addition, goods stored on the racks may
spill or topple off. Both occurrences pose a life-safety risk to the exposed shopping public.

The seismic design for new warehouse stores, including both the buildings and storage racks, is
governed by the building code in force in the jurisdiction where a store is built. The seismic
requirements in building codes currently being enforced in most U.S. jurisdictions are based on
the NEHRP Recommended Provisions for Seismic Regulations for New Buildings and Other
Structures, which is developed by the Building Seismic Safety Council (BSSC) of the National
Institute of Building Sciences with National Earthquake Hazards Reduction Program (NEHRP)
funding provided by the Federal Emergency Management Agency (FEMA).

The seismic requirements for new stores and storage racks, however, do not stipulate how goods
are to be stored on the racks. For California, however, the state has enacted a California Labor
Law that requires contents placed on storage racks 12 feet or higher above ground level to be
secured. While this law includes a few suggestions for securing goods, it does not include
detailed procedures. Thus, in virtually all jurisdictions, requirements for securing storage rack
contents are self-imposed by store owners and operators. The situation is further complicated by
the fact that these types of storage racks can be easily reconfigured (i.e., shelf level changed) to
meet changing merchandising needs. The reconfiguration work, which can be performed many
times over the life of the structure, generally is done by store employees who may not always
understand required procedures. Further, fork lifts are used to load goods on the racks and the
racks can easily be damaged in the process. Finally, heavy merchandise stored on the floor near
storage racks can topple during an earthquake and damage rack columns and braces, perhaps
even initiating rack collapse.




                                                                                                   1
Chapter 1



The immediate stimulus for the project that resulted in this report was a 2003 request from the
State of Washington to FEMA for guidance concerning the life-safety risk posed by the storage
racks in publicly accessible areas of retail stores, especially the risk of rack collapse of loss of
stored goods during an earthquake. The goal was the possible development of state regulations
in response to a fatality resulting from a broken pallet on a storage rack in a commercial retail
hardware facility. It should be noted that the accident was not associated with an earthquake. In
light of the 2001 Nisqually earthquake, however, the State of Washington recognized that a
significant life-safety hazard could be associated with storage racks in earthquakes.

FEMA was aware that current storage rack requirements were somewhat out of date. For
example, the latest edition of the storage rack design specification developed by the Rack
Manufacturers Institute (RMI) references the obsolete 1994 NEHRP Recommended Provisions
even though the Provisions document has been updated three times since then (i.e., in 1997,
2000, and 2003). Furthermore, during the 1994 Northridge earthquake (magnitude = 6.7),
serious storage rack collapses occurred in several warehouse retail stores that would likely have
resulted in injuries and possibly deaths if the earthquake had occurred during a time when the
stores had significant public presence rather than at 4:30 a.m. on a federal holiday. Many
existing racks have since been voluntarily strengthened or replaced and stricter quality assurance
programs for rack loading and reconfiguration have been implemented by some owners with the
hope of preventing a reoccurrence of the Northridge problems. In addition, the 1994 NEHRP
Recommended Provisions included a 50 percent increase of seismic loads for storage racks in
areas accessible to the general public. FEMA also recognized that consideration must be given
in the design process to much larger earthquakes than those recently experienced in order to
avert collapse in areas of highest seismicity. Thus, when asked for assistance by the State of
Washington in developing guidance for storage racks in warehouse retail stores, FEMA
concluded that such a project was well justified.

1.2 CONDUCT OF THE PROJECT

To develop the requested guidance, a Rack Project Task Group was established composed of
practicing engineers, storage rack designers, researchers, representatives of the Rack
Manufacturers Institute (RMI) and the Retail Industry Leaders Association, and members of
relevant technical subcommittees responsible for updating the NEHRP Recommended
Provisions. Also included were representatives of various government entities with an interest in
and/or responsibility for public safety. (See page v for a list of Task Group members and
Appendix E for a list of other participants in the project.) To provide for broader input and
review of an initial draft of this guidance document, the Task Group conducted a workshop for
storage rack design engineers and manufacturers, retailers, building officials and other
regulators, and structural engineers involved in the seismic code development process. In
addition, the Task Group chair, FEMA, and NIBS staff met with representatives of the large
retailers who use storage racks in public warehouse stores to discuss the draft guidance document
and obtain additional feedback.

The NEHRP Recommended Provisions for Seismic Regulations for New Building and Other
Structures, developed by a Provisions Update Committee (PUC) and a series of PUC Technical



2
                                                                                        Introduction


Subcommittees, serves as a primary source document for the seismic code requirements found in
current building codes in the United States. The information and recommendations in this report
on storage racks will be submitted to the application PUC Technical Subcommittee for
consideration during development of the 2008 Provisions. In addition, this report will be
submitted to the applicable RMI technical committees for consideration during development of
the next edition of the RMI design specification.

1.3 SCOPE OF THIS REPORT

This report highlights issues for consideration in the seismic design, installation, ongoing
inspection, maintenance, and use of steel single selective pallet storage racks located in areas of
retail warehouse stores and other facilities accessible to the general public. These considerations
apply only to single selective steel pallet storage racks (Figure 1-1) with contents elevated 8 feet
or more above the ground floor; they do not apply to shelving, racks less than 8 feet in height,
merchandise displays, or cantilever racks of any height.




                  Figure 1-1 Typical steel single selective pallet storage rack.

The structural elements in a typical pallet storage rack are shown in Figure 1-2. Storage racks
are composed of specially designed steel elements that permit easy installation and
reconfiguration consistent with the merchandising needs of a warehouse retail store. Except
where adjacent to walls, storage racks normally are configured as two rows of racks that are
interconnected. Pallets typically can have plan areas of between 14 and 16 square feet and can



                                                                                                   3
Chapter 1


have a maximum loaded weight of approximately 3,500 pounds. Storage rack bays are typically
42 to 44 inches deep and 96 inches wide and can accommodate two pallets. The overall height
of pallet rack structural frames found in retail warehouse stores varies between 14 and 18 feet.
Column extensions (posts that extend above the top level to provide lateral support for netting,
cables, etc.) provided on some racks typically range from 3 to 6 feet in height. The rack industry
calls the longitudinal direction the down-aisle direction and the transverse direction, the cross-
aisle direction. Proprietary moment connections are typically used as the structural system in the
down-aisle direction and braced frames are typically used as the structural system in the cross-
aisle direction. Photographs of typical down-aisle moment frame connections, cross-aisle braced
frame connections, and column base plate connections are presented in Figures 1-3, 1-4, and 1-5.




                        Figure 1-2 Typical storage rack configuration.




4
                                                           Introduction




       Figure 1-3 Typical proprietary moment connection.




Figure 1-4 Typical rack bracing members and connections.




                                                                     5
Chapter 1




                       Figure 1-5 Typical column base plate connection.


1.4 CONTENTS OF THIS REPORT

Included in this report are: a review of the performance of storage racks in past earthquakes, a
history of the development of codes and standards used for storage rack design and current
storage rack design practices; guidance on recommended performance goals and design
requirements for storage racks; guidelines for implementation/responsibilities associated with the
specification, procurement, and installation of pallet storage racks; suggested guidance for
securing contents; recommendations for operations and use; suggested guidance for quality
assurance programs; a discussion of current and past storage rack research and testing,
suggestions for post-earthquake inspections; and proposed modifications to seismic design
provisions and standards for racks.

Most of this report is intended for all readers who have an interest in the seismic protection of
steel single selective pallet storage racks and their contents; however, Chapters 4 through 6 and
Appendices A through D, are very technical in nature and will be of interest primarily to rack
design engineers, seismic code and standards writers (including RMI and the NEHRP
Recommended Provisions Technical Subcommittee 8, seismic policy makers, and building
officials. Appendix B is intended specifically for the RMI Specification Advisory Committee
whereas Appendix C is intended for TS 8.




6
                                            Chapter 2

             DAMAGE TO STEEL PALLET STORAGE RACKS
          AND CONTENT SPILLAGE IN RECENT EARTHQUAKES


2.1 BACKGROUND

To determine whether the seismic requirements in codes and standards are adequate, engineers
and code officials carefully investigate the performance of structures subjected to earthquake
ground motions. The use of steel single selective pallet storage racks in areas accessible to the
public is a relatively recent development. Since first being introduced on a significant scale
about 25 years ago, the number of big box stores utilizing storage racks in public areas has
increased dramatically  especially during the past 15 years. Although relatively few damaging
earthquakes have occurred during the period of time, it is valuable to document steel storage rack
damage and contents spillage during several earthquakes in California (i.e., the 1987 Whittier,
1989 Loma Prieta, 1992 Landers, 1994 Northridge, and 2003 San Simeon earthquakes) and one
in Washington (i.e., the 2001 Nisqually earthquake).

To assess storage rack earthquake performance, it is important to determine the ground motions
that occurred at the site, the design capacity of the rack, the actual loading of the rack, rack
design details, and any other extenuating conditions that would affect rack performance. When
an earthquake occurs, it generates ground motions, but the actual ground motions that occur at a
given site are the function of many factors. These factors include the magnitude of the
earthquake, the depth of the earthquake below the ground's surface, the distance the site is from
the earthquake fault that generated the earthquake, and the soil conditions at the site. Of
particular interest are sites where ground motions were equal to or exceeded the design level
ground motions on which seismic code provisions are based. Because of the nature of storage
racks, of equal importance is the actual pallet loading at the time of the earthquake relative to the
rated capacity of the storage rack. Thus, in a given earthquake, damage to a particular rack
might not occur because the rack was lightly loaded or because the ground motion at the site was
not severe. It is difficult to gauge the performance of racks that have not really been subjected to
their design limit.

The observations reported in this chapter represent only a very small fraction of the facilities that
have experienced earthquakes. Less than 1 percent of the total reports and inspections made over
almost 20 years in these stores describe unsatisfactory performance, failure or life safety hazards.
The other 99 percent have performed without incident. The two major failures described in this
chapter appear to be the result of overloading beyond any approved design limit. However, a full
design-level earthquake has not yet occurred in the area where many of these stores are located.
The current database includes only one event -- the 1992 Landers, California, earthquake -- of
relevance and the racks in the warehouse store there performed adequately. The reader should be
aware, however, that given the limited data available, it cannot be assumed that past performance
is indicative of what to expect in a design level earthquake in a heavily populated area.


                                                                                                    7
Chapter 2




The photographs and most of the seismic performance observation data presented below were
provided by the office of Peter S. Higgins and Associates. The Task Group is grateful to Mr.
Higgins for sharing this information and allowing it to be published in this document.
Information on the San Simeon earthquake was provided by FEMA Project Officer Michael
Mahoney and the FEMA Post-Earthquake Investigation Team, which included Task Group
members Jeffery Lusk of FEMA Region X and Joshua Marrow of Simpson Gumpertz and
Heger, Inc.

2.2 DAMAGE REPORTED IN THE 1987 WHITTIER EARTHQUAKE

The Whittier, California, earthquake with a moment magnitude (Mw) of 5.9 occurred on October
1, 1987, at 7:42 a.m. PDT at a depth of 5-3/4 miles. The epicenter was located in the Whittier
Narrows region of southern California approximately 13 miles southeast of downtown Los
Angeles and approximately 30 miles from Canoga Park. Several Home Depot and Home Club
stores were inspected but no seismic damage was found except for damage associated with
impact or reconfiguration. Of particular interest (for reasons that will be discussed later) were
the Home Deport and Home Club stores in Canoga Park, both of which were operating at the
time with racks in their originally installed reconfiguration. The racks in these stores were not
damaged, which is not surprising since the peak ground motions in the Canoga Park area were
reported to be in the range of 0.05g, far below the design basis earthquake ground motion levels.

2.3 DAMAGE REPORTED IN THE 1989 LOMA PRIETA EARTHQUAKE

The Loma Prieta, California, earthquake with a moment magnitude (Mw) of 6.9 occurred on
October 17, 1989, at 5:04 p.m. PDT at a depth of 11-1/2 miles. The epicenter was located in the
Santa Cruz Mountains about 60 miles south of San Francisco. Many seismically vulnerable
structures in the Bay Area were damaged. Because of the distance to the epicenter, measured
ground motions in the Bay Area were actually significantly below design level ground motions.
After the earthquake, 28 Bay Area Price Club stores were inspected and no damage was
observed except for one line of racks in the bakery area of one store. These racks were heavily
damaged but did not collapse, and it was later determined that store personnel had removed the
bottom beam level of these racks so they could put bread carts within the pallet racks to get them
"out of the way." With the bottom beam level removed, the racks had less than a third of their
rated capacity, which appears to be the primary reason for the damage.

2.4 DAMAGE REPORTED IN THE 1992 LANDERS EARTHQUAKE

The Landers, California, earthquake with a moment magnitude (Mw) of 7.3 occurred on June 28,
1992, at 4:57 a.m. PDT at a depth of 10-3/4 miles. The epicenter was located near the town of
Landers in the high desert area of California about 120 miles east of downtown Los Angeles.
Because of the remote location, there was only one store with storage racks accessible to the
public located in the area of severe ground motion. A relatively new Builders Emporium
(opened two to three years earlier) was located very close to the epicenter and less than 100
yards from the fault rupture zone. The building was heavily damaged. Glulam girders had
broken away from their anchorages in the wall pilasters and, in some places, had battered their


8
                      Damage to Steel Pallet Storage Racks and Content Spillage in Recent Earthquakes


way through the walls. The ledgers were almost completely destroyed. Unanchored gondola
shelving units were not seriously damaged and were placed back into service but a great deal of
small merchandise fell from the shelves and, in some cases, the units "walked" over 12 inches
from their initial positions. Many small items also fell off storage racks, but items more than 24
inches in plan dimension (e.g., roof ventilators and HVAC pipes) stayed on the racks regardless
of the height at which they were stored.

2.5 DAMAGE REPORTED IN THE 1994 NORTHRIDGE EARTHQUAKE

The Northridge, California, earthquake with a moment magnitude (Mw) of 6.7 occurred on
January 17, 1994, at 4:31 a.m. PST at a depth of 11 miles. The epicenter was located in Reseda
in the San Fernando Valley. Because of the fault orientation and rupture direction, ground
motions were at or above design levels in the north end of the valley and were just about at code
design levels in Santa Clarita, about 10 miles north of the valley.

2.5.1 Price Club, Northridge, California. No damage was observed except for the "soda wall"
racks (storage racks fully loaded with cases of soft drinks), which had failed longitudinally. It is
believed that this failure resulted when floor-stacked merchandise toppled over and hit the racks,
inflicting heavy damage because identical racks with the same or heavier loads standing nearby
were undamaged.

2.5.2 Home Depot, Santa Clarita, California. This store had only been open for a few days
when the earthquake occurred. Several bays of racks failed completely in the cross-aisle
direction, and there was also considerable loss of contents (see Figures 2-1 through 2-7).

A subsequent investigation revealed that the racks that failed had been overloaded by more than
50 percent of their rated capacity (i.e., the ceramic tile racks were loaded three pallets wide
rather than the assumed two pallets wide and building materials pallets, which weighed 3,500
pounds each at this store, had been improperly placed on general merchandise racks rated to
carry only 1,500 pounds per pallet position). Although no post-earthquake evaluation of the
failed racks is publicly available, it was noted that properly loaded racks immediately adjacent to
the overloaded bays were not damaged.

One row of building materials storage racks had a pronounced lean after the earthquake. This
was apparently caused by material on the floor toppling onto the uprights and bracing during the
earthquake. Once this material was removed, the racks self-centered, stood plumb again, and
remained in service.

As a result of the failures at this new store, over 160 Home Depot stores were retrofitted with
heavier, higher capacity racks in their ceramic tile areas. The cost of the retrofit is estimated to
be approximately $15 million (in 1993 dollars).




                                                                                                       9
Chapter 2




 Figure 2-1 Cross-aisle collapse in the building materials section of the Santa Clarita store.




            Figure 2-2 Cross-aisle collapse in the tile section of the Santa Clarita store.

10
Damage to Steel Pallet Storage Racks and Content Spillage in Recent Earthquakes




                                         Figure 2-3 Cross-aisle collapse at
                                         Santa Clarita store showing good
                                         performance of shrink wrapped
                                         merchandise.




                                                                            11
Chapter 2




       Figure 2-4 Contents spillage in
       the door/window area of a Santa
       Clarita store.




                                         Figure 2-5 Contents spillage in the
                                         wood trim area of a Santa Clarita
                                         store.




12
                  Damage to Steel Pallet Storage Racks and Content Spillage in Recent Earthquakes




                                                       Figure 2-6 Contents spillage in
                                                       the paint area of a Santa Clarita
                                                       store.




Figure 2-7 Contents spillage in a
small-items section of a Santa
Clarita store.




                                                                                              13
Chapter 2


2.5.3 Home Depot, Canoga Park, California. Home Depot replaced 32 percent of their pallet
positions in this store due to failed or seriously damaged racks. There is no question that serious
injury and perhaps loss of life might have occurred had the store been open to the public at the
time of the earthquake. It is believed that the cause of the failures was essentially the same as in
Santa Clarita  significant overloading of racks.

Home Depots and Home Clubs initially did not sell large amounts of building materials, and
their storage racks were designed for general merchandise rated at 1,500 pounds per pallet
position. As the stores grew, the merchandise mix changed and more building materials were
kept in stock. Building materials storage racks at this store are rated to carry up to 3,700 pounds
per pallet position or more than twice that of the general merchandise racks. Further, the
building materials storage racks usually were one level taller than the general merchandise racks
in the older stores. The change in merchandise mix occurred in 1991 and, as noted above, the
racks in these stores had been undamaged in the earlier 1987 Whittier earthquake.

This older store had been scheduled for a retrofit to heavier rack designs but it had a low ceiling
that could not accommodate the taller rack designs. Thus, it appears that the retrofit was
cancelled because of the low ceiling problem but the switch to heavier loads was made
inadvertently without the concomitant stronger racks required. This oversight was largely
responsible for the failures. The racks in this store subsequently were replaced with heavier,
higher capacity 12-foot high designs.

2.5.4 Home Depot, Glendale, California. Only minor damage was observed in this store.
There were small amounts of fallen merchandise. One pallet did fall out of a storage rack, but
the rack upright had been seriously damaged before the earthquake and was scheduled to be
replaced the day the earthquake occurred.

2.5.5 Home Club, Canoga Park, California. This store was just down the street from the
Home Depot and also suffered extensive damage, in some cases more severe than that in the
Home Depot. As was the case with the Home Depot, storage racks loaded beyond their rated
capacity were deemed to cause the problems. The reasons for this overloading are discussed in
more detail above in Section 2.5.2. The store was later fitted with heavier racks but subsequently
closed.

There was one interesting observation at this store. A properly designed set of racks, fully
loaded with heavy building materials, survived the earthquake without damage or incident.
However, the racks were bootlegged (e.g., not permitted) and were sitting on asphalt with no
anchorage.

2.6 DAMAGE REPORTED IN THE 2001 NISQUALLY EARTHQUAKE

The Nisqually, Washington, earthquake with a moment magnitude (Mw) of 6.8 occurred on
February 28, 2001, at 10.24 a.m. PST at a depth of 31 miles. The epicenter was located in the
Puget Sound area. Because of the great depth, the surface ground motions were considerably
less than those of the Northridge earthquake even though the magnitude of the Nisqually
earthquake was greater. The measured ground motions were significantly less than code level


14
                      Damage to Steel Pallet Storage Racks and Content Spillage in Recent Earthquakes


design ground motions at all locations in the area. Stores in Seattle were investigated including
one on reclaimed land, one adjacent to the fallen highway overpasses, and one south of Olympia.

2.6.1 Home Depot, Olympia, Washington. Of the stores examined, only the Olympia store
located in the area nearest to the epicenter had storage rack damage and that consisted of element
buckling of some diagonal braces in the building materials racks. Very little merchandise fell
out of the racks and almost all of what did fall consisted of very small items that posed little
apparent life safety hazards. The water heaters stored on racks had recently been fitted with
restraints and many were observed to be leaning on these restraints indicating that they probably
would have fallen had there been no restraints.

2.6.2 Costco, Various Washington Locations. No Costco store was observed to have any
damage but this is not surprising considering the level of ground motion was far less than code
design levels.

2.7 DAMAGE REPORTED IN THE 2003 SAN SIMEON EARTHQUAKE

The San Simeon, California, earthquake with a moment magnitude (Mw) of 6.5 occurred on
December 22, 2003 at 11:16 a.m. PST at depth of 4-1/2 miles. The epicenter was located 6 miles
north of San Simeon and about 30 miles north of Atascadero where the area's largest big-box
store with pallet storage racks was located. Measured ground motions were far less than code
level ground motions and no storage rack damage was observed at the store; however, a small
lawn tractor on a steel pallet slid off the top of one rack and cans of roofing tar fell off another
rack from a significant height, breaking when they hit the ground and splattering tar high enough
to reach the roof of the store. The fall of the lawn tractor on the steel pallets raises issues
regarding the increasing use of pallets with a lower coefficient of friction (e.g., steel and plastic)
than the traditional wood pallets.




                                                                                                   15
Chapter 2




16
                                          Chapter 3

              CODES AND STANDARDS FOR STORAGE RACKS


3.1   RMI STANDARD

Pallet storage racks were created to optimize warehouse and distribution center operations. As
individual storage rack manufacturers developed new and competing products, the need for design
and utilization standards and their implementation by the user and producer industries became
obvious

The Rack Manufacturers Institute (RMI) was established and incorporated in 1958 to deal with
industry-wide issues. Among its initial activities was development of the first edition of an RMI
standard, Minimum Engineering Standards for Industrial Steel Storage Racks, which was issued in
1964. This document was a short, simple, direct exposition of what had been developed and what
was known by the members of the industry at that time. It represented the first step in developing
specifications and other products designed to suit the needs of users, manufacturers, and the
engineering and code-enforcement communities.

In the late 1960s, RMI engaged Professor George Winter of Cornell University to undertake
analysis and testing needed to provide a sound basis for the development of a more rigorous
standard for the industry. Professor Winter was chosen because of his national and international
reputation and his demonstrated expertise in the structural behavior of cold-formed light-gage steel
structures. The RMI membership and several other organizations provided financial and
engineering support for the research effort that included analysis and testing related to the
expanding range of products made by the growing number of industry members. The results of the
work conducted by Professor Winter and his graduate students provided the basis for a new RMI
standard, Interim Specification for the Design, Testing, and Utilization of Industrial Steel Storage
Racks, which was issued in 1972 and which required earthquake loads to be considered in a
manner mimicking the approach to building structures as stated in the Uniform Building Code
(UBC) promulgated by the International Conference of Building Officials (ICBO).

In the UBC, design seismic forces for different types of building structures were based on K
factors. The K factors for ordinary moment frame building structures braced framed structures
were 1.0 and 1.33, respectively. These were the factors used to define the seismic forces in 1972
edition of the RMI standard in the down-aisle and cross-aisle directions, respectively.




                                                                                               17
Chapter 3


3.2 MODEL BUILDING CODE REQUIREMENTS

As the use of storage rack structures increased across the nation, they began to be subjected to
diverse loading conditions and received more scrutiny by the engineering and building code
communities. Storage rack structures were mentioned for the first time in the 1973 edition of the
UBC in the form of a footnote to a list of structures. The 1976 UBC referenced Standard 27-11, an
ICBO-developed standard that addressed storage racks specifically and included design seismic
forces for storage racks. The Building Officials Code Administrators International (BOCAI) and
the Southern Building Code Congress International (SBCCI) soon added seismic provisions for
storage rack structures to their codes -- the National Building Code and Standard Building Code,
respectively.

3.3 NEHRP RECOMMENDED PROVISIONS REQUIREMENTS

The first edition of the NEHRP Recommended Provisions for Seismic Regulations for New
Buildings was issued in 1985. The NEHRP Recommended Provisions was intended to serve as a
resource document for use by organizations in developing seismic requirements for inclusion in
codes and standards and to provide a venue for ongoing improvement of these requirements. A
Provisions Update Committee (PUC) composed of structural engineers, industry and standards
representatives, and building officials guides the triennial Provisions update process. RMI became
a BSSC member organization in 1987 and, since that time, RMI representatives have served on the
PUC Technical Subcommittees responsible for requirements for steel structures; for architectural,
mechanical, and electrical components and systems; and for nonbuilding structures.

The 1991 edition of the NEHRP Recommended Provisions introduced design values for storage
racks in the chapter on architectural, mechanical, and electrical components. The design seismic
forces were independent of period and the lateral force coefficient, based on allowable stress
design (ASD), was 0.40 for areas of highest seismicity. In the 1994 Provisions, design values for
storage racks were significantly revised to be more consistent with the RMI seismic design criteria.
R values of 6 and 4 were assigned for storage racks in the down-aisle direction and the cross-aisle
direction, respectively. Further, an importance factor of 1.5 was assigned for racks in areas
accessible to the public. The R factor values of 6 and 4 were basically a translation of the UBC K
values from the early 1970s.

Note that the first several editions of the NEHRP Recommended Provisions focused almost entirely
on building structures; however, by the mid-1990s formal recognition was given to the fact that
storage rack structures (and some other structures) are neither building structures nor architectural,
mechanical, or electrical elements or components. Starting in the 1997 NEHRP Recommended
Provisions, nonbuilding structures including storage racks as well as cooling and storage towers,
which had been treated in the chapter on architectural, mechanical, and electrical components were
now covered in a separate nonbuilding structures chapter.

3.4 ASCE 7 REQUIREMENTS

As the NEHRP Recommended Provisions became more influential with the various model code
organizations, the American Society of Civil Engineers (ASCE) chose to become a stronger



18
                                                               Codes and Standards for Storage Racks


participant in the efforts to establish the basis for the specification of minimum loads on structures
and developed the first of a series of updates to the ASCE 7 standard, Minimum Design Loads for
Buildings and Other Structures. The 1993 edition of ASCE 7 adopted the 1991 NEHRP
Recommended Provisions as its seismic provisions and the 1995 edition of ASCE 7 reflected the
1994 edition of the NEHRP Recommended Provisions and covered storage rack structures under
the category of architectural, mechanical, and electrical components and systems.

3.5   CHANGING LANDSCAPE OF CODES AND STANDARDS

Over time, the responsibilities for seismic standards development have evolved. Currently, the
NEHRP Recommended Provisions still serves as the basic resource for the ASCE 7 Seismic Task
Committee, which translates the Provisions into mandatory language and can be adopted by
reference in codes and standards. The model building code landscape also has changed. The three
earlier model building code organizations (ICBO, BOCAI, and SBCCI) have merged into one
entity, the International Code Council (ICC), and the ICC's International Building Code (IBC) has
replaced the three earlier codes. In the first edition of the IBC issued in 2000, seismic provisions
were included directly in the code and were based primarily on 1997 NEHRP Recommended
Provisions. Some of these requirements were replaced by reference to ASCE 7 in the 2003 IBC
and most of the remaining detailed seismic requirements are expected to be replaced by reference
to ASCE 7 in the 2006 edition. During the late 1990s, the National Fire Protection Association
(NFPA) decided that it, too, would develop and promulgate a model building code; this decision
led to the issuance in 2003 of NFPA 5000: Building Construction and Safety Code, which largely
references ASCE 7 for its seismic requirements.

During this time of change, RMI participated in and contributed to NEHRP Recommended
Provisions update, ASCE 7, and model code efforts in order to attempt to keep its standard up to
date and coordinated with the ongoing codes and standards efforts and in the hope that its standard
would eventually become a stand-alone industry standard. Because of the changing codes and
standards landscape in the mid-1990s, RMI decided not to update its standard until things settled
down and, as a consequence, the RMI standard is currently considerably out of date since it is
based on the 1994 NEHRP Recommended Provisions.

3.6 CURRENT SEISMIC REQUIREMENTS FOR STORAGE RACKS

The 2003 edition of the NEHRP Recommended Provisions (FEMA 450) treats storage rack
structures as nonbuilding structures and references the seismic provisions of the RMI standard but
also requires that the mapped ground motions from the NEHRP Recommended Provisions be used
for design and that certain limitations be placed on minimum base shear and seismic
displacements. These requirements are "intended to assure comparable results from the use of the
RMI standard, the NEHRP Recommended Provisions, and the IBC approaches to rack structural
design." In addition, procedures are provided to "distinguish between the methods employed to
design storage racks supported at grade (treated as nonbuilding structures) from those supported
above grade (treated as architectural, mechanical, and electrical components)." The treatment
within the NEHRP Recommended Provisions "helps to clarify and coordinate the multiple
references to rack structures in the NEHRP Recommended Provisions and the different means by
which rack structures are analyzed and designed." Of particular interest to rack designers is the



                                                                                                  19
Chapter 3


minimum base shear coefficient of about 10 percent of the weight of the rack in areas of high
seismicity. This minimum was originally imposed in the 2000 IBC to account for uncertainties of
rack moment connection capacity to accommodate maximum considered earthquake (MCE)
demands.

Based on the approach in the 2003 NEHRP Recommended Provisions, the 2002 and 2005 editions
of ASCE 7 allow use of the RMI standard subject to the Provisions requirements on ground
motions, limitations on minimum base shear and seismic displacement or drift default values,
again distinguishing between the approaches for storage racks supported at the base (which are to
be designed as nonbuilding structures) and those supported above the base (which are to be
designed as architectural, mechanical, and electrical components and systems).

The 2003 edition of the IBC references the 2002 edition of ASCE 7 for its seismic requirements,
thereby invoking the use of the RMI standard subject to the requirements and limitations imposed
by ASCE 7. The 2006 edition of the IBC is expected to reference the 2005 edition of ASCE 7.

The 2003 edition of NFPA 5000, like the IBC, states that the design, testing, and utilization of
industrial steel storage racks shall be in accordance with the RMI standard subject to the
requirements and limitations imposed by the Section 9 (Earthquake Loads) of the 2002 edition of
ASCE 7.

3.7 THE EVOLVING RMI STANDARD

As noted previously, the 1972 edition of the RMI standard introduced seismic requirements for
storage rack structures; it was updated and reissued in 1979, 1985, 1990, and 1997 with each new
edition being an expanded version of the previous one and each representing an effort to reflect
seismic provisions that were being articulated in the most current editions of the NEHRP
Recommended Provisions, ASCE 7, and the model codes. In a desire to provide higher levels of
safety in locations open to the general public, the 1997 edition of the RMI standard, which was
based on the 1994 NEHRP Recommended Provisions, introduced a higher importance factor for
storage rack installations in such places as retail warehouse stores that increased the magnitude of
the design seismic base shear, the basis for much of the structural design detail for specific
installations.

Also as noted above, the 2002 edition of the RMI standard remains largely based on the 1994
edition of the NEHRP Recommended Provisions and the 1997 UBC, both of which are considered
to be out of date. In producing the 2002 edition, RMI followed the ANSI canvassing process and
the document is designated ANSI Standard MH16.1-2004, Specification for the Design, Testing,
and Utilization of Industrial Steel Storage Racks. Even while the canvassing process was under
way, the RMI membership was contemplating some additional changes to the standard that would
reflect the most current editions of the NEHRP Recommended Provisions, ASCE 7, IBC, and
NFPA 5000  particularly regarding formatting of the seismic data and use of information obtained
from the 2003 NEHRP Recommended Provisions CD-ROM rather than the dated paper earthquake
ground motion maps issued with earlier versions of the Provisions.




20
                                                              Codes and Standards for Storage Racks


The evolution of the RMI standard is continuing with additional analytical and experimental
research focused on improving the understanding of rack structural behavior under seismic
conditions. The results of this work will provide a basis for input to the BSSC PUC and Technical
Subcommittees, the ASCE 7 Seismic Task Committee, and the relevant ICC and NFPA
committees as changes to these groups' documents are proposed and deliberated. Further, new and
better information will allow future new editions of the RMI standard to more closely represent the
behavior of rack structures during seismic events which, in turn, will permit the determination of
more realistic and rigorous requirements related to displacements, base shear, beam-to-column
connector properties, and component design and their role in the prediction of the period, drift, and
overall rack structural behavior and performance during seismic events.

3.8 OTHER SIGNIFICANT RESEARCH EFFORTS

Since the early 1970s, RMI has sponsored many analytical and experimental storage rack research
projects conducted by Cornell University faculty members and graduate students. These studies
have included full-scale, component, and element tests focusing on, among other things, hot-rolled
and cold-formed structural elements, beams, columns, perforations, beam-to-column connectors
and connections, base plates, flexural and torsional-flexural buckling, and testing and loading
protocols. Some recent testing at Cornell is discussed in more detail in Chapter 11.

During the late 1970s and early 1980s, major research projects were undertaken, including sub-
assembly tests at Stanford University and full-scale shake-table testing at the University of
California/Berkeley using El Centro 1940 records, by URS/Blume (see John A Blume and
Associates, 1973; and Chen, Scholl, and Blume, 1980a, 1980b, and 1981), with funding from the
RMI membership and a large grant from the National Science Foundation (NSF). The results of
that testing, along with analytical studies, provided important baseline information about storage
rack seismic performance, helped identify avenues for further research, and articulated issues
needing further study. The results of these projects are discussed in more detail in Chapter 11.

Some storage racks are typically constructed of cold-formed steel members; therefore, their design
depends on the thorough understanding and application of the American Iron and Steel Institute's
(AISI) Specification for the Design of Cold-Formed Steel Structural Members. Other storage rack
members are manufactured and fabricated from hot-rolled steel structural sections using the
applicable seismic provisions of the American Institute of Steel Construction's (AISC)
Specification for Structural Steel Buildings, Allowable Stress Design, and Load and Resistance
Factor Design Specification for Structural Steel Buildings. AISI is currently developing a
standard for the seismic design of structures using cold-formed steel members, and this standard
may prove valuable in providing detailing requirements for the design of storage racks for seismic
loads.

The Federation Europeenne de la Manutention (FEM) or European Federation of Maintenance, in
cooperation with RMI, has conducted research standards development activities for the European
Union (EU). A 2004 FEM seismic design standard, FEM10.2.08, The Seismic Design of Static
Steel Pallet Racks, has been one result. Current FEM work includes analytical research and
element, static and dynamic, and shake-table testing. Stub-column tests and beam-to-column
connection tests for moment-rotation characteristics and properties also have been conducted.



                                                                                                21
Chapter 3


Using test facilities at the University of Trento in Italy and at the National Technical University in
Athens, full-scale steel pallet racks have been tested at various ground accelerations up to failure.
This research indicates that movement of merchandise within packaged unit loads, movement of
unit loads or packages on a pallet, and movement of pallets on pallet beams within the rack occur
even at relatively low ground accelerations. Specific sliding tests have been developed to improve
the understanding of these phenomena and their relationship to damping, period, and overall
structural behavior.

The Canadian Standards Association has developed two storage racks standards: A344.1 User
Guide for Steel Storage Racks, and A344.2, Design and Construction of Steel Storage Racks. RMI
has supported these efforts.

3.9 FUTURE DIRECTION

Among the most important ongoing RMI initiatives is the current testing program to determine the
moment-rotation characteristics of the beam-to-column connectors of RMI members' products.
The testing protocol will shed light on the role of connector properties in the seismic performance
of rack structures including information on damping, drift, base shear, and period. The protocol is
designed to mimic accepted testing provisions for building connections.1 This testing program,
being conducted for RMI by an independent testing laboratory, covers cold-formed and hot-rolled
members as well as the linear elastic, nonlinear elastic, and inelastic behavior of the connector
elements. The results of this beam-to-column connection testing program will help inform future
proposals for change in the RMI standard, the NEHRP Recommended Provisions, ASCE 7, the
IBC, and NFPA 5000 and should contribute to a convergence of the seismic requirements in those
documents. In turn, the application of those documents will help create pallet storage rack
structures, including those specifically designed for use in areas open to the general public, that
will perform well during earthquake events.




1
  See Seismic Provisions for Structural Steel Buildings (AISC 2000); Recommended Seismic Design Criteria for
New Steel Moment-Frame Buildings, FEMA 350 (FEMA 2000), Structural Response Modification Factors, ATC 19
(Applied Technology Council 1995); Guidelines for Cyclic Seismic Testing of Components of Steel Structures, ATC
24 (ATC 1992); and the SEAOC Blue Book, Recommended Lateral Force Requirements and Commentary (1999) for
information on the seismic testing and evaluation of connections.



22
                                           Chapter 4

        CURRENT STORAGE RACK SEISMIC DESIGN PRACTICES


4.1 OVERVIEW

Single selective steel pallet storage racks are typically designed for seismic forces using the
equivalent lateral force procedures found in model building codes and in the RMI standard
(ANSI 16.1-04). Storage rack structural systems generally are moment frames in the down-aisle
(longitudinal direction) and braced frames in the cross-aisle direction (transverse direction). The
figures in Chapter 1 illustrate typical structural configuration. Storage racks placed in the middle
of a floor area usually are attached back to back (Figures 1-1 and 1-2) whereas single rack
configurations are used near building walls. Storage racks in store areas accessible to the public
typically are loaded with pallets; however, in some merchandising situations, merchandise is
stored directly on the shelves. Intermediate shelf heights vary depending on merchandising
needs. Storage racks typically are subjected to the greatest loads when pallets are fully loaded
and all racks in a given rack configuration contain fully loaded pallets. Pallets are designed to
carry the maximum pallet design load. Criteria for determining effective seismic weights of
pallets used in rack seismic design procedures vary between the model building codes and the
RMI standard.

Because storage racks normally do not have horizontal bracing at the shelf levels, they typically
are treated as structures with flexible diaphragms and are evaluated analytically as two-
dimensional structural systems. For seismic loads, equivalent lateral forces are applied to the
structural model, and the member forces are determined. These forces then are added to other
loads using a series of load combinations to obtain design member and connection forces. The
design member loads then are checked against member capacities and/or allowable stresses. The
capacities and allowable stresses take into account that the members generally are cold form steel
members and that the columns are likely perforated. Moment connections typically are checked
for the computed moments by comparing against tested capacities (usually based on monotonic
tested values with a factor of safety). These capacities typically are provided by the rack
manufacturer. In the cross-aisle direction, base plates and anchor bolts are checked for the
computed uplift forces. Other connections are part of a manufacturer's standardized components
and are rarely included as part of the permit application process. Current storage rack design
practice does not include increasing any of the connection forces or moments by the o factor
although that is inherent in current building code procedures for building structural systems.
Also, there currently are no ductility type prescriptive requirements for connection designs.
Currently, P-delta effects are typically considered by the moment magnifier for member design.

Since current storage rack seismic design practice revolves primarily around the level of design
seismic loads, rack designers are interested primarily in the determination of those loads. The
procedures currently used to compute rack seismic loads vary depending upon whether the
prevailing requirements are from the model building codes, the NEHRP Recommended
Provisions or ASCE 7, or the RMI standard. In some cases, there is more than one acceptable
method of calculating seismic loads.


                                                                                                 23
Chapter 4


This chapter describes the factors used for determining seismic loads, each of the currently used
procedures and design factors, and how members and connections are designed.

4.2 PALLET LOADS AND EFFECTIVE SEISMIC WEIGHTS

The pallet is the supporting structure for the basic unit that is stored on the typical single
selective steel storage rack. There are many pallet sizes, shapes, materials, and types of
construction; however, the vast majority of pallets used in the United States are what is termed
the "GMA pallet." The GMA pallet may be a two-way pallet or a four-way pallet, depending
upon whether the handling equipment can lift the pallet from two or four sides (Figure 4-1).




                       Figure 4.1 Typical pallets used in retail operations.


The GMA pallet is 40 inches wide by 48 inches long and is constructed of hard wood with three
stringers running front-to-back and many regularly spaced deck boards oriented side to side on
both the top and the bottom of the pallet.

The unit of the load to be stored on the rack includes both the pallet and the product on the pallet
and is the unit that is individually handled by the fork-lifts or other handling equipment. The
weight, size, and pallet type is specified by the operator of the rack system.

The unit load weight (PL) that the rack components are designed for is determined by the
specifier of the rack system, who usually the end user.

The primary design weight is usually the maximum weight unit load (PLMaximum) that will be
present in the warehouse. If there is more than one weight unit load and the weights differ by a
significant amount, then the second weight will also be specified and the locations of the storage
of each weight load will be designated.

PLMaximum is used for the design of the load beams bending and deflection, the upright column
axial capacity, and the cross-aisle frame bracing requirements (for vertical loads). The
maximum pallet weight also is used to resist uplift when combined with cross-aisle seismic
forces.



24
                                                         Current Storage Rack Seismic Design Practices

The average weight of the unit load (PLAverage) is the maximum total load expected in any
individual rack row divided by the total number of storage positions in that row. This maximum
total weight includes less-than-full-weight pallets and accounts for the number of storage
positions normally expected to be empty. This is used for determining the down-aisle seismic
force.

In addition to the product load (PL), the rack structure is designed for the effects of the structure
dead load (DL) and any live load (LL) that might be present. The dead load includes the frame
weight, the shelf beam weight, and the weight of any accessory items on the rack such as pallet
supports or wire mesh decks. The dead load is typically much less than 5 percent of the weight
of the product stored on the rack structure. The live load is typically 60 psf or less.

The product load includes the pallet weight and the weight of the product on the pallet. The
storage rack system is designed based on the full, maximum indicated product load. For a
warehouse store, it is assumed that all rack system positions will be filled with full weight
pallets.

For most storage racks, the effective seismic weight (Ws) is a function of the ratio of the average
pallet weight to the maximum pallet weight and is determined in accordance with Sec. 2.7.2 of
ANSI MH 16.1-04, the RMI standard, as:

                         Ws = ( 0.67  PLRF  PL ) + DL + 0.25  LL

where PLRF = product load reduction factor.

                      Seismic Force Direction                PLRF

                            Cross-Aisle                       1.0

                            Down-Aisle             P L Average P L M a x im u m


PLAverage is the maximum total weight of product expected on the shelves in any row divided by
the number of shelves in that row.

PLMaximum is the maximum weight of product that will be placed on any one shelf in that row.

The 0.67 modification of the pallet weight comes not from the average load but from a
determination of the amount of load that participates in developing the dynamic seismic force.
Experience has shown that the full mass of the merchandise stored on the storage rack system
does not participate in the inertia generated from the ground motion. There is some friction
inducing energy dissipating relative movement between the storage rack, the pallets stored on the
rack, and the product on the pallets during the seismic motions. This 0.67 factor represents the
fraction of the load on the fully loaded system contributing to the effective horizontal seismic
weight. This effective seismic weight factor does not apply to vertical gravity loads.




                                                                                                   25
Chapter 4

It should be noted that the effective seismic weight ratios provided in the UBC are different from
those above (see Sec. 4.4).

4.3 RACK CONFIGURATION

The number of pallet loads wide on each shelf between uprights generally is specified by the
operator of the warehouse. In a typical storage rack system, there usually two pallet loads wide
between uprights. If there are cross-aisle tunnels in the system to allow movement between
aisles, the bay will have three or four pallets wide but not have storage in the bottom two or three
levels. At the tunnel bay, the column will have shelves attached on one side in the bottom region
and on both sides above the tunnel. Infrequently, the tunnel may be located at the end of a rack
row and the last frame in the row will not have shelf beam support in the bottom region, in which
case a special design for that frame is required.

The shelf elevations are determined by the operator of the warehouse based on the height of the
loads and the shelf beam size and clearances required for storing and removing the load. The
shelves may be spaced regularly for the full height of the rack system if all the loads are the same
height or the spacing may be varied to accommodate different height loads with a minimal
amount of lost space.

The overall storage height is based on the lifting height limitation of the handling equipment and
the clear building height. Handling equipment characteristics also may necessitate a low bottom
shelf beam at or near the floor. This shelf beam is typically 6 inches from the floor to the bottom
of the beam and, considering a 4-inch beam, 8 inches to the centerline of the beam. When
distributing the seismic forces vertically, this bottom beam does not participate in the
determination of seismic forces to levels above as would be indicated by the traditional vertical
distribution. The seismic force including this beam will only govern the design on the horizontal
force on the anchors. This situation is addressed in Sec. 2.7.4 of ANSI MH 16.1-04, the RMI
standard.

4.4 SEISMIC LOADS

The seismic loading requirements are determined by the local building authority having
jurisdiction at the location of the facility where the racks are to be installed. The International
Building Code (IBC) currently is used by most building authorities.1 There is, however, one
notable exception, the State of California. The California Building Code (CBC) is still based on
the 1997 edition of the Uniform Building Code and, although it appears that the state ultimately
will adopt the IBC, this will be several years away. While no longer supported by any code
development organization, the UBC will continue to serve as the basis for the CBC until the state
adopts a new model building code; therefore, it will be discussed in this document.

A description of the various procedures for determining seismic loads is presented below. Also
provided for purposes of comparison are tabulations adjusted for allowable stress design (ASD)
of the seismic force coefficients in the down-aisle direction for each of the applicable codes and
standards (see Sec. 4.4.7).


1
    Although a 2003 edition of the IBC is available, most jurisdictions are still using the 2000 edition of the IBC.


26
                                                       Current Storage Rack Seismic Design Practices

4.4.1 The 2000 Edition of the International Building Code. The primary reference for storage
racks in the 2000 IBC is Sec. 1622.3.4 which presents two procedures for determining the
seismic forces. The first procedure requires design in accordance with Sec. 1622.3.4.1 through
1622.3.4.4. The second procedure involves use of methods from Sec. 2.7 of ANSI MH 16.1-04,
the RMI standard, with two added requirements. If the RMI standard is used, the seismic
response coefficient (Cs) is determined using Ca equal to SDS/2.5 and Cv equal to SD1, but Cs shall
not be less than 0.14SDS.

The determination of the seismic coefficients using the first procedure (i.e., IBC Sec. 1622.3.4.1
through 1622.3.4.4) is presented in Figure 4-2 for the down-aisle direction and for five different
representative sites and periods ranging between 0.10 and 3.0 seconds. Near-field sites are not
included in the represented sites.

The determination of the seismic coefficients using the second procedure (i.e., basically using the
RMI standard with added requirements) is presented in Figure 4-3 for the down-aisle direction
and for five different representative sites and periods ranging between 0.10 and 3.0 seconds.
Near-field sites are not included in the represented sites.




                                                                                                 27
Chapter 4

IBC 2000 Seismic Lateral Force
Down-aisle
                                                                                                         V = CS W
     SS = 1.50        1.00     0.75     0.50     0.25
                                                                                                                             S DS
     S1 = 0.75        0.63     0.50     0.30     0.15
                                                                                                                      CS =
                                                                                                                             R
                                                                                                                               IE
   Site Class D
   Fa = 1.00          1.10     1.20     1.40     1.60
   Fv = 1.50          1.50     1.50     1.80     2.20                                                                 CS need not exceed:

                                                                                                                               S D1
   SDS =   1.00       0.73     0.60     0.47     0.27
                                                                                                                      CS =
                                                                                                                              R T
   SD1 =   0.75       0.63     0.50     0.36     0.22
                                                                                                                              I
                                                                                                                                 E
                                                                                                                             
    R=     4.0        4.0      4.0      4.0      4.0
    IE =   1.5        1.5      1.5      1.5      1.5
                                                                                                                      But not less than:

                                                                                                                      C S = 0.044 S DS I E
   T       0.7 V/PL
  0.10       0.189     0.139    0.113    0.088    0.050
  0.20       0.189     0.139    0.113    0.088    0.050                                                               And for Design Category E and S1  0.6 not less than:
  0.30       0.189     0.139    0.113    0.088    0.050
                                                                                                                             0. 5 S 1
  0.40       0.189     0.139    0.113    0.088    0.050                                                               CS =
                                                                                                                             R
  0.50       0.189     0.139    0.113    0.088    0.050                                                                          IE
  0.60       0.189     0.139    0.113    0.088    0.050
  0.70       0.189     0.139    0.113    0.088    0.050
  0.80       0.177     0.139    0.113    0.085    0.050                                                  if theDead Load is assumed to be 5% of the Pallet Load
  0.90       0.158     0.131    0.105    0.076    0.046
  1.00       0.142     0.118    0.095    0.068    0.042                                                  W = (0.05 PL) + (0.67 PL)
  1.10       0.129     0.107    0.086    0.062    0.038
                                                                                                                                                             IBC 2000
  1.20       0.118     0.098    0.079    0.057    0.035
  1.30       0.109     0.091    0.073    0.052    0.032                                      0.200
  1.40       0.101     0.084    0.068    0.049    0.030
  1.50       0.095     0.079    0.063    0.045    0.028
  1.60       0.089     0.074    0.059    0.043    0.026
  1.70       0.083     0.069    0.056    0.040    0.024
  1.80       0.079     0.066    0.053    0.038    0.023                                      0.150

  1.90       0.075     0.062    0.050    0.036    0.022
  2.00       0.071     0.059    0.047    0.034    0.021
                                                          Seismic Lateral Force (0.7 V/PL)




  2.10       0.071     0.059    0.045    0.032    0.020
                                                                                                                                                                                             Ss = 1.50, S1 = 0.75
  2.20       0.071     0.059    0.043    0.031    0.019                                                                                                                                      Ss = 1.00, S1 = 0.63

  2.30       0.071     0.059    0.041    0.030    0.018                                      0.100                                                                                           Ss = 0.75, S1 = 0.50
                                                                                                                                                                                             Ss = 0.50, S1 = 0.30
  2.40       0.071     0.059    0.039    0.028    0.017                                                                                                                                      Ss = 0.25, S1 = 0.15


  2.50       0.071     0.059    0.038    0.027    0.017
  2.60       0.071     0.059    0.036    0.026    0.016
  2.70       0.071     0.059    0.035    0.025    0.015                                      0.050
  2.80       0.071     0.059    0.034    0.024    0.015
  2.90       0.071     0.059    0.033    0.023    0.014
  3.00       0.071     0.059    0.032    0.023    0.014

                                                                                             0.000
                                                                                                  0.00         0.50            1.00          1.50                2.00   2.50   3.00   3.50
                                                                                                                                                    Period (T)




Figure 4-2 Determining seismic coefficients using IBC 2000 Sec. 1622.3.4.1 through 1622.3.4.4.




28
                                                                                                                  Current Storage Rack Seismic Design Practices



IBC 2000 & RMI 2002 Seismic Lateral Force
Down-aisle
                                                                                                           V = C S I PW S
    SS = 1.50          1.00     0.75     0.50     0.25
                                                                                                                                                                       CV = S D1
                                                                                                                                 1.2CV
    S1 = 0.75          0.63     0.50     0.30     0.15                                                                                                Where
                                                                                                                          CS =        2
                                                                                                                                 RT       3
   Site Class D
   Fa = 1.00           1.10     1.20     1.40     1.60                                                                    But need not be greater than:
   Fv = 1.50           1.50     1.50     1.80     2.20
                                                                                                                                                      Where                  S DS
                                                                                                                                 2.5C a                               Ca =
                                                                                                                          CS =                                                      2.5
   SDS =   1.00        0.73     0.60     0.47     0.27                                                                             R
   SD1 =   0.75        0.63     0.50     0.36     0.22
    R=     6.0         6.0      6.0      6.0      6.0                                                                     and not less than:
    IP =   1.5         1.5      1.5      1.5      1.5
                                                                                                                          C S = 0.14 S DS

                                                                                                           if theDead Load is assumed to be 5% of the Pallet Load
   T       0.67 V/PL
  0.10       0.121      0.088    0.072    0.056    0.032
  0.20       0.121      0.088    0.072    0.056    0.032                                                   W = (0.05 PL) + (0.67 PL)
  0.30       0.121      0.088    0.072    0.056    0.032
  0.40       0.121      0.088    0.072    0.056    0.032
  0.50       0.121      0.088    0.072    0.056    0.032
  0.60       0.121      0.088    0.072    0.056    0.032
  0.70       0.121      0.088    0.072    0.056    0.032
  0.80       0.121      0.088    0.072    0.056    0.032
  0.90       0.116      0.088    0.072    0.056    0.032
  1.00       0.109      0.088    0.072    0.052    0.032
  1.10       0.102      0.085    0.068    0.049    0.030
                                                                                                                                                       IBC 2000 & RMI 2002
  1.20       0.101      0.080    0.064    0.047    0.028
  1.30       0.101      0.076    0.061    0.047    0.027                                       0.200
  1.40       0.101      0.074    0.061    0.047    0.027
  1.50       0.101      0.074    0.061    0.047    0.027
  1.60       0.101      0.074    0.061    0.047    0.027
  1.70       0.101      0.074    0.061    0.047    0.027
  1.80       0.101      0.074    0.061    0.047    0.027                                       0.150

  1.90       0.101      0.074    0.061    0.047    0.027
  2.00       0.101      0.074    0.061    0.047    0.027
                                                           Seismic Lateral Force (0.67 V/PL)




  2.10       0.101      0.074    0.061    0.047    0.027
                                                                                                                                                                                                              Ss = 1.50, S1 = 0.75
  2.20       0.101      0.074    0.061    0.047    0.027                                                                                                                                                      Ss = 1.00, S1 = 0.63

  2.30       0.101      0.074    0.061    0.047    0.027                                       0.100                                                                                                          Ss = 0.75, S1 = 0.50
                                                                                                                                                                                                              Ss = 0.50, S1 = 0.30
  2.40       0.101      0.074    0.061    0.047    0.027                                                                                                                                                      Ss = 0.25, S1 = 0.15

  2.50       0.101      0.074    0.061    0.047    0.027
  2.60       0.101      0.074    0.061    0.047    0.027
  2.70       0.101      0.074    0.061    0.047    0.027                                       0.050
  2.80       0.101      0.074    0.061    0.047    0.027
  2.90       0.101      0.074    0.061    0.047    0.027
  3.00       0.101      0.074    0.061    0.047    0.027

                                                                                               0.000
                                                                                                    0.00           0.50           1.00         1.50                 2.00            2.50   3.00   3.50
                                                                                                                                                       Period (T)




                  Figure 4-3 Determining seismic coefficients using IBC 2000 Sec. 1622.3.4
                             (the RMI standard with additional requirements).




                                                                                                                                                                                                         29
Chapter 4


4.4.2 The 2003 Edition of the International Building Code. The reference for storage racks in
the 2003 IBC is Sec. 2208:

       SECTION 2208
       STEEL STORAGE RACKS
       2208.1 Storage racks. The design, testing and utilization of industrial steel storage racks shall be in
       accordance with the RMI Specification for the Design, Testing and Utilization of Industrial Steel Storage
       Racks. Racks in the scope of this specification include industrial pallet racks, movable shelf racks and
       stacker racks, and does not apply to other types of racks, such as drive-in and drive-through racks,
       cantilever racks, portable racks or rack buildings. Where required, the seismic design of storage racks shall
       be in accordance with the provisions of Section 9.6.2.9 of ASCE 7.

This section requires that all listed types of steel storage racks be design in accordance with the
1997 edition of the RMI standard but further states that the seismic design of storage racks shall
be in accordance with Sec. 9.6.2.9 of ASCE 7-02, which is discussed below.

4.4.3 American Society of Civil Engineers, Minimum Design Loads for Buildings and Other
Structures, SEI/ASCE 7-02. ASCE 7 Sec. 9.6.2.9 requires that storage racks be designed to
meet the force requirements of ASCE 7 Sec. 9.14, which pertains to nonbuilding structures. Sec.
9.14.6.3 directly addresses storage racks and presents two procedures.


The first procedure requires that the design satisfy Sec. 9.14.6.3.1, which, in turn, requires the
design to be in accordance with the general provisions of Sec. 9.5 and Sec. 9.14.5 and the
specific storage rack provisions of Sec. 9.14.6.3.1 through 9.14.6.4.3. These requirements for
seismic force mandate the use of the requirements of Sec. 9.5 and an R of 4. The importance
factor (Ip) is to be determined in accordance with Sec. 9.6.1.5 and, for warehouse retail stores
open to the public, is 1.5. The minimum base shear coefficient is 0.14SDSI. In addition, where S1
is equal to or greater than 0.75g, the minimum base shear shall not be less than 0.8S1I/R. The
storage racks must be designed considering two loading conditions: (a) 67 percent of all
positions fully loaded and (b) the top storage position loaded to 100 percent only. The vertical
distribution of the base shear force as specified in Sec. 9.5.5.4 with the factor k taken as 1.0.

4.4.4 Rack Manufactures Institute, Specification for the Design, Testing and Utilization of
Industrial Steel Storage Racks, 2002 Edition, with ASCE 7-02 Required Changes. The
second design procedure for storage racks is to use the RMI standard with the following
additional changes:

               Ca equal to SDS/2.5 and Cv equal to SD1 but Cs shall not be less than 0.14SDS.
               Ip from Section 9.6.1.5 where for warehouse retail stores open to the public Ip is
                1.5.

The seismic design requirements are in presented in Sec. 2.7 of the RMI standard along with the
required changes of SEI/ASCE 7-02. The required seismic force coefficient is determined using
the equivalent static force method:
       V = Cs I pWs



30
                                                          Current Storage Rack Seismic Design Practices

where:

         Ip = the system importance factor as defined below
                 1.5 for essential facilities or hazardous material storage
                 1.5 for storage racks in areas open to the public
                 1.0 for all other structures

         Ws = the effective seismic weight (see Sec. 4.2.7 of this document)

         Cs = the seismic response coefficient from Sec. 2.7.3 of the RMI standard:

                1 .2C v
         Cs =        2
                RT       3



                 where

                   CV = SD1 from ASCE 7 Sec. 9.14.6.3
                   R = 4.0 for the braced direction and 6.0 for the unbraced direction and
                   T = the fundamental period of the rack in the direction under consideration

                 Cs need not be greater than:

                                    2.5Ca
                             Cs =
                                      R

                         where Ca is SDS/2.5 from ASCE 7 Sec. 9.14.6.

                 Cs shall not be taken less 0.14 SDS (per ASCE 7 Sec. 9.14.6.3).

In determining the Cs factor, it is important that the period include all the characteristics of all the
structural members that make up the load path for the forces. For example, in the down-aisle
direction, the period should include the deformation of the beam-to-column connection; in the
cross-aisle direction the eccentricities of the frame bracing connections should be included. The
period should be the elastic period consistent with code applied forces. Current practice is to use
rotational spring stiffness (F) based on the test procedures of Sec. 9.4.1 of the RMI standard
when determining the down-aisle fundamental period. Because of the nonlinear stiffness of the
beam-to-column connection, the down-aisle period changes significantly with applied load.
Shake-table testing for high levels of ground motions has shown that, for some racks, the
measured period may be greater than 1.5 seconds. However, the building code limits the Cs
factor to 0.14SDS , effectively putting an upper bound on the period of slightly less than 1.0 sec.

For the seismic loads, the SDS and SD1 factors may be determined by looking up the values of SS
and S1 for the site location on the ASCE 7 seismic maps -- Figure 9.4.1.1(a) through (j) -- and
adjusting for the site class effects with factors found in ASCE 7 Tables 9.4.1.2.4a and b. The
resulting values of SMS and SM1 are scaled by two-thirds to obtain SDS and SD1. However, today it
is easier to obtain the seismic factors using the Seismic Design Parameters CD that accompanies
the NEHRP Recommended Provisions and other codes and standards. The latitude and longitude


                                                                                                     31
Chapter 4

of the site are needed to use the CD and can be obtained from a variety of other software or
internet resources. Because it has not yet been widely recognized that the site classification is as
important a seismic design factor as "seismic zone," it usually is not included as a part of the
information that is transmitted to the rack designer. Consequently, Site Class D is usually used
and required if the site class is unknown.

The RMI standard then distributes the base shear to each storage level based on the height and
load but modifies the standard distribution for a low first shelf. Sec. 2.7.4 requires that:

       If the centerline of the first shelf level is 12 inches (30.5 cm) above the floor or less:

            F1 = Cs I p w1 for the first shelf level
       and
                   (V - F1 ) wx hxk
            Fx =                               for levels above the first level
                            n

                           wh          k
                                     ii
                           i=2


       If the centerline of the first shelf level is greater than 12 inches (30.5 cm):

                   V w x h xk
                                         for all levels
            Fx =       n

                   wh                k
                                i   i
                   i =1

       where

            V                       = total design lateral force or shear at the base of the rack

            wi or wx                = the portion of the total gravity load (including live load, dead load and
                                      product load times the product load reduction factor, see Sec. 2.7.2) of
                                      the rack, located or assigned to the bottom shelf level, level i or x

            hi or hx                = the height from the base to level i or x

            k                       = an exponent related to the structure's period

                                           period  0.5                 k=1
                                           period  2.5                 k=2

                                    For racks having a period between 0.5 and 2.5 seconds, k shall be 2 or
                                    shall be determined by linear interpolation between 1 and 2. If the base
                                    shear is based on the default Cs then the k shall be taken as 1.

An example of the RMI/ASCE7-02 seismic force calculation for a given site is presented below.
Near-field sites have not been included.

Find the latitude and longitude of the warehouse location. Use the Seismic Design Parameters
CD (see Sec. 4.5.4.2) to determine the parameters Ss and S1 for the site. The factors Fa and Fv


32
                                                      Current Storage Rack Seismic Design Practices

also can be determined using the CD for a specific site class and most often rack design is based
on the default Site Class D.




                         Figure 4-4 Map to determine latitude and longitude.




                                                                                                33
Chapter 4

                MCE Ground Motion  Conterminous 48 States

                Latitude = 41.7891                  Longitude = -89.6922

                Period                MCE Sa
                (sec)                 (%g)

                                      016.6 MCE Value of Sa , Site Class B
                    0.2
                                      006.3 MCE Value of S1, Site Class B
                    1

                Spectral Parameters for Site Class D

                                      026.6 SMS = Fa Ss     Fa = 1.60
                    0.2
                                      015.1 SM1 = Fv S1     Fv = 2.40
                    1


       ASCE 7-02 and the 2002 RMI Standard

       SDS = 2/3 SMS                         =      0.177
       SD1 = 2/3 SM1                         =      0.101

              SDS
       Ca =                                 =       0.071
                    2.5

       Cv = S D1                            =       0.101

       where
                T=          1.5 sec
                R=          4.0
                I=          1.50

              1.2Cv
       Cs =                                  =      0.023
                    2
              RT        3

       or

              1.2Cv
       Cs =                                  =      0.044
                R

       but not less than

       Cs = 0.14 S DS                        =      0.025  USE THIS

       V =CsI ( 0.67P)                       =      0.025PL

4.4.5 The 2003 NEHRP Recommend Provisions. The 2003 NEHRP Recommended Provisions
serves as the basis for the ASCE 7-05 seismic requirements. The next editions of the two model


34
                                                       Current Storage Rack Seismic Design Practices

building codes (i.e., the 2006 edition of the IBC and the 2005 edition of NFPA-5000) will both
reference ASCE 7-05 for their seismic requirements; therefore the seismic provisions found in
these editions of the building codes will essentially be based on the 2003 NEHRP Recommended
Provisions. The seismic provisions for storage racks found in Provisions Sec. 14.3.5 are
essentially identical to those found in ASCE 7-02. The only difference is that for the first
procedure, the minimum base shear coefficient of 0.14SDSI is replaced by 0.01SDSI. For the
second procedure which references the ANSI MH 16.1-04, the minimum value of Cs is still 0.14
SDSI.

4.4.6 The 1997 Uniform Building Code. As noted above, the UBC was originally developed
and promulgated by the International Conference of Building Code Officials (ICBO). It has
been superseded by the IBC and is generally considered to be obsolete; however, it will serve as
the basis for the California Building Code until the state adopts a new code, which should occur
in the relatively near future. UBC Chapter 22, Division X, "Design Standard for Steel Storage
Racks," directly addresses the design of storage racks for all situations including seismic and is
based on the 1990 edition of the RMI standard. For seismic design, Division X, Sec. 2228.5.2
specifies minimum earthquake forces. This section prescribes the lateral forces, at strength
design levels, be determined by the static force procedure in Sec 1630.2.1 with the R factor and
W as defined in Division X. Further, this section modifies the distribution of the seismic force to
not include a distinct top force.
The required seismic force coefficient is determined using the equivalent static force method of
UBC Sec. 1630.2.1:
            Cv I
       V=        W                    (UBC Eq. 30-4)
            RT

       but need not exceed:

             2.5C a I
       V=             W               (UBC Eq. 30-5)
                R
       nor not be less than:

       V = 0.11Ca IW                  (UBC Eq. 30-6)
       In addition, in Seismic Zone 4, V shall not be less than:

            0.8ZN v I
       V=             W               (UBC Eq. 30-7)
               R

The following terms are defined in Division X:

               R=      4.4 for racks where lateral stability is dependent on diagonal or x-bracing.
                       This is usually the factor used of the cross-aisle direction.




                                                                                                 35
Chapter 4

               R=          5.6 for racks where lateral stability is wholly dependent on moment 
                           resisting frame action.

               W=          weight of racks plus contents

                           If four or more columns are connected together in both the cross-aisle and
                           the down-aisle direction, 50 percent of the rack content load may be used.
                           Further, in Seismic Zones 3 and 4 in wholesale and retail sales areas, the
                           50 percent may be used only when Cv/RT is 0.7 Ca in Eq. 30-4 and with
                           2.5/R is 0.7 in Eq. 30-5.

The other terms are the standard UBC definition of the terms:

               Ca from UBC Table 16-Q
               Cv from UBC Table 16-R
               I is the seismic importance factor from UBC Table 16-K
               Z is the seismic zone factor from UBC Table 16-I
               Nv from UBC Table 16-T
               T is the fundamental period of vibration of the rack.

It should be noted that UBC Sec. 1630.2.2 Method A is only applicable to building structures and
is not applicable to rack structures. The building approximation, accounting for the damping of
nonstructural elements and contents is not valid for rack structures. Method B, without its
limitation to Method A, is what is recommended by RMI.

The total base shear is distributed over the height of the rack triangularly proportioned based on
the loading, without a special concentrated force at the top:

                      VWi hi
               Fi =    n

                      W h    ii
                      i =1



An example of the 1997 UBC seismic force calculation for five representative sites (Seismic
Zones 1, 2A, 2B, 3 and 4) is presented in Figure 4-5. Near-field sites have not been included.




36
                                                                                                                        Current Storage Rack Seismic Design Practices

                                                                                                                                                                         9/16/2004
UBC 1997 Division X & Section 1630.2.1
Down-ais le
                                                                                                        W = DL + 0.5PL                                 W = DL + 0.5PL
   Zone        4          3         2B       2A       1                                                 not in Zones 3 & 4                             in Zone 3 & 4 if
                                                                                                                                                       CV / RT = 0.70 Ca in (30-4)
    Z=       0.40        0.30      0.20     0.15    0.075
                                                                                                                                                       2.5 / R = 0.70    in (30-5)
   Site Class D
                                                                                                               CV I
   Ca = 0.44        0.36         0.28     0.22     0.12
                                                                                                        V=          W
                                                                                                                                                       V = 0.70C a IW
   Cv = 0.64        0.54         0.40     0.32     0.18                                                                          (30- 4)   or
                                                                                                               RT
   NV = 1.00
                                                                                                        But need not exceed:
    R = 5.6         5.6          5.6      5.6      5.6
                                                                                                               2.5C a I
    I= 1            1            1        1        1
                                                                                                        V=              W
                                                                                                                                                       V = 0.70C a IW
                                                                                                                                 (30- 5)   or
                                                                                                                  R

          (V/PL) / 1.4                                                                                  And not less than:
   T
  0.10      0.121        0.099    0.049    0.039    0.021
                                                                                                        V = 0.11C a IW
  0.20      0.121        0.099    0.049    0.039    0.021                                                                                              In Seismic Zones 3 & 4, wholesale and retail areas, the
  0.30      0.121        0.099    0.049    0.039    0.021                                                                                              50% may only be used when
  0.40      0.121        0.099    0.049    0.039    0.021                                               In addition, in Zone 4, not less than:
  0.50      0.121        0.099    0.049    0.039    0.021
                                                                                                               0.8ZN V I
                                                                                                        V=               W
  0.60      0.121        0.099    0.047    0.037    0.021
                                                                                                                  R
  0.70      0.121        0.099    0.040    0.032    0.018
  0.80      0.107        0.090    0.035    0.028    0.016
  0.90      0.095        0.080    0.031    0.025    0.014                                               if theDead Load is assumed to be 5% of the Pallet Load
  1.00      0.086        0.072    0.028    0.022    0.013                                               W = (0.05 PL) + (0.50 PL)                W = (0.05 PL) + (0.50 PL)
  1.10      0.078        0.066    0.026    0.020    0.011
  1.20      0.071        0.060    0.023    0.019    0.011
                                                                                                                              UBC 1997 Division X & Section 1630.2.1
  1.30      0.066        0.056    0.022    0.017    0.010
  1.40      0.061        0.052    0.020    0.016    0.009
  1.50      0.057        0.048    0.019    0.015    0.008                                          0 .2 0 0
  1.60      0.054        0.045    0.018    0.014    0.008
  1.70      0.050        0.043    0.017    0.013    0.007
  1.80      0.048        0.040    0.016    0.012    0.007
                                                            Seismic Lateral Force [ (V/PL)/1.4 ]




  1.90      0.045        0.038    0.015    0.012    0.007                                          0 .1 5 0
  2.00      0.043        0.036    0.014    0.011    0.006
  2.10      0.043        0.034    0.013    0.011    0.006
                                                                                                                                                                                                Zone 4
  2.20      0.043        0.033    0.013    0.010    0.006
                                                                                                                                                                                                Zone 3
  2.30      0.043        0.032    0.012    0.010    0.005
                                                                                                                                                                                                Zone 2B
                                                                                                   0 .1 0 0
  2.40      0.043        0.032    0.012    0.010    0.005
                                                                                                                                                                                                Zone 2A
  2.50      0.043        0.032    0.012    0.010    0.005
                                                                                                                                                                                                Zone 1
  2.60      0.043        0.032    0.012    0.010    0.005
  2.70      0.043        0.032    0.012    0.010    0.005
                                                                                                   0 .0 5 0
  2.80      0.043        0.032    0.012    0.010    0.005
  2.90      0.043        0.032    0.012    0.010    0.005
  3.00      0.043        0.032    0.012    0.010    0.005

                                                                                                   0 .0 0 0
                                                                                                           0 .0 0    0 .5 0      1 .0 0    1 .5 0     2 .0 0    2 .5 0     3 .0 0    3 .5 0
                                                                                                                                             Pe r io d (T)



                    Figure 4-5 Determining seismic coefficients using UBC 1997, Division X.


4.5 MEMBER DESIGN

4.5.1 Shelf Design
Each rack manufacturer uses a unique and proprietary beam-to-column connector to join the
horizontal and vertical members in the down-aisle direction. The connector usually is welded to
each end of a shelf beam and engages slots or holes in the face and/or the side of the column (see
Figure 1-3). Some connectors are bolted to the column, some have protruding rivets that slip
into perforations in the column, and some have tabs formed from the connector that are inserted
into slots in the column.

It is because of this multiplicity of connection types, the RMI standard requires the determination
of the strength and stiffness of the connections by testing. Once the testing is completed for one
product line, the results may be used for all projects using that type of connection. The


                                                                                                                                                                                                     37
Chapter 4

connection stiffness test produces a connection rotational spring constant, F. This rotational
spring is then introduced between the end of the beam and the column and the structure
analyzed.

When the load on the shelf is distributed by a pallet, the shelf beam bending is generally
computed based on a uniformly distributed load for the entire length of the shelf beam. The
beam may be designed as a simply supported beam, which AISC calls Type 2 construction, or
may include the effects of the semi-rigid end connections, which AISC calls Type 3 construction.
The span of the beam is generally considered to be the clear distance between the upright
columns. Commentary Sec. 5.2 of the RMI standard provides guidance on including the effects
of the connection stiffness in calculating the strength and deflection of the shelf for Type 3
construction. The strength for Type 3 construction is calculated with:

                         WL
                    =
        M                   rm
            M ax
                          8

       where

                                2 FL
                   rm = 1
                            6 EI b + 3 F L

                   E = the modulus of elasticity

                   F = the joint rotational spring constant determined either by the cantilever test
                        described in Sec. 9.4 of the RMI standard or by pallet beam in upright
                        frames assembly test described in Sec. 9.3.2 of the RMI standard.

                   Ib = the beam moment of inertia about the bending axis

                   L = the span of the beam

               W = the total load on each beam (including vertical impact loads)

       and where

                      wL
                          (1 - rm ) and Me = the beam end moment.
                   Me =
                       8
The deflection of a shelf beam under full design load is limited to 1/180 of the beam span. When
considering semi-rigid joints, the following expression for maximum deflection max can be
derived:

                    M a x =  s s rd

       where

                            5W L3
                    ss   =
                           384 EI b


38
                                                      Current Storage Rack Seismic Design Practices

                              4FL
               rd = 1 -
                          5 FL + 10 EIb


4.5.2 Member Design in Down-Aisle Direction

Columns are designed in accordance with the rules of the AISC specification for hot-rolled
members or the AISI specification for cold-formed members. There have been some
modifications to those two specifications in areas that are unique to storage rack members. In
particular, rack columns usually have a series of perforations regularly spaced for the entire
column height that allow the mechanical attachment of shelf beams at many elevations.
However, the elevation of the shelf beam from the floor and between beams is a critical
limitation of the specific design applicable to an installation.

As discussed elsewhere, although the shelves can be located at any elevation, it is a function of
the engineering of that system that determines whether the beam may be located at that spacing
and still satisfy the design criteria.

The RMI standard requires testing to determine the effects of perforations punched in the
column. Design limitations based on that testing then are prescribed.

Static stability, as well as seismic stability, in the down-aisle direction is dependant on the
stiffness of the beam-to-column connections. For static stability, one suggested design method
computes a column k factor based on the initial connector stiffness from testing. To determine
the k factor, the nomographs from the commentary to the AISC specification are used with a
beam stiffness modified by the connector stiffness. There are many simplifying assumptions that
must be made in order for the nomographs to be applicable. Because of this, work is under way
to permit use of a notional load and second order type approach for static stability.

Story drift limitations are not applicable to storage rack structures with the exception of making
sure that the rack structure will not impact surrounding structures such as the warehouse
building. In the absence of any other calculations, the model building codes require a separation
of 5 percent of the overall height. The actual drift may be substantially less than this 5 percent
value and the actual calculated drift at the design earthquake level may be used for the separation
distance.

4.5.3 Member Design in the Cross-Aisle Direction

Two design aspects are unique to cross-aisle storage rack frame bracing. First, the bracing can
seldom be attached such that the lines of action of the structural components meet at a point.
The commentary to the RMI standard defines what is an acceptable deviation from the ideal.
Second, in many frame designs, the connections of the diagonals and horizontals to the column
are designed on the basis of the compression in the members. It is not unusual for a bracing
member to be designed first to fit into the available location (e.g., between the flange returns).
Further, the bracing often is located such that it may take either tension or compression
depending on the direction of the force. The diagonal just above a bracing panel often is oriented
in the opposite direction.


                                                                                                 39
Chapter 4


Because the frame brace may have more capacity than required, it is frequently checked for
adequacy by comparing the requirement to known, tested capacities.

When the two diagonals are in opposite directions, the force on the bracing system is limited to
the compression capacity of one of the diagonals.

The RMI standard requires anchoring for all bases in every storage rack system. There may be
no net base uplift calculated for the rack configuration but anchors are required regardless. Base
plates frequently are sized to provide one or more locations for anchor bolts. There may be more
than one hole even though there is only one anchor required. The size of the anchor required is
based on the net uplift at the base under the worst of two conditions: (a) with the top load only
in place and the appropriate seismic force resulting from that pallet applied at the top shelf level
or (b) with a 350 pound lateral load applied horizontally at the top load level. The 350 pound
force is applied in one location at a time and may be distributed over several uprights if they are
adequately connected together. The uplift of the base plate under this 350 pound load is checked
when there is no product load in any position of the uprights that are resisting this load.

A wide variety of post-installed anchors are used for storage rack systems. The selection of the
appropriate anchor to resist the forces at the base is left up to the rack designer. However, no
matter what anchor is used, it is important that the anchor be installed to meet the requirements
of the anchor manufacturer and that the anchor loading not exceed the load capacity stated by the
manufacturer. In some jurisdictions, the allowable anchor capacity may be required to be based
on independent anchor evaluations such as those provided by the ICC Evaluation Service.




40
                                             Chapter 5

               PERFORMANCE EXPECTATIONS FOR STORAGE
               RACKS IN AREAS ACCESSIBLE TO THE PUBLIC


5.1 SCOPE

Presented in this chapter is a discussion of the seismic performance expectations for single
selective steel storage racks that store contents stored at least 8 feet above the floor in areas
accessible to the public.

5.2 SEISMIC SAFETY CONCERNS

During the past few decades, the number of large public warehouse stores (often referred to as
big-box stores) across the nation has grown significantly, changing both consumer buying habits
and the public's risk of injury during earthquakes. Whereas traditional retailers typically store
goods and products outside the retail space in limited access storage rooms and warehouse
facilities, big-box stores keep goods in close proximity to the consumer at all times. Typically,
shoppers in these stores browse in aisles between steel storage racks, 14 to 18 feet in height, that
hold pallets of inventory, some of which can be very heavy.

During an earthquake, occupant safety in a big-box store depends on both the structural
performance of the building and on the performance of the storage racks and their contents.
Earthquake ground motions can cause storage racks to collapse or overturn if they are not
properly designed, installed, maintained, and loaded. In addition, goods stored on the racks may
spill or topple off. Both occurrences pose a life-safety risk to the exposed shopping public.

5.3 SEISMIC PERFORMANCE OBJECTIVES

A seismic performance objective consists of one or more performance goals, each consisting of a
target performance level coupled with a specific earthquake hazard. The explicit definition of
seismic performance objectives provides an unambiguous basis for design and tools needed for
seismic risk decision making. This project included a review of design standards currently in use
with a view toward their improvement. Thus, the seismic performance objectives articulated in
this chapter were developed within the framework of current code and standards procedures with
the NEHRP Recommended Provisions serving as the base.

5.3.1 Performance Expectations for Buildings. The goal of the NEHRP Recommended
Provisions is to present criteria for the design and construction of new structures subject to
earthquake ground motions in order to protect life safety. For ground motions in excess of the
design levels, the intent of the NEHRP Recommended Provisions is that a structure have a low
likelihood of collapse.




                                                                                                    41
Chapter 5


Under the NEHRP Recommended Provisions, buildings and other structures are designed using
design basis earthquake (DBE) ground motion parameters (SDS and SD1) that are defined as 2/3 of
the maximum considered earthquake (MCE) ground motion parameters (SS and S1) modified by
soil factors. For most regions in the country, the MCE ground motion is defined with a uniform
probability of exceedance of 2 percent in 50 years. In regions of very high seismicity (ground
motion parameter values greater than SS = 1.5 and S1 = 0.6), the MCE is defined as the lesser of
either the probabilistic value or 150 percent of the mean ground motion calculated for a
deterministic characteristic earthquake on major active faults.

Buildings and other structures are designed to provide the life safety level of performance for the
DBE. For buildings and building-like structures, the lower bound estimate of the margin against
collapse is judged to be 1.5. Hence, collapse prevention performance is expected to be achieved
for the adjusted MCE.

5.3.2 System Performance Expectations for Storage Racks. Storage racks are considered to
be nonbuilding structures in the NEHRP Recommended Provisions. However, consistent with
building design requirements, storage racks should be capable of providing life safety in the
DBE and collapse prevention should be achieved in the MCE.

The seismic performance of storage racks consists of two components: the seismic performance
of the rack itself and the response of stored contents. Racks can pose safety hazards if they
collapse, partially collapse, or overturn. Contents can pose falling hazards if they become
dislodged and fall to accessible areas.

Life safety performance in the DBE is achieved if the following conditions are met:

        Failure of components that could result in rack collapse or contents shedding is
         prevented,

        Rack overturning is prevented, and

        There is no loss of stored items from rack shelves supported 8 feet or more above the
         floor.

Collapse prevention performance in the MCE is achieved if the following conditions are met:

        Rack collapse is prevented and
        Rack overturning is prevented.

While preventing shedding of contents is not explicitly stated as a goal for collapse prevention
performance, measures undertaken to protect contents for life safety performance will help limit
contents shedding anticipated under more extreme seismic excitations. However, some injuries
or even loss of life associated with contents shedding is probable at the collapse prevention
performance level.




42
                         Performance Expectations for Storage Racks in Areas Accessible to the Public


The guidance presented in this document represents the minimum recognized criteria similar to
that contained in the model building codes. There may be special situations or risks where a
higher level of performance is desired. Such situations would include a very high level or period
of public use and, therefore, an increased level of life safety risk or the storage of contents of
such a high value that a higher level of performance would be justified. The design and
installation of storage racks to meet higher performance levels is not precluded in this document
and, in fact, some of the guidance contained herein may be useful in meeting such goals.




                                                                                                  43
Chapter 5




44
                                           Chapter 6
               SUGGESTED IMPROVEMENTS TO CURRENT STORAGE
                      RACK SEISMIC DESIGN PRACTICES


6.1 INTENT AND SCOPE

This chapter recommends improvements to current storage rack seismic design practices. These
improvements apply to single selective steel pallet type storage racks with the bottom of pallets
or contents stored at least 8 feet above the floor and intended for use in areas accessible to the
general public. Typical storage racks of the type considered herein are illustrated in Chapter 1.

Most structures including steel storage racks currently are designed for earthquake loads using an
equivalent lateral force approach. This approach requires members to be sized based on elastic
analysis using reduced seismic loads. The seismic loads are reduced to account for anticipated
acceptable inelastic behavior of the structure, the type of structural system being used, and the
level of detailing used in the design. Over the past 10 years, the probable ground motions used
to establish the seismic forces, the reduction factors used in the analyses, and the required level
of detailing required by building standards have changed significantly. However, the RMI
standards used for storage rack design have not kept pace. Further, the differences in the
approaches used in the design of storage racks and building structures have raised some concern
on the part of building officials and structural engineers that the current storage rack seismic
design criteria may not provide adequate life-safety protection. In addition, current building
codes now are considering collapse prevention for maximum considered earthquake (MCE)
ground motions as the key performance goal for structures, and the Rack Project Task Group was
uncertain as to whether the current equivalent static force procedures for the seismic design of
storage racks would result in racks that will not collapse at this level of ground motion.

This chapter includes the following:

          Recommendations concerning the basic seismic design criteria and seismic detailing
           requirements for storage rack assemblies, elements, connections, and anchorages that
           are consistent with the equivalent lateral force procedures of 2003 NEHRP
           Recommended Provisions.

          An optional displacement-based evaluation procedure is proposed for evaluating the
           adequacy of the moment connections and overall stability of racks for MCE ground
           motions in the down-aisle direction (longitudinal direction) based on connection
           cyclic test data that is currently under development.

          Optional displacement-based and limit state procedures are also recommended for the
           cross-aisle direction (transverse direction).




                                                                                                45
Chapter 6


Specific suggested changes to the RMI standard and to the NEHRP Recommended Provisions
based on the recommendations of this chapter are provided in Appendices B and C, respectively.
The ultimate goal is that the recommendations made here be adopted in the next edition of the
RMI standard so that it can serve as the reference standard for storage rack design in the codes
and standards. In the interim, these recommendations will be submitted to those developing the
2008 edition of the NEHRP Recommended Provisions and the 2010 edition of ASCE 7. Based
on ICC and NFPA code adoption schedules, the earliest that changes for the 2008 NEHRP
Recommended Provisions and ASCE 7-10 would be reflected in the ICC or NFPA model
building codes would be 2012. Since local jurisdictions normally take 18 months or so to adopt
and enforce new model building codes, it will probably be 2014 before any changes would be in
effect although voluntary use of the guidance by the rack industry could result in earlier adoption
and use.

6.2 SUGGESTED SEISMIC DESIGN CRITERIA

6.2.1 Performance Objectives. The performance expectations and design intentions for
structures designed in accordance with the 2003 NEHRP Recommended Provisions are stated in
Sec. 1.1 of that document:

       The design earthquake ground motions specified herein could result in both structural and nonstructural
       damage. For most structures designed and constructed to these provisions and constructed according to
       these Provisions, structural damage from design earthquake ground motion will be repairable although
       perhaps not economically so. The actual ability to accomplish these goals depends upon a number of
       factors including the structural framing type configuration, materials, and as-build details of
       construction.... For ground motions larger than the design levels, the intent of these Provisions is that there
       is a low likelihood of structural collapse.

These performance expectations and intentions for the structural design of steel storage racks
have been interpreted by the Rack Project Task Group to mean:

       To satisfy the intent of the NEHRP Recommended Provisions, the goals should be to demonstrate that
       storage racks located in occupancies accessible to the general public have a low likelihood of collapsing
       when subjected to maximum considered earthquake (MCE) level ground motions.

As noted above, most structures including storage racks currently are designed using equivalent
lateral force procedures and collapse prevention at the MCE ground motions is not explicitly
demonstrated but only inferred based on past experience. It is recommended that in addition to
the equivalent lateral force design, collapse prevention be explicitly demonstrated using
displacement-based and limit state design principles and cyclic connection testing for two
reasons: (a) the inelastic behavior of rack structural system members and connections are
significantly different from those of building structural systems (although the systems appear
physically similar) and (b) storage racks do not have the added benefit of the diaphragms or
secondary structural elements found in building structures. This demonstration is considered
optional but, if performed, the selective design requirements (the I factor and 0.14SDSI minimum)
of the equivalent lateral force procedure should be adjusted to provide an incentive.

6.2.2 Design Earthquake Ground Motions. Storage racks should be designed for the ground
motions defined in Chapter 3 of 2003 NEHRP Recommended Provisions. Specifically, the


46
                                 Suggested Improvements to Current Storage Rack Seismic Design Practices


parameters SS, S1, Fa, Fv, SMS, SM1, SDS and SD1 should be determined in accordance with Chapter
3 of the NEHRP Recommended Provisions for the precise location and soil profile of the site
where the racks are to be located. If the site soil conditions are not known, Site Class D should
be assumed. It is recommended that in areas of high seismicity, these values be determined for
the longitude and latitude of the site using the CD of ground motion parameters provided with
2003 NEHRP Recommended Provisions.1

6.2.3 Recommendation for Seismic Use Group, Occupancy Category, and Importance
Factor. In both the 2003 NEHRP Recommended Provisions and the 2002 RMI standard, an
occupancy importance factor (I) of 1.5 is assigned to steel storage racks for use in areas
accessible to the general public. Seismic Use Group is needed to define the Seismic Design
Category for a structure which is a key parameter used in specifying seismic code requirements.2
While neither Sec. 1.2.1 nor 1.2.2 of the 2003 NEHRP Recommended Provisions assigns steel
storage racks to a specific Seismic Use Group, it is recommended that, in accordance with Sec.
1.2.3 of the 2003 NEHRP Recommended Provisions, steel storage racks be assigned to Seismic
Use Group I with the caveat that I = 1.5.

If a displacement-based evaluation is performed in a given rack direction in accordance with Sec.
6.5 of this document, it is recommended that the equivalent lateral force evaluation of Sec. 6.3 be
permitted to use an I = 1.0 for that direction since collapse prevention for the MCE is being
explicitly evaluated rather then just inferred.

6.2.4 Seismic Design Category. The Seismic Design Category (SDC) for steel storage racks
used in general public applications should be based on the ground motion parameters SDS and SD1
of the site and Seismic Use Group I in accordance with Sec. 1.4 of the 2003 NEHRP
Recommended Provisions. This means that steel storage racks for these applications can be
assigned to SDC A, B, C, D or E.

6.2.5 Structural System Description. The requirements for steel storage racks supported
directly by slabs on grade are defined in Sec. 14.3.5 in the nonbuilding structures chapter of the
2003 NEHRP Recommended Provisions. There are two types of nonbuilding structures -- those
with structural systems similar to buildings and those with structural systems not similar to
buildings. Steel storage racks are classified in the 2003 NEHRP Recommended Provisions as
having structural systems that are similar to buildings because of the overall behavior of their
structural systems.



1
  There are many nominally priced commercially available GIS based programs and web sites that provide latitude
and longitude for a given street address or mapped location (e.g., Microsoft Streets and Trips). Alternatively,
parameters may be based on zip code provided the maximum value of the ground motion parameters SS and S1
within the zip code are used; however, the caution about using zip code values provided on the CD should be
observed, especially in areas with large variations in seismic hazard. SS, S1, Fa, Fv, SMS, SM1 are used to define the
maximum considered earthquake ground motion while SDS and SD1 are used to define the design earthquake ground
motion.
2
  Note that in ASCE 7-05, the term "Seismic Use Group" has been replaced by the term "Occupancy Category" and
in this context storage racks in areas accessible to the public should be assigned to Occupancy Category III, which
will not affect the assignment of Seismic Design Category.


                                                                                                                    47
Chapter 6


Two basic types of structural system are used in the design of single selective steel pallet storage
racks. In the cross-aisle direction (transverse direction), steel braced frames typically are used
for seismic applications. In the down-aisle direction (longitudinal direction), steel moment
frames typically are used with special connections although braced frames sometimes are also
used. The typical steel storage rack configuration used in areas accessible to the public is
illustrated in Chapter 1. It should be noted that these racks do not usually have horizontal
diaphragms or cross bracing and therefore basically behave as structures with flexible
diaphragms.

The steel braced frames used in the transverse direction of racks are very similar in appearance to
steel ordinary concentrically braced frames (OCBFs) as defined in Table 4.3-1 of the 2003
NEHRP Recommended Provisions. Table 4.3.1 references AISC Seismic (AISC 341-02), Part I,
Sec. 14, for the detailing and design requirements for steel OCBFs. The requirements of AISC
Seismic were specifically developed for building design applications and presume the use of
AISC shapes and materials. While it is expected that the distribution of forces to braced steel
racks will be very similar to that of steel OCBFs, the inelastic behavior of the members and
connections may be significantly different. It should be recognized that AISI is currently
developing seismic connection design criteria for cold-formed members which should be
considered when available. The horizontal struts and bracing members are typically light gage
open sections that are welded directly to open section columns. Gusset plates are not used for
transferring loads between braces and beam and columns.

The inelastic response is somewhat dependent on the behavior of the bracing connection, which
tends to greatly reduce the stiffness of the rack in the cross-aisle direction. In addition, in areas
of high seismicity, some pallets may tend to slide at higher levels of ground motion which will
introduce damping and reduce the effective seismic weight. For clarity, it is recommended that
the AISC Seismic requirements not be referenced for design details and that instead a separate
identifier  Steel Rack Concentrically Braced Frames  be used for steel braced frames in rack
applications. Member design connection details and test requirements are to be based on RMI
standard  ANSI MH-16.1-04. It is also recommended that the overall adequacy of the rack
frame bracing connections be demonstrated using the optional rack testing and the displacement-
based evaluation procedure described in Sec. 6.5 below.

The moment frames used in the down-aisle direction of steel storage racks, while appearing to be
very similar to steel moment frames as defined in Table 4.3-1 of the NEHRP Recommended
Provisions, behave inelastically very differently from ordinary, intermediate, and special steel
moment frames for buildings whose details are provided in AISC Seismic. While the moment
connections of AISC Seismic are designed to cause inelastic member deformations in the beams
away from the connections, connections used in racks have their inelastic behavior occur directly
in the rack beam to upright connections. For many connections, there is a significant difference
in behavior between positive and negative moments because of the unsymmetrical geometry of
the connections. In addition, although the system exhibits highly nonlinear behavior, up to a
very large relative rotation, the system remains essentially elastic in the sense that the behavior
does not cause permanent deformation and the racks can recover their initial properties if they
are pushed back to their original position after these apparent nonlinear displacements.




48
                                  Suggested Improvements to Current Storage Rack Seismic Design Practices


The inelastic rotation capacity of these connections is significant and, for some connections, can
exceed 0.20 radians as compared to building connections which are in the range of 0.04 radians.
However, the rotation demands on rack moment connections are in the order of four times
greater than the rotation demands on building moment frame connections because of their
relatively short height for comparable fundamental periods so this rotation capacity is necessary
to withstand strong earthquake ground motions. Since the detailed inelastic behavior of rack
moment frames is so different from the behavior of the systems defined in Table 4.3-1 of the
NEHRP Recommended Provisions, it is recommended that AISC Seismic not be referenced for
detailing requirements and that a separate identifier  Steel Rack Moment Frames  be used in
rack applications. It also is recommended that both the adequacy of the moment connection
system be demonstrated by the optional cyclic testing and a displacement based evaluation
approach that is discussed in Sec. 6.5 of this Chapter.

Because the detailed behavior of rack connections can be so fundamentally different from those
used in buildings, it is recommended that typical building system type detailing approaches not
be applied to racks. Instead, the approaches should consider the nonlinear behavior of the racks
and the necessary detailing that will ensure that the seismic response will be acceptable.

6.2.6 Selection of Design Coefficients for Basic Seismic Force Resisting Systems. Based on
the discussion above, it is recommended that the following design coefficients be used for the
basic seismic force resisting systems of steel storage racks for general public applications. These
coefficients are needed to apply the equivalent lateral force approach to the design of structures.

    Structural System                                    R             0               Cd        Height Limit
                                                                                                 (with public
                                                                                                   access)
    Steel Storage Racks
    - Concentrically Braced Frames                       4              2             3              35 feet
    - Moment Frames                                      6              3             5              35 feet

The R values in the above table are taken from ANSI MH-16.1-04, which appear to have been
nominally confirmed by John Blume & Associates (Chen et al. 1980a) based on testing and
analytical correlations with building structural systems performed in the late 1970s. The R
values are a conversion of K values. A K value of 1.0 was suggested for the down-aisle direction
(equals an R = 5.7) and a K value of 1.33 was suggested in the cross-aisle direction (equals an R
= 4.3). It should be noted that the Blume report also expected that in the cross-aisle direction a
load factor of 1.25 would be used, which means that really the K value was 1.67 (equals an R=
3.4) and connections would not be designed using the 1/3 allowable stress increase. The values
for 0 and Cd and the height limits recommended above have been selected from the NEHRP
Recommended Provisions based on similar basic seismic force resisting systems.3

3
  As noted above, the selection of the R, 0,, and Cd values are based on building structural systems and may not be
appropriate for rack structural systems and connections. However, at this point, some of the Rack Project Task
Group members are of the opinion that this is the best recommendation we can offer in providing design values.
Note too that the height limitations also were taken from the NEHRP Recommended Provisions based on building
structural system limitations although rack earthquake experience in public applications is limited to racks less than
20 feet in height which would be a more appropriate limitation.


                                                                                                                    49
Chapter 6


6.2.7 Drift Limitations. It is recommended that the deformation requirements of Sec. 14.2.11
of the 2003 NEHRP Recommended Provisions apply to storage racks for use in areas accessible
to the public. This section states:

       The drift limits of Sec. 4.5.1 need not apply to nonbuilding structures if a rational analysis
       indicates they can be exceeded without adversely affecting structural stability of attached or
       interconnected components and elements (such as walkways and piping). P-delta effects shall be
       considered where critical to the function or stability of the structure. Structures shall satisfy the
       separation requirements as determined in accordance with Sec. 4.5.1 unless specifically amended
       by this Chapter.

For completeness, it is recommended that for concentrically braced frames the drift limits be
checked although, as a practical manner, they will rarely govern. For the moment frame
systems, if the recommended optional displacement-based approach discussed below is used to
demonstrate structural stability, the drift limits need not be checked. With regards to separation
requirements, it is recommended that Sec. 14.3.5.5 of the 2003 NEHRP Recommended
Provisions be used to define separations. This section states:

       Steel storage rack installations shall accommodate the seismic displacements of storage racks and
       their contents relative to all adjacent or attached components and elements. The assumed total
       relative displacement for storage racks shall not be less than 5 percent of the height above the base
       unless a smaller value is justified by test data or a properly substantiated analysis.

It is expected that a value much less than 5 percent will be computed in the cross-aisle direction
by a simple frame analysis using equivalent static force procedures. The computed displacement
should be determined in accordance with Sec. 5.2.6.1 of the 2003 NEHRP Recommended
Provisions. Such computed displacements properly done are deemed to be properly
substantiated analyses. In the down-aisle direction, a 5 percent calculated drift is possible and,
therefore, additional analysis procedures may be required unless 5 percent is assumed.

6.3 STRUCTURAL ANALYSIS

6.3.1 Equivalent Static Force Procedure. It is recommended that the design of storage racks
supported at grade utilize the equivalent lateral force procedure of Sec. 5.2 of the 2003 NEHRP
Recommended Provisions for determining the seismic base shear along with certain
modifications that are appropriate for racks. For purposes of determining the seismic base shear,
the slab at grade can be assumed to be rigid from a seismic load perspective. In addition, an
optional displacement-based approach is proposed to supplement the equivalent static force
procedure. The optional approach assumes that a certified connection moment versus connection
rotation curve for use in design will have been provided by the rack supplier for the connector.
A typical connection curve is shown in Figure 6-1.




50
                          Suggested Improvements to Current Storage Rack Seismic Design Practices




            Figure 6-1 Comparison of the cantilever test and the analytical model
                               (from Sarawit et al. 2003).


6.3.1.1 Seismic Base Shear. The seismic base shear, V, should be determined for both the
down-aisle and cross-aisle directions in accordance with the following equation:

    V = CsW

where

    Cs = the seismic response coefficient determined in accordance with Sec. 6.3.1.2

    W = the effective seismic weight

        = (0.67 x PLRF x PL) + DL + 0.25 x LL

              PLRF = product line reduction factor; where storage racks are located in areas
                     open to the general public, it is recommended that PLRF be taken as 1.0
                     in down- and cross-aisle directions.

              PL =     rated rack capacity for pallet loads

              DL    = dead load of rack

              LL    = live load other than pallets or products stored on the racks
                      (typically this is zero for general public applications)


                                                                                              51
Chapter 6


6.3.1.2 Seismic Response Coefficient. The seismic response coefficient should be determined
in accordance with the following equations:

          For T less than or equal to Ts

                        S DS
                Cs =
                       (R I )
          For T greater than Ts

                         S D 1 (1 T )
                  Cs =
                           (R I )

       except that Cs should not be taken less than 0.14SDSI

       and where S1 is equal to or greater than 0.60 g, Cs should not be taken less than

                         0.5 S1
                  Cs =
                         (R I )
       where

      SDS = the design spectral parameter in the short period range (see Sec. 6.2.2)

      SD1 = the design spectral parameter at a period of 1.0 seconds (see Sec. 6.2.2)

      I       = the occupancy importance factor = 1.5 (see Sec. 6.2.3)

      R       = the response modification factor as specified in Sec. 6.2.6

              = SD1 / SDS
      Ts

      T      = the fundamental period of the rack structure in the direction under
               consideration determined in accordance with Sec. 6.3.1.3

It should be noted that the above seismic response coefficients are taken directly from the 2003
NEHRP Recommended Provisions and are reflected in the 2003 IBC and ASCE 7-02; therefore,
they are code requirements for all jurisdictions that have adopted the IBC or NFPA 5000
building codes. However, if the optional displacement-based evaluation procedures of Sec. 6.5
are utilized for a given direction, the I factor should be taken as 1.0 and the 0.14SDSI minimum
should be replaced by a minimum of 0.01 for storage racks assigned to SDC B or above (which
is the minimum for building structures in the 2003 NEHRP Recommended Provisions). Note
that the minimum provided value for Cs remains unchanged.




52
                            Suggested Improvements to Current Storage Rack Seismic Design Practices


6.3.1.3 Fundamental Period. The fundamental period used to determine the base shear
coefficients in Sec. 6.3.1.2 in each direction should be determined in accordance with the
following procedures. Since racks are nonbuilding structures, the upper limit on period (not
exceeding the approximate period calculation by a factor, Cu) specified in Sec. 5.2.2 of the 2003
NEHRP Recommended Provisions does not apply. This exemption is clearly implied in the
requirements of Sec. 14.2.9 of the 2003 NEHRP Recommended Provisions that do not permit
calculation of the fundamental period using the approximate period calculations.

The fundamental period in the cross aisle direction should be determined using either modal
analysis procedures, Eq. 14.2-4 of the 2003 NEHRP Recommended Provisions (the Rayleigh
procedure), or equivalent approximate procedures that are based on the assumption that members
and connections are linearly elastic. To account for the significant flexibility of the bracing
connections, the axial stiffness of the braces may be adjusted. See Chen et al. (1980a)] for
suggested adjustments. The seismic weight used in the period calculations should be equal to the
effective seismic weight, W, specified in Sec. 6.3.1.1. In lieu of doing a period calculation, the
period may be taken as equal to or less than Ts.

The computed period of steel rack moment frame systems can vary appreciably because the
rotational stiffness of the moment connections varies significantly with applied lateral load (and
displacement). The fundamental period used in the base shear calculation should be consistent
with computed base shear. In other words, it should be demonstrated in the design calculations
that when the design base shear is applied to a down-aisle model of the storage rack, the moment
determined for the beam-moment connections is consistent with the connection stiffness
assumed in the analysis model. The determination of the fundamental period therefore may
require an iterative procedure. Alternatively, the period may be determined utilizing the
rotational spring constant, F, of the connection as determined in accordance with Sec. 9.4 of the
commentary of ANSI MH-16.1-04. The period calculation procedure provided in Appendix A
of this document may be used (for standard evenly spaced racks) to compute the fundamental
period using either the rotation spring constant, F, as the connection rotation stiffness, kc, or
using the certified moment-rotation connection relationship. Other rational procedures may be
used to compute the period but it should be demonstrated that the connection stiffness assumed
does not result in computed moments from the base shear calculation that have a corresponding
connection stiffness less than that assumed.

6.3.1.4 Vertical Distribution of Forces. The base shear forces should be distributed
vertically to the rack structure in accordance with the procedures of Sec. 5.2.3 of the 2003
NEHRP Recommended Provisions (this is identical to that found in Sec. 2.7.4 of ANSI MH-16.1-
04). When evaluating overturning, it is recommended that the fully loaded rack condition be
considered in addition to the requirement found in Sec. 2.7.6 of the ANSI MH-16.1-04 where
only the top loaded rack is considered.

Based on recent research by Filiatrault and Wanitkorkul (2004), the force distribution exponent
factor, k, may be taken as 1.0 regardless of the fundamental period (i.e., triangular distribution
permitted in both directions). This revised k factor should be considered in the next edition of
the RMI standard, ANSI MH-16.1.




                                                                                                 53
Chapter 6


6.3.1.5 Horizontal Distribution of Forces. The horizontal shear forces at any level
should be distributed in proportion to and at the location where the vertical loads are imparted to
the rack. This approach is consistent with Sec. 2.7.5 of ANSI MH-16.1-04 and Sec. 5.2.4 of the
2003 NEHRP Recommended Provisions.

6.3.2 Structural Analysis. Steel storage racks generally do not have horizontal diaphragms or
bracing and should therefore be considered as having flexible diaphragm structural systems.
Thus, they should be analyzed as two-dimensional systems using flexible diaphragm loading
assumptions for each brace and moment frame line of resistance.

6.3.2.1 Braced Frame Systems. Steel storage rack braced frames may be treated as statically
determinate structures and hand analyses may be used to determine member design forces
resulting from base shear applied forces. Computerized frame analyses also may be used to
determine design forces. For such analyses, the racks are treated as linearly elastic with the
bases modeled to represent the semi-rigid connection of the base plates and the concrete slab.

6.3.2.2 Moment Frame Systems. It is typical to use the portal method to determine forces in
storage rack members resulting from base shear applied forces. Computer frame analyses also
may be used to determine member forces resulting from base shear applied forces. For such
analyses, the rack members are treated as linearly elastic members, the connection stiffness may
be assumed to be equal to F (see Sec. 6.3.1.3 above), and the bases are modeled to represent the
semi-rigid connection of the base plates and the concrete slab. Alternatively, the connection
stiffness may be based on the certified moment-rotation curve as discussed in Sec. 6.3.1.3.

For regular racks with evenly spaced levels, it is recommended that the fundamental period be
determined using the equations provided in Appendix A of this report. In such analyses, it is
acceptable to assume that the column to base plate connection to the concrete floor has a moment
rotation stiffness that is the same as a beam-column connection (i.e., kb = kc).

6.3.2.3 P-delta Effects. Steel rack braced frame systems typically are relatively stiff
structures (prior to brace buckling) and P-delta effects typically can be ignored in design.
However, steel rack moment frame systems are very flexible structures and P-delta effects
therefore may be significant.

If the certified moment-rotation connection properties have been determined using a portal test,
the P-delta effects have been partially included in the testing and, therefore, inclusion of P-delta
effects requires careful consideration in the structural analyses modeling and procedures.

6.4 DESIGN

6.4.1 Load Combinations Including Seismic Loads. The 2003 NEHRP Recommended
Provisions presumes that ASCE 7 load combinations are used for design. The ASCE 7 load
combinations include a term that accounts for vertical seismic effects. In Sec. 12.4 of ASCE 7-
05, the seismic load combinations have been recast into a more convenient form. It is
recommended that the load combinations presented below incorporating this more convenient
form be used for the design of storage rack structures.



54
                            Suggested Improvements to Current Storage Rack Seismic Design Practices


Many racks are currently designed using the alternate basic allowable stress load combinations
that permit a 1/3 stress increase. It is anticipated that the alternate basic allowable stress load
combinations will be eliminated from building codes and that only the ASCE 7 load
combinations will be permitted for design. Thus, only the allowable stress basic load
combination that does not permit the 1/3 stress increase is considered in this report.

6.4.1.1 Basic Load Combination for Allowable Stress Design

        (1.0 + (0.75 x 0.14 SDS) DL + 0.75(1.0+ 0.14 SDS) PL + (0.75 x 0.7) Eh + 0.75 LL

        (0.6 - 0.14 SDS)DL + (0.6- 0.14 SDS) PL - 0.7 Eh

where

             DL = dead load of the rack

             PL = total pallet rated capacity

             Eh = effect (i.e., member forces) of horizontal earthquake resulting from
                  application of base shear load (V)

             LL = see Sec. 6.3.1.1

             SDS = The design spectral parameter in the short period range (Sec. 6.2.2)

Note that Eh generally also includes a factor for redundancy. Using the definition of redundancy
found in the 2003 NEHRP Recommended Provisions, the redundancy factor for rack structures
will always be determined as 1.0 (ignored). Also note that no increase in allowable stresses is
permitted for the above load combination.

6.4.1.2 Basic Load Combinations for Allowable Stress Design with Overstrength

     1.0 + (0.75 x 0.14 SDS) DL + 0.75(1.0 + 0.14 SDS) PL + 0.75 (0.7 0 Eh ) + 0.75 LL

     (0.6 - 0.14 SDS ) DL + (0.6- 0.14 SDS ) PL - 0.7 0 Eh

where 0 = the overstrength factor for the system (see Sec. 6.2.6).

Note that a 1.2 increase in allowable stresses is permitted for the above load combination.

6.4.1.3 Strength Design Load Combinations. The basic combinations for strength design are:

           (1.2 + 0.2 SDS) DL + (0.85 + 0.2 SDS) PL + 0.5LL + Eh

           (0.9 - 0.2 SDS ) DL + (0.9- 0.2 SDS) PL - Eh




                                                                                                      55
Chapter 6


The above load combination is very similar to those found in Sec. 2.2 of ANSI MH-16.1-04
except that the vertical earthquake term is included.

The basic combinations for strength design with overstrength are:

            (1.2 + 0.2 SDS) DL + (0.85 + 0.2 SDS) PL + 0.5LL + 0 Eh

            (0.9 - 0.2 SDS ) DL + (0.9- 0.2 SDS) PL - 0 Eh

6.4.2 Steel Design Approach for Members and Connections. Steel storage rack structures
may either be designed using the strength design method (load resistance factor design, LRFD)
or the allowable stress design (ASD) method. Detailed design procedures for both methods are
provided in ANSI MH-16.1-04.

6.4.2.1 Allowable Stress Design. For ASD, member stresses are determined using the basic
load combinations of Sec. 6.4.1.1 and compared with allowable stresses provided in ANSI MH-
16.1. No increase in allowable stresses is permitted for member design when the load
combinations of Sec. 6.4.1.1 are used. Where required for connection design, connection
stresses should be determined using the overstrength combinations for ASD and compared with
connection capacities. When analysis is used to demonstrate connection adequacy, a 1.2 increase
in allowable stresses is permitted with the overstrength combinations.

Alternatively, test results should be used to demonstrate that the storage rack structural system
will maintain its structural stability when subjected to maximum considered earthquake ground
motion. RMI has verbally committed to developing analysis and/or test procedures for
evaluating moment connections and cross-aisle braced frame connections to satisfy this criteria.
An alternate optional displacement-based procedure that may be used to evaluate and verify the
adequacy of moment connections and cross-aisle frames is provided in Sec. 6.5.

6.4.2.2 Load Resistance Factor Design. For LRFD, member demands are determined using
the basic load combinations in Sec. 6.4.1.3 and compared with member capacities provided in
ANSI MH-16.1. Where required for connection design, connection forces should be determined
using the overstrength combinations for strength design and compared with connection
capacities.

Alternatively, test results should be used to demonstrate that the rack structural system will
maintain its structural stability when subjected to maximum considered earthquake ground
motion. As indicated above, RMI has verbally committed to developing analysis and/or test
procedures for evaluating moment connections and cross-aisle braced frames connections to
satisfy this criteria. An alternate optional displacement-based procedure that may be used to
evaluate and verify the adequacy of moment connections and cross-aisle frames in presented in
Sec. 6.5.

6.4.3 Design Approach for Base Plates, Base Plate Connections, and Anchor Bolts. Base
plate analyses should be designed in accordance with rational methods that consider the loads
imparted to the plate and their delivery to the slab surface. The design forces should be based on



56
                            Suggested Improvements to Current Storage Rack Seismic Design Practices


the basic load combinations without overstrength. The literature has extensive guidance in this
area.

It is recommended that the weld connecting the base plate to the upright be designed for the load
combinations with overstrength or for the nominal yield capacity of the base plate, whichever is
least.

It is recommended that post-installed anchors connecting the rack base plate to the slab on grade
be designed for the load combinations with overstrength. However, the anchor bolt design forces
need not exceed the nominal yield capacity of the base plate. The anchor bolt allowable forces
and capacities should satisfy ICC Evaluation Services reports for the anchors determined to be
acceptable for seismic applications.

6.4.4 Floor Slab Capacity Evaluation. It is recommended that the capacity of the floor slab to
resist rack loading resulting from earthquakes be based on rational procedures from accepted
good engineering practice. Procedures that are deemed acceptable by the City of Los Angeles
are found in Los Angles Department of Building and Safety Information Bulletin/Public
Building Code Reference No. L.A.M.C. 91.1806, Document No. P/BC 2002-100, Acceptable
Design and Analysis Methods for Use of Slabs-on-Grade as Foundations, effective 5-10-04.
This document is included as Appendix D of this report.

6.4.5 Design of Added Rack Components. In some cases, such components as column
extensions, chains, and screens are added to racks to secure contents. The design loads that these
added components have on the rack structure should be evaluated by rational methods (see
Chapter 8 of this document for additional guidance).

6.5 TENTATIVE PROCEDURE FOR DISPLACEMENT-BASED MCE EVALUATION
OF PALLET-TYPE STEEL PALLET STORAGE RACK SYSTEMS

Presented in this section is a recommended state-of-the-art procedure for evaluating steel storage
racks that are accessible to the general public. Very few of the desired test data needed to
implement the procedure exist at this time. The Rack Project Task Group believes that the
fundamental theory provided by the procedures is technically sound and consistent with other
displacement-based procedures and limited experimental testing. It is expected that the protocols
for the test data needed by the procedure will be developed soon by RMI. However, many years
of development and testing will be needed before the procedure described here will be ready for
use as a mandatory code requirement.

Nevertheless, in the interim, design engineers are encouraged to utilize the method if they have
sufficient information to do so, are confident of the test data, and find that the procedure
confirms past storage rack performance in large earthquakes. Similarly, regulatory authorities
should consider permitting this method as an "Alternate Means of Compliance" to support a
construction permit application. It is recommended that if this optional displacement-based
evaluation procedure is utilized for a given design direction with the equivalent lateral force
procedure, the I factor for that direction should be taken as 1.0 rather than 1.5 and the minimum




                                                                                                57
Chapter 6


base shear value of 0.14SDS should be taken as 0.01 since an explicit demonstration of down-aisle
capacity and stability will have been made.

One of the important performance objectives for steel storage racks used in areas accessible to
the public is to provide a structural system that will likely not collapse when subjected to
maximum considered earthquake (MCE) ground motions. To demonstrate that storage racks will
likely not collapse in the MCE, displacement-based evaluation procedures are provided for both
the down-aisle (moment frame) and cross-aisle (braced frame) directions.

6.5.1 Displacement-Based Procedure for Evaluating Collapse Prevention in the Down-
Aisle Direction. One alternative for evaluating whether a storage rack will likely not collapse in
the moment frame direction is the optional displacement-based evaluation procedure. The
procedure is based in part on the equal displacement-based design procedure found in Appendix
I, Part B, "Tentative Guidelines for Performance Based Seismic Engineering" of the 1999
SEAOC Recommended Lateral Force Requirements and Commentary.

The fundamental technical assumptions of the procedure (see Appendix A of this document) are
that:

        The same moment connections are used throughout the moment frame system of the
         racks.

        All moment connections of the racks simultaneously experience very similar rotations at
         all times.

        The vast majority of inelastic behavior occurs at the moment connections.

        The overall seismic response can be reasonably modeled as a single-degree-of-freedom
         (SDOF) system.

        The connection moment versus connection rotation curves have been developed based on
         cyclic testing and the design curve has been adjusted for uncertainty in the cyclic data
         and provided to the design engineer for the racks.

Details of the test procedure still need to be developed but, for discussion purposes, it can be
assumed that the procedures are similar to the RMI portal testing procedures found in Sec. 9.4.2
of the commentary of ANSI MH-16.1-04. For the purpose of the testing, it is presumed that the
vertical load on the beams is the rated pallet load and that the testing will be cyclic. Details of a
workable testing setup can be found in Krawinkler et al. (1979). Also for discussion purposes,
the design curve is called a certified connection moment versus rotation curve for the connector.
For illustrative purposes, it is assumed that the certified curve would be similar to that is Figure
6-1 (with Mmax= 22 in-kip and  max= 0.20 rad).




58
                             Suggested Improvements to Current Storage Rack Seismic Design Practices


The following are the steps comprise the evaluation procedure:

      Step 1  From the certified connection curve, determine the rotation,  max, at the
      maximum moment, Mmax. Determine the minimum permitted connection stiffness kc as: .

                          kc = M max /  max

      It is assumed that the certified connection curve has been based on a cyclic portal test as
      described in Sec. 9.4.2 of ANSI MH-16.1-04 and the connection stiffness represents the
      average of the positive and negative moment connection stiffness and partially includes P-
      delta effects (the test procedure still needs to be developed by RMI). The test procedure
      should provide an adjustment to the maximum moment and stiffness that excludes the P-
      delta effects associated with the tests.

      Step 2  Determine the fundamental period, T1, based on the following equation:

                                              NL

                                              W h       2
                                                     pi pi

                       T1 = 2                 i =1

                                                      k k 
                                     kk 
                                 g  N c  c be  + N b  b ce  
                                    k +k              k + k 
                                    c        be      b     ce  



      where

              W pi = the effective horizontal seismic weight of the ith pallet supported by the
                     storage rack (0.67PL),

              hpi = elevation of the center of gravity of the ith pallet with respect to the base of
                     the storage rack,

              g = acceleration of gravity,

              N L = number of loaded levels,

              kc = rotational stiffness of each beam-to-upright connection,

               kb = rotational stiffness of each base plate connection (which may be assumed to
                    equal kc for installations where there is at least one bolt on opposite sides of
                    the post in the down-aisle direction),

              N c = the number of beam-to-upright connections, and

              N b = the number of base plate connections and where kbe is the beam end and kce is
                     the base upright end rotational stiffness assumed to be given by:


                                                                                                       59
Chapter 6


                                               6 EI b
                                        k be =
                                                 L
                                               4 EI c
                                        k ce =
                                                 H
                       where E = Young's modulus of the beams and columns, I b = moment of
                       inertia about the bending axis of each beam, L = clear span of the beams,
                        I c = moment of inertia of each base upright, and H = clear height of the
                       upright.

            The above formula is limited by the assumptions inherent in its derivation. One
            should be careful to respect these assumptions which include:

                     All the connectors have the same rotation or that the displaced shape of the
                      rack is linear with height (it is believed this assumption becomes more
                      accurate at large displacements and less accurate at small displacements).

                     The bays are uniform in width.

                     The beam spacing is constant between levels.

                     The columns are prismatic over their entire height.

                     The beams are prismatic and their spans are the same at all levels.

      Step 3 -- Compute the maximum displacement, D, without P-delta effects at the effective
      height of the SDOF system of the rack based on the period, T1, for MCE ground motion
      using the following equation:

                                      gS M 1 (T1 / 1.0 sec
                                 D=
                                             4 2 B
      where

              SM1      = 1.5 SD1 = MCE spectral parameter at 1 second with site effects (Sec.
                         8.2.2.2),

              B       = Damping coefficient as a function of the effective damping as follows
                        (taken from Table 13.3-1 of the 2003 NEHRP Recommended Provisions)

                                                              B factor
                                        Damping
                                                             1.0
                                      5 percent
                                                             1.2
                                      10 percent
                                                             1.5
                                      20 percent
                                                             1.7
                                      30 percent




60
                                 Suggested Improvements to Current Storage Rack Seismic Design Practices


               For purposes of this evaluation, it is acceptable to assume that the damping in the
               down-aisle direction is a function of the effective horizontal peak ground
               acceleration (EHPGA) of the MCE. The EHPGA may be taken as the peak spectral
               acceleration of the MCE divided by 2.5 and the peak spectral acceleration of the
               MCE is simply 1.5 times SDS . Therefore, the EHPGA is simply 0.6SDS . The
               following values of equivalent damping (and associated damping factor B) may be
               used for the MCE evaluation.4 Larger values may be used if justified by testing.

                       EHPGA = 0.6 SDS                     Damping                     B
                   Less than or equal to 0.1g                5%                       1.0
                              0.2g                          10%                       1.2
                              0.3g                          15%                       1.35
                              0.4g                          20%                       1.5
                              0.5g                          25%                       1.6
                  Greater than or equal to 0.6 g            30%                       1.7


        Step 4  Adjust the displacement demand, D, to account for P-delta effects by
        multiplying by the factor (1 +  ) :

                          D m a x = (1 +  ) D

                where

                                             k + k be 
                                    NL

                                    W  h pi  c
                                             kk       
                                          pi
                                             c be 
                                i =1
                         =
                                       k k  k + k be  
                            N c + N b  b ce  c             
                                       k k  k + k         
                           
                                       c be  b         ce  
                           

             In the above equation, Wpi should not be scaled by the 0.67 effective horizontal
             seismic weight factor. The derivation of the P-delta adjustment factor is explained in
             Appendix A.

             Step 5  Determine maximum demand rotation,  demand (drift angle), as follows:

                           demand = Dmax / 0.72 htot

                     where

                          htot      = height of center of gravity of highest pallet


4
 These values of equivalent damping are based on experimental shake-table testing performed by Chen et al.
(1980a) and on extrapolation of recent testing performed by Filiatrault and Wanitkorku (2004).


                                                                                                             61
Chapter 6


                       0.72 htot = height of center of gravity of equivalent SDOF of rack (see
                                   Appendix A for derivation of 0.72 factor)

               If one presumes high seismicity (i.e., S1 greater than 0.5) and Site Class D (Fv =
               1.5) and therefore takes SD1 = S1 and if one assumes htot is specified in inch units
               and that g = 386.4 inches per second squared and the damping factor B = 1.7, one
               can solve directly for  demand as simply the following and skip Step 3 and the first
               half of Step 5:

                        demand = 12 (1 +  ) (T1 /1.0 sec) S1 / htot

       Step 6  Check whether maximum demand rotation, demand , is less the maximum
       rotation capacity,  max . If demand rotation is less than maximum rotation capacity,
       connection design is ok and go to step 6. If the connection is not ok, provide an alternate
       connection design and go back to Step 1.

       Step 7  If the connections are ok, assume maximum column moment, Mc, and axial load,
       Pc, from seismic loads (not including gravity loads) are as follows:

                        Mc = 1.2M*max

                        Pc = 1.2 N L M*max /0.5L (end columns)

                        Pc = 0 (central columns)

       Evaluate the columns in accordance with the load combinations specified in Sec. 6.4.1
       and the allowable capacities specified in ANSI MH-16.1-02. Note that the 1.2 factor is
       the presumed ratio between the maximum negative moment and the average maximum
       moment of the connection.

6.5.2 Evaluation and Design Procedures for Cross-Aisle Direction. One alternative for
evaluating whether a storage rack will likely not collapse in the cross-aisle direction, the optional
displacement-based procedure provided below is recommended for sites in areas of low
seismicity (i.e., the MCE short-period spectral acceleration, SS, is less than or equal to 0.258). It
is assumed in this procedure that rack braced frames will be tested using a test procedure similar
to that used by Krawinkler et al. (1979). It also is assumed that the storage rack unit will be
loaded with pallets loaded vertically to their rated capacity at all levels and that the units will be
cyclically tested. A certified force displacement curve is to be developed from the tests which
provides the cross-aisle displacement at the top level of the rack as a function of totally applied
lateral force. It is expected that the cyclic testing will continue until the totally applied lateral
force begins to decrease. The design details used in the testing including base plates should
represent those found in actual operation. It is expected that the details of the required testing
procedure will be developed by RMI. It also is expected that the results of the testing will be
similar in general shape to that found in Krawinkler et al. (1979). The procedure assumes that
the rack can be modeled as SDOF system in the cross-aisle direction.



62
                            Suggested Improvements to Current Storage Rack Seismic Design Practices


Alternatively, the force displacement curve up to the maximum lateral force capacity of the rack
can be obtained analytically based on a pushover type of analysis. The particular nonlinear
characteristics of the bracing systems must be accurately represented in such a pushover analysis.
The axial and rotational capacity of the connections and members must be able to resist without
fracture the forces induced at the maximum displacements.

The displacement-based evaluation procedure does not explicitly account for sliding of pallets
and shifting of contents. For sites where the MCE short period, Ss, ground motion levels are
greater than 0.25g, the procedure provided in Sec. 6.5.2.1 is likely to be very conservative
because significant sliding of pallets and shifting of contents are expected to occur, which should
result in greatly reduced force demands on the uprights and bracing. For such situations, it is
recommended that the alternative limit state design approach suggested in Sec. 6.5.2.2 be used in
lieu of the displacement-based procedure. This approach directly considers that the forces in the
uprights are limited by pallet sliding. It is acknowledged that both of the approaches
recommended in this section require significant development, testing, and verification before
they are considered for use in the RMI design standards or the NEHRP Recommended
Provisions.

6.5.2.1 Displacement Based Cross-Aisle Evaluation Procedure

Step 1  From the certified force displacement curve, determine the maximum lateral force, Fmax,
applied at the top level that the storage rack resists laterally. Also determine the lateral
displacement, Dmax, at the top level corresponding to the maximum lateral force. It is assumed
that the displacement of the top level and the displacement at the center of gravity of the top
pallet are the same and the displacements increase linearly with height. Therefore, determine the
displacement at the equivalent SDOF height, Dequiv, by scaling by 0.72 where 0.72 is the factor
that converts htot to the height of the SDOF system (see Appendix A):

                 Dequiv = 0.72 Dmax

Step 2  Determine the stiffness of the equivalent system as:

                     K = Fmax / Dequiv

Step 3  Determine the equivalent period as:

                                  1
                          W           2
                    T = 2     
                           gK 

where W = the effective seismic weight on one rack unit (0.67 is the rated capacity but this may
be less than 0.67PL if demonstrated by test) and g = acceleration of gravity.

Step 4  Determine the MCE spectral coefficient, Sa, given at site with SMS and SM1. Note that
SMS = 1.5SDS and SM1 = 1.5SD1 and that Ts = SD1/SDS.




                                                                                                63
Chapter 6


If T is less than or equal to Ts, then Sa = SMS

If T is greater than Ts, then Sa = SM1 (1.0 sec/T)

Step 5  Compute the displacement demand, Ddemand, of the SDOF equivalent system as follows:

            SaW
Ddemand =
            BK

    where

B = Damping coefficient as a function of the effective damping as follows (taken                        from
Table 13.3-1 of the 2003 NEHRP Recommended Provisions)

                                                           B factor
                                        Damping
                                                          1.0
                                        5 percent
                                                          1.2
                                        10 percent
                                                          1.5
                                        20 percent
                                                          1.7
                                        30 percent

For purposes of this evaluation, it is acceptable to assume that the damping in the cross-aisle
direction is a function of the effective horizontal peak ground acceleration (EHPGA) of the
MCE. The EHPGA may be taken as the peak spectral acceleration of the MCE divided by 2.5
and the peak spectral acceleration of the MCE is simply 1.5 times SDS . Therefore, the EHPGA is
simply 0.6SDS . The following values of equivalent damping (and associated damping factor B)
may be used for the MCE evaluation.5 Larger values may be used if justified by testing.

                  EHPGA = 0.6 SDS                      Damping               B
                  Less than or equal to 0.1g           3%                    0.8
                  0.2g                                 5%                    1.0
                  0.3g                                 7.5%                  1.1
                  0.4g                                 10%                   1.2
                  0.5g                                 12.5%                 1.28
                  Greater than or equal to 0.6 g       15%                   1.35

Step 6  Check whether displacement demand, Ddemand , is less than the maximum displacement
capacity, Dequiv . If displacement demand is less than the displacement capacity, cross-aisle
direction is ok. If not the cross-aisle direction is not ok, provide an alternate cross-aisle design
and go to Step 1.

6.5.2.2 Cross-Aisle Limit State Design Approach

It is recommended that the following limit state approach be used when SS is greater than 0.25.

5
 These values of equivalent damping are based on experimental shake-table testing performed by Chen et al.
(1980a) and on extrapolation of recent testing performed by Filiatrault (2001).


64
                            Suggested Improvements to Current Storage Rack Seismic Design Practices



Step 1 -- Determine the lateral limit state design forces on the racks as the weight of the
pallets/contents on the rack times a design coefficient of friction of the pallets/contents. For
determining these design forces, it is recommended that the full pallet weight, PL, be used. The
design coefficient of friction should be the upper limit static coefficient of friction based on
testing between the rack and the pallet/contents times a factor such as 1.2. It is suggested that the
static coefficient of friction not be taken as less than 0.30 unless testing and detailed analytical
investigations indicate that a lower value is warranted and can be safely used without
unacceptable amounts of pallet slippage.

Step 2 -- Verify that the ratio of the section moduli of the beam minor to major axes is at least
equal to the design coefficient of friction.

Step 3 -- Design the uprights, bracing, and floor connections to stay elastic for the design limit
state forces.

Step 4 -- Determine the displacement of the uprights and beams for the design limit state forces.

Step 5 -- Estimate the sliding displacements of pallet contents to be sure they are within
acceptable limits (see Sec. 8.3.6 and 8.3.7 for more guidance). When determining the sliding
displacement demands, it is recommended that consideration be given to reducing the demands
based on the concurrent displacements of the uprights and beams.

6.5.3 Example Using Displacement-Based Evaluation Procedures. The following example is
used to illustrate the displacement-based evaluation procedures described in Sec. 6.5.1 and 6.5.2
above. It is based on the rack testing performed by Krawinkler et al. (1979). The example
properties are taken from the same reference.

For this example, it is assumed that the seismic weight of each rack level is 3 kips which is the
load that Krawinkler used in the second down-aisle test using Connection Type A. For this
example, the data for Connection Type A also are used. For ground motion criteria, it is
assumed that the site is in the plateau region of California (old UBC Zone 4 outside the near
field) on Site Class D soil. Therefore, SDS = 1.0 , SD1 = 0.6, Ts = 0.6 seconds.




                                                                                                     65
Chapter 6


Down-Aisle Example




                 Figure 6-2 Portal test set-up (Krawinkler et al. 1979).




66
               Suggested Improvements to Current Storage Rack Seismic Design Practices




Figure 6-3 Portal tests  loading arrangements (Krawinkler et al. 1979).




                                                                                   67
Chapter 6


1. From Krawinkler portal test data curves (see Figure 6-4):

             Determine maximum resisting force per frame = 2.4 kips

             Determine displacement at maximum resisting force = 3.0 inches

             Weight on test frame = 3.0 kips

             Compute max = 3 / 24 = 0.125 (see test set up in Figure 6-3)

             Compute maximum, Mmax, moment per connection = 2.4 kips x 24 in/2 con

                       Mmax = 28.8 in-kips

             Adjust Mmax by removing the P-delta effects

                      P-delta moment per connection = (3 kips x 3 in.)/2 = 4.5 in-kips

                      Adjusted M*max = 28.8 + 4.5 = 33.3 in-kips

             Compute minimum connection secant stiffness, kc,

                       kc = M*max /  max = 33.3 / 0.125 = 266.4 in-kips/rad

     2. Using rack period formula in Step 2 of Sec. 6.5.1, compute the down-aisle period
        assuming kb = kc , g = 386 in/sec2 and the following example data:

              Assume the rack is 3 levels high and 4 bays wide (Nc = 48 and Nb = 10)

              Weight per level, Wpi = 4 x 3 kips per bay/level = 12 kips

                                               Ic = 1.037 in4    Ib = 2.664 in4
              L = 99 inches H = 58 inches

              hp3 = 3.5 x 58 = 201 in, hp2 = 2.5 x 58 = 143 in, hp1 = 1.5 x 58 = 85 in

         Substituting the above data and kc = 266.4 in-kip/rad into the period formula, one
         obtains:

                       T1 = 2.40 seconds

     3. Using the P-delta adjust formula in Step 4 of Sec. 6.5.1, compute the adjustment factor
        (1 +  ) .
        Substituting the data in Step 2 of this example into the formula in Step 4 of Sec. 6.5.1,
        one obtains:



68
                       Suggested Improvements to Current Storage Rack Seismic Design Practices


                   (1 +  ) = 1.36
4. Compute the rotation demand,  demand , using the simplified second equation in Step 4 of
   Sec. 6.5.1 noting that htot = h3 = 201 inches.

                    demand = 12 (1 +  ) ( T1 /1.0) S1 / htot

                   demand = 12 x 1.36 x 2.40 x S1 / 201 = 0.195 S1 radians

            For S1 = 0.60g

                    demand = 0.195 x 0.60 = 0.117 radians < 0.125 radians

5. Since  demand determined in Step 4 is less than  max , design is ok and proceed to Step 6.
   Otherwise revise the connection design and go back to Step 1 and try again.

6. Since  demand is less than  max , and therefore connection design is acceptable. If
   acceptable, compute and check columns based on the following seismic member forces
   which do not include gravity loads:

      Maximum end column moment, Mc = 1.2 M*max = 1.2 x 33.3 = 40.0 in-kips

      Maximum end column axial load, Pc = 1.2 N L M*max /0.5L
                                     Pc = 2.4 x 3 x 33.3/0.5 x 99 = 4.8 kips

      Maximum central column moment, Mc = 1.2 M*max = 1.2 x 33.3= 40.0 in-k
         (at lowest level)

      Maximum central column axial load, Pc = 0 (at lowest level)

   Complete evaluation of columns using the load combinations of Sec. 6.4.1 (including
   gravity loads) and the allowable capacities of ANSI MH-16.1-02 except for the phi
   factors may be taken as 1.0.




                                                                                           69
Chapter 6




            Figure 6-4 Portal tests  H   for Rack Type A (Krawinkler et al. 1979).


70
                  Suggested Improvements to Current Storage Rack Seismic Design Practices




     Figure 6-5 Experimental set-up  transverse tests (Krawinkler et al. 1979).




Figure 6-6 Loading arrangements per level per frame  Tests A-R-2 and B-R-2
                         (Krawinkler et al. 1979).



                                                                                      71
Chapter 6




            Figure 6-7 Loading summary and instrumentation  Test A-R-2 (Krawinkler et al. 1979)


72
                              Suggested Improvements to Current Storage Rack Seismic Design Practices


Cross-Aisle Example

    1. From Krawinkler transverse direction test curves (see Figure 6-8)

             Determine the maximum resisting force, Fmax              = 2.7 kips

             Determine the displacement, Dmax at Fmax                  = 1.8 inches

         Determine displacement capacity at equivalent SDOF height recognizing that
         htot = 201 inches

             Dequiv = 0.72 Dmax = (0.72) (201) (1.8 / 174) = 1.50 inches

    2. Determine the effective secant stiffness of the equivalent system as

              K = Fmax / Dequiv = 2.7 / 1.50 = 1.8 kips / inch

    3. Determine the equivalent period noting the W = 3 x 3 kips per level = 9 kips (interior
       rack frame) and g = 386 in/sec2

              T = 2 ( W/gK )1/2 = 6.28 ( (9 / 386) ( 1.80) )1/2 = 0.71 seconds

    4. Determine the MCE spectral coefficient Sa noting that Ts = 0.6 seconds

         Since T is greater than Ts, Sa = SM1(1.0 / T) = 1.5 SD1 / T = 1.5 (0.6 / 0.71) = 1.26g

    5. Compute displacement demand, Ddemand ,of SDOF equivalent system as follows
       assuming the damping is 15 percent:

                                                (1.26 ) ( 9 ) = 4.67inches
                                       S aW
                        Dd em an d =        =
                                              (1 .35 ) (1.80 )
                                       BK

Since displacement demand, DDemand , is greater than the displacement capacity, Dequiv,
determined in Step 1, revise the design and go back to Step 1 and try again.

For this example, the above displacement-based procedure for the cross-aisle direction is shown
for illustrative purposes only. As can be seen, it illustrates that the procedure does not
demonstrate adequacy by a wide margin. This is the reason that the alternate limit state
procedure is recommended for areas of moderate and high seismicity. For an assumed tested
pallet coefficient of friction, , of 0.50, the alternate limit state procedure would simply require a
force, Vi, equal to:
                                 Vi = 1.2 Wi = (1 .2 ) ( 0 .5 0 ) ( 3) = 1 .8k ip s

applied at each level of each cross-aisle frame. The frame would then be evaluated by
conventional means and checked against accepted member and connection allowable capacities.



                                                                                                    73
Chapter 6




            Figure 6-8 Load defelection at third level (per frame)  Test A-R-2, traverse loading (Krawinkler et al, 1979)


74
                                            Chapter 7
             GUIDELINES AND RESPONSIBILITIES FOR SPECIFYING,
            PURCHASING, AND INSTALLING PALLET STORAGE RACKS



7.1 SCOPE

Pallet storage racks are essential infrastructure in the retail-operating environment. Proper
design, application, and installation combined with appropriate training and housekeeping are
necessary to ensure that rack systems will perform well. This chapter provides guidance on
important factors and key responsibilities in the specification, purchase, and installation of steel
pallet storage rack products and systems.

7.2 SPECIFYING AND PURCHASING PALLET STORAGE RACKS

Pallet storage racks are one key component of the operating system. As such, it is important that
a systems approach be taken when specifying this highly engineered product. Issues to be
considered include but are not limited to the following:

      The location of the rack installation. The specific location (including latitude and
       longitude) will help to identify the codes, standards, fire safety requirements, and
       administrative practices appropriate for the site.

      Details of the contents that will be stored. The size, weight, commodity class, and
       packaging of unit loads as well as discrete items are needed to specify the basic rack
       structure as well as accessories that contribute to safety, fitness, and containment.

      Details of the loading/unloading equipment. The powered and non-powered industrial
       equipment that will be used to load and unload the storage racks will help define the
       footprint and aisle spacing necessary for the operation.

      The operating characteristics of the system. Knowing activity levels and zonation as
       well as the loading/unloading schedules and protocols will help with floor planning and
       selection of system components and accessories.

      The design documents and normative references that govern the application. Each
       storage rack installation will be governed by several design standards and codes
       documents. These documents include but are not limited to those issued by the American
       Institute of Steel Construction (AISC), the American Iron and Steel Institute (AISI), the
       American Society of Civil Engineers (ASCE), the Americans with Disabilities Act
       (ADA), American Welding Society (AWS), the Federal Emergency Management Agency
       (FEMA) including the NEHRP Recommended Provisions, the International Code
       Council (ICC) including the International Building Code, state or locally adopted codes,



                                                                                                   75
Chapter 7


         manufacturers' drawings and plans, the National Fire Protection Association (NFPA),
         and the Rack Manufacturers Institute (RMI).

7.3 RESPONSIBILITIES

DESIGN

        Registered Design Professional. Design professionals are responsible for designing to
         satisfy performance objectives desired by the owner or operator. The responsibility for
         communicating performance options and, in some cases educating the owner or purchaser
         with regard to rack performance also falls primarily to the design professional. Design
         responsibilities typically include the preparation of structural calculations and the
         preparation or review of rack installation drawings.

        Rack Dealer or Manufacturer. Since rack components vary by manufacturer, it is the
         manufacturer's responsibility to provide the design professional with sufficient
         information to describe the physical characteristics of the rack. This includes information
         on material and component properties sufficient to generate an analytical model of the
         rack system that will capture all relevant characteristics of its response. The rack dealer
         or manufacturer also may prepare rack configuration drawings.

        Owner or Purchaser. It is the owner's or purchaser's responsibility to provide
         information regarding intended rack usage and all potential loading requirements, to
         communicate the desired performance objectives to the design professional, and to make
         available structural drawings for the building, including the flooring subsystems. The
         owner or purchaser also is responsible for maintaining files of approved rack installation
         drawings, related permits, and any conditions to the permit.

        Local Building Department. The local building department or other regulatory body is
         responsible for enforcing code requirements. Where required, they also ensure, as a
         minimum, that the rack design has been reviewed and approved by a Registered Design
         Professional in the appropriate jurisdiction.

MANUFACTURING

        Manufacturer. The pallet storage rack manufacturer is responsible for establishing and
         implementing a documented quality control program to ensure reliability of materials and
         fabricated components. Such a program should consist of documented procedures with
         records kept on file for review.

INSTALLATION

        Installer. It is recommended that the installer establish and enforce a quality control
         program that ensures compliance with rack configuration drawings, rack manufacturer's
         installation requirements, and anchor manufacturer's installation requirements.



76
          Guidelines and Responsibilities for Specifying, Purchasing, and Installing Pallet Storage Racks


      Owner or Purchaser. An independent quality assurance program, separate from the
       installer's quality control program, will increase the reliability of the rack installation and
       is therefore recommended. This independent program may include hiring the registered
       professional responsible for the design or other qualified individuals or directly
       employing personnel with adequate rack installation experience to observe the installed
       rack system and implementing a testing program for the anchors.

      Local Building Department. The local building department or other regulatory body
       may be responsible for inspecting rack installations to the extent required by local codes
       to ensure compliance with approved rack drawings.

7.4 BUILDING CONSIDERATIONS

The pallet storage rack system will interact with the building structure in several important ways.
It is important to understand those interactions and to ensure that proper engineering analysis has
been made.

Among the factors to consider are:

      Connections to the Building. Most storage racks will be installed as free-standing items
       independent of the building structure. Any connection to the building requires
       knowledge of the forces that might be transferred between the building and the rack
       system to ensure that neither damages the other.

      Building Floor Capacity. The building floor and the soil that supports it must have
       adequate strength to carry the loads applied by the rack system. In some cases, when the
       lateral loads are high, the floor also may need to be of significant weight to resist uplift.
       The rack system specifier should provide the floor designer with sufficient information
       during design so that the floor can be designed to adequately support the rack system.

      Rack System Anchorage. Most rack systems are connected to the floor by anchors
       installed in holes drilled into the hardened concrete. The details of floor construction
       should be coordinated with the anticipated details for rack system anchorage. Where
       floors are either post-tensioned or reinforced with bars heavier than welded wire mesh,
       care should be taken in drilling anchor holes to avoid hitting reinforcement or tendons.
       Anchors that are near floor slab joints or edges must have adequate edge distance in order
       to carry required loads. Special inspection should be provided when required.

      Occupancy Requirements. The configuration and arrangement of racks also should
       comply with occupancy requirements related to such things as exiting and fire safety.




                                                                                                      77
Chapter 7


7.5 INSTALLATION

Pallet storage racks should be installed by trained and experienced personnel working from
installation drawings and instructions provided by the rack supplier. These instructions and
drawings, when strictly followed, allow the supplier to warrant the installation for its as-designed
condition. Also see Sec. 9.4 for additional information.

7.6 RECONFIGURED RACKING

Most pallet storage racks are designed to permit the beam location to be changed. The capacity
of the original installation will have been arrived at based on a specific arrangement of
components. Any change from this as-designed condition or allowed deviations can have a
significant impact on the safety and fitness of the rack system. The owner or operator should
always consult the rack provider or a qualified design professional before undertaking any rack
that is reconfigured beyond that allowed on the load application and rack configuration drawings
for the rack system. Also see Sec. 9.5 for additional information

7.7 INTERMIXING COMPONENTS

It is not uncommon for a facility to have pallet storage racks produced at different times by a
single supplier or by different suppliers. While it may appear that components can be
interchanged freely, this should be avoided unless a demonstrated capacity check of the
integrated component is performed. This check might be performed by the supplier(s) or another
qualified design professional. Even the slightest variation in design or manufacturing tolerance
can have a significant and detrimental effect on rack integrity.

7.8 USED RACKING

Previously used pallet storage racks should be installed under the same rigorous standards and
guidelines as new storage racks. This would include capacity rating, installation, and satisfying
codes and standards requirements.

Special care is called for to ensure that the prior use, disassembly, transport, and reassembly of
the rack has not reduced its capacity. In the event that the capacity or the condition is not
obvious, a qualified design professional should be consulted.




78
                                            Chapter 8
                     SUGGESTED IMPROVEMENTS FOR SECURING
                        CONTENTS WITHIN STORAGE RACKS



8.1 SCOPE

Acceptable seismic performance of storage racks and their contents in public access facilities
requires adequate restraint of contents. Contents falling from racks due to either operational
mishap or earthquake shaking can potentially injure or even kill persons in the aisles. In this
chapter, content restraint guidance is offered that is intended to prevent, or at least minimize the
possibility of merchandise falling from storage racks during earthquakes.

The guidance offered in this chapter is intended to be applicable to warehouse or big-box stores
(Figure 8-1) located in the higher seismic regions of the United States. It is recommended that
higher seismic regions be defined as locations where the design ground motion parameter SDS is
0.75g or greater. Under 1997 UBC provisions still in use in some states such as California, such
values of SDS correspond to sites in Seismic Zones 3 and 4. Seismic Use Group I structures (it is
recommended in Chapter 6 that typically racks retail stores be designated as SUG I) located at
site with such values of SDS are assigned by the 2003 NEHRP Recommended Provisions to
Seismic Design Category D or E.

The guidance presented here is considered interim in nature, pending the development of an
industry-wide standard for restraint of merchandise. There currently are no applicable reference
standards and, therefore, the recommendations contained herein are based on observed industry
practices, current regulations, limited analytical research and testing data, and observations of the
performance of storage rack contents during earthquakes.

8.2 CURRENT RESTRAINT PRACTICES AND REGULATIONS

8.2.1 Industry Practice with Regard to Securing Contents in Seismic Areas. Pallets that
arrive at warehouse stores loaded with merchandise must be able to withstand the rigors of
shipping and handling. Generally, some reliable means of confinement is employed to keep the
merchandise (frequently individual boxes and containers) from separating.

Once in the store, it is common practice to keep the pallets intact until broken open to provide
individual items for display and sale. Fully loaded pallets also may be broken down, and their
contents reshelved on pallets with smaller loads. Pallet loads typically are secured by such
means as banding or stretch-wrapping, a practice generally referred to as "blocking" in the
industry. Merchandise blocking enables forklift operators to safely and efficiently move
merchandise. Merchandise blocking also reduces the likelihood of individual merchandise
falling off the pallets and/or off the racks and into the aisles. However, it also is common
practice to break-down loaded pallets into individual components (e.g., boxes or containers) and
to place these directly on rack shelves, generally at the lower levels of the rack to allow customer
access to the merchandise.


                                                                                                   79
Chapter 8




 Figure 8-1 Rack contents on racks should be adequately restrained to prevent their falling
 into aisles.



80
                                      Suggested Improvements for Securing Contents Within Storage Racks


Because of the safety concerns regarding unrestrained individual items, State of California
authorities recently enacted regulations intended to protect the public from falling contents in the
event of an earthquake (Sec. 8.2.2 below). No specific industry standards or guidelines, other
than the California regulations, require rack contents to be secured against earthquake shaking.
However, as discussed above, industry practices that currently provide for safe, damage-free
shipping and handling also mitigate pallet-related falling hazards.

8.2.2 2001 California Regulations for Public Warehouse Facilities. In 2001, the State of
California enacted a law intended to protect the public in warehouse stores. This is believed to
be the first attempt by any jurisdiction to eliminate or reduce the hazard of storage rack contents
falling during an earthquake. This law reads as follows:

       California Labor Code, Sections 9102(a) and 9102(b) state the following:

       9102. (a) The owner, manager, or operator of a working warehouse shall secure merchandise stored on
       shelves higher than 12-feet above the sales floor. Methods of securing merchandise shall include rails,
       fencing, netting, security doors, gates, cables, or the binding of items on a pallet into one unit by shrink-
       wrapping, metal or plastic banding, or by tying items together with a cord.

       9102. (b) All working warehouses shall comply with the provisions of this section on or before July 1,
       2002.

This section of the California Labor Code is the direct result of California Senate Bill SB 629
and the California Seismic Safety Commission special hearing on the safety of storage racks and
their contents in public areas held on April 12, 2001. A primary difficulty in enforcing these
regulations, however, lies in the fact that they do not specify any strength requirements for the
materials and methods used to secure merchandise to pallets. For example, how much and how
strong should banding or shrink-wrapping be? Further, there is no guidance for the proper
application of each method of restraint or merchandise "blocking." Each of the suggested
methods has a specific, useful application, but they are not universally applicable and the most
appropriate method to use depends largely on the type of merchandise and the operating logistics
behind the merchandise. Improper application of a restraint method may still yield unacceptable
performance (e.g., using a chain to restrain stacked small boxes of merchandise).

Proper applications for the most commonly used methods of pallet and merchandise restraint are
suggested later in this chapter to provide guidance on the use of the most common industry-
accepted practices.

8.3 RECOMMENDED CONTENT RESTRAINING PRACTICES

8.3.1 Basic Approach. Storage racks have shelves (or the equivalent) upon which merchandise
is stored. Merchandise is typically either placed on pallets, that in turn, are placed on the shelves
or merchandise in the form of individual boxes or containers is stacked directly on the shelves.

To prevent or minimize the falling hazard posed by stored overhead merchandise and to achieve
the life-safety performance level articulated in this document, a dual approach is recommended:




                                                                                                                       81
Chapter 8

               Prevent merchandise "fall-through" - Pallets and merchandise should not be
                permitted to fall downward through one shelf onto the shelf or the ground below.

               Prevent merchandise "toppling" - Pallets and individual merchandise should not
                be permitted to overturn or slide such that they fall from the shelves into the
                aisles.

Various techniques that can be used to achieve these two objectives and these are described
below.

8.3.2 Shelf Construction. Fall-through of merchandise or pallets can be prevented if shelves
are constructed in such a way as to keep the merchandise or pallet from falling through should it
shift laterally in an earthquake. To accomplish this, uniform vertical support must be maintained
at all times. Continuous support should be provided for all pallets placed above the floor in the
rack structure. In seismic regions, it is considered poor practice for pallets to span between the
front and rear rack beams without any intermediate vertical support (e.g., decking, boards, or
plates). Pallets supported only on beams (Figure 8-2) are likely to shift, lose vertical support on
one end, and fall between the beams during strong earthquake shaking. Common ways to
prevent this fall-through include the use of the following types of shelf construction:

               Wire decking;
               Spaced wood boards;
               Spaced metal channels, angles or plates; or
               Perforated metal decking (fire codes generally prohibit use of solid decking).

Generally, wire decking of the waterfall type (decking hangs over the front and rear faces of the
beams as shown in Figure 1-3) or decking firmly secured between beams in molded shelves are
the recommended means for preventing fall-through. It is usually preferred over the use of
spaced wood boards or metal plates to provide continuous support for pallets. Spaced boards
may become dislodged during ground shaking and fall between the beams, compromising
vertical support for the merchandise above. When spaced boards or plates are used, they should
be positively secured to prevent their shifting or falling in an earthquake.

As a general practice, it is recommended that shelves of any level be constructed to prevent "fall-
through."

8.3.3 Securing Merchandise Stored on Pallets. For merchandise stored on pallets, toppling is
prevented if the pallet is kept from overturning or sliding off the shelf and if the merchandise is
secured to the pallet. At the present time, there is no publicly available evidence to prove that
wood pallets placed atop one of the recommended shelf materials listed in (Sec. 8.3.2 above) will
not slide off the shelf. However, based on earthquake performance to date, it generally is
believed that wood pallets placed atop the common shelf construction will not slide sufficiently
in an earthquake to fall off.




82
                            Suggested Improvements for Securing Contents Within Storage Racks




Figure 8-2 Pallets in this home furnishings store are supported only on the beams and may
slide off these supports during an earthquake.



                                                                                          83
Chapter 8

In addition to ensuring that pallets do not slide off or overturn on rack shelves, it is important
that items of merchandise be secured to the pallets themselves. Common means to secure
individual merchandise to pallets include but are not limited to the following:

               Stretch-wrapping (Sec. 8.4.1),
               Shrink-wrapping (Sec. 8.4.2),
               Banding (Sec. 8.4.3), and
               Integral box-pallet (Sec. 8.4.4).

8.3.4 Securing Merchandise Not Stored on Pallets. Some merchandise sold in public
warehouse stores is not stored on pallets. Individual items or merchandise not stored on pallets
but placed on shelves are at greater risk of toppling in an earthquake. The following are some of
the most common means used to secure items of merchandise not stored on pallets:

               Restraining bars (Sec. 8.5.1),
               Restraining chains or cables (Sec. 8.5.2),
               Netting (Sec. 8.5.3), and
               Slip and overturning-resistant (SOR) individual containers or boxes (Sec. 8.5.4).

All merchandise should be evaluated based on weight and size to determine the most appropriate
securing method. To be effective, the merchandise must be sufficiently large to engage the
restraint. Netting can effectively restrain small boxes and containers, but a restraining bar, cable
or chain may not. Recent shaking table tests (See Chapter 11) have shown that merchandise with
high aspect ratios (the ratio of height to width) such as water heaters (Sec. 8.5.5) are particularly
vulnerable to overturning if restraints are not provided.

8.3.5 End Bay Uprights. It is recommended that the ends of a longitudinal row of racks have
upright frames or frame extenders that extend high enough above the topmost shelf to provide
sliding and overturning restraint for the palletized or individually stored merchandise on the
upper-most level. This is to prevent the merchandise from toppling into the main aisle-ways
generally located at the end of a row of storage racks. If one end of the row abuts a wall, this
frame need not have the frame extension.

8.3.6 Maximum Height to Width Ratios for Uniformly Loaded Pallets. To reduce the
possibility of loaded pallets overturning, it is suggested that the height to least width ratio
generally be limited to 2.0 or less for pallets placed higher than 8 feet above the floor when SDS 
1.1g and generally be limited to 2.5 or less when SDS  0.75g but less than 1.1 g. (The pallet load
is assumed to have a uniform weight distribution).

These aspect ratio recommendations are derived from some recent theoretical studies by Shao
and Tung (1999), who studied overturning and sliding of rigid bodies subjected to 75 real
earthquake time-history records. Using the data summarized in Table 1 of their work, it can be
shown that rigid bodies, restrained against sliding and with a height-to-width ratio (H/D) of 2 to
1, have about a 16 percent chance of overturning when subject to motions with peak shelf
accelerations around 0.70g. If one assumes the amplification of motion from the floor to top
shelf in the cross-aisle direction is on the order of 1.5 to 2.0, then earthquake motions with a
peak ground acceleration (PGA) in the range of 0.35g to 0.50g may result in a 16 percent chance


84
                                  Suggested Improvements for Securing Contents Within Storage Racks

of overturning. These PGA values correspond to an SDS of approximately 1.1g. Similarly, when
H/D is 2.5 or greater, motions with PGA in the 0.3g to 0.4g range may create a 16 percent
overturning hazard. Motions in this range, using the amplifications assumed above, correspond
to an SDS of approximately 0.75g.

It should be noted that when a pallet slides, its tendency to overturn may be reduced, provided
that it does not slide sufficiently to topple off the shelf.

8.3.7 Plastic and Metal Pallets. Recently, some merchandise vendors have begun to utilize
alternative pallet materials such as plastic and metal instead of the traditional wood. Loaded
pallets on pallet-shelf combinations with low frictional resistance are more prone to slide than
those with greater frictional resistance. Currently, it is assumed that wood pallets have sufficient
sliding frictional resistance to remain on shelves during earthquakes. Limited shake-table testing
has shown this assumption to be true, but due to the limited scope of available test data, this is
considered to be an interim assumption and needs to be confirmed by further research.

With the increasing use of plastic and metal pallets, combined with the lack of observation or
testing of their sliding performance, there is a concern that these pallets could be more prone to
slide than wood pallets and further research is recommended.

The reader is cautioned that pallet-shelf combinations with coefficients of friction of less than
0.20 may have a tendency to slide sufficiently under strong ground shaking to cause toppling.
This caution is derived from the recent Shao and Tung (1999) theoretical work. For example,
with an SDS of 1.1g (PGA = 0.44g), the motions at the top of the racks in the cross-aisle direction,
assuming a 1.5 to 2.0 amplification, would be in the range of 0.66g to 0.88g. Figure 6 of Shao
and Tung (1999) indicates that motions in the range of 0.70g to 0.75g have about a 16 percent
chance of resulting in relative sliding of 20 inches when the coefficient of friction is 0.20. This
would be sufficient to topple a standard 40-inch pallet.

8.3.8 Limiting Height for Unrestrained Merchandise. Unrestrained merchandise on steel
pallet racks can present a significant safety hazard to the public when high enough above the
floor. The consensus recommendation of the Rack Project Task Group is that all merchandise
above 8 feet on steel pallet storage racks should be restrained -- either on pallets as described in
Sec. 8.4 or loose on the rack shelf as described in Sec. 8.3.4. The Task Group recognized that
this height may present a problem as some retailers store loose merchandise on shelves up to 8
feet to facilitate restocking during the business day, which is preferable to conducting fork lift
operations while the public is present. However, even in these situations, loose merchandise can
present a hazard if it is heavy enough to cause injury.

8.4 SUGGESTED PRACTICES FOR RESTRAINING PALLET LOADS

Suggested alternatives to meet pallet restraint criteria are described below.

8.4.1 Stretch-Wrapping. Stretch-wrapping involves wrapping the merchandise to the pallet
with several layers of stretchable plastic film. To be effective, the stretch-wrap must not only
bind the merchandise together but also overlap with and engage the pallet so as to form an
integral, blocked unit. Stretch wrap should be pretensioned to industry accepted standards to
provide adequate blocking of merchandise.

                                                                                                   85
Chapter 8

It is recommended that stretch-wrapped pallets be capable of passing pass the pallet tilt test
described in Sec. 8.6.1.

8.4.2 Shrink-Wrapping. Shrink-wrapping involves wrapping the merchandise to the pallet
with heat-sensitive plastic film that when heated, shrinks and tightens, thereby securing the
merchandise to the pallet. Similar to stretch-wrapped merchandise, it should connect the
merchandise together and overlap and engage the pallet. It is recommended that shrink-wrapped
pallets be capable of passing the pallet tilt test described in Sec. 8.6.1.

8.4.3 Banding. Individual merchandise as well as merchandise in boxes or containers can be
secured to pallets by banding. This involves securing the merchandise to the pallet with tight
metal or plastic "bands" that wrap around the merchandise and connect it to the pallet, generally
by passing through the pallet. To be effective, an appropriate number of individual bands should
be used to ensure that all containers or boxes are effectively bound together. It is recommended
that banded pallets be capable of passing the pallet tilt test described in of Sec. 8.6.1.

8.4.4 Integral Box-Pallets. Some merchandise is shipped in wood or heavy cardboard boxes
constructed to be integral with the pallet. These integral pallet-box units can be quite effective in
preventing toppling of merchandise.

8.5 SUGGESTED RESTRAINT PRACTICES FOR NON-PALLETIZED
MERCHANDISE

The reader is cautioned that the following recommendations are based on the judgment of the
Rack Project Task Group and are not the result of extensive research. However, unless restraints
have sufficient strength relative to the stored merchandise, they may be ineffective.

8.5.1 Restraining Bars. Horizontal restraining bars can be installed on the front and rear of
storage rack shelves to keep merchandise from falling off. Restraining bars can be effective for
large boxes (e.g., water heaters) and other merchandises not placed on pallets. For back-to-back
racks, restraining bars generally are required only at the front of shelves directly adjacent to the
aisles.

Bars should be placed as shown in Figure 8-3. At the present time, there are no industry-wide
guidelines for design of restraints. As an interim measure for high seismic regions (SDS  0.75g),
it is recommended that these bars be designed to safely resist a uniform lateral force equal to 20
percent of the total weight of the merchandise to be restrained but not less than 50 pounds per
foot of bar.

8.5.2 Restraining Chains and Cables. Restraining chains and/or cables can be installed on the
front and rear of storage rack shelves to prevent merchandise such as large boxes or containers
from toppling. Restraining chains are effective for merchandise in boxes or containers where
load separation is not an issue. For back-to-back racks, restraining chains generally are required
only at the front of shelves.




86
                             Suggested Improvements for Securing Contents Within Storage Racks




Figure 8-3 A restraining bar is used to restrain tall, top-heavy merchandise that cannot
be placed efficiently on pallets.



                                                                                           87
Chapter 8




 Figure 8-4 Chain or cable can be used to restrain tall, top-heavy merchandise. When used,
 the chain or cable needs they need to be sufficiently taut to be effective. Slack in chains or
 cables should be no more than about 1/2-inch per foot of length.


88
                                 Suggested Improvements for Securing Contents Within Storage Racks

Chains or cables should be placed as shown in Figure 8-4. At the present time, there are no
industry-wide guidelines for design of chain restraints. As an interim measure for high seismic
regions (SDS  0.75g), it is recommended that chains or cables be designed to safely resist a
uniform lateral force equal to 20 percent of the total weight of the merchandise to be restrained
but not less than 50 pounds per foot of chain or cable.

8.5.3 Netting. Nylon or other types of netting can be installed across the exposed front of a
storage rack bay to contain loosely stacked materials (e.g., small boxes, drums, cans, and
containers). Figure 8-5 illustrates an example. Local fire regulations may require that nylon and
other plastics be treated with an approved fire retardant. Typically, moveable netting is installed
at the front of racks and, when necessary, fixed netting is installed at the rear.




                        Figure 8-5 Merchandise restrained by netting.




                                                                                                 89
Chapter 8

Netting may be connected to cables by carabineers or similar devices. At the present time, there
are no industry-wide guidelines for design of netting restraints. As an interim, measure for high
seismic regions (SDS  0.75g), it is recommended that cables and their attachment posts be
designed to safely resist the forces imposed on them but not less than 50 pounds per linear foot
of net.

Merchandise also may be secured with moveable heavy wire mesh "doors" placed across the
front of shelves. In single row racks, the backs of shelves should be similarly secured with fixed
wire mesh or netting unless the rack abuts a wall.

8.5.4 Slip and Overturning Resistant (SOR) Individual Containers or Boxes. Some
merchandise individually stored on shelves has a low aspect ratio and sufficient frictional
resistance to be both slip and overturning-resistant (SOR). Such merchandise generally is not
considered to be a falling hazard and, therefore, need not be secured to pallets or restrained by
nets or other devices. In high seismic regions (SDS  0.75g), the following interim guidelines
may be used to establish under what circumstances the use of pallets and/or restraining devices is
not required:

               The base of the container or box has a least dimension of at least 18 inches.

               The aspect ratio (height/width) is 2.0 or less for SDS  1.1g, and 2.5 or less for SDS
                 0.75g but less than 1.1g.

               The coefficient of friction between the merchandise and the deck is 0.3 or greater.


               The cartons or boxes in which merchandise is stored are sufficiently rugged as to
                not burst open due to earthquake shaking.

If all of the above guidelines are met, the individual SOR containers or boxes are considered to
meet the life-safety performance objectives of these guidelines. Those items of merchandise that
do not meet the guidelines should be secured by the methods discussed above or other industry
accepted means.

8.5.5 High Aspect Ratio Merchandise. It is recommended that water heaters and other
merchandise with height-to-width ratios greater than 2.5 stored at any level be positively
restrained to prevent overturning. Recent shake-table tests (Filiatrault 2001) of loaded racks
demonstrated the toppling vulnerability of unrestrained water heaters.

8.6 TESTS

8.6.1 Pallet Tilt Test. The pallet tilt test involves "proof" testing the binding (i.e., blocking)
method used to secure the merchandise to the pallet. The purpose of the test is to ensure that the
means used to secure the merchandise to the pallet are sufficiently strong to keep the
merchandise from spilling during earthquake shaking.




90
                                  Suggested Improvements for Securing Contents Within Storage Racks

The test is intended to establish the general adequacy of a particular binding method using a
representative sample pallet load. It is not meant to imply that every blocked pallet in a store be
individually tested. Rather it is intended to be a generic test used to establish an acceptable level
of internal quality control that, once successfully performed, establishes the adequacy of the
binding method for a particular type of merchandise and pallet combination.

Care must be taken in doing the tests so as to not cause the loaded pallet to overturn and damage
the merchandise or injure personnel.

The basic test procedure is as follows:

     Step 1  The merchandise is bound to the pallet with an approved securing method (see
     Sec. 8.4)

     Step 2  The pallet is lifted on one side to a height that produces an angle of 20 degrees
     between the ground and the bottom surface of the pallet (see Figure 8-6).

     Step 3  If the merchandise remains restrained in place for at least 5 minutes without
     appreciable movement, the load secured to the pallet is considered to have adequate
     confinement and passes the tilt test.

     Step 4  If the merchandise shifts appreciably or the securing material breaks, the
     merchandise must be resecured using an industry-approved method and retested.

8.7 ALTERNATE MEANS OF SECURING CONTENTS

The guidance provided above for securing contents (i.e., individual merchandise and loaded
pallets) to steel storage racks in high seismic areas draws heavily upon present practices that are
known or believed to be effective. It is not the intent of these guidelines to prevent or discourage
the use of means other than these described herein to prevent, or minimize, content falling
hazards in earthquakes. If a scheme, system, or means not discussed herein can be shown to be
effective in meeting the life-safety goals of Chapter 5, its use should be permitted.

The U.S. and the world-wide materials handling industry has produced, and no doubt will
continue to produce, many storage innovations. Techniques for storage, and for preventing
contents from falling, will continue to evolve, and innovative methods and practices are
encouraged to ultimately produce safer content storage practices.




                                                                                                   91
Chapter 8




       Figure 8-6 The pallet tilt test is used to verify the strength of the means (e.g., stretch
       wrapping, banding) used to secure merchandise to pallets.




92
                                  Suggested Improvements for Securing Contents Within Storage Racks


8.8 FUTURE NEEDS

8.8.1 Pallet Friction Testing. To establish a more scientific basis for determining whether
pallets (wood, plastic, or metal) will slide off shelves in earthquakes, testing needs to be
performed to identify acceptable values for the static and dynamic coefficients of friction
between different combinations of materials in surface contacts (e.g., wood to metal or plastic to
metal)

8.8.2 Confirmation of Pallet Tilt Test. The adequacy and application of the pallet tilt test
described in Sec. 8.6.1 should be verified. Further refinement of this test will help validate the
effectiveness of the various securing techniques (e.g., stretch-wrapping, shrink-wrapping, and
banding) in achieving the desired level of seismic performance set forth in this document.

8.8.3 Confirmation of SOR Criteria for Containers and Boxes. The adequacy of the slip and
overturning resistant criteria described in Sec. 8.5.4 should be verified, and the scope of this
concept should be expanded to include one or more levels of stacked boxes.

8.8.4 Development of an Industry Standard for Content Restraint. Due to the lack of
available information on the earthquake performance of merchandise stored on storage racks, it
is recommended that an industry-approved standard be developed under the leadership of RMI.
This chapter is intended to serve as a basis for such a standard.




                                                                                                     93
Chapter 8




94
                                           Chapter 9
        SUGGESTIONS FOR STORAGE RACK INSTALLATION, OPERATION,
                     INSPECTION, AND MAINTENANCE



9.1 SCOPE

This chapter provides recommended guidance concerning the installation, operation, inspection,
and maintenance of steel storage racks in facilities accessible to the public. The primary focus is
the safe performance of storage racks and their contents during and immediately after
earthquakes through proper installation, operation, inspection, and maintenance.

Even in high seismic areas, nonseismic requirements and safety considerations may govern the
installation and operation of storage rack systems. The parties responsible for earthquake safety
should be aware of and sensitive to critical nonseismic requirements, including those that may be
outside the scope of the building code.

It is possible that more than one party may be responsible for specifying, purchasing, installing,
operating, and maintaining a storage rack system. When more than one party is responsible,
additional effort may be necessary to ensure coordination, enforcement, and documentation of
storage rack system requirements.

9.2 RESPONSIBILITIES OF INSTALLERS AND OPERATORS

9.2.1 Qualification and Training of Personnel. The storage rack system installer is responsible
for the qualifications and training of personnel performing the following functions:

     Storage rack system installation, configuration, and anchorage;
     Storage rack system reconfiguration; and
     Storage rack system additions and alterations.

The storage rack system operator is responsible for the qualifications and training of personnel
performing the following functions:

     Handling of materials stored on or near the racks,
     Securing of materials stored on or near the racks,
     Operation of vehicles and equipment in the vicinity of the racks,
     Inspection of racks, and
     Maintenance and repair of racks.




                                                                                                   95
Chapter 9


9.2.2 Documentation. It is recommended that the storage rack system installer have access to
the following documentation:

        Storage rack system load application and rack configuration drawings;
        Building floor original design criteria;
        Building floor reinforcing steel details, including post-tensioning, if applicable; and
        Storage rack system requirements for anchorage and floor capacity.

This documentation is invaluable for evaluating future additions, alterations, and
reconfigurations of the storage rack system. Such documentation may be maintained by another
responsible person.

It is recommended that the storage rack system operator maintain or have access to the following
documentation:

        Storage rack system load application and rack configuration drawings,
        Storage rack system requirements for anchorage and floor capacity,
        Requirements for storage rack system inspection and maintenance,
        Allowable limits for structural deficiencies that need not be corrected,
        Applicable prequalified procedures for repair of storage rack system damage, and
        Requirements for securing storage rack system contents.

This documentation is invaluable for establishing and verifying compliance with requirements
and recommended practices.

As part of an overall risk management program, it may be desirable for the storage rack system
operator to maintain the following documentation in some manner:

        Training requirements and records for persons responsible for storage rack system
         operation, inspection, maintenance, and repair;
        Records of storage rack system inspections and maintenance; and
        Records of storage rack system damage and repairs.

This documentation may be valuable in identifying problems and for improving operations.

9.3 INITIAL INSTALLATION

The storage rack system installer is responsible for the proper installation of the storage rack
system. The storage rack system installation should conform to approved construction
documents and the rack manufacturer's recommendations.

9.3.1 Storage Rack System Configuration. The configuration and arrangement of racks
should comply with the applicable load application and rack configuration drawings for the
system. See Sec. 1.4.4 and 1.4.5 of RMI Standard -- ANSI MH 16.1-04 Specification for the
Design, Testing, and Utilization of Industrial Steel Storage Racks.



96
                      Suggestions for Storage Rack Installation, Operation, Inspection, and Maintenance


9.3.2 Building Floor Capacity. The building floor and the soil that supports it must have
adequate strength to carry the loads applied by the storage rack system. See Chapter 6 for
guidance.

9.3.3 Storage Rack System Anchorage. Most storage rack systems are connected to the floor
by anchors installed in holes drilled into the hardened concrete. See Chapter 6 for guidance on
anchorage.

9.3.4 Occupancy Related Requirements. The configuration and arrangement of racks also
should comply with nonstructural requirements including those concerning exiting and fire
safety.

9.3.5 Plaques. All storage rack system installations should display in one or more conspicuous
locations a permanent plaque that legibly identifies the allowable loads and load configurations.
See Sec. 1.4.2 of the RMI Standard -- MH 16.1-04 Specification for the Design, Testing, and
Utilization of Industrial Steel Storage Racks.

9.3.6 Permits. When required by the authority having jurisdiction, a permit should be obtained
prior to the installation of the storage rack system.

9.4 ADDITIONS, ALTERATIONS, AND RECONFIGURATIONS

Additions, alterations, and reconfigurations should meet the same requirements as the original
installation. Additions, alterations, and reconfigurations that are outside the limits of the original
load application and rack configuration drawings should be designed or approved by a registered
design professional knowledgeable about storage rack systems.

In many jurisdictions, the installation of storage racks requires a permit which entails the
submittal of construction drawings and structural calculations, typically stamped and signed by a
registered professional engineer. At the time of application, the racks should have been designed
for specific rated loads applicable to specific structural configurations. Each of these conditions
should be identified by appropriate load application and rack configuration drawings. For each
configuration, the rack should be designed to support its rated load without exceeding its
capacity.

After the initial installation, it may be necessary to reconfigure some of the racks to store
merchandise differently than originally envisioned. One of the significant safety concerns with
storage racks, particularly in warehouse retail stores, is that store personnel will reconfigure the
racks without the benefit of oversight by the original designer or another similarly qualified
professional. Although some changes to a rack configuration can be trivial, such as moving
beams up or down a few inches, other changes can be quite significant. For example, if beams
are removed from the lower levels, the seismic moments on the columns, beams, and
connections can increase substantially and the seismic safety of the storage rack system can be
seriously compromised. For this reason, additions, alterations, and reconfigurations that are
outside the limits of the original load application and rack configuration drawings need to be
designed or approved by a registered design professional.



                                                                                                    97
Chapter 9


9.4.1 Documentation. Revised load application and rack configuration drawings should be
provided for additions, alterations, and reconfigurations that are outside the limits of the original
load application and rack configuration drawings. See Sec. 9.4.2.

9.4.2 Plaques. Revised storage rack system plaques should be provided for storage rack system
loading conditions that exceed the limits of the original storage rack system plaques. See Sec.
9.4.6.

9.4.3 Permits. When required by the authority having jurisdiction, a permit should be
obtained for storage rack system additions, alterations, and reconfigurations that are outside the
limits of the original load application and rack configuration drawings. The permitting
requirements of the authority having jurisdiction for such situations should be clearly understood
by those responsible for ordering the addition, alteration, or reconfiguration.

9.5 STORAGE RACK SYSTEM OPERATION

The storage rack system operator is responsible for the safe operation of the storage rack system.
For additional guidance, see the RMI Standard -- ANSI/MH 16.2 Standard for the Use of
Industrial Steel Storage Racks.

9.5.1 Material Storage. All material stored on, under, or adjacent to a storage rack system
should be dealt with in a safe manner. Requirements concerning exiting and fire safety should
be met. Blockage of exits and other means of egress may be a fire code violation and also may
indicate that the storage rack system capacity is inadequate.

9.5.2 Securing of Contents. Items that can slide or overturn during normal operations or during
an earthquake should be secured in manner that prevents sliding and overturning. See Chapter 8.
The methods and procedures for securing contents should be documented. Persons responsible
for storing the contents should be trained to properly secure the contents in accordance with the
documentation.

9.5.3 System Protection from Damage. It is recommended that wherever a storage rack
system is particularly susceptible to damage by vehicles or other equipment, collision protective
devices, such as bollards or guards, should be provided. The protective devices should be
appropriate for the vehicles and other equipment operated near the racks. See Commentary Sec.
1.4.9 of the RMI standard -- ANSI MH 16.1-04 - for additional guidance regarding resistance to
minor impacts.

9.5.4 System Protection from Vandalism. Wherever a storage rack system is susceptible to
damage by theft of essential components, defensive measures (e.g. such as installation of
tamper-resistant fasteners or increased frequency of inspection) should be implemented.

9.5.5 Reporting of Observed Deficiencies. Storage rack system operators who observe
deficiencies outside of scheduled inspections should document the problem and report it to the
designated person responsible for initiating the correction of deficiencies. The intent of this
recommendation is to encourage storage rack system operators to be aware of the condition of
the rack and to initiate actions to correct obvious deficiencies in a timely manner.


98
                     Suggestions for Storage Rack Installation, Operation, Inspection, and Maintenance


9.6 INSPECTION AFTER INITIAL INSTALLATION

The storage rack system operator should establish and implement a program of regularly
scheduled storage rack system inspections. The inspections should be performed by a qualified
person retained or employed by the storage rack system operator. The inspections should follow
a written inspection plan, and each inspection should be documented.

9.6.1 Inspection Schedule. The time between scheduled rack inspections may vary, depending
on the conditions of use. All storage rack systems should be inspected at least annually and after
each damaging earthquake or other damaging event. The inspection schedule should be
documented.

9.6.2 Scope of Inspection

The inspector should inspect the entire storage rack system for conformance to approved load
application and rack configuration drawings and the conditions of any applicable permits.

The inspector should inspect the entire storage rack system for the following structural
deficiencies:

      Missing, loose or damaged anchor bolts;
      Missing or damaged connection locking devices;
      Missing or damaged rack guards;
      Missing or damaged rack accessories;
      Damaged, dented, buckled, or bent rack framing members;
      Weld fractures that are detectable by visual inspection;
      Corrosion and other deterioration that may adversely affect structural capacity;
      Rack frame misalignment;
      Rack beam spreading or excessive deflection;
      Improper beam installation; and
      Floor damage that may adversely affect the support or anchorage of the storage rack
       system.

The inspector should examine the entire storage rack system for the following operational
deficiencies to the extent that they are observable at the time of inspection:

      Storage rack system overloading and other improper material storage,
      Use of pallets that are inappropriate for the storage rack system,
      Damaged pallets,
      Rack contents that are improperly or inadequately restrained,
      Missing or inadequate storage rack system plaques, and
      Obstructed aisles, inadequate lighting, or poor housekeeping.




                                                                                                   99
Chapter 9


Storage rack system deficiencies should be documented and reported to a designated person
responsible for initiating the correction of deficiencies. The storage rack system operator is
responsible for initiating the correction of deficiencies.

Configuration deficiencies should be corrected in a way that conforms to Sec. 9.3.2 or 9.4.

Structural deficiencies should be corrected in accordance with Sec. 9.7.

Operational deficiencies should be corrected by the storage rack system operator. Additional
training of personnel should be provided as necessary or appropriate.

9.7 STORAGE RACK SYSTEM MAINTENANCE AND REPAIR

The storage rack system operator is responsible for the maintenance and repair of the storage
rack system. For additional guidance, see the RMI standard -- ANSI/MH 16.2 Standard for the
Use of Industrial Steel Storage Racks.

9.7.1 Allowable Structural Deficiencies. Allowable limits for structural deficiencies that need
not be corrected should be as specified by the storage rack manufacturer or as determined and
documented by a registered professional engineer familiar with storage rack systems. Structural
deficiencies that exceed allowable limits should be corrected.

9.7.2 Repair and Replacement of Damaged Components. Damaged components that can be
readily replaced should be removed from service and replaced with undamaged components.
Damaged components that cannot be replaced should be repaired by qualified persons following
qualified and documented procedures. Repaired components should be at least as strong as
undamaged components. In general, the details of repairs should be designed by the rack
manufacturer or by a registered professional engineer familiar with storage rack systems.

9.8 INSPECTION AFTER EARTHQUAKES

Storage rack systems should be inspected after each earthquake that causes damage to structures
within the general vicinity of the storage rack system location. Specific guidance on post-
earthquake inspections is provided in Chapter 12. The first and primary purpose of post-
earthquake inspections is to protect lives and property. However, they also may be valuable in
documenting storage rack system performance so that demonstrated good performance and
potential areas for improvement can be identified.

9.8.1 Storage Rack System Repair. Damaged storage rack system components should be
inspected and repaired or replaced in accordance Sections 9.6 and 9.7.

9.8.2 Documentation of Storage Rack System Performance. Earthquake damage
and repairs should be documented in accordance with Sec. 9.2.3. Whenever possible, the
storage rack system operator is encouraged to share the storage rack system performance
data with third parties who have a legitimate interest in improving the seismic
performance of storage rack systems. The intent of this recommendation is to facilitate
the collection of earthquake performance data in a manner similar to that used by the
Earthquake Engineering Research Institute (EERI). RMI may be the appropriate

100
                     Suggestions for Storage Rack Installation, Operation, Inspection, and Maintenance


organization to collect this data. Pre-earthquake agreements with nondisclosure
provisions may be necessary to allow timely data collection without revealing sensitive or
confidential information.




                                                                                                 101
Chapter 9




102
                                           Chapter 10
    SUGGESTED CONSIDERATIONS FOR QUALITY ASSURANCE PROGRAMS



10.1 SCOPE

This chapter provides guidance for quality assurance programs for use during the design,
manufacture, installation, and operation of steel storage racks in areas accessible to the public.
The intent is to create a set of reference procedures and documents that will ensure the life safety
needs are met for steel storage racks located in such areas. See Chapter 9 for additional
requirements that should be integrated with a quality assurance program.

10.2 MINIMUM COMPONENTS OF A QUALITY ASSURANCE PROGRAM

It is recommended that each entity involved with the design, manufacture, installation, or
operation of steel storage racks have a documented quality assurance program. The minimum
requirements for these programs includes:

      Written quality control procedures with detailed activities. These documents should
       establish the acceptable criteria as related to a specific feature or aspect of the storage
       rack systems for which the responsible party has control or obligation.

      A written list of quality assurance procedures (e.g. testing and visual inspection).

      A specific schedule for implementing quality assurance procedures.

      A list of responsible parties, preferably by job title, of the internal and external (if
       applicable) personnel responsible for execution of the quality assurance program.

      A method of recording and verifying compliance with the quality assurance program for
       each production run or installation.

      A detailed inspection and audit plan to ensure compliance with the quality assurance
       program.

10.3 QUALITY ASSURANCE FOR RACK SYSTEM DESIGN

Each storage rack system should be designed by or through a registered design professional.
Drawings, specifications, and structural calculations for the rack system should be provided to
the owner of the racking system and, where appropriate, to the authority having jurisdiction
(AHJ) in accordance with applicable building code and jurisdiction requirements.




                                                                                                     103
Chapter 10


10.4 QUALITY ASSURANCE FOR STORAGE RACK SYSTEM MANUFACTURE

Quality assurance for rack system manufacture is the responsibility of the rack system
manufacturer. The rack system specifier or purchaser should select a manufacturer that has a
documented and verifiable quality assurance program that ensures manufacture in accordance
with the rack system design requirements and RMI standards.

10.5 QUALITY ASSURANCE FOR STORAGE RACK SYSTEM INSTALLATION

The owner or purchaser should implement a quality assurance program for rack system
installation. Where required, building permits from the AHJ should be obtained prior to rack
system installation. The quality assurance program should be created by the rack system owner
or purchaser in conjunction with the manufacturer and the registered design professional. At a
minimum, the quality assurance documentation should contain the following items:

         Installation and erection instructions from the provider.

         Additional installation and anchorage instructions from the registered design
          professional.

         Requirements of special inspection required by the AHJ as a condition of permitting.

         Written documentation stating that the racking is installed in accordance with all
          requirements. This document and a final inspection should be prepared by a qualified
          person employed by the owner.

         Limits on rack reconfiguration and loading beyond which the involvement from the
          registered design professional is required.

10.6 QUALITY ASSURANCE FOR STORAGE RACK SYSTEM OPERATION

The storage rack system operator should implement a quality assurance program for rack system
operation and maintenance. The quality assurance program and its quality control components
and procedures, including documentation requirements, should be created through a
collaborative effort of the rack system manufacturer, owner or operator, and registered design
professional.




104
                                          Chapter 11
                      REVIEW OF PAST SEISMIC RESEARCH ON
                   STORAGE RACK SYSTEMS AND SUBASSEMBLIES


11.1 SCOPE

Experimental and analytical studies of the seismic performance of storage racks has been scarce
and the results often are proprietary; and consequently, they have not significantly influenced the
development of codes and regulations related to storage rack systems. In this chapter, available
results from experimental and analytical investigations on the seismic response of storage racks
are briefly reviewed. Gaps in knowledge requiring further research studies also are identified.

11.2 REVIEW OF EXPERIMENTAL RESEARCH

Experimental research related to the seismic behavior of storage racks can be categorized into
different types of testing procedures:

          Cantilever testing of subassemblies in which quasi-static cyclic loads are applied to
           beam-to-upright connections.

          Portal testing of subassemblies in which beam and uprights portal subassemblies are
           loaded laterally to simulate seismic loading.

          Quasi-static testing of storage rack systems for which completely loaded storage
           racks are loaded laterally to simulate seismic loading.

          In-situ dynamic testing of storage rack systems with small shakers or under ambient
           vibrations in order to obtain their dynamic characteristics (e.g., natural periods and
           damping).

          Shake-table testing of storage rack systems for which completely loaded storage racks
           are excited by recorded or artificially generated ground motions.

          Testing of cold-formed steel members and structures from which most storage racks
           are built.

          Testing of merchandise.

Table 11-1 lists the experimental investigations documented in the public literature that have
used the various testing techniques. The major conclusions obtained from these experimental
investigations are reviewed briefly below.




                                                                                                 105
Chapter 11



              Table 11-1 Investigations of Storage Rack Systems and Subassemblies

      Year   Authors                     Testing Types (Number of Specimens)
      1973   John A. Blume &             In-situ dynamic tests (19)
             Associates
      1979   Krawinkler et al.           Cantilever tests (20), portal tests (6), quasi-static
                                         tests of storage rack systems (4), dynamic tests (2)
      1980   Chen et al.                 Shake-table tests (4), merchandise tests (2)
      2001   Bernuzzi and Castiglioni    Cantilever tests (22)
      2001   Filiatrault                 Shake-table tests with real merchandise (5)
      2003   Castiglioni et al.          Shake-table tests (4)
      2004   Higgins                     Cantilever tests (22)
      2004   Filiatrault                 Shake-table tests (4)

11.2.1 Cantilever Testing of Storage Rack Subassemblies. The lateral stiffness of storage
rack systems in the down-aisle (moment-resisting frame) direction is greatly influenced by the
distortions that occur at the beam-to-upright (post) connections. For analytical modeling
purposes, these distortions often are represented by simple rotational spring elements inserted
between the beam ends and the upright center line. The rotational spring constant to be used in a
numerical model can be obtained from moment-rotation relationships between a beam end and
an upright using the so-called cantilever test method (RMI 2002).

Krawinkler et al. (1979) performed cantilever tests on 20 different beam-to-upright
subassemblies of standard pallet racks. In all connections, the beam ends were welded to angle
connectors that, in turn, permitted connection to perforations on the upright through either hooks
(Type A) or button grips (Type B). The experimental results indicated that because of local
deformations at the beam-to-upright connections, moment-rotation hysteretic loops have a
pinched shape similar to that obtained for reinforced concrete elements with high shear. Low
cycle fatigue phenomena also may affect the strength and ductility of beam-to-upright and
upright-to-floor (base plate) connections. The strength of the Type A subassemblies was limited
by the capacity of the hook-type grips that started to pull out of the upright perforations. In the
Type B subassemblies, fracture of the fillet weld between the beam and the connection angle
limited the moment capacity.

More recently, Bernuzzi and Castiglioni (2001) performed a series of 11 monotonic and 11
cyclic tests on two different types of beam-to-upright connections used in Europe. The
experimental results obtained from the monotonic tests indicated that the connections were
characterized by ductile behavior. None of the test specimens failed before the maximum
achievable rotation by the testing equipment was reached. This maximum rotation was way
beyond practical design values. The results of the cyclic tests exhibited pronounced pinching
behavior associated with slippage and plastic deformations of the connectors leading to
significant reduction energy dissipation capacity with increasing number of response cycles.

Quasi-static testing was recently conducted on 22 different types of interior beam-to-upright
subassemblies (Higgins 2004). The test data indicate that beam-to-upright connections exhibit


106
                         Review of Past Seismic Research on Storage Rack Systems and Subassemblies


very ductile and stable behavior with rotational capacities beyond the values observed during
shake-table tests and expected from a design seismic event. The hysteretic responses of some of
the tested beam-to-upright connections, however, exhibited significant pinching similar to those
tested by Bernuzzi and Castiglioni (2001).

Sarawit and Pekz (2003) recently proposed a new beam-to-upright connection test to replace
the cantilever test method. The actual frames bending moment-to shear force ratio is better
represented in this proposed test method than the current cantilever test.

11.2.2 Portal Testing of Storage Rack Subassemblies. The moment-rotation characteristics
obtained from the cantilever test method described in the previous section is highly dependent on
the bending moment-to-shear force ratio applied to the beam-to-upright connection. In fact, this
ratio varies continuously during the application of seismic lateral loading to a storage rack in its
down-aisle direction and loaded with merchandise. In order to better represent the bending
moment-to-shear force ratio in a beam-to-upright connection, the portal test method has been
proposed. In this testing procedure, a portal assembly of generally one beam connected to two
uprights is solicited by static gravity loads on the beam and by lateral loads on one of the upright
at the elevation of the beam. Moment-rotation at both beam-to-upright connections can be
monitored during the tests.

Krawinkler et al. (1979) performed six portal tests on three different beam-to-upright
subassemblies of standard pallet racks. Four types of beam-to-upright connections were
investigated. In all connections, the beam ends were welded to angle connectors which in turn
permitted connection to perforations on the upright through either hooks (Type A) or button
grips (Types B and C). In Type D connection, additional connectors were used to join the
connector angles to the uprights. It was found that the global hysteretic response of the
subassemblies was relatively insensitive to the gravity loads induced by the merchandise. When
the moment-rotation hysteretic loops of the beam-to-upright connections were compared to that
of the cantilever tests described in the previous section, it was observed that the loops from the
portal tests exhibited a significantly higher initial stiffness. This result confirmed that moment-
rotation characteristics of beam-to-upright connections depends on the bending moment-to-shear
force ratio that is significantly higher in the portal tests due to the presence of the vertical
merchandise loads.

11.2.3 Quasi-Static Cyclic Testing of Complete Storage Rack Systems. Quasi-static cyclic
testing of complete storage racks represents an efficient experimental procedure to study the
interaction between beams, uprights and connections under gravity (merchandise) loads and
simulated seismic lateral loads. The beams of the racks are loaded by either concrete blocks on
pallets or real merchandise and hydraulic actuators apply lateral loads to the uprights at the
various beam levels. With this testing procedure, racks can be tested separately in their down-
aisle or cross-aisle directions.

Krawinkler et al. (1979) performed four quasi-static tests of complete three-story storage racks.
Two tests were performed in the down-aisle direction and two others were performed in the
cross-aisle direction. The first two rack specimens contained hook beam-to-upright connectors,
while the two others incorporated button grip connectors. The lateral load was applied only at



                                                                                                107
Chapter 11


the top level of the racks. The global hysteretic response of the racks along the down-aisle
direction was characterized by a nonlinear pinched hysteretic shape similar to that obtained in
reinforced concrete flexural members with high shear. It was observed that for constant lateral
displacement amplitudes the second load cycle led to a significant decrease in energy dissipation
capacity while the third cycle was practically identical to the second one. Failure in the down-
aisle direction was typically initiated by weld cracking between the beam ends and the connector
angles. It was noted that this weld cracking in the cyclically loaded racks occurred at smaller
lateral displacements than in the monotonically loaded racks. When weld cracking was adverted,
the ductility of storage racks in their down-aisle direction depended strongly on the axial load
ratios in the uprights. For small axial load ratios, a very ductile behavior characterized by
flexural plastic hinging in the uprights was achieved. It also was found that second order (P-)
effects greatly affected the lateral strength and stiffness of storage racks in the down-aisle
direction. Finally, it was found that the ductility and energy dissipation capacity of storage racks
is much larger in the down-aisle moment-resisting direction than in the cross-aisle braced frame
direction.

11.2.4 Dynamic In-Situ Testing of Storage Rack Systems. The first published in-situ
dynamic investigation of storage racks was performed in the mid 1970s at various distribution
centers in the San Francisco Bay Area (John A. Blume & Associates 1973). Ambient and man-
made vibration measurements were applied to representative steel industrial storage racks of the
standard pallet, drive-in and drive-through, cantilever, and stacker crane types for the purpose of
obtaining range of natural periods and damping ratios. The ambient vibration and man-made
excitation measurements generated average response accelerations at the top of the racks on the
order of 0.005g and 0.015g, respectively. The experimental results indicated that the
fundamental translational period of storage racks could not be predicted well by the empirical
formula used to characterized building periods in the 1973 edition of the Uniform Building Code.
Measured fundamental periods over a range of actual merchandise loading conditions averaged
0.6 sec in the down-aisle direction, and 0.2 sec in the cross-aisle direction. Torsional periods
averaging 0.4 sec were identified in many of the rack configurations. It was noted that these
period values would increase at least by 20 percent under response amplitudes representative of a
large earthquake. Measured structural damping ratios for storage racks averaged 2 to 3 percent
of critical at root-mean-square response acceleration levels of 0.01-0.02g. It was noted that these
damping values would increase at least by a factor of 2 under response amplitude representative
of a large earthquake for which significant energy dissipation would occur due to rocking,
slippage and interaction of stored merchandise. Thus, it was concluded that a damping ratio of 5
percent of critical would be a reasonable value for storage racks under seismic excitations.

Krawinkler et al. (1979) subjected two full pallet rack assemblies loaded with gravity loads to
forced and free vibration tests to obtain information on natural frequencies, mode shapes and
damping characteristics in the down-aisle and cross-aisle direction. Measured fundamental
periods averaged 0.7 sec in the down-aisle direction, and 0.5 sec in the cross-aisle direction. The
vibration decay obtained from the free-vibration tests in the down-aisle direction exhibited a
textbook example of Coulomb-type friction decay. At large amplitudes, the friction between the
grip-type connectors and the perforations in the uprights caused significant damping (on the
order of 2.5 to 3.5 percent of critical). Once the connectors locked up at smaller amplitudes, the
damping dropped drastically to a very small value (on the order of 0.7 percent of critical). The



108
                          Review of Past Seismic Research on Storage Rack Systems and Subassemblies


damping characteristics in the cross-aisle direction was more constant with vibration amplitudes
(on the order of 1 to 2 percent of critical).

11.2.5 Shake-Table Testing of Storage Rack Systems. Shake-table testing for which complete
storage rack systems are loaded with real merchandise represents the most direct experimental
procedure to assess their seismic behavior. Unfortunately, this type of testing is expensive
compared to other testing procedures and only a very limited number of shake-table studies on
storage racks have been performed to date.

The first published shake-table studies on storage racks in the United States, was performed in
the late seventies on the 20-ft-square shake-table at the University of California, Berkeley (Chen
et al. 1980a, 1980b, 1981). Four types of full-scale industrial steel storage racks were subjected
to scaled ground motions actually recorded during two California earthquakes (1940 El Centro
and 1966 Parkfield earthquakes). The ground motions were scaled so that the resulting base
shear coefficients about equaled the design base shear coefficients found in the 1979 edition of
the Uniform Building Code of ordinary moment frames (with K= 1.0) for buildings in the down-
aisle directions and ordinary brace frame for buildings (with K=1.33) in the cross-aisle direction.
The types of storage racks tested were: single standard pallet racks, back-to-back pallet racks,
drive-in racks, and stacker racks. In general, the storage racks performed well during the tests
with the exception of the drive-in stacker racks in the cross-aisle direction, for which
considerable buckling was observed in the first story diagonal members. The fundamental
periods of vibration ranged from 2-3 sec for the standard pallet and drive-in racks in the down-
aisle direction and 0.5-1.0 sec for the standard pallet, drive-in, and stacker racks in the cross-aisle
direction. The first mode damping values were much larger in the down-aisle direction (on the
order of 3 to 9 percent of critical) than in the cross-aisle direction (0.5 to 3 percent of critical). It
was also observed that the ductility and energy dissipation capacity of the racks were much
larger in the down-aisle, moment resisting frame direction than in the cross-aisle, braced frame
direction. Therefore, the racks could undergo significant inelastic deformations without
suffering major damage in the down-aisle direction, but could only develop limited amount of
inelastic deformations in the cross-aisle direction. Second order (P-delta) effects contributed
significantly to the response of the racks in the down-aisle direction.

More recently (Filiatrault 2001), five different back-to-back pallet racks loaded with real
merchandise were tested on a uniaxial shake-table under a single component, scaled at various
amplitudes, of the ground motion recorded at Canoga Park during the 1994 Northridge
earthquake in California. Three of the tests were conducted in the cross-aisle direction, while the
two other tests were conducted in the down-aisle direction. In general, the racks performed well.
Significantly more flexibility, ductility, and energy dissipation capacity were observed in the
down-aisle direction than in the cross-aisle direction. The fundamental periods of vibration
averaged 1.4 sec in the down-aisle direction and 0.6 in the cross-aisle direction. No structural
damage occurred in any of the rack configurations for peak ground motion amplitudes less than
0.42g.

Castiglioni et al. (2003) performed shake-table tests of four full-scale steel storage pallet racks
loaded by concrete blocks mounted on pallets simulating content merchandise. The four
specimens were chosen among six structures designed by two different European manufacturers



                                                                                                     109
Chapter 11


based on the Eurocode 8. The experimental results indicated that sliding of pallets occurred for
ground motion intensities less than the design levels. Also, the diagonal bracing configuration in
the down-aisle and cross-aisle directions has a significant influence on the seismic response of
steel storage pallet racks. In particular eccentric bracing configurations can lead to significant
torsional response. The authors stressed the importance of a regular configuration of bracing
systems.

A shake-table study was recently conducted at the University at Buffalo on four different pallet
rack configurations incorporating bolted beam-to-upright connections (Filiatrault et al. 2004).
All racks were tested in the down-aisle direction. The main objectives of the tests were to:

         Determine the variations of in-plane dynamic characteristics of the industrial storage
          racks during service life.

         Deduce average beam-to-upright rotational stiffness from measured in-plane fundamental
          period of racks.

         Evaluate the response of storage racks under strong ground motions.

The test results indicated that the rotational stiffness of beam-to-upright connections is the main
factor influencing the down-aisle seismic response of pallet racks. The initial values obtained for
the rotational stiffness of beam-to-upright connections are two to three times higher than values
used in current design. These values reduce with the amplitude of vibration but generally return
to their initial values once the pallets rack return to its undeformed position. Furthermore, very
ductile seismic behavior was observed in the down-aisle direction with peak interstory drifts
exceeding 7 percent without any sign of incipient collapse.

11.2.6 Experimental Research on Cold-Formed Steel Members. The lateral load-resisting
systems of storage racks often include cold-formed steel bracing members. Therefore, research
information related to the behavior of cold-formed steel structural members and systems have
influenced the design of storage racks (RMI 2002). The reader is referred to more specialized
references regarding the general behavior of cold-formed steel members and systems under
seismic loading (Rhodes 1991, AISI 1996). In this section, only investigations available in the
public domain on the seismic behavior of cold-formed steel members typically used in storage
racks are briefly reviewed.

Cheng (1973) performed axial load tests on cold-formed steel open sections used as primarily
load carrying structural members in storage racks. It was observed that local torsional flexural
buckling is the primary mode of failure for axially loaded perforated open section segments. An
analytical expression was proposed to predict the axial load carrying capacity of these members.

Kotha and Pekz (2000) studied the behavior of cold-formed pallet storage racks with semi-rigid
beam-to-upright connections and with flexible upright bases through finite element analyses. A
general moment-rotation relationship was established to model the beam-to-upright connection
stiffness of pallet storage racks. Also, the upright base flexibility caused by base plate bending




110
                         Review of Past Seismic Research on Storage Rack Systems and Subassemblies


was quantified. Guidelines were provided to carry out nonlinear finite element analysis of
storage racks accounting for these influencing parameters.

11.2.7 Testing of Merchandise. As part of the shake-table testing conducted by Chen et al.
(1980a), the seismic response of a two-story, one bay wide, one bay deep rack was obtained for
two different cases: (a) the case in which the merchandise was tied with metal straps to the rack
beams, and (b) the case in which the merchandise was not fastened to the rack. For the purpose
of this investigation, eight types of merchandise with different geometry and weight were
considered. The tests were conducted with scaled ground motions that resulted in base shear
coefficients that were about the same as code level base shear coefficients for buildings. The
results of the tests indicated that neither merchandise nor wood pallets fell off the racks during
the tests. Only some uppermost paper products and canned goods moved slightly during the tests
in the down-aisle direction. It was found, however, that the seismic response of the racks
without the merchandise tied up to the beams was smaller compared to that of the same rack with
the contents rigidly attached to the beams. This response reduction was particularly obvious
during the strongest portion of the response. Low amplitude free vibration tests also indicated
that the damping was slightly higher for the case where the merchandise was not tied up to the
rack.

The shake-table tests conducted recently by Filiatrault (2001) also included real merchandise. It
was clearly demonstrated that the use of plastic wrap was a very efficient mean of restraining the
merchandise from falling off the racks. No fallen merchandise was observed for ground motion
amplitude less than 0.30g. Significant slippage of heavy merchandise on pallets was observed
but no pallet overturned during any of the tests. However, tall merchandise items (e.g., water
heaters) were shown to be vulnerable to overturning and need of restraint.

11.3 REVIEW OF ANALYTICAL AND NUMERICAL RESEARCH

As evidenced by the experimental research reviewed previously, the seismic response of storage
racks in the down-aisle direction is strongly affected by the nonlinear moment-rotation response
of the beam-to-upright connections. In the cross-aisle direction, on the other hand, the seismic
response of storage racks depends on the characteristics of the bracing members used in the truss
configuration. Therefore, numerical models that have been used to predict the seismic response
of storage racks incorporate these different lateral load-resisting systems to various degrees. The
analytical and numerical research related to the seismic behavior of storage racks can be divided
into two different types of models:

      Linear models for which the moment-rotation response of beam-to-upright connections is
       linearized by simple linear rotational springs representing secant properties at the
       anticipated response level of the storage racks. For dynamic analysis, an equivalent
       linear viscous damping model is also used to represent the energy dissipation of these
       same connections during inelastic actions.

      Nonlinear models for which the nonlinear response of beam-to-upright connections is
       followed over the time-history response of storage racks by the use of nonlinear moment




                                                                                               111
Chapter 11


       rotation hysteretic rules. This nonlinear modeling is used mainly for research purposes
       and rarely in design situation.

11.3.1 Linear Modeling of Storage Rack Systems. John A. Blume & Associates (1973)
developed and analyzed equivalent lumped mass numerical models representing selected storage
racks in order to compare their predicted fundamental periods to in-situ measured values. Pinned
upright bases were assumed for all rack configurations except for the cross-aisle direction of
cantilever racks. Rigid beam-to-upright connections were assumed in the down-aisle direction.
Reasonable agreement was achieved between measured and computed storage fundamental
periods.

Chen et al. (1980a) conducted frequency analyses of linear mathematical models in order to
compare calculated periods of vibration and mode shapes with those observed during low-
amplitude shaking table tests and pull-release free-vibration tests that they conducted, as
described in Sec. 6.2.5. These calculated periods and mode shapes then were used to perform
response spectrum analyses. The calculated fundamental periods of vibration were also used to
determine the base shear coefficients according to the 1973 edition of the Uniform Building Code
and to the ATC-3 procedure (ATC 1978). It was found that two-dimensional models with
minimum net section properties and centerline dimensions were adequate for practical purposes.
Modeling parameters such a semi-rigid beam-to-upright and base connections should be
considered in theoretical predictions of rack response. It was also found that in the down-aisle
direction, the lateral forces determined by the 1973 edition of the Uniform Building Code were
roughly equivalent to those obtained from response spectrum analyses with intensity levels
slightly more than 50 percent of the 1940 El Centro and 1966 Parkfield earthquake records. In
the cross-aisle direction, however, the code lateral forces were approximately equivalent to 25
percent to 50 percent of the El Centro and Parkfield records. In the cross-aisle direction the
lateral forces predicted by the UBC were higher than those predicted by the ATC-3 (ATC 1978)
procedure. Opposite results were obtained in the down-aisle direction.

John A. Blume & Associates (1987) performed static and response spectrum analyses to
investigate the applicability of the eccentric braced frame concept (Roeder and Popov 1978) to
storage racks in order to improve their seismic behavior in the cross-aisle direction. The results
of the study indicated that aside from a considerable savings in steel material, the eccentric
bracing system could undergo significantly more inelastic deformations without structural
instability than conventional bracing systems. Although the analytical results were promising,
the authors recommended also that experimental investigations needed to be conducted before
implementing the eccentric bracing system in storage racks. Such experimental results are not
available to date.

11.3.2 Nonlinear Modeling of Storage Rack systems. Chen et al. (1980b) developed also two-
dimensional nonlinear numerical models for standard pallet racks in both down-aisle and cross-
aisle directions and compared their predictions to the results obtained from shake-table tests, as
described in Sec. 6.2.5. In the down-aisle direction, semi-rigid beam-to-upright connections and
semi-fixed upright bases were assumed in evaluating their initial stiffness. Bilinear moment-
rotation hysteretic rules were considered for the semi-rigid beam-to-upright connections. Second
order (P-delta) effects also were considered in the time-history dynamic analyses. Good



112
                         Review of Past Seismic Research on Storage Rack Systems and Subassemblies


agreement was observed between the predicted and experimental results. In the cross-aisle
direction, the stiffness of the connections between the beams and the uprights was adjusted in the
model to simulate the observed local deformations. Again, the responses predicted by the model
were in good agreement with the experimental results.

Baldissino and Bernuzzi (2000) conducted a numerical study on the lateral-load response of steel
storage pallet rack systems commonly used in Europe. The results confirmed that the nonlinear
rotational behavior of beam-to-upright connections influenced significantly the response of
storage rack systems in the down-aisle direction. Also, the numerical investigation confirmed
the significant influence of the base plate connections on the overall rack response in both
directions. The authors pointed out the need for test data on the nonlinear moment-rotation
behavior of base upright connections.

11.4 RESEARCH NEEDS

As presented in this brief review, the current engineering knowledge base concerning the
earthquake safety and vulnerability of storage racks is 20 to 30 years old and is limited to
contents and racks unlike many modern applications. The retail industry and the state-of-the art
of the design of storage racks have changed considerably in the interim. Large chains of stores
now routinely invite the public to shop in physical environments that formerly were only found
in warehouse occupancies, racks have more complex configurations and are taller, and their
contents have become heavier. These facts clearly pinpoint to urgent research needs related to
the seismic behavior of storage rack systems. In this section, experimental and analytical
research that is perceived to be the most urgently needed is briefly listed.

11.4.1 Experimental Research Needs. Only two full-scale shake-table testing investigations of
storage racks fully loaded with contents have been performed in the United States (Chen et al.
1980a, 1980b, 1981; Filiatrault 2001) and only three reported worldwide. There is an urgent
need to increase the experimental database on the seismic response of complete storage rack
systems through shake-table testing. The main variables that need to be investigated in such
experimental programs are:

          The layout and types of storage racks representing current construction practices and
           innovative systems such as eccentric bracing.

          The layout and types of merchandise contents.

          The types of seismic restraints (e.g., plastic wraps, screens, ledges, etc.) for contents.

          The structural interaction between neighboring racks.

          The direction of the horizontal seismic input, relative to the rack's orientation
           (transverse, longitudinal, or non-orthogonal).




                                                                                                 113
Chapter 11


            The characteristics of the input ground motions, including consideration of whether
             vertical accelerations must be characterized and near-field motions, and relating these
             input motions to seismic hazard mapping and codes in use in the United States.

As demonstrated by available experimental and analytical results, the seismic response of storage
racks in their down-aisle direction is strongly affected by the nonlinear response of the beam-to-
upright and base plate connections. Since numerous variables enter in the design of these
connections, an experimental parametric study on the cyclic response of beam-to-upright and
base plate connections is urgently needed.

While the needs of the down-aisle direction are urgent, testing needs in the cross-aisle are even
more urgent since the understanding of this directions behavior is even less understood. Failures
of racks in earthquakes are most commonly reported as cross-aisle failures.

The information on the seismic response of merchandise contents installed in storage racks is
very limited. There is an urgent need to conduct shake-table studies of merchandise. For this
purpose, shake-table testing could be used to simulate the motions experienced by various levels
of storage racks during earthquakes. A robust numerical model would be required to develop
these input motions. Various merchandise items could be mounted on the shake-table via a rigid
assembly representative of the level on which they are mounted. Various types of merchandise
contents would be investigated experimentally under a large number of input motions
representative of several seismic hazard levels. With this procedure, experimental fragility
curves could be constructed for various types of merchandise content. Furthermore, these
fragility curves could be compared with the ones generated when various types of seismic
restraints are introduced. With this information, clear recommendations could be provided on
the types of seismic restraint to be used for a particular type of merchandise content.

11.4.2 Analytical Research Needs. There is a need to develop a general purpose computer-
based numerical model for the prediction of the seismic response of storage racks and contents.
The development of such a general-purpose model would require close coordination and
interaction with experimental work.




114
                                          Chapter 12
                 INSPECTION OF STORAGE RACKS AND RECOVERY
                     OF MERCHANDISE AFTER EARTHQUAKES



12.1 SCOPE

Storage racks located in seismic regions of the United States will periodically be subjected to
earthquake ground shaking. Earthquakes causing ground motions at design levels or greater will
test the limits of rack structural systems and may even cause the collapse of some racks and the
toppling of contents. This chapter provides guidance for the post-earthquake safety evaluation of
storage racks and their contents. The purpose of such inspections is to identify unsafe conditions
and prevent entry into hazardous areas. This chapter also provides guidance for the recovery of
merchandise from damaged racks.

The post-earthquake inspection guidelines given here are intended to be used by building
inspectors and engineers working for the local building department and making ATC-20 safety
evaluations of warehouse stores after a damaging earthquake. ATC-20, sponsored in part by
FEMA, is the de facto standard used for U.S. post-earthquake inspections. ATC-20, Procedures
for Post-Earthquake Safety Evaluation of Buildings, provides procedures and guidelines for
making on-the-spot evaluations and decisions regarding continued use and occupancy of
earthquake damaged buildings. Written specifically for volunteer structural engineers and
building inspectors, the report includes rapid and detailed evaluation procedures for inspecting
buildings and posting them as INSPECTED (apparently safe, green placard), LIMITED ENTRY
(yellow placard) or UNSAFE (red placard).

Also included are special procedures for evaluation of essential buildings (e.g., hospitals),
evaluation procedures for nonstructural elements and geotechnical hazard, and guidance on
human behavior following earthquakes. Rapid Evaluations are performed very quickly after an
earthquake, are often cursory in nature, and are designed to identify dangerous conditions
immediately. Detailed Evaluations usually begin a day or two after the earthquake when
sufficient members of structural engineers and specialists become available.

The merchandise recovery guidelines also provided in this chapter are intended to be used by
qualified store personnel to evaluate the condition of and recover merchandise from damaged
and collapsed racks.

12.2 POST-EARTHQUAKE HAZARDS

Earthquakes are typically followed by aftershocks. These are smaller but still potentially
dangerous earthquakes that follow the main shock. Aftershocks can happen minutes, hours, days
or even weeks after the main event. They can cause additional damage to damaged racks, and
may cause shifted or damaged contents to topple. Damaged racks can become further damaged
or even collapse, and unstable piles of merchandise in and near collapsed racks can shift
dangerously.



                                                                                               115
Chapter 12


During an earthquake, pallets and merchandise on decks as well as the restraints used to secure
them, may become damaged. This can create a falling hazard even when the racks are otherwise
undamaged.

12.3 POST-EARTHQUAKE INSPECTION OF STORAGE RACKS

12.3.1 Scope of the Inspections. Immediately following a damaging earthquake, local
jurisdictions will conduct safety evaluations of buildings in the damaged areas. This is normally
done according to the ATC-20 procedures. Inspections are typically made by building inspectors
and engineers from the local building department, often supplemented by volunteer structural
engineers or staff obtained from other jurisdictions through mutual aid pacts. After an inspection
and safety evaluation, buildings are posted with placards reading INSPECTED, RESTRICTED
USE or UNSAFE depending on the kind and severity of damage experienced. This is done to let
the owner, occupants and public know that the building has been inspected, and what its safety
status is. Unsafe areas are typically barricaded. Barricading is typically done with yellow
caution tape and, in the more hazardous situations, with wood barricades or chain link fencing.

ATC-20 inspections of warehouse stores will entail examination of both the building and the
storage racks for both structural (e.g., wall-roof separations) and nonstructural hazards (e.g.
falling hazards associated with damaged light fixtures or merchandise that has shifted on racks).
Because there is generally a shortage of structural engineers following earthquakes, many
inspections are made by building inspectors working for the local building department, often
supplemented by volunteer structural engineers. In general, the inspections are likely to be made
by personnel not very experienced in the design of the structure (or racks) that they are
inspecting.

The procedures given below are intended to be used solely for the inspection of storage racks
(ATC-20 provides procedures for buildings) and are intended to be used by those individuals
doing an ATC-20 rapid evaluation of a warehouse store. (These procedures also can be used by
qualified store employees to identify and deal with unsafe storage racks prior to the time an
ATC-20 inspection is done.)

Because of the difficulty of first finding and then judging the significance of structural damage to
rack systems, particularly beam-column connections, a structural engineer experienced in rack
design may be needed to evaluate damaged racks, or racks that have been subjected to high
levels of ground shaking. This latter inspection would correspond to an ATC-20 detailed
evaluation, which is the second and higher level of inspection according to the ATC-20
procedures.

12.3.2 Step-by-Step ATC-20 Rapid Evaluation Procedure for Racks. The following steps
should be followed when conducting an ATC-20 rapid evaluation of steel storage racks.

Step 1 -- Keep the public away:

         After a strong earthquake, the store manager should be requested to close the store to the
          public, until the building and racks can be examined and their safety assessed.



116
                           Inspection of Storage Racks and Recovery of Merchandise after Earthquakes


      All but essential store personnel should be kept out of rack areas (and other potentially
       unsafe areas).

Step 2 -- Get an overview of the situation:

      Walk around outside of the store. Make sure the building is safe before attempting entry.

      Survey the entire inside of the warehouse to get an overview of the situation. Do this
       before examining individual racks in detail.

      Be on the lookout for spills of hazardous or flammable materials. Treat spills of
       unknown materials as hazardous.

      Do not go into areas with imminent falling hazards (e.g., racks with unstable
       merchandise).

Step 3 -- Examine each rack:

      Examine the structural system of each rack. Refer to Figures 12-1, and 12-2 for guidance
       on where to look for damage. (Figure 12-3 shows inspection points for detailed
       evaluations but also may be used.)

      Observe the merchandise on the rack. Look for falling and other hazards (e.g., shifted
       merchandise that may fall in an aftershock).

      Repeat this process for all racks in the store.

Step 4 -- Actions to be taken:

      If serious structural damage is observed or suspected, call for an ATC-20 detailed
       evaluation by a structural engineer.

      In case of a spill of a known or suspected hazardous material, notify the local fire
       department.

      Barricade aisles with spilled merchandise. Keep all but essential personnel out of the
       area.

      Barricade aisles adjacent to leaning or seriously damaged racks.

      In general, stores with damaged racks should be posted RESTRICTED USE. The
       UNSAFE posting should be restricted to stores with collapsed racks, or racks still visibly
       moving more than half an hour after the latest aftershock, that threaten the safety of the
       entire building. Stores with a few damaged or collapsed racks may be posted
       RESTRICTED USE, with the unsafe areas barricaded. Stores with undamaged racks, but
       with spilled merchandise, can be posted Inspected provided there are no falling hazards


                                                                                                117
Chapter 12


            present and unsafe areas have been barricaded. (Storage racks may reenter limited
            service even if they are damaged so long as proper precautions and protective vehicles
            are used.)

           Be sure and note on the rapid evaluation assessment form and the ATC-20 placards (e.g.,
            INSPECTED, RESTRICTED USE, or UNSAFE) that the racks, as well as the building,
            have been inspected. Indicate their status and any required further actions (e.g., an ATC-
            20 detailed evaluation of questionable racks). (ATC-20 assessment forms and placards
            can be downloaded free from www.atcouncil.org).

           Inform the local jurisdiction and the store manager of the posting, including any
            recommendations for handling unsafe situations or the need for a subsequent Detailed
            Evaluation.




          Figure 12-1 Indicated above are the recommended post-earthquake inspection points for
           down-aisle (longitudinal) rack frames. Both front and back frames should be examined.




118
                       Inspection of Storage Racks and Recovery of Merchandise after Earthquakes




Figure 12-2. Indicated above are the recommended post-earthquake inspection points for
  cross-aisle (transverse) rack frames. Each frame should be examined.




                                                                                            119
Chapter 12


12.3.3 Guidance for ATC-20 Detailed Evaluations of Racks. An ATC-20 detailed evaluation
of storage racks should be done by a structural engineer, preferably one with rack design
experience. Alternatively, the store can retain a structural engineer to perform the ATC-20
Evaluation and report the results to the local jurisdiction.

Rack structural systems are relatively easy to inspect because the structural components are not
hidden from view by architectural finishes as in buildings. Because the structural members and
connections are relatively small compared to building systems, inspectors must look closely at
members and, particularly, connections to be able to detect significant structural damage. For
example, fillet welds may be only 1/8-inch in size and cracks may be difficult to find.

For the down-aisle (longitudinal) direction, it may be necessary to ask the store to unload decks
and disassemble some of the beam-column joints to fully assess whether structural damage has
occurred (e.g., sheared pins, incipient block shear failures at pin holes).

For the cross-aisle (transverse) direction, bracing and bracing connections need to be closely
examined. Major concerns are weld failures at bracing connections to columns and local
buckling of braces. Anchor bolts and column to base plate connections need to be checked for
tension (uplift) failures. It is not uncommon for mechanical expansion anchors to loosen slightly
even in the absence of earthquake forces. Anchors that retighten with one or two turns of the nut
have not failed and should remain in service.

Structurally damaged racks, including racks with a residual lean, should be repaired or replaced.
When this has been done, the RESTRICTED USE or UNSAFE posting can be removed,
provided of course that there are no other unsafe conditions left unmitigated.

The following guidelines are intended to assist the engineer doing a detailed evaluation in
determining if there is any serious hidden damage which might cause a future collapse if the
racks remain in service.

The racks should be standing straight and true to 1 part in 100 or roughly 1-1/4 inches deviation
from an ideal line in 10 feet of dimension. Thus, a 15 foot tall rack may be almost 2 inches out
of plumb either down aisle or cross aisle and remain in service if otherwise undamaged. Indeed,
as the racks are unloaded, they may straighten up. Displaced pallets should be repositioned
properly.

The following inspection points are shown in Figures 12-1, 12-2, and 12-3:

      Point 1, Posts -- Free of severe dents greater than approximately 4 times the material
      thickness, or dents in corners. The post should be straight, even if leaning, and not deviate
      more than 1 part in 100 from straight.

      Point 2, Base plate -- In firm contact with the slab, no ruptured or fractured welds.

      Point 3, Anchors -- Present and preferably with tight nuts or no looseness allowing uplift of
      the post. Checking all anchors for tightness is highly encouraged.2



120
                       Inspection of Storage Racks and Recovery of Merchandise after Earthquakes


Point 4, Braces -- Straight and true to 1 part in 120, with no deformations more than 4 times
the material thickness.

Point 5, Beams -- Straight and true in the 1 part in 180, no dents in the top surface of more
than 3/8 inch in the vertical or bottom surface.

Point 6, End connectors -- Not visibly bent or distorted, no ruptured or fractured welds, no
sheared or bent pins, locking pins are present and operational. Portions of posts receiving
connector pins should not be distorted more than 1/16 inch, and no block shears can be
present.

Point 7, Bracing connections -- No ruptured or fractured welds or bending of the elements
more than 4 times the thickness of the material.




Figure 12-3 Inspection points for an ATC-20 detailed evaluation of a rack. Numbers
refer to the inspection points listed above.



                                                                                            121
Chapter 12


Portions of racks failing the above criteria should be unloaded carefully from the top down if
possible, and tagged as unserviceable. Generally, the rest of the rack may remain in service,
provided access is restricted to persons with proper protection either by lift vehicles or other
means. Large open aisles (wider than twice the rack is tall) may be accessed by unprotected
persons, and materials may be brought out into these areas by the lift vehicles for picking if
desired and then replaced into the racks.

12.4 RECOVERY OF MERCHANDISE FROM DAMAGED RACKS

This section deals with the recovery of merchandise from racks that have been damaged or have
collapsed. The advice furnished below is intended to be used by those individuals directing the
store recovery effort and the removal of merchandise from damaged or failed racks.

12.4.1 Recovering Merchandise. Storage racks are unique in that they are normally serviced
by lift vehicles (e.g., forklifts) that enclose the operator in a robust protective cage.
Consequently, racks may frequently be accessed in a damaged state without undue risk to
personnel. This may be important because the racks may contain material essential to post
disaster relief such as food, medicines, building supplies, and tools. As with any potentially
hazardous situation, those involved must balance the life-safety risk of operating a storage rack
which has some damage against the public benefit of having the material available for disaster
recovery.

Storage racks are also redundant and tough structures. For example, it is not uncommon for an
entire front post of a rack to be destroyed, yet the rack is standing with no other signs of distress
due to interconnections between the uprights. If a rack is standing reasonably straight after an
earthquake, it generally may remain in service to persons operating in OSHA approved lift
vehicles that have protective cages. Areas of the racks which fail this inspection criteria may
still be unloaded and marked as unserviceable with the remaining areas of undamaged rack kept
operational.

12.4.2 Dealing with Collapsed Racks. When loaded racks collapse the racks are often
embedded within a pile of stored material, having been severely bent, twisted, and broken in the
process of failure. The adjacent aisles maybe completely blocked, and lift vehicles may not be
able to enter the area. The pile may still be moving, or may shift during aftershocks. Such racks
cannot reenter service and will need unloading by specialist crews and equipment.

In this situation, the main concerns are how far to cordon off the collapsed racks, and whether it
presents a hazard to the building. The store inspector should not underestimate the energy
contained in such piles. The forces they can generate are easily capable of severely damaging or
even destroying a building. There are no universal guidelines for these cases. However, if the
pile is unstable and still shifting about, the entire building should be evacuated. If the pile
appears stable, and the building is not otherwise damaged, it is recommended that the pile be
cordoned off for a horizontal distance approximately twice its height. The area beyond may then
remain in service.




122
                                      Chapter 13
                     SUMMARY AND RECOMMENDATIONS



13.1 OVERVIEW OF THE STORAGE RACK PROJECT

The Rack Project Task Group consisted of individuals with backgrounds in rack design
and manufacturing, structural engineering, public safety, and warehouse store
management. The Task Group made a significant effort over a limited time
(approximately nine months) to examine those factors that most affect the safety of the
public in warehouse-type stores during earthquakes. These are stores where the public
has access to merchandise stored on steel storage racks typically on pallets.

The project brought together individuals with diverse backgrounds with a common
interest in rack safety. Fortunately, the Task Group had access to recent full-scale shake-
table tests done at State University of New York (SUNY) Buffalo and limited access to
tests done at the University of California (UC) San Diego as well as some early shake-
table tests sponsored by the National Science Foundation (NSF) and RMI and done at the
University of California (UC) Berkeley in the late 1970s. Also, several individuals
contributed knowledge of actual performance of racks in earthquakes, including damage
photos and facts relating to the kinds of damage racks have experienced. This
information allowed the group to make thoughtful considerations regarding
recommendations for guidance.

The Task Group addressed the two principal seismic safety concerns with storage racks:
(a) whether the present rack design requirements are sufficient to reasonably prevent the
collapse of racks in earthquakes; and (b) whether present techniques for securing
merchandise in racks are adequate to reasonably prevent merchandise from toppling out
of racks. In delving into these two concerns, the Task Group found that storage rack
seismic safety also is dependent on rack construction, operation, and maintenance. It is
important that racks be designed properly, be constructed according to approved plans,
not be loaded beyond design limits, be inspected periodically, and be well-maintained
once in use. The Task Group findings on these topics are summarized below. In
addition, recommendations for future improvements are also provided.

13.2 SUMMARY

13.2.1 Adequacy of Present Storage Rack Seismic Design Requirements. The Task
Group found no evidence that the seismic design force levels given in current design
codes and standards (i.e., the 2003 IBC, ASCE 7-02, and 2003 NEHRP Recommended
Provisions) are inadequate, but it did find that the behavior of beam-column connections
in the down-aisle direction and brace-column connections in the cross-aisle direction is
much different than that anticipated or predicted by the structural analysis procedures
commonly used in rack design. However, the Task Group was uncertain whether the


                                                                                       123
Chapter 13


current seismic force levels and design practices were adequate to prevent rack collapse
for the maximum earthquake ground motion levels (maximum consider earthquake
levels) as is the case for buildings. The Task Group developed and has proposed in
Chapter 6 an optional displacement-based evaluation procedure to verify storage rack
stability when subject to maximum earthquake ground motions.

Racks are presently designed using an equivalent static seismic design criteria approach
similar to that for steel buildings. Recent shake-table tests at UC - San Diego and SUNY
- Buffalo have revealed that the dynamic behavior of racks can be quite different from
that for buildings principally because of the types of connections used behave in a semi-
rigid nonlinear manner. The differences are most significant in the down-aisle
(longitudinal) direction. Racks in this direction behave in nonlinear fashion and with
periods much longer than that determined from the approximate code period formulas.

Rack behavior in the cross-aisle (transverse) direction is similar to that of braced steel
frame structures except that the connections are frequently light-gage steel and these can
behave quite differently under extreme lateral loads than the structural steel shapes used
in buildings. In the case of racks, light-gage connections sometimes fail at welds at the
brace-to-column connection or braces buckle locally. When this happens, the stability of
the rack is of serious concern and depends on flexural action in the horizontal braces and
columns without participation of the lower level braces. Another concern is failure of
welds at post-to-base plate connection because this can lead to overturning of the rack.
Procedures for evaluating brace-frame connections need to be developed.

The current RMI standard (2002 edition), subsequently adopted as American national
standard ANSI MH 16.1 (2004), is out of date with regard to the seismic hazard maps and
load combinations and needs to be updated to be in conformance with the 2003 NEHRP
Recommended Provisions.

13.2.2 Securing Merchandise in Racks. Toppling merchandise is possibly the greatest
life-safety risk associated with storage racks in areas accessible to the public. Unsecured
items can fall from shelves and strike shoppers in aisles below.

Other than the 2001 California Labor Law, the Task Group did not find any publicly
available guidelines for securing merchandise to prevent it from toppling in earthquakes.
The California law requires that merchandise on shelves 12-feet and higher be secured to
pallets or be netted or otherwise restrained. The Task Group felt that the 12-foot height
limit was too high and that a lower height should be used. The figure of 8 feet was
agreed upon since heavier items falling from that height can result in injury.

The Task Group also found that the California law was fairly brief, and its provisions
could be expanded into a more general guideline for racks in high seismic regions.
Several methods are recommended in Chapter 8 to secure merchandise above 8 feet.
These include various techniques to fasten the merchandise to pallets as well as the use of
restraining devices such as netting, restraining bars, and chains to restrain individual
containers not on pallets.



124
                                                              Summary and Recommendations


13.2.3 Dangers of Unregulated and Unpermitted Racks. Ideally, storage racks in a
public access warehouse store are installed according to drawings prepared by a
registered design professional and have received a plan check and construction permit
from the local jurisdiction. However, the Task Group heard commentary that this is not
always done, although this issue is believed to not be of concern in public warehouse
applications involving large retail chain stores. It was felt that unregulated rack
installations (i.e., those installed without a construction permit from the local jurisdiction)
were more likely result in unsafe situations. The Task Group believes that this practice
needs to be controlled and that the responsibility for this rests with both the store operator
and the local jurisdiction.

13.2.4 Benefit of Periodic In-Use Inspections. Once a storage rack is installed in a
public access warehouse store, there are typically no further safety inspections by the
local jurisdiction unless the design is significantly altered beyond that permitted on the
design drawing. If the design is significantly altered, building codes generally require
that drawings and calculations be submitted for plan check and permit before the
modifications can be made.

It was reported that many large chains have adopted as standard practice the requirement
that periodic safety inspections be performed. Audits of these inspections are done at
least annually. Depending on the thoroughness of the inspections, this can be a
satisfactory practice to ensure that no unsafe modifications have been made and that the
racks have not experienced significant structural damage while in use.

13.2.5 Post-earthquake Rack Performance Verification. There is a paucity of
publicly available information on the performance of racks in earthquakes. Since the
1971 San Fernando earthquake, much has been learned through post-earthquake
reconnaissance on the behavior of buildings, nonstructural elements and building
contents. Groups such as the Earthquake Engineering Research Institute (EERI) have
established Learning from Earthquakes programs to obtain and then disseminate
information of the performance of a wide variety of building-related issues. Steel and
concrete industry trade organizations have regularly reported on buildings built with their
materials, and organizations such as NSF and FEMA have sponsored studies to advance
seismic design and mitigation practices. However, there has been no similar progress in
understanding storage rack performance.

The Task Group found that there have been few, if any, formal publicly available post-
earthquake evaluations of storage racks and virtually no analysis or documentation of
either successes or failures. Individual stores, their structural engineers, and store owner
management may know about the performance of individual racks, but in general the
storage rack design profession and public safety officials do not have access to that
detailed information.




                                                                                           125
Chapter 13


13.3 RECOMMENDATIONS

13.3.1 Improvement in Storage Rack Seismic Design

         The RMI standard should adopt the 2003 NEHRP Recommended Provisions
          seismic hazard maps, design ground motion parameters, base shear equations, and
          ASCE 7-02 load combinations.

         The RMI standard should include evaluation procedures and design examples for
          beam-column connections, brace-column connections, and base plate design.

         A cyclic testing standard to test proprietary down-aisle moment connection
          systems and cross-aisle bracing system connections should be developed and
          included in the RMI standard.

         Full-size shake-table testing of storage rack systems should be encouraged and the
          results incorporated into the RMI criteria. Testing should include simultaneous
          horizontal and vertical motions and simulate design basis and maximum
          considered earthquake levels and durations of shaking.

         An optional maximum seismic displacement check of beam-column moment
          connections should be included in the RMI standard for the down-aisle
          (longitudinal) direction. If such checks are preformed in accordance with Sec. 6.5
          and the design satisfies the criteria, the Ip factor of 1.5 may be taken as 1.0 and the
          0.14 SDS minimum force coefficient may be taken as 0.01 in the equivalent static
          force design.

         An optional maximum seismic displacement check of the brace frame system
          should be considered for inclusion in the RMI standard for the cross-aisle
          (transverse) direction. If such checks are preformed in accordance with Sec. 6.6
          and the design satisfies the criteria, the Ip factor of 1.5 may be taken as 1.0 and the
          0.14SDS minimum force coefficient may be taken as 0.01 in the equivalent static
          force design.

13.3.2 Improvement of the Process of Procuring, Specifying, and Installing
Storage Racks

         The guidance of Chapter 7 should be used as the basis for the procurement,
          specification, and installation of storage racks.

13.3.2 Improvement for Securing Contents

         The guidelines of Chapter 8 for securing contents should be used for an interim
          period until a nationally applicable standard is developed.




126
                                                            Summary and Recommendations


      Various means for securing contents in racks should be tested by shake-table
       testing. The testing should stimulate both vertical and horizontal "in rack"
       motions on a variety of decks.

      A joint industry/government effort to write nationally applicable guidelines for
       securing contents in high seismic regions should be undertaken in the near future.
       The need for guidelines for securing contents in other than high seismic regions of
       the United States should be studied and be incorporated if deemed necessary.

13.3.3 Eliminate Unpermitted Racks

      Local jurisdictions must take steps to enforce building code seismic provisions
       with regard to rack construction.

      If not already done, individual store operators should require that all new storage
       rack installations or significant alterations beyond those allowed in the design
       drawings be approved by the local authority having jurisdiction, and that
       significant alterations not be done without the oversight of a registered design
       professional.

13.3.4 Maintain Strong Maintenance and Operation Programs

      Store operators are encouraged to maintain strong maintenance and operations
       programs and to follow the guidance provided in Chapter 10.

13.3.5 Require Periodic Safety Inspections

      Periodic rack safety inspections should be made by store operators.

      Annual audits of the safety inspections should be made store operator quality
       assurance management.

      State and local safety and health agencies and other authorities having jurisdiction
       are encouraged to adopt and enact inspection criteria based on these storage rack
       seismic design practices to support existing safety and health laws and other local
       ordinances to protect workers and citizens.


13.3.6 Arrange for Post-earthquake Reconnaissance to Verify Rack Performance

      There needs to be systematic scientific studies of rack behavior in earthquakes,
       and this needs to be publicly reported (to the rack manufacturing, structural
       engineering, and building safety communities). Such parameters as the load on
       the racks at the time of the event, the condition of the racks, and the type,
       configuration and sizes of the rack structural system need to be documented as
       well as the motions the racks received.


                                                                                         127
Chapter 13



         A pre-arranged joint industry/government post-earthquake reconnaissance team,
          perhaps under EERI leadership, should be established. Prior arrangements with
          retail companies and store operators need to be made to permit quick team access
          after an event, and the results of the reconnaissance need to be published in
          appropriate technical publications.

         Selected stores in high seismic regions in the vicinity of active faults should be
          instrumented with strong-motion recorders to measure and record free-field
          ground motions. When strong-motion records for such installations are obtained,
          the records can be used to correlate rack design with actual performance.

13.3.7 Maintain Strong Quality Assurance Programs

         Store operators are encouraged to maintain strong quality assurance programs and
          to follow the guidance provided in Chapter 10.




128
                                        Chapter 14

                  REFERENCES AND SELECTED BIBLIOGRAPHY


14.1 REFERENCES

  ADA 1998/1999. Americans with Disabilities Act. Washington, DC.
  AISC 341-2002. Seismic Provisions for Structural Steel Buildings, American Iron and
     Steel Institute, Chicago, Illinois:
  AISC 341-2005. Seismic Provisions for Structural Steel Buildings. 2005 edition.
     American Iron and Steel Institute, Chicago, Illinois (to be published early 2005).
  AISI 1996. Cold-formed Steel Design Manual. American Iron and Steel Institute,
     Washington, DC.
  AISI 2002. Cold-Formed Steel Design Manual. American Iron & Steel Institute,
     Washington, DC.
  ASCE-7-2002. Standard-Minimum Design Loads for Buildings and Other Structures,
     American Society of Civil Engineers, Reston, VA.
  ASCE-7-2005. Standard-Minimum Design Loads for Buildings and Other Structures.
     American Society of Civil Engineers, Reston, VA.
  ATC 1978. Tentative Provisions for the Development of Seismic Regulations for Buildings.
     ATC-3, Applied Technology Council, Palo Alto, CA.
  ATC-20, 1989. Procedures for the Postearthquake Safety Evaluation of Buildings. Applied
     Technology Council, Redwood City, CA.
  AWS D1.1/D1/1M. 2004. Structural Welding Code  Steel. American Welding Society,
     Miami, FL.
  Baldissino, N., and C. Bernuzzi, 2000. Analysis and Behavior of Steel Storage Pallet Racks,
     Thin-walled Structures. 37(4), 277-304.
  Bernuzzi, C., and C.A. Castiglioni, 2001. Experimental Analysis on the Cyclic Behavior of
     Beam-to-Column Joints in Steel Storage Pallet Racks, Thin-Walled Structures. 39, 841-
     859.
  BOCA 1999. National Building Code. Building Officials and Code Administrators c/o
     International Code Council, Falls Church, VA.
  Castiglioni, C.A., N. Panzeri, , J. Brescianini, and P. Carydis, 2003. Shaking Table Tests of
     Steel Pallet Racks. Proceedings of the Conference on Behaviour of Steel Structures in
     Seismic Areas-Stessa 2003, Naples, Italy, 775-781.
  CBC 2001. California Building Code. International Conference of Building Officials,
     Whittier, CA.
  Chen C.K., R.E. Scholl, and J.A. Blume, 1980a. Seismic Study of Industrial Storage Racks.
     Report prepared for the National Science Foundation and for the Rack Manufacturers
     Institute and Automated Storage and Retrieval Systems (sections of the Material
     Handling Institute), URS/John A. Blume & Associates, San Francisco, CA, 569 p.
  Chen C.K., R.E. Scholl, and J.A. Blume, 1980b. Earthquake Simulation Tests of Industrial
     Steel Storage Racks. Proceedings of the Seventh World Conference on Earthquake
     Engineering, Istanbul, Turkey, 379-386.



                                                                                            129
Chapter 14



   Chen C.K., Scholl, R.E., and Blume, J.A. 1981. Seismic-Resistant Design of Industrial
       Storage Racks. Proceedings of the Second Specialty Conference on Dynamic Response
       of Structures: Experimentation, Observation and Control, Atlanta, GA, 745-759.
   Cheng, P.H. 1973. Effect of Semi-Rigid Connection to Steel Column of Cold-Formed
       Perforated Singly Symmetric Section. Proceedings of the Second Specialty Conference on
       Cold Formed Steel Structures, St-Louis, 641-670.
   Filiatrault, A. 2001. Shake-Table Tests of Storage Racks and Contents. Presentation material
       at the April 12, 2001 Seismic Safety Commission Hearing on Industrial Storage Racks,
       San Francisco, CA (available from the author).
   Filiatrault, A., and Wanitkorkul, A. 2004. Shake-Table Testing of Frazier Industrial Storage
       Racks, Report No. CSEE-SEESL-2005-02, Structural Engineering and Earthquake
       Simulation Laboratory, Departmental of Civil, Structural and Environmental
       Engineering, University at Buffalo, State University of New York, 83 p.
   Higgins, P. 2004. Personal Communication. Peter Higgins and Associates, Malibu, CA.
   ICBO. 1973 and 1997. Uniform Building Code. International Conference of Building
       Officials, Whittier, CA.
   ICC. 2003. International Building Code. International Code Council, Falls Church, VA.
   John A. Blume & Associates. 1973. Seismic Investigation of Steel Industrial Storage Racks.
       Report prepared for the Rack Manufacturer's Institute, San Francisco, CA, 43 p.
   John A. Blume & Associates. 1987. Application of Eccentric Bracing to Rack Structures.
       Report prepared for the Rack Manufacturer's Institute, San Francisco, CA. 27 p.
   Kotha, R., and Pekz, T. 2000. Cold-Formed Steel Frame and Beam-Column Design. School
       of Civil and Environmental Engineering, Cornell University, 62 p.
   Krawinkler, H., N.G. Cofie, M.A. Astiz, and C.A. Kircher, 1979. Experimental Study on the
       Seismic Behavior of Industrial Storage Racks. Report No. 41, The John A. Blume
       Earthquake Engineering Center, Department of Civil Engineering, Stanford University,
       Stanford, CA, 139 p.
   Krawinkler, H., F. Parisi, L. Ibarra, A. Ayoub, and R. Medina, 2000. Development of a
       Testing Protocol for Wood Frame Structures. CUREE Publication No. W-02, Richmond,
       CA.
   FEMA, 2003. The 2003 NEHRP Recommended Provisions for New Buildings and Other
       Structures  Part 1: Provisions (FEMA 450), Prepared for FEMA by the Building
       Seismic Safety Council (National Institute of Building Sciences), Washington, DC.
   NFPA 13. 2002. Automatic Sprinkler Systems Handbook. National Fire Protection
       Association, Quincy, MA.
   NFPA 5000. 2003. NFPA 5000  NFPA Building Construction and Safety Code, National
       Fire Protection Association, Quincy, MA.
   Rhodes, J. (1991). Design of Cold-Formed Steel Members. Elsevier Applied Science,
       London.
   Roeder, C.W., and E.P. Popov, 1978. Eccentrically braced steel frames for earthquakes.
       Journal of the Structural Division, ASCE.
   RMI. 2002. Specification for the design, testing, and utilization of industrial steel storage
       racks. Rack Manufacturers Institute, Charlotte, NC.
   Sarawit, A.T., and T. Pekz, 2003. Cold-formed steel frame and beam-column design. Report
       03-03, School of Civil and Environmental Engineering, Cornell University, 341 p.



130
                                                            References and Selected Bibliography


  Shao,Y., and C.C. Tung, 1999. Seismic Response of Unanchored Bodies. Earthquake
     Spectra, v. 15, no. 3.
  SBCCI. 1999. Standard (Southern) Building Code. Southern Building Code Congress
     International, c/o International Code Council, Falls Church, VA.
  SEAOC. 1999. Recommended Lateral Force Requirements and Commentary. Seventh
     Edition, Seismology Committee of the Structural Engineers Association of California,
     Sacramento, CA.

14.2 SELECTED BIBLIOGRAPHY

  Agatino, M.R., C. Bernuzzi, , and C.A. Castiglioni, 2001. Joints under cyclic reversal
     loading in steel storage pallet racks. 2a Settimana Della Costruzione in Acciaio, Venezia,
     105-114.
  ANSI MH16.2-1984 (R1996). American National Standard for the Use of Industrial and
     Commercial Steel Storage Racks: Manual of Safety Practices / A Code of Safety
     Practices. American National Standards Institute, Inc. 10 p.
  Auguston, K.A. 1994. Earthquake! Survival Strategies for Storage Racks. Second Specialty
     Conference on Cold Formed Steel Structures, St. Louis, Missouri, Modern Materials
     Handling, May 1994, 44-49.
  Auguston, K.A. Avoiding rack and ruin, Modern Materials Handling, May 1996, 28-31.
  Aydin, K. and C.C. Tung, Energy Balance Equation for Estimating Overturning Potential of
     an Unanchored Rocking Body Subject to Earthquake Excitation. Earthquake Spectra, v.
     17 no. 2, May 2001.
  Baldassino, N., and C. Bernuzzi. 2000. Analysis and Behavior of Steel storage Pallet Racks,
     Thin-Walled Structures. 37, 277-304.
  Ballio, G., C. Bernuzzi, , C.A. Castiglioni, 2000. An Approach for the Seismic Design of
     Steel Storage Pallet Racks. Stahlbau, 68, 919-928.
  Berry, K. 2003. Seismic Response of Supermarket Shelving Systems. Third Professional
     Project Report, Department of Civil Engineering, University of Canterbury, Christchurch,
     New Zealand, 87 p.
  Brown, B.J. 1983. Seismic Design of Pallet Racking Systems. Bulletin of the New Zealand
     National Society for Earthquake Engineering, 16(4), 291- 305.
  Castiglioni, C.A. 2004. Dynamic Tests on Steel Pallet Racks. Ricerca, 10 p.
  Chan, Danny H., and Raymond K. Yee. 2005. "Structural Behavior of Storage Racks Under
     Seismic Ground Motion." FEMA, Washington, D.C., 8 p.
  Choi, B. and C.C. Tung, Estimating Sliding Displacement of and Unanchored Body
     Subjected to Earthquake Excitation. Earthquake Spectra, v. 18, no. 4, November 2002.
  Davies, J.M. 1992. Down-Aisle Stability of Rack Structures. Eleventh International Specialty
     Conference on Cold-Formed Steel Structures," 417-434.
  Gallagher, R.P., and J. Steinberg, 2003. Seismic Retrofit of Storage Racks and Shelving at
     Warehouse for High-Value Equipment and Parts. ATC-29-2 Seminar on Seismic Design,
     Retrofit, and Performance of Nonstructural Components, Applied Technology Council,
     Redwood City, CA, 227- 241.
  Godley, M.H.R. 2002. The Behavior of Drive-In Storage Structures. Sixteenth International
     Specialty Conference on Cold-Formed Steel Structures, Orlando, Florida, 340-352.




                                                                                            131
Chapter 14


   John A. Blume & Associates. 1974. Seismic Design Examples of Industrial Storage Racks.
      Report prepared for the Rack Manufacturer's Institute, San Francisco, CA. 79 p.
   Lewis, G.M. 1991. Stability of Rack Structures, Thin-Walled Structures. 12, 163-174.
   Material Handling Industry. 2005. Industry Report 2004-2005, 28 p.
   Mahoney, M., and J. Lusk, 2004. FEMA Mitigation Investigation and Opportunities Report
      for the San Simeon Earthquake. Federal Emergency Management Agency, 13 p.
   Pekoz, T., and G. Winter, 1973. Cold-Formed Steel Rack Structures. Second Specialty
      Conference on Cold Formed Steel Structures, St. Louis, Missouri, 603-615.
   Piepiekarz, M., H. Koza, M. Ellis, and P. Boardman, 1995. Seismic Performance of
      Commercial Building Support Equipment. Pacific Conference on Earthquake
      Engineering, Melbourne, Australia, 187- 196.
   Rihal, S.S., and W.E. Gates, 1998. Performance and Behavior of Library Shelving and
      Storage Rack Systems During the 1994 Northridge Earthquake. ATC-29-1 Seminar on
      Seismic Design, Retrofit, and Performance of Nonstructural Components, Applied
      Technology Council, Redwood City, CA, 121- 135.
   Rack Manufacturing Institute. 1973. Warehouse Storage Racks  What Are They? Building
      Standards, 5 p.
   RMI. 1990. Specification for the Design, Testing, and Utilization of Industrial Steel Storage
      Racks. Rack Manufacturers Institute, Charlotte, NC.
   RMI. 2004. Testing Guidelines for Pallet Stacking Frames. Rack Manufacturing Institute,
      Charlotte, NC, 4 p.
   Salmon, M.A., R.E. Welch, and A.M. Longinow, 1973. Analysis of Drive-In and Drive-Thru
      Storage Racks. Second Specialty Conference on Cold Formed Steel Structures, St. Louis,
      Missouri, 617-639.
   Shenton III, 1996. Criteria for Initiation of Slide, Rock and Slide-Rock Rigid-Body Modes.
      Journal of Engineering Mechanics, the American Society of Civil Engineers, v. 122, July
      1996.
   White, G. 1992. Shelf Help Quakes Prompt Retailers to Take Stock of Rack Safety. New
      York Times, July 18, 1992.
   Yiu, F., and T. Pekoz, 2001. Design of Cold-Formed Steel Plain Channels. School of
      Engineering, Cornell University, Ithaca, NY, 157 p.




132
                                    APPENDIX A

DEVELOPMENT OF AN ANALYTICAL MODEL FOR THE DISPLACEMENT-
 BASED SEISMIC DESIGN OF STORAGE RACKS IN THEIR DOWN-AISLE
                          DIRECTION



A1 OBJECTIVES

This Appendix provides a simple analytical model that captures the seismic behavior of
storage racks in their down-aisle direction. More specifically, the model is aimed at
developing simplified equations for the fundamental period, the base shear, and the top
lateral displacement of storage racks in their down-aisle direction as a function of the
beam-to-upright rotational characteristics at a given target design lateral displacement.

A2 ASSUMPTIONS

In order to derive simplified expressions for the down-aisle fundamental period, base
shear and top lateral displacement of storage racks, the following assumptions based on
observations are made:

      The same beam-to-upright connections are used throughout the moment-resisting
       frame system of the rack.
      The beams are spaced relatively uniformly with height.
      All moment-resisting connections of the racks experience simultaneously similar
       rotations at all times. This assumption implies that the connection rotational
       stiffness is somewhat smaller that the rotational stiffness of the beams and
       uprights.
      All inelastic deformations occur at the beam-to-upright moment-resisting
       connections and base upright-to-slab connections.
      The overall seismic response can be reasonably modeled as a single-degree-of-
       freedom system corresponding to an assumed first down-aisle mode of
       deformation of the rack.
      Connection moment versus connection rotation curves have been developed based
       on cyclic testing and these design curves have been adjusted for uncertainty in the
       cyclic test data.

Figure A-1 illustrates the assumed lateral first mode deformation of a three-level storage
rack in its down-aisle direction according to the assumptions listed above. It is assumed
that the following properties of the beam-to-upright connectors are known at the target
displacement  :



                                                                                       133
Appendix A




            The rotational moment ( M c ),
            The secant rotational stiffness of the connectors at that moment ( kc ), and
              The rotation of the connectors at that moment (  c ).
        

                                 
                        
                  Wp3  3



                        
                  Wp2  2



                         
      hp3          Wp1 1
                                  kbu
                                           
            hp2               

                  hp1

                                 ku

       Figure A-1 Kinematics assumptions for storage racks in down-aisle direction.



The total rotational stiffness between the beams and uprights ( k bu ) indicated in Fig. A-1
is the sum in series of the secant rotational stiffness of the connector ( kc ) and of the
flexural rotational stiffness of the beam-end ( k be ):

                                                   k c k be
                                        k bu =                                            (A-1)
                                                 k c + k be

Similarly, the total rotational stiffness at the base of each upright ( ku ) indicated in Figure
A-1 is the sum in series of the secant rotational stiffness of the base plate ( kb ) and of the
flexural rotational stiffness of the base upright-end ( k ce ):




134
  Development of an Analytical Model for Displacement-based Seismic Design of Storage Racks


                                                    kb kce
                                         ku =                                                  (A-2)
                                                   kb + kce

A3 SIMPLIFIED EQUATION FOR FUNDAMENTAL PERIOD OF VIBRATION

The applied moment about the base ( M bi ) caused by the lateral inertia forces is given by:

                                       W pi
                                NL
                                                           1 NL
                                                                    
                         M bi =                              Wpi hp2i 
                                               i h pi =                                        (A-3)
                                        g                  g i=1
                                i =1



where ( W pi ) is the weight of the ith pallet supported by the storage rack, ( hpi ) is the
elevation of the center of gravity of the ith pallet with respect to the base of the storage
rack, g is the acceleration of gravity, and ( N L ) is the number of loaded level.

The resisting moment about the base ( M br ) is given by:

                                M br = -( N c k bu + N b k u )                                 (A-4)

where ( N c ) is the number of beam-to-upright connections and ( N b ) is the number of
base plate connections.

Equating the applied moment to the resisting moment yields the equation of motion for
the equivalent single-degree-of-freedom system:

                             1 NL       
                               Wpi hp2i  + (N c kbu + Nb ku ) = 0                              (A-5)
                             g i=1

    The fundamental period of vibration ( T1 ) is then expressed as:

                                                   NL

                                                   W             2
                                                               h pi
                                                          pi
                           T1 = 2                  i =1
                                                                                               (A-6)
                                            g ( N c kbu + N b ku )

    Substituting A-1 and A-2 into A-6 yields:

                                                   NL

                                                   W             2
                                                               h pi
                                                          pi
                  T1 = 2                           i =1
                                                                                               (A-7)
                                 kk               k k 
                             g  N c  c be  + N b  b ce  
                                                  k + k 
                                k +k 
                                                       ce  
                                                 b
                                         be 
                                c




                                                                                                 135
Appendix A


   The beam end and the base upright end rotational stiffness are given by:

                                                            6 EI b             4 EI c
                                                 kbe =                 kce =
                                                                   ;                     (A-8)
                                                              L                  H

where E is the Young's modulus of the beams, I b is the moment of inertia about the
bending axis of each beam, L is the clear span of the beams, I c is the moment of inertia of
each base upright, and H is the clear height of the upright.

A4 SIMPLIFIED EQUATION FOR BASE SHEAR

Alternatively, the resisting moment about the base ( M br ) can be written as:

                                    M br = -( N c M c + N b M b )                        (A-9)

where M c is the bending moment at each beam-to-upright connection and M b is the
bending moment at of each base plate connection.

Equating the applied moment (Eq. A-3) to the resisting moment (Eq. A-9) yields an
equation for the rotational acceleration causing the moments M c and M b :

                                              (N c M c + N b M b )
                                   
                                   =                                                    (A-10)
                                                      1 NL
                                                        W pi hp2i
                                                      g i=1

By horizontal equilibrium, the base shear ( Vb ) must be equal to the sum of the inertia
forces:

                                                       
                                          1 NL
                            1 NL                      
                                   W pi  =  W pi h pi 
                              
                     Vb =                                                               (A-11)
                                        i g i =1
                            g i =1

Substituting Eq. A-10 into Eq. A-11 yields:

                            NL

                            W                h pi
                                        pi
                                                      (N c M c + N b M b )
                    Vb =    i =1
                                                                                        (A-12)
                            NL

                            W                    2
                                             h
                                        pi       pi
                            i =1



The only unknown in Eq. A12 is the bending moment at each base plate connection ( M b )
arising when M c occurs at each beam-to-upright connector. Since the beam ends
rotational stiffness act in series with the beam-to-upright connectors, the total rotation at a

136
  Development of an Analytical Model for Displacement-based Seismic Design of Storage Racks


beam-to-upright connection ( ) is the sum of the rotation experienced by the beam-to-
upright connector(  c ) and the rotation experienced by the beam end(  be ):

                                                          k +k 
                                           Mc Mc
                            =  c +  be =            = M c  c be 
                                              +                                      (A-13)
                                                           kk 
                                           kc   kbe        c be 

From Figure A-1, the same total rotation is assumed to be occurring at the base of each
upright and is also the sum of the rotation experienced by the base plate connector (  b )
and the rotation experienced by the base upright-end (  ce ):

                                                           k +k 
                                            Mb Mb
                            =  b +  ce =             = M b  b ce 
                                               +                                     (A-14)
                                                            kk 
                                            kb   kce        b ce 

Equating Eq. A13 and A14 yields an expression for the bending moment at each base
plate connection ( M b ) as a function of all know quantities:

                                             k k  k + k 
                                  M b = M c  b ce  c be                               (A-15)
                                             k k  k + k 
                                             c be  b ce 

Substituting Eq. A-15 into Eq. A-12 yields an explicit expression for the base shear ( Vb )
as a function of only known quantities:

                    NL

                    W             h pi
                                                                 
                                                     
                                           
                                 N c + N b  k b k ce  k c + k be   M c
                             pi
             Vb =   i =1
                                                                                      (A-16)
                                            k k  k + k  
                                
                    NL
                                                              ce  
                                            c be  b
                     W pi h p2i 
                    i =1


A5 SIMPLIFIED EQUATION FOR TOP LATERAL DISPLACEMENT

The lateral displacement at the top of the rack (  ) is simply given by the total rotation at
the base of the uprights ( ) multiplied by the height of the rack ( htot ). Using Eq. A-13
yields:

                                           k +k 
                                     = M c  c be htot                                (A-17)
                                            kk 
                                            c be 

A6 CONSIDERATION OF SECOND ORDER (P-DELTA) EFFECTS

An amplification factor for second order (P-delta) effects on the top lateral displacement
(see Eq. A-17) can be obtained by considering a deformed rack under the gravity loads
caused by the pallet weights, as shown in Figure A-2.


                                                                                          137
Appendix A


The applied second order moment about the base ( mba ) is given by:

                                                            hpi
                                                     NL
                                  NL
                           mba =  W pi  i =W pi                                (A-18)
                                                            htot
                                 i =1                i =1



The resisting second order moment about the base ( mbr ) can be written as:

                                mbr = -( N c mc + N b mb )                     (A-19)

where ( mc ) is the second order bending moment at each beam-to-upright connection and
( mb ) is the second order bending moment at each base plate connection.

Equating the second order applied moment to the second order resisting moment and
using Eq. A-15 to express ( mb ) as a function of ( mc ) yields:

                                                    hpi
                                        NL

                                        W          
                                               pi
                                              htot
                                        i =1
                       mc =                                                    (A-20)
                                                         
                                               
                             N c + N b  kb kce  kc + kbe  
                                        k k  k + k  
                            
                                        c be  b ce  
                            

Eq. A-20 provides an expression for the second order bending moment induced in each
beam-to-upright connection when the rack is subjected to a first order top lateral
displacement  .




138
  Development of an Analytical Model for Displacement-based Seismic Design of Storage Racks



                            1       W p3




                                  W p2



 hp3                              W p1
                             mc
                                         
       hp2               

             hp1

                            mb

          Figure A-2 Deformed rack subjected to gravity loads from pallet weights.

The second order top lateral displacement ( ) can be obtained from Eq. A-17:

                                                   k +k 
                                              NL

                                              Whpi  c be 
                                                    kk 
                                                   pi
                          kc + kbe                  c be 
                                         i =1
                    = mc  k k htot =                                                 (A-21)
                                               kb kce  kc + kbe  
                          c be                                   
                                      Nc + Nb 
                                               k k  k + k  
                                                                
                                     
                                               c be  b ce  
                                     

The total top lateral displacement (  tot ) is then obtained by summing the first order
displacement (Eq. A-17) and the second order displacement (Eq. A-21) :

                                                                               
                                 k +k                               k +k 
                                                     NL
                    NL
                                                                               
                                                     
                       W pi h pi  c be                    W pi h pi  c be 
                                  kk                                 kk 
                                                                               
                                  c be                               c be 
                  i =1                               i =1
    tot   = +                                =  1 +                             (A-22)
                         kb kce  kc + kbe  
                                                            kb kce  kc + kbe   
                                                    
                                                 N + N 
                                           
               Nc + Nb                                                       
                         k k  k + k                                  
                                                          b                   
                                                 c
                                                            kc kbe  kb + kce   
                         c be  b ce  
                                                    
                                                

Therefore, second order effects can be taken into account by multiplying the first order
top lateral displacement (Eq. A-17) by a second order amplification factor equals to
(1 +  ) and given by:



                                                                                          139
Appendix A


                                                    k +k 
                                             NL

                                            W   hpi  c be 
                                                     kk 
                                                  pi
                                                     c be 
                                         i =1
                           1+  = 1+                                                 (A-23)
                                                                 
                                                       
                                     N c + N b  kb kce  kc + kbe  
                                                k k  k + k  
                                    
                                                c be  b ce  
                                    

A7 EXPERIMENTAL VERIFICATION

Experimental results obtained from uniaxial shake-table tests performed on two different
steel pallet storage racks in their down-aisle direction are used to assess the predictive
capabilities of the simple equations derived above. Only a brief description of the
experimental study is described herein. Detailed information on the experimental study
can be found elsewhere (Filiatrault and Wanitkorkul 2004).

A8 DESCRIPTION OF TEST STORAGE RACK STRUCTURES

Figure A-3 shows the configuration of the three-level, two-bay test storage rack
structures. The relevant dimensions and properties are also indicated. The uprights are
C4x4.5 hot-rolled sections. Two different beam sizes were considered -- C4x4.5 (Rack
No. 1) and C5x6.7 (Rack No. 2).

A9 EARTHQUAKE GROUND MOTIONS

The largest horizontal component recorded at Canoga Park during the 1994 Northridge
earthquake was used for the seismic tests. This record, scaled to a peak ground
acceleration (PGA) of 0.5 g, can be associated with an ordinary ground motion matching
the NEHRP Recommended Provisions spectral accelerations for a probability of
exceedence of 10 percent in 50 years for a soil type D (Krawinkler et al., 2000).

A10 FUNDAMENTAL PERIOD COMPARISON

The pallet weight distribution term in Eq. A-7 can be calculated from Figure A-3:

                              [                              ]
           hpi = (4)(3.3 kips) (93 in ) + (153 in ) + (213 in ) = 6058.8kip - in
W                                                                                       (A-24)
      pi
 i


Considering the two parallel frames comprising the test storage rack, the number of
beam-to-upright connections N c = 24 while the number of loaded levels N L = 3 and the
number of base plate connections N b = 6 . Table A-1 shows the properties of the beams
and uprights used for the two test racks.




140
  Development of an Analytical Model for Displacement-based Seismic Design of Storage Racks


             Table A-1 Properties of beams and uprights of test storage racks.

Properties                               Values
                                         Rack No. 1           Rack No. 2
Young's Modulus, E                       29000 ksi
Beam Span, L                             95 in
Upright Height, H                        60 in
                                         3.65 in4             7.40 in4
Beam Inertia, I b
                                         3.65 in4
Upright Inertia, I c
                                         6686 kip-in/rad      13719 kip-in/rad
Beam End Rotational Stiffness, kbe
                                         7057 kip-in/rad
Upright End Rotational Stiffness, kce

Assuming kb = kc in Eq. A-7, the variation of the down-aisle fundamental period of the
storage racks as a function of the rotational stiffness of the connectors can be obtained.
The assumption that kb = kc is considered reasonable for installations where there is at
least one bolt on opposite sides of the post in the down-aisle direction. Figure A-4
compares the predictions of the simplified model with the results obtained from finite
element analyses of the test racks. Details of the finite element model can be found
elsewhere (Filiatrault and Wanitkorkul 2004). Also shown on the graph are fundamental
periods measured by low amplitude systems identification tests (Filiatrault and
Wanitkorkul 2004).




                                                                                       141
Appendix A




      213 in




                                     3.3 kips
                                     / pallet
               153 in




                                       Typ.
                        93 in




                                Figure A-3 Configuration of test storage rack structure.




142
  Development of an Analytical Model for Displacement-based Seismic Design of Storage Racks




                                5. 00
                                                                            Rack No. 1, Finite Element Model
                                                                            Rack No. 2, Finite Element Model
                                4. 00                                       Rack No. 1, Equation (A7)
   Fundmanetal Period, T1 (s)



                                                                            Rack No. 2, Equation (A7)

                                3. 00


                                2. 00
                                          Measured Fundamental Period
                                             of Rack No. 1 = 1.08 s
                                1. 00
                                          Measured Fundamental Period
                                             of Rack No. 2 = 0.87 s


                                0.00
                                    100                   1000            10000              100000       1000000
                                                        Connector Rotational Stiffness, kc (kip-in/rad)


                                        Figure A-4 Comparison of fundamental periods for test storage racks.


The results shown in Figure A-4 indicate that the simplified model overestimates the
fundamental period of the racks for connector rotational stiffness values less than 1000
kip-in/rad. Also, the model slightly underestimates the fundamental period of the racks
for connector rotational stiffness values larger than 10000 kip-in/s. The model, however,
provides reasonable accurate estimate of the fundamental period of the storage racks in
the range of beam-to-upright connector rotational stiffness values commonly encountered
in steel pallet storage racks (1000 to 10000 kip-in/rad). The results presented in Figure
A-4 indicate also that the beam size has a minor influence on the fundamental period of
the test storage racks.

A11 BASE SHEAR COMPARISON

Assuming kb = kc in Eq. A-7, A-16, and A-17, the two main connector parameters ( kc and
 M c ) can be estimated in an average sense based on the experimental data generated
above. Once three parameters are known, a prediction of the base shear forces developed
during the seismic tests of the test storage racks can be obtained. The various steps of
this procedure are given below and the results obtained are presented in Table A- 2.

Step 1 -- An estimate of the effective lateral stiffness of each rack ( kleff ) during a seismic
test can be obtained by dividing the experimental base shear ( Vb exp ) by the experimental


                                                                                                                143
Appendix A


lateral displacement at the effective height of the loaded pallets. Assuming constant mass
at each level and linear lateral displacement profile, it can be shown that the effective
height is located at 72 percent of the total height of the rack. Therefore, the lateral
displacement at the effective height of the rack can be made equal to 72 percent the
experimental top lateral displacement (  exp ).

Step 2 -- An effective fundamental period of vibration T1eff can be obtained from kleff :

                                            Wtot
                                T1eff = 2                                             (A-25)
                                            gkleff

where Wtot is the total pallet weight on the rack (39.6 kips).

Step 3 -- Using the values of T1eff in Eq. A-7 and assuming kb = kc , the effective
rotational stiffness for the beam-to-upright connectors ( kc ) can be estimated for each
seismic test.

Step 4 -- Substituting the values of the experimental top lateral displacement (  exp ) into
Eq. A-17 and taking into account second order effects through Eq. A-23, the values of the
bending moment in each beam-to-upright connector ( M c ) can be calculated.

                                 k k   exp
                          M c =  c be                                                  (A-26)
                                 k + k  h (1 +  )
                                 c be  tot

where htot = 4.88 m for the test racks. Finally, the base shear for each seismic test ( Vb )
can be predicted by Eq. 16, again assuming kb = kc .

The comparison of the experimental and predicted base shear forces shown in Table A-2
indicates that the model predicts within 10 percent the experimental base shear for Rack
No. 1. The predictions of the model are in even better agreement with the experimental
results for Rack No. 2. Based on the results, it can be concluded that the proposed model
is able to capture, with reasonable accuracy, the seismic behavior of steel pallet storage
racks in their down-aisle direction.

Estimates of the moment-rotation envelope for each beam-to-upright connector can be
obtained by plotting the values of M c as a function of M c kc in Table A-2. As shown in
Figure A-5, the nonlinear characteristics of the connectors can be clearly seen.




144
    Development of an Analytical Model for Displacement-based Seismic Design of Storage Racks


                                                        Table A-2 Predictions of base shear for test storage racks

Rack No. 1, Beams: C4x4.5
                                                                                                           1+ 
                       exp
Test PGA Vb exp                                                                               kc                      Mc            Vb
                                                                    kleff          T1eff                                                     Vb Vb exp

No.    (g)                                                                                   (kip-in)                 (kip-in)      (kips)
                                       (kips)              (in)     (kips/in)      (s)
1      0.07                            1.47                1.36     1.50           1.65      1628         1.15        8.14          1.42     0.96

2      0.12                            2.68                2.97     1.25           1.80      1292         1.19        13.98         2.40     0.90

3      0.24                            4.33                5.55     1.08           1.93      1097         1.21        22.48         3.98     0.92

4      0.36                            5.70                7.37     1.08           1.94      1097         1.21        29.82         5.28     0.92

5      0.47                            7.06                9.04     1.08           1.94      1097         1.21        36.73         6.67     0.92


Rack No. 2, Beams: C5x6.7
                                                                                                           1+ 
                       exp
Test PGA Vb exp                                                                                                                              Vb Vb exp
                                                                    kleff           T1eff     kc                      Mc            Vb

No.    (g)                                                                                   (kip-in)                 (kip-in)      (kips)
                                       (kips)               (in)    (kips/in)      (s)
1       0.05                           1.23                 0.47    3.63           1.06      4381          1.06       0.87          1.29     1.05

2       0.10                           2.85                 1.54    2.57           1.25      2788          1.09       1.92          2.90     1.02

3       0.25                           5.27                 3.68    1.99           1.42      2062          1.12       3.45          5.27     1.00

4       0.34                           8.45                 7.82    1.50           1.65      1416          1.16       5.10          7.80     0.92

                                               50


                                               40
               Connector Moment, Mc (kip-in)




                                               30


                                               20


                                               10                                                               Rack No. 1
                                                                                                                Rack No. 2
                                               0
                                                    0               0.01              0 .02             0 .03                0.04
                                                                            Connector Rotation, c (rad)


             Figure A-5 Envelope of beam-to-upright connector moment-rotation relationship
             predicted by analytical model.



                                                                                                                                             145
Appendix A




146
                                   APPENDIX B
                     RECOMMENDED MODIFICATIONS TO
           ANSI MH 16.1-04, SPECIFICATION FOR THE DESIGN, TESTING
            AND UTILIZATION OF INDUSTRIAL STEEL STORAGE RACKS
                               (RMI  2002 Edition)


The following modifications are recommended to the ANSI MH 16.1-04 Specification for the
Design, Testing, and Utilization of Industrial Steel Storage Racks.

Revise ANSI MH 16.1-04 as follows:

2.1 Load Combinations For The ASD Design Method

    Replace the Load Combinations of Section 2.1 with the Load Combinations of
    Section 6.3.1.1 of this guidance document.

2.2 Load Factors and Combinations For The LRFD Design Method

    Replace the Load Combinations of Section 2.2 with the Load Combinations of
    Section 6.3.1.2 of this guidance document.

2.7.2 Minimum Seismic Forces.

    Revise the following phrase:

    However, for storage racks in areas open to the general public, e.g., in warehouse retail
    stores, Ip = 1.5. unless a displacement evaluation of the type provided in Section 6.5 of this
    guidance document is performed in a given direction in which Ip may be taken as 1.0 in that
    direction.

    Add note that PLRF = 1.0 for storage racks in areas open to the general public (e.g. in
    warehouse retail stores).

    Need to add statement that unless used to store hazardous material, storage racks are
    deemed to be Occupancy Category I structures.

2.7.3 Calculation of Seismic Response Coefficient

    Replace the Seismic Response Coefficient equations of Section 2.7.3 with the
    Seismic Response Coefficients of Section 6.2.1.2 of this guidance document except
    do not include the term "I".




                                                                                              147
Appendix B



           A preferable option my be to revise the base shear equation V by deleting "Ip"
          and leaving the "I" in the equations. Also replace "Ip" with "I" in the definition.

      Add note following the clause:

        Except that Cs should not be taken less than 0.14 S DS I

           Note: For storage racks in areas open to the general (e.g. warehouse retail stores)
           if a displacement evaluation of the type provided in Section 6.5 of this guidance
           document is performed in a given direction, the above value of 0.14SDS I may be taken
           as 0.01 in that direction.

        Definition of T:

            Indicate T is be a period is to be consistent with the stiffness associated with
            the applied rack forces V. In the down aisle direction, this requirement is
            deemed satisfied when T is calculated using the moment rotational stiffness F
            determined in accordance with Section 9.4 and the Commentary to Section 9.4.
            In the cross-aisle direction provide a suitable reduction factor for the bracing
            area when computing period. Do not leave the requirements in this area gray.

           Add somewhere in section 2.7.3 a displacement based evaluation option based on
           Section 6.5 of this guidance document.

2.7.3.1 Seismic Coefficients Ca and Cv

            Replace Section and Title of Section with Section 6.1.2 in mandatory language.

2.7.4 Vertical Distribution of Forces

           Revise in accordance with Section 6.2.1.4 of this guidance document.

2.7.6    Overturning

           Revise in accordance with Section 6.2.1.4 of this guidance document.

7.1     Connections

           Provide procedure for explicitly evaluating connections including how to use
           test data to evaluate when dealing with seismic loadings.




148
           Recommended Modifications to the ANSI MH 16.1-04 specification (RMI  2002 Edition)



9. 0 TEST METHODS

      Provide test methods to provide capacity data need to comply with the new
      optional performance-based procedure of Section 2.7.3 (Based on 6.5 of this
      guidance document) and the new connection evaluation procedures of Section 7.1.

COMMENTARY

      Revise commentary as necessary to implement the above changes.

      In addition, it is recommended that the Horne-Davis method be eliminated from
      Commentary Section 2.7.3. It is recommended it be replaced by the period
      calculation equation of Appendix A of this guidance document for the down-
      aisle direction and using rotational stiffness F. It is also recommended that a
      period equation developed for the cross-aisle direction based on the reduced
      area of the diagonal brace permitted in the new Section 2.7.3 be provided.

        The Horne-Davis may be rational but is not normally used by earthquake
        engineers. A simpler more direct procedure is therefore recommended.




                                                                                          149
Appendix B




150
                                   APPENDIX C
                   RECOMMENDED MODIFICATIONS TO THE
                   2003 NEHRP RECOMMENDED PROVISIONS


The following modifications are recommended to the 2003 NEHRP Recommended Provisions.
The modifications presume that the RMI developed ANSI MH 16.1-04 specification has been
modified in accordance with and adopted with the recommendations of Appendix B of this
document.

Revise 2003 NEHRP Recommend Provisions, Chapter 14 as follows:

Section 14.1.2.1 Adopted References.

ANSI MH 16.1-04         Adopt latest approved edition of RMI Specification ANSI MH16.1

Section 14.3.5.6 RMI storage racks. Steel storage racks supported at or below grade and
designed in accordance with Section 2.7 of ANSI MH 16.1 shall be are deemed to satisfy the
force and displacement requirements of these Provisions. For storage racks supported above
grade, the value of V in Section 2.7.2 of the RMI shall not be taken less the value of Fp
determined in accordance with Section 6.2.6 of these provisions where Rp is taken equal to R,
and ap is taken equal to 2.5. if all the following conditions are met:

DELETE CONDITIONS 1, 2 and 3.




                                                                                                151
Appendix C




152
                                      APPENDIX D
The information presented below was issued by the City of Los Angeles Department of Building
and Safety as Information Bulletin/Public-Building Code, Reference L.A.M.C. 91. 1806,
Document P/BC 2002 to be effective May 10, 2004.


                 ACCEPTABLE DESIGN AND ANALYSIS METHODS
                 FOR USE OF SLABS-ON-GRADE AS FOUNDATIONS

PURPOSE: This Information Bulletin establishes a list of acceptable analysis methods for slabs-
on-grade ("SOG") as foundations.

ACCEPTABLE DESIGN METHODS: The following methods of design and analysis for
SOGs are acceptable:

 ACI Committee 360, "Design of Slabs-On-Grade - Reported by ACI Committee 360," ACI
  360R-92, 1997.

 Packard, Robert G., "Slab Thickness Design for Industrial Concrete Floors on Grade,"
  IS195.01D, Portland Cement Association, Skokie, Illinois, 1976.

 Departments of the Army and Air Force, Concrete Floor Slabs on Grade Subjected to Heavy
  Loads," ARMY TM 5-809-12, Air Force AFM 88-3, Chapter 15, 1987.

 Department of Defense, "Engineering and Design: Rigid Pavements for Roads, Streets, Walks
  and Open Storage Areas," TM-5-822-6, U.S. Government Printing Office, Washington D.C.,
  1977.

 Wire Reinforcement Institute, "Formulas for Success: Innovative Ways to Reinforce Slabs-
  On-Ground," TF 705-R-03, 2003.

 Post-Tension Institute, "Design and Construction of Post-Tensioned Slabs on Ground,"
  Phoenix, AZ, 1980.

The following are additional acceptable methods presented to the SEAOSC membership during a
series of seminars held in March 2003 and available from SEAOSC:

 Equivalent Footing - Analysis of allowable loads is modeled by assuming a "saw-cut" square
  unreinforced section using the conventional working stress method.

 Integral Footing - Analysis of SOGs strength using empirical equations developed by the
  American Concrete Institute. (Design and Construction of Concrete Slabs on Grade, ACI
  SCM-11(86), American Concrete Institute, Detroit, 1980).




                                                                                            153
Appendix D



 Empirical Method - Method of analysis based on studies that compare the load test results to
  computer analysis. (Shentu, L., Jiang, D., Hsu, T. (1997). "Load Carrying Capacity for
  Concrete Slabs on Grade." Journal of Structural Engineering, ASCE, January 1997, pp 99-
  103.)

 Evaluated the limitations of a chosen method for the intended application based on
  assumptions documented on the plans.

The following parameters must be given consideration in design and proper documentation
supplied to justify assumptions of field conditions:

1. Specified Compressive Strength of Concrete, f'c:
    a. assumed to be 2,000 psi., or
    b. core tests conducted per Section 91.1920.2.3 of the Los Angeles Municipal
       Code ("LAMC").

2. Soil Capacities:
    a. assume Allowable Soil Bearing Pressure to be 500 psf., or
    b. assume Standard Modulus of Subgrade Reaction, K30, to be 60 pci., or
    c. foundation investigation approved by the Department, or
    d. verified by documentation of approved compacted fill, as determined by ASTM D1557
    e. in Section 91.7011.3 of the LAMC and on file with the Department.

3. Reinforcement steel location, size, and spacing
    a. SOG load capacity may be analyzed assuming unreinforced concrete, or
    b. SOG reinforcement verified by documentation from drawings on file with the
       Department, or
    c. SOG reinforcement verified by tests.

4. Slab thickness:
    a. verified with information from drawings on file with the Department, or
    b. test methods listed in the code, or
    c. interior SOGs of commercial or industrial buildings may be assumed to be 3 inches thick
    d. without testing, or
    e. interior SOGs of residential buildings may be assumed to be 2 inches thick without
        testing.

INSPECTION:
1. Structural Observation: The Structural Observer shall use the criteria established on
   the plans to confirm the installation of structural members supported by SOGs
   relative to cracks, slab edges, piping, conduit and other slab openings. The Structural
  Observer shall report findings to the Building Inspector pursuant to Section 91.1702.5
  of the LAMC.




154
                   Acceptable Design and Analysis Methods for use of Slabs-on-Grade as Foundations



2. Field Verification by the Building Inspector:
    a. The thickness of new SOGs will be confirmed during inspection of holes drilled in the
        concrete slabs for attaching anchor bolts shown on plans.
    b. The size, location and spacing of reinforcement in existing SOGs shall be confirmed
        using
    c. methods approved by the Department as indicated on the approved plans.




                                                                                              155
Appendix D




156
                                       APPENDIX E
      BSSC RACK PROJECT REVIEWERS AND WORKSHOP PARTICIPANTS
         (* identifies participant in October 15, 2004, Rack Project Workshop
                               in San Francisco, California)


Andrew Adelman, City of Los Angeles, Department of Building and Safety, Los Angeles,
California*

Andy Anderson, Lowes Companies, Mooresville, North Carolina*

Mark Arpaia, Home Depot, Orange, California

Graeme Beattie, BRANZ, Porirua City, New Zealand*

Donald Benson, Benson and Associates, Oakland, California

John Booth, COSTCO, Issaquah, Washington*

Alan Carr, International Code Council, Bellevue, Washington

David Collins, The Preview Group, Inc., Cincinnati, Ohio

James Courtwright, Ridg-U-Rak, Inc., North East, Pennsylvania*

Jim Crews, Unarco Material Handling, Inc., Springfield, Tennessee*

David Denny, SINCO, Inc., Middletown, Connecticut

Dan Dopudja, ABS Consulting, Inc., Irvine, California*

Susan Dowty, S. K. Ghosh Associates, Inc., Laguna Niguel, California*

Azlan Ezaddin, Peoples Associates Structural Engineers, Milpitas, California*

Sal Fateen, Seizmic Engineering, Inc., Pomona, California

James Gibbon, Safeway, Inc., Pleasanton, California

William Guiher, Cincinnati, Ohio*

Ronald Hamburger, Simpson Gumpertz and Heger, Inc., San Francisco, California*

John Hooper, Magnusson Klemencic, Seattle, Washington




                                                                                       157
Appendix E



Gary Houk, Department of Building Inspections Division, Clark County, Las Vegas, Nevada*

Allan Kautz, Interlake, Naperville, Illinois*

Christine Kendall, COSTCO, Issaquah, Washington

Charles Kircher, Kircher and Associates Consulting Engineers, Inc., Palo Alto, California

Brad Koland, Target Corporation, Property Development, Minneapolis, Minnesota*

Helmut Krawinkler, Stanford University, Stanford, California

Ronald Lynn, Clark County Department of Development Services, Las Vegas, Nevada

James Malley, Degenkolb Engineers, San Francisco, California*

Bonnie Manley, National Fire Protection Association, Quincy, Massachusetts

Rich Marshall, Home Depot Construction Department, Atlanta, Georgia

James Marshall, Morgan-Marshall Industries, Inc., Chicago Heights, Illinois*

Harry Martin, American and Iron Steel Institute, Auburn, California

David McCormick, Simpson Gumpertz and Heger, Inc., San Francisco, California*

Michael Obi, Seizmic Engineering, Inc., Pomona, California*

David Olson, United Fixtures Company, Niles, Michigan*

Teoman Pekoz, Cornell University, Ithaca, New York

John Pellegrino, Ridg-U-Rak, Inc., North East, Pennsylvania*

Don Peoples, Peoples Associates Structural Engineers, Milpitas, California*

Mark Pierepiekarz, MRP Engineering, LLC, Newcastle, Washington

Frank Renshaw, Keogh Consulting, Palm Beach Garden, Florida

Satwant Riahl, California Polytechnic State University, San Louis Obispo, California*

Christopher Rojahn, Applied Technology Council, Redwood City, California*

Phil Rosenband, Morgan-Marshall Industries, Inc., Chicago Heights, Illinois



158
                                            BSSC Rack Project Reviewers and Workshop Participants



Rafael Sabelli, Dasse Design, Inc., San Francisco, California

Jonathan Siu, City of Seattle, Seattle, Washington

Scott Sobeck, Home Depot Construction Department, Orange, California*

Fred Turner, California Seismic Safety Commission, Sacramento, California*

Ken Wood, K. L. Wood Engineering, Colorado Springs, Colorado




                                                                                             159
The Building Seismic Safety Council (BSSC) was established in 1979 under the auspices of the National Institute
of Building Sciences as an entirely new type of instrument for dealing with the complex regulatory, technical, social,
and economic issues involved in developing and promulgating building earthquake hazard mitigation regulatory
provisions that are national in scope. By bringing together in the BSSC all of the needed expertise and all relevant
public and private interests, it was believed that issues related to the seismic safety of the built environment could be
resolved and jurisdictional problems overcome through authoritative guidance and assistance backed by a broad
consensus.
The BSSC is an independent, voluntary membership body representing a wide variety of building community
interests. Its fundamental purpose is to enhance public safety by providing a national forum that fosters improved
seismic safety provisions for use by the building community in the planning, design, construction, regulation, and
utilization of buildings.
                                       2005 BSSC BOARD OF DIRECTION
Chairman            Jim W. Sealy, FAIA, Architect/Consultant, Dallas, TX

Vice Chairman       David Bonneville, Degenkolb Engineers, San Francisco, California

Secretary           Jim Rinner, Project Manager II, Kitchell CEM, Sacramento, California

Ex-Officio          Charles Thornton, Chairman/Principal, Thornton-Tomasetti Group, Inc., New York, New York

Members             Edwin Dean, Nishkian Dean, Portland, Oregon
                    Bradford K. Douglas, Director of Engineering, American Forest and Paper Association,
                    Washington, D.C.
                    Cynthia J. Duncan, Director of Specifications, American Institute of Steel Construction,
                    Chicago, Illinois
                    Henry Green, Executive Director, Bureau of Construction Codes and Fire Safety, State of
                    Michigan, Department of Labor and Economic Growth, Lansing, Michigan (representing the
                    National Institute of Building Sciences)
                    Jay W. Larson, American Iron and Steel Institute, Betlehem, Pennsylvania
                    H.S. Lew, Senior Research Engineer, National Institute of Standards and Technology,
                    Gaithersburg, Maryland (representing Interagency Committee on Seismic Safety in
                    Construction)
                    Joseph Messersmith, Coordinating Manager, Regional Code Services, Portland Cement
                    Association, Rockville, Virginia (representing the Portland Cement Association)
                    Ronald E. Piester, Assistant Director for Code Development, New York State, Department of
                    State, Kinderhook, New York
                    James Rossberg, Manager, Technical Activities for the Structural Engineering Institute,
                    American Society of Civil Engineers, Reston Virginia
                    W. Lee Shoemaker, Director, Engineering and Research, Metal Building Manufacturers
                    Association, Cleveland, Ohio
                    Howard Simpson, Simpson Gumpertz and Heger, Arlington, Massachusetts (representing
                    National Council of Structural Engineers Associations)
                    Charles A. Spitz, Architect/Planner/Code Consultant, Wall New Jersey (representing the
                    American Institute of Architects)
                    Robert D. Thomas, Vice President Engineering, National Concrete Masonry Association,
                    Herndon, Virginia

BSSC STAFF          Claret M. Heider, Vice President for BSSC Programs
                    Bernard F. Murphy, PE, Director, Special Projects
                    Carita Tanner, Communications/Public Relations Manager



160