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1 SEISMIC SCREENING CHECKLISTS FOR WATER AND WASTEWATER FACILITIES EDITED BY William F. Heubach Technical Council on Lifeline Earthquake Engineering Water and Wastewater Committee Monograph No. 22 September l'Ar American Society ~...,.. of Civil Engineers 1801 ALEXANDER BELL DRIVE RESTON, VIRGINIA

2 Abstract: was prepared by the Water and Wastewater Committee of the Technical Council on Lifeline Earthquake Engineering. This committee is composed of academicians, consulting engineers and engineers employed by the public sector. The authors and contributors of this document have both interest and expertise in how earthquakes affect water and wastewater facilities. This document presents checklists that can be used to help identify potentially vulnerable water and wastewater facilities Library of Congress Cataloging-in-Publication Data Seismic screening checklists for water and wastewater facilities I prepared by the Water and Wastewater Committee of the Technical Council on Lifeline Earthquake Engineering, American Society of Civil Engineers; edited by William F. Heubach. p. cm. -- (Technical Council on Lifeline Earthquake Engineering monograph ; no. 22) Includes bibliographical references and index. ISBN I. Waterworks--Earthquake effects. 2. Sewage disposal plants--earthquake effects. 3. Earthquake hazard analysis. I. Heubach, William F. II. American Society of Civil Engineers. Technical Council on Lifeline Earthquake Engineering. Water and Wastewater Committee. III. Monograph (American Society of Civil Engineers. Technical Council on Lifeline Earthquake Engineering) ; no. 22. TD485.S dc Any statements expressed in these materials are those of the individual authors and do not necessarily represent the views of ASCE, which takes no responsibility for any statement made herein. No reference made in this publication to any specific method, product, process or service constitutes or implies an endorsement, recommendation, or warranty thereof by ASCE. The materials are for general information only and do not represent a standard of ASCE, nor are they intended as a reference in purchase specifications, contracts, regulations, statutes, or any other legal document. ASCE makes no representation or warranty of any kind, whether express or implied, concerning the accuracy, completeness, suitability, or utility of any information, apparatus, product, or process discussed in this publication, and assumes no liability therefore. This information should not be used without first securing competent advice with respect to its suitability for any general or specific application. Anyone utilizing this information assumes all liability arising from such use, including but not limited to infringement of any patent or patents. ASCE and American Society of Civil Engineers-Registered in U.S. Patent and Trademark Office. Photocopies: Authorization to photocopy material for internal or personal use under circumstances not falling within the fair use provisions of the Copyright Act is granted by ASCE to libraries and other users registered with the Copyright Clearance Center (CCC) Transactional Reporting Service, provided that the base fee of $18.00 per article is paid directly to CCC, 222 Rosewood Drive, Danvers, MA The identification for ASCE Books is /03/ $18.00 per article. Requests for special permission or bulk copying should be addressed to Permissions & Copyright Dept., ASCE. Copyright 2003 by the American Society of Civil Engineers. All Rights Reserved. Library of Congress Catalog Card No: ISBN Manufactured in the United States of America.

3 FOREWORD A key element of most seismic vulnerability programs is review of the facilities and components that are being assessed. An initial screening process is typically performed to identify those components believed to be earthquake resistant and to identify those components in need of further evaluation. Checklists are often used in the initial screening process. Checklists have been previously developed for many types of building structures and some types of building contents. However, checklists for many types of water system structures and components are not available. The purpose of this document is to provide a set of checklists that can be used in the initial screening process to identify potentially seismically vulnerable water and wastewater system components. The checklists provide information that may be useful for anyone from a operations personnel unfamiliar with earthquake engineering to experienced earthquake engineers who may be unfamiliar with earthquake response of water and wastewater system components. The checklists can be used casually to identify potentially seismically vulnerable components, or the checklists can be used in the initial screening process of a rigorous seismic vulnerability assessment. was prepared by the Water and Wastewater Committee of the American Society of Civil Engineers (ASCE) Technical Council on Lifeline Earthquake Engineering (TCLEE). The principal authors are as follows: John Eidinger Kelly Harbert Bill Heubach Gordon Laverty Cranes, Pumps, Valves HV AC Systems, Chemical Storage Tanks, Submerged Piping, Communications Towers and Antennas Text, Aboveground Water Transmission Canals and Pipelines, Anchor Bolts, Building and System Piping, Buried Piping, Ceilings and Lights, Chemical Feed Equipment, Clarifiers and Sedimentation Basins, Communications Tower and Antenna, Computer Equipment, Digesters, Emergency Power, Glazing, Laboratory Equipment, Local Electrical System Components, Office Equipment, Partition Walls, Pumps, Storage Racks, Submerged Piping, Surface Water Supply and Water Impoundment, Valves, Water Storage Reservoirs, Wells Water Filters The following people reviewed the monograph draft: Aziz Alfi Don Ballantyne LeVal Lund Their comments and suggestions are greatly appreciated. William F. Heubach Editor iii

4 American Society of Civil Engineers Technical Council on Lifeline Earthquake Engineering Lifelines are those systems and utilities that are essential to the quality of life enjoyed by modem societies. Professor C. Martin Duke recognized that many lifeline components consisted of facilities with unique earthquake response characteristics. Professor Duke also recognized that seismic hazards were often not considered when lifelines were designed and constructed. Following heavy damage to lifelines during the 1971 San Fernando Earthquake and under Professor Duke's direction, the Technical Council on Lifeline Earthquake Engineering (TCLEE) was established by the American Society of Civil Engineers (ASCE) on July 15, Presently, TCLEE is comprised of the following committees: Earthquake Investigation Electric Power and Communications Lifelines Gas and Liquid Fuel Lifelines Ports and Harbors Lifelines Seismic Risk Transportation Lifelines Water and Wastewater Lifelines The purpose of TCLEE is to advance the state-of-the-art and practice of lifeline earthquake engineering through the following endeavors: Participate in the development of guidelines, pre-standards, and standards for the seismic design and construction of lifelines Encourage lifeline industries and associated manufacturers, associations, and professionals to consider earthquakes and their impacts in planning, design and operation of lifeline systems Serve as a primary resource for establishing broad consensus on lifeline seismic issues Identify and prioritize research needs related to lifeline seismic planning, design, construction, and operation Support and conduct programs for education and technology transfer on lifeline se1sm1c issues Participation in TCLEE activities is encouraged for anyone who is interested lifeline earthquake engineering. Each TCLEE committee maintains a web page that can be accessed from ASCE' s web site at The committee web pages summarize current activities and provide a list of people to contact for those who would like to participate in TCLEE.

5 TCLEE Publications Duke, C. Martin, editor. The Current State of Knowledge of Lifeline Earthquake Engineering, Dowd, Munson, editor. Annotated Bibliography on Lifeline Earthquake Engineering, Smith, D. J. Jr., editor. Lifeline Earthquake Engineering: The Current State of Knowledge, Hall, William, editor. Advisory Notes on Lifeline Earthquake Engineering, Nyman, Douglas, editor. Guidelines for the Seismic Design of Oil and Gas Pipeline Systems, TCLEE Committee on Gas and Liquid Fuel Lifelines, Coopers, James, editor. Lifeline Earthquake Engineering: Performance, Design and Construction, Eguchi, Ron and Crouse, C. B., editors. Lifeline Seismic Risk Analysis-Case Studies, Cassaro, Michael and Martinez-Romero, E., editors. The Mexico Earthquakes-1985 Factors Involved and Lessons Learned, Wang, Leon R. L. and Whitman, Robert, editors. Seismic Evaluation of Lifeline Systems-Case Studies, Cassaro, Michael and Cooper, James, editors. Seismic Design and Construction of Complex Civil Engineering Systems, Werner, Stuart D. and Dickenson, Stephen E., editors. Hyogoken-Nanbu (Kobe) Earthquake of January 17, 1995: A Post-Earthquake Reconnaissance of Port Facilities, TCLEE Committee on Ports and Harbors Lifelines, Schiff, Anshel J., editor. Guide to Improved Earthquake Performance of Electric Power Systems, ASCE Manual 96, Vil

6 TCLEE Monograph Series These publications may be purchased from ASCE via telephone ASCE (2723) or the world wide web The TCLEE publications Web site is _pubs.cfm Kiremidjian, Ann, editor. Recent Lifeline Seismic Risk Studies. TCLEE Monograph No. 1, Taylor, Craig, editor. Seismic Loss Estimates for a Hypothetical Water System. TCLEE Monograph No. 2, Schiff, Anshel J., editor. Guide to Post Earthquake Investigations of Lifelines. TCLEE Monograph No. 3, Cassaro, Michael, editor. Lifeline Earthquake Engineering. Proceedings of the Third US. Conference. TCLEE Monograph No. 4, August Ballantyne, Donald, editor. Lifeline Earthquake Engineering in the Central and Eastern US. TCLEE Monograph No. 5, September O'Rourke, Michael, editor. Lifeline Earthquake Engineering. Proceedings of the Fourth US. Conference. TCLEE Monograph No. 6, August Schiff, Anshel J. and Buckle, Ian, editors. Critical Issues and State of the Art on Lifeline Earthquake Engineering. TCLEE Monograph No. 7, October Schiff, Anshel J., editor. Northridge Earthquake: Lifeline Performance and Post Earthquake Response. TCLEE Monograph No. 8, August McDonough, Peter W., editor. Seismic Design for Natural Gas Distributors. TCLEE Monograph No. 9, August Tang, Alex and Schiff, Anshel, editors. Methods of Achieving Improved Seismic Performance of Communication Systems. TCLEE Monograph No. 10, September Schiff, Anshel, editor. Guide to Post-Earthquake Investigation of Lifelines. TCLEE Monograph No. 11, July Werner, Stuart D., editor. Seismic Guide to Ports. TCLEE Monograph No. 12, March lx

7 Taylor, C, Mittler, E., Lund, L., editors. Overcoming Barriers: Lifeline Seismic Improvement Programs. TCLEE Monograph No. 13, September Schiff, A.J., editor. Hyogoken-Nanbu (Kobe) Earthquake of January 17, Lifeline Performance. TCLEE Monograph No. 14, September Eidinger, John M., and Avila, Ernesto A., editors. Guidelines for the Seismic Upgrade of Water Transmission Facilities. TCLEE Monograph No. 15, January Elliott, William M. and McDonough, Peter, editors. Optimizing Post Earthquake Lifeline System Reliability, Proceedings of the Fifth National Conference on Lifeline Earthquake Engineering. TCLEE Monograph No. 16, September Tang, Alex K., editor. Izmit (Kocaeli) Earthquake of August 17, 1999 Including Duzce Earthquake of November 12, 1999-Lifeline Performance. TCLEE Monograph No. 17, March Schiff, Anshel J., and Tang, Alex K., editors. Chi-Chi Taiwan Earthquake of September 21, 1999-Lifeline Performance. TCLEE Monograph No. 18, Eidenger, John M., editor. Kujurat (Kutch) India M7. 7Earthquake of January 26, 2001 and Napa M5.2 Earthquake of September 3, TCLEE Monograph No. 19, McDonough Peter, editor. The Nisqually, Washington Earthquake of February 28, 2001-Lifeline Performance. TCLEE Monograph No. 20, Taylor, Craig and VanMarcke, Erik, editors. Acceptable Risk Processes: Lifelines and Natural Hazards. TCLEE Monograph No. 21, x

8 TABLE OF CONTENTS 1.0 INTRODUCTION Scope Organization WATER AND WASTEWATER SYSTEM SEISMIC VULNERABILITY ASSESSMENT AND LOSS MITIGATION OVERVIEW Seismic Hazards Assessment Ground Shaking Permanent Ground Displacement Faulting Liquefaction/Lateral Spread Settlement Subsidence/Uplift Lurching Tsunamic and Seiche l Tsunami Seiche Earthquake Performance Goals Component Seismic Vulnerability Assessment System Seismic Vulnerability Assessment Loss Mitigation/Prioritization Prioritization Scheduling Funding SEISMIC SCREENING OF WATER AND WASTEWATER FACILITIES WITH CHECKLISTS Limitations Level of Effort Screening (Walkdown) Team Selection Pre-Screening Activities Screening Process CHECKLIST FORMAT Checklist Organization Other Water and Wastewater System Components Buildings Dependencies on Other Lifelines SUGGESTED REFERENCES AND ORGANIZATIONS FOR FURTHER INFORMATION xi

9 TABLE OF CONTENTS (CONTINUED) SOURCE FACILITIES AND COMPONENTS Surface Water Supply and Water lmpoundment Wells STORAGE, DISTRIBUTION AND COLLECTION COMPONENTS Aboveground Water Transmission Canals and Pipelines Buried Piping Pumps Valves Water Storage Reservoirs TREATMENT FACILITIES AND COMPONENTS Chemical Feed Equipment Chemical Storage Tanks Clarifiers and Sedimentation Basins Digesters Submerged Piping Water Filters SUPPORT EQUIPMENT Anchor Bolts Building and System Piping Communication Towers and Antenna Computer Equipment Cranes Emergency Power Laboratory Equipment Local Electrical System Components ADMINISTRATION, OPERATIONS AND MAINTENANCE FACILITY CONTENTS Ceilings and Lights Glazing HV AC Systems Office Equipment Partition Walls Storage Racks REFERENCE SUMMARY INDEX xii