1、Designation: E2026 16a An American National StandardStandard Guide forSeismic Risk Assessment of Buildings1This standard is issued under the fixed designation E2026; the number immediately following the designation indicates the year oforiginal adoption or, in the case of revision, the year of last
2、revision. A number in parentheses indicates the year of last reapproval. Asuperscript epsilon () indicates an editorial change since the last revision or reapproval.INTRODUCTIONLenders, insurers, and equity owners in real estate are giving more intense scrutiny to earthquakerisk than ever before. Th
3、e 1989 Loma Prieta, California earthquake, which caused more than $6 billionin damage, accelerated the trend toward considering loss estimation in real estate transactions. The1994 Northridge, California earthquake, with over $20 billion in damage, made seismic riskassessment an integral part of rea
4、l estate financial decision-making for regions at risk of damagingearthquakes. Users of Seismic Risk Assessment reports need specific and consistent measures forassessing the possibility of future loss due to earthquake occurrences. This guide discusses specificapproaches that the real estate and te
5、chnical communities can consider a basis for characterizing theseismic risk assessment of buildings in an earthquake. It uses two concepts to characterize earthquakeloss: probable loss (PL) and scenario loss (SL). Use of the term probable maximum loss (PML) isacceptable, provided it is specifically
6、and adequately defined by the User.1. Scope1.1 This guide provides guidance on conducting seismicrisk assessments for buildings. As such, this guide assists aUser to assess a propertys potential for losses from earthquakeoccurrences.1.1.1 Hazards addressed in this guide include:1.1.1.1 Earthquake gr
7、ound shaking,1.1.1.2 Earthquake-caused site instability, including faultrupture, landslides, soil liquefaction, lateral spreading andsettlement, and1.1.1.3 Earthquake-caused off-site response impacting theproperty, including flooding from dam or dike failure, tsunamisand seiches.1.1.2 This guide doe
8、s not address the following:1.1.2.1 Earthquake-caused fires and toxic materials releases.1.1.2.2 Federal, state, or local laws and regulations ofbuilding construction or maintenance. Users are cautioned thatcurrent federal, state, and local laws and regulations may differfrom those in effect at the
9、time of the original construction ofthe building(s).1.1.2.3 Preservation of life safety.1.1.2.4 Prevention of building damage.1.1.2.5 Contractual and legal obligations between prior andsubsequent Users of seismic risk assessment reports or betweenProviders who prepared the report and those who would
10、 like touse such prior reports.1.1.2.6 Contractual and legal obligations between a Pro-vider and a User, and other parties, if any.1.1.3 It is the responsibility of the User of this guide toestablish appropriate life safety and damage prevention prac-tices and determine the applicability of current
11、regulatorylimitations prior to use.1.2 The objectives of this guide are:1.2.1 To synthesize and document guidelines for seismicrisk assessment of buildings;1.2.2 To encourage standardized seismic risk assessments;1.2.3 To establish guidelines for field observations of thesite and physical conditions
12、, and the document review andresearch considered appropriate, practical, sufficient, and rea-sonable for seismic risk assessment;1.2.4 To establish guidelines on what reasonably can beexpected of and delivered by a Provider in conducting theseismic risk assessment of buildings; and1.2.5 To establish
13、 guidelines by which a Provider cancommunicate to the User observations, opinions, and conclu-sions in a manner that is meaningful and not misleading eitherby content or by omission.1.3 The values stated in inch-pound units are to be regardedas standard. The values given in parentheses are mathemati
14、calconversions to SI units that are provided for information onlyand are not considered standard.1This guide is under the jurisdiction of ASTM Committee E06 on Performanceof Buildings and is the direct responsibility of Subcommittee E06.25 on WholeBuildings and Facilities.Current edition approved Ma
15、y 15, 2016. Published June 2016. Originallyapproved in 1999. Last previous edition approved in 2016 as E2026-16. DOI:10.1520/E2026-16A.Copyright ASTM International, 100 Barr Harbor Drive, PO Box C700, West Conshohocken, PA 19428-2959. United States12. Referenced Documents2.1 ASTM Standards:2E631 Ter
16、minology of Building Constructions2.2 ICC Standard:3IBC International Building Code, current edition2.3 Other ReferencesThe following resource documentsprovide technical guidance for the seismic evaluation andretrofit of existing buildings:4ASCE 7-10 Minimum Design Loads for Buildings and OtherStruc
17、turesASCE 31 Seismic Evaluation of Existing Buildings5ASCE 41-13 Seismic Evaluation and Retrofit of ExistingBuildings63. Terminology3.1 Definitions:3.1.1 See Terminology E631.3.1.2 For definition of terms related to buildingconstruction, ASCE 31 and ASCE 41 provide additionalresources for understand
18、ing terminology and language relatedto seismic performance of buildings.3.1.3 For definition of terms and additional detailed infor-mation on concepts related to seismic events and structuraldesign, see references at the end of this document.3.2 Definitions of Terms Specific to This StandardThissect
19、ion provides definitions of concepts and terms specific tothis guide. The concepts and terms are an integral part of thisguide and are critical to an understanding of this guide and itsuse.3.2.1 active earthquake fault, nan earthquake fault thathas exhibited surface displacement within Holocene time
20、typically about the last 11 000 years.3.2.2 building code, na collection of laws (regulations,ordinances, or statutory requirements) applicable to buildings,adopted by governmental (legislative) authority and adminis-tered with the primary intent of protecting public health, safety,and welfare.3.2.3
21、 building systems, nall physical systems that com-prise a building and its services.3.2.3.1 DiscussionThis includes architectural, structural,mechanical, plumbing, electrical, fire life-safety, vertical trans-portation and security systems. More specifically architecturalsystems include non-structur
22、al building envelopes, roofing,ceilings, partitions, non-structural demising walls etc; struc-tural systems include both gravity and seismic force-resistingsystems and foundations; mechanical systems include heating,ventilating and air conditioning equipment, ducts, controlsystems etc; plumbing syst
23、ems include domestic water heaters,piping, controls, plumbing fixtures, waste water system pipingand natural gas or propane systems, storm water drains andpumps etc; electrical systems include switchgear, transformers,breakers, wiring, lighting fixtures, emergency power systemsetc; and fire life-saf
24、ety systems include fire sprinkler systems,monitoring and alarm systems etc. Not included in buildingsystems are those contained within a building and defined ascontents.3.2.4 business interruption, na period of interruption tonormal business operations that can potentially or materiallycause a loss
25、 to the owner/operator of that business through lossof use of the building until use is restored consistent withbusiness operations.3.2.4.1 DiscussionThe loss may be partial or total for theperiod under consideration. Business interruption is expressedin days/weeks/months of downtime for the buildin
26、g as a wholeor the equivalent operating value.3.2.5 construction documents, ndocuments used in theinitial construction phase and any subsequent modification(s)of building(s) for which the seismic risk assessment is pre-pared. Construction documents include drawings, calculations,specifications, geot
27、echnical reports, construction reports, andtesting results.3.2.5.1 DiscussionGenerally as-built plans are the pre-ferred form of construction documents.3.2.6 contents, nelements contained within the buildingthat are not defined as building systems.3.2.6.1 DiscussionExamples include tenant-installede
28、quipment, storage racks, material handling systems, shelving,stored inventories, furniture, fixtures, office machines, com-puter equipment, filing cabinets, and personal property.3.2.7 correlation, nthe tendency or likelihood of thebehavior of one element to be influenced by the knownbehavior of ano
29、ther element.3.2.8 damage or repair cost, ncost required to restore thebuilding to its pre-earthquake condition, allowing for salvageand demolition.3.2.8.1 DiscussionThe value includes hard costs of con-struction as well as soft costs for design, site supervision,management, etc. (See also replaceme
30、nt cost.)3.2.9 damage ratio, nratio of the damage or repair costdivided by the replacement cost.3.2.10 dangerous conditions, nsituations that pose a threator possible injury to the occupants or adjacent area consistentwith IBC definition.3.2.11 deficiency, nconspicuous defect(s) in the buildingor si
31、gnificant deferred maintenance items of a building and itscomponents or equipment.3.2.11.1 DiscussionConditions resulting from the lack ofroutine maintenance, miscellaneous repairs, operatingmaintenance, etc. are not considered a deficiency.3.2.12 demand surge, na temporary economic conditionfollowi
32、ng a large or great earthquake in which the increaseddemand for materials, labor, and services results in an increase2For referenced ASTM standards, visit the ASTM website, www.astm.org, orcontact ASTM Customer Service at serviceastm.org. For Annual Book of ASTMStandards volume information, refer to
33、 the standards Document Summary page onthe ASTM website.3Available from International Code Council (ICC), 500 New Jersey Ave., NW,6th Floor, Washington, DC 20001, http:/www.iccsafe.org.4Available from American Society of Civil Engineers (ASCE), 1801 AlexanderBell Dr., Reston, VA 20191, http:/www.asc
34、e.org.5The successor of FEMA 310 issued as a standard in 2003, with periodicrevisions.6The successor of FEMA 356 issued as a standard in 2006, with periodicrevisions.E2026 16a2in the cost and time to repair damage to buildings compared tothe cost and time to repair the same damage under normalcondit
35、ions or following smaller earthquakes.3.2.12.1 DiscussionThe phenomenon results from a com-plex time-dependent process of supply and demand. Objectiveand complete datasets for demand surge for large to greatearthquakes in the United States are unavailable, as arepeer-reviewed public models to reliab
36、ly predict the effects ofdemand surge.3.2.13 design basis earthquake (DBE), nthe site groundmotion with a 10 % probability of exceedance in 50 years,equivalent to a 475-year return period for exceedance, or a0.2105 % annual probability of occurrence.3.2.13.1 DiscussionThe design basis earthquake gro
37、undmotions are associated with any earthquake that has thespecified site ground motion value; often there are severalearthquakes with different magnitudes and causative faults thatyield equivalent site peak ground motions.3.2.14 distribution function, nthe probability distributionfor a random variab
38、le.3.2.14.1 DiscussionThe random variable may includesuch things as loss, ground motion, or other consequence ofearthquake occurrence.7,8,93.2.15 due diligence, nthe assessment of the condition ofa property for the purposes of identifying conditions orcharacteristics of the property, including poten
39、tially dangerousconditions, that may be important to determining the appropri-ateness of the property for financial or real estate transactions.3.2.15.1 DiscussionThe extent of due diligence exercisedon behalf of a User is usually related to the Users tolerance foruncertainty, the purpose of seismic
40、 risk assessment, the re-sources and time available to the Provider to conduct the sitevisit and review construction documents.3.2.16 expected value, nof a random variable, the averageor mean of the distribution function.3.2.16.1 DiscussionThe expected value is determined asthe sum (or integral) of
41、all the values that can occur multipliedby the probability of their occurrence. (Compare: medianvalue.)3.2.17 fault zone, narea within a prescribed distance fromany of the surface traces of a fault.3.2.17.1 DiscussionThe distance depends on the magni-tude of earthquakes that could occur on the fault
42、typically500 ft (152 m) from major faults, which are those capable ofearthquakes with magnitudes of 6.5 or greater, and 250 ft(761 m) away from other well-defined faults. WithinCalifornia, the fault zones are determined by the CaliforniaGeological Survey under the Earthquake Special Studies ZonesAct
43、 for active and potentially active faults that have beenidentified by the state or other governmental bodies.3.2.18 field assessor, nthe person assigned by the SeniorAssessor who conducts the site visits of the property toobserve, evaluate, and document the lateral load-resistingsystem. Other qualif
44、ied persons may assist the Field Assessor.See 6.2.3 for qualifications required to perform such functionsfor Level 1 or higher assessments.3.2.19 independent reviewer, nindependent technicallyqualified individual or organization that has not been engagedin the design or modifications of the building
45、(s), and is not inany way affiliated with the Provider.3.2.19.1 DiscussionThe concept may also be representedby the phrase “Independent Peer Reviewer.” IndependentReview is conducted during the seismic risk assessment (andtypically involves interaction with the Provider) rather thanafter the complet
46、ion of the seismic risk assessment by a ThirdParty Reviewer. See 6.4 and 6.5.3.2.20 interdependency, na condition wherein the func-tion of the building is dependent on another building, onutilities, or on other critical elements in the supply chain.3.2.20.1 DiscussionOther critical elements include
47、trans-portation and may include a customer, vendor (for example,supplier of materials), contractor (supplier of services), staff(for example, supplier of staff), information (for example, dataprocessing for accounting or distribution), etc.3.2.21 landslide, n(1) ground motion, the rapiddownslope mov
48、ement of soil or rock material, or both, oftenlubricated by ground water, over a basal shear zone; and (2)geological, stationary material deposited in the past by therapid downslope movement of soil or rock material, or both.3.2.22 lateral load-resisting system, nthe elements of thestructural system
49、 that provide support and stability to thebuilding under seismic and wind forces.3.2.23 magnitude of earthquake, nany of a variety ofmeasures that indicates the “size” or “energy release” of anearthquake.3.2.23.1 DiscussionAt least 20 different magnitude scalesare in use within the technical community. The most commonlyused lay term is the Richter magnitude, which is determined bytaking the common logarithm (base 10) of the largest groundmotion recorded during the arrival of a “P” wave, or seismicsurface wave, and applying a standard correc
