1、Designation: E 2557 07Standard Practice forProbable Maximum Loss (PML) Evaluations for EarthquakeDue-Diligence Assessments1, 2This standard is issued under the fixed designation E 2557; the number immediately following the designation indicates the year oforiginal adoption or, in the case of revisio
2、n, the year of last revision. A number in parentheses indicates the year of last reapproval. Asuperscript epsilon (e) indicates an editorial change since the last revision or reapproval.1. Scope1.1 This practice establishes standard-of-care for evaluationand classification of the financial risks fro
3、m earthquake dam-age to real estate improvements for use in financial transac-tions. As such, this practice permits a user to satisfy, in part,their real estate transaction due-diligence requirements withrespect to assessing and characterizing a propertys potentiallosses from earthquakes. This pract
4、ice is intended to addressonly physical damage to the property from site and buildingresponse.1.1.1 Hazards addressed in this practice include earthquakeground shaking, earthquake-caused site instability, includingfaulting, subsidence, settlement landslides and soil liquefac-tion, earthquake-caused
5、tsunamis and seiches, and earthquake-caused flooding from dam or dike failures.1.1.2 Earthquake-caused fires and toxic materials releasesare not hazards considered in this practice.1.1.3 This practice does not purport to provide for thepreservation of life safety, or prevention of building damageass
6、ociated with its use, or both.1.1.3.1 This practice does not address requirements of anyfederal, state, or local laws and regulations of building con-struction or maintenance. Users are cautioned that currentfederal, state, and local laws and regulations may differ fromthose in effect at the times o
7、f construction or modification ofthe building(s), or both.1.1.3.2 This practice does not address the contractual andlegal obligations between prior and subsequent Users of PMLreports or between providers who prepared the report and thosewho would like to use such prior reports.1.1.3.3 This practice
8、does not address the contractual andlegal obligations between a provider and a user, and otherparties, if any.1.1.4 It is the responsibility of the owner of the building(s)to establish appropriate life-safety and damage preventionpractices and determine the applicability of current regulatorylimitat
9、ions prior to use.1.2 Considerations not included in the scope: the impacts ofdamage to building contents, loss of income(s), rents, or othereconomic benefits of use of the property, or from legaljudgments, fire sprinkler water-induced damage or fire.1.3 The values stated in inch-pound units are to
10、be regardedas standard. The values given in parentheses are mathematicalconversions to SI units that are provided for information onlyand are not considered standard.2. Referenced Documents2.1 ASTM Standards:3E 2026 Guide for the Estimation of Building Damageabilityin Earthquakes2.2 Other Standards:
11、4UBC-97 Unifrom Building Code, 1997 EditionInternational Building Code 2006 Edition2.3 ASCE Standards:5ASCE 7 Minimum Design Loads for Buildings and OtherStructuresASCE 31 Seismic Evaluation of Existing BuildingsASCE 41 Seismic Rehabilitation of Existing Buildings3. Terminology3.1 See also definitio
12、ns in Guide E 2026.3.2 DBE, nDesign Basis Earthquake, as defined in GuideE 2026.3.3 lateral load-resisting system, nLateral Load ResistingSystem, as defined in Guide E 2026.3.4 MCE, nMaximum Capable Earthquake as defined inGuide E 2026.3.5 PML, nTerm historically used to characterize buildingdamagea
13、bility in earthquakes.1This practice is under the jurisdiction of ASTM Committee E06 on Perfor-mance of Buildings and is the direct responsibility of Subcommittee E06.25 onWhole Buildings and Facilities.Current edition approved May 1, 2007. Published May 2007.2Portions of this publication reproduce
14、content from the 1997 Uniform BuildingCode, International Code Council, Inc. Falls Church, Virginia. Reproduced withpermission. All rights reserved.3For referenced ASTM standards, visit the ASTM website, www.astm.org, orcontact ASTM Customer Service at serviceastm.org. For Annual Book of ASTMStandar
15、ds volume information, refer to the standards Document Summary page onthe ASTM website.4Available from International Organization for Standardization (ISO), 1 rue deVaremb, Case postale 56, CH-1211, Geneva 20, Switzerland, http:/www.iso.ch.5Available from American Society of Civil Engineers (ASCE),
16、1801 AlexanderBell Dr., Reston, VA 20191, http:/www.asce.org.1Copyright ASTM International, 100 Barr Harbor Drive, PO Box C700, West Conshohocken, PA 19428-2959, United States.3.5.1 DiscussionProbable maximum loss, shall be definedby the user from SL or PL values using definitions of GuideE 2026. Fo
17、r SL-based measures include in the report thespecified earthquake or ground motion for which it is to beevaluated and stipulate whether it is an expected value (SEL)or upper value (SUL). For PL-based measures, the returnperiod for non-exceedance shall be specified, or the probabilityof exceedance in
18、 a given time period provided.3.6 probable loss (PL), nProbable Loss as defined inGuide E 2026.3.6.1 DiscussionWhen there are multiple buildings in theseismic risk assessment, then the damageability values for thegroup of buildings is to be determined as specified in GuideE 2026.3.7 provider, norgan
19、ization and individual that completesthe seismic risk assessment.3.8 scenario loss (SL), nAs defined in Guide E 2026.3.8.1 DiscussionWhen multiple buildings are in the seis-mic risk assessment, then the SL for the group of building is tobe determined as specified in Guide E 2026.3.9 SEL, nAs defined
20、 in Guide E 2026.3.9.1 DiscussionWhen there are multiple buildings in theassessment then the SEL for the group of buildings is to bedetermined as specified in Guide E 2026.3.10 SELDBE, nThe scenario expected loss due to theoccurrence of DBE site ground motions.3.11 SELMCE, nThe scenario expected los
21、s due to theoccurrence of MCE site ground motions.3.12 significant damage, nDamage costs that exceeds fivepercent of the replacement cost of construction for the buildingcaused by site failure from soil liquefaction, landsliding, orother earthquake-induced site response other than shaking.Damage cos
22、t for this purpose includes the cost of the sitetopography away from the building.3.12.1 DiscussionConditions resulting from lack of rou-tine maintenance, miscellaneous repairs, operating mainte-nance, and so forth are not considered a deficiency. Thedamage is not significant if it does not affect t
23、he structuralelements of the building because the movement is not substan-tial or the foundation is resistant to settlement-induced damage.Damage limited to underground utilities or slabs on grade isnot significant.3.13 SUL, nAs defined in Guide E 2026.3.13.1 DiscussionWhen there are multiple buildi
24、ngs inthe assessment then the SUL for the group of buildings is to bedetermined as specified in Guide E 2026.3.14 SULDBE, nThe scenario upper loss due to the occur-rence of DBE site ground motions.3.15 SULMCE, nThe scenario upper loss due to the occur-rence of MCE site ground motions.3.16 third part
25、y, nA technically qualified individual andorganization that has not been engaged in the design ormodifications of the building(s), and is not part of the due-diligence team that provided the earthquake loss assessment.4. Summary of Practice4.1 The objectives of this practice are as follows:4.1.1 To
26、synthesize and document good commercial prac-tice for the determination and rating of seismic risk forbuildings.4.1.2 To facilitate standardization of earthquake risk evalu-ation terminology for financial transactions.4.1.3 To establish an industry standard for the requirementsto evaluate the financ
27、ial risk for real estate.5. Significance and Use5.1 This practice is intended for use as a voluntary standardby parties who wish to undertake the seismic risk assessment ofproperties. The goal is for users to objectively and reliablycompare the financial risks of earthquake damage to buildings,or gr
28、oups of buildings, on a consistent basis.5.2 This practice is designed to provide requirements for theevaluation of earthquake damage risk so that technical reportsprepared for the evaluation and rating of seismic risk of abuilding(s) will be adequate for use by other entities. Potentialusers includ
29、ing, but are not be limited to, those making equityinvestments, lending, and financial transactions, includingsecuritized mortgage lending by mortgage originators, loanservicers, underwriters, rating agencies, and purchasers ofbonds secured by the real estate.5.3 The use of this practice may permit
30、a user to satisfy, inpart, their requirements for due diligence in assessing apropertys potential for losses associated with earthquakes forreal estate transactions.6. Due-Diligence Investigation6.1 The site stability, building stability and building dam-ageability of the property shall be assessed.
31、6.2 The user shall specify the condition of the property to beevaluated. The seismic performance can be evaluated for theproperty in its current condition, or as changed by proposedmodification of the seismic response of the soils supporting thebuilding or a proposed seismically retrofitted conditio
32、n of thebuilding(s) or its sections, or both.6.2.1 The proposed seismic modifications of the site mustbe sufficiently described to allow evaluation of the modifica-tions by an independent qualified party.6.2.2 The proposed seismic modifications of the buildingsystems must be sufficiently described t
33、o allow evaluation ofthe modifications by a qualified third party.6.3 The Guide E 2026 level of investigation shall be speci-fied by the user. The same level of investigation should beperformed for each type of the seismic risk assessment.Appendix X1gives guidance on the setting of the level ofinves
34、tigation.6.4 The qualifications of the provider shall be specified asrequired for the level of investigation specified in 6.3 by GuideE 2026. The qualifications level must be equal to or higher thanthe corresponding level specified in 6.3. Appendix X1 givesfurther guidance on the setting of minimum
35、qualifications.6.5 PML ReportThe findings shall be reported in con-formance to the requirements of Guide E 2026 for the level ofinvestigation specified by the user in 6.3 and by a providerqualified in accordance with the requirements of 6.4, with thefollowing sections:E25570726.5.1 A summary that co
36、ntains the conclusions of theseismic risk assessment:6.5.1.1 Location of the building(s) and characterization ofthe site and site soils, and gravity and lateral load-resistingsystems.6.5.1.2 Stability determination of each building site underconsideration when subjected to the seismic loadings for t
37、hebuilding site location and building characteristics and for thelevel of investigation specified as set forth in Section 9 ofGuide E 2026. Site stability determination need only be quali-tative in nature for an SS0 investigation. For SS1 investigationsthe site stability is a qualitative assessment
38、that includes theimplications on damage to the building structural elements. ForSS2 and SS3 investigations the site should be consideredunstable if significant damage is caused to the building by thesite instability.6.5.1.3 Stability determination of each building under con-sideration in the seismic
39、 loadings for the building site locationand building characteristics and for the level of investigationspecified, as set forth in Section 8 of Guide E 2026.6.5.1.4 The PML value for the building or group of build-ings as a whole, if there are multiple buildings in the seismicrisk assessment and for
40、the level of investigation specified.(1) For commercial mortgage backed securities the PML isdefined as the SELDBE.(2) For other applications the PML shall be user-defined.6.5.1.5 A specification of the level of investigation for eachassessment and a review of the methods used and the personnelengag
41、ed.6.5.1.6 Results for each of the conditions described in 6.2.2that apply6.5.1.7 Appropriate reliance language for the report andsignature, and for Level 1 or higher investigations, the profes-sional seal of the provider.6.5.1.8 All deletions and deviations from this practice (ifany) shall be liste
42、d individually and in detail.6.5.1.9 The report conclusion shall include the followingstatement: 9We have performed a probable maximum loss(PML) evaluation for earthquake due diligence assessment inconformance with the scope and limitations of Guide E 2026and E 2557 for a Level XX (specify) assessme
43、nt of insertaddress or legal description, the property. Any exceptions to,or deletions from, this practice are described in Sectionofthis report. This probable maximum loss (PML) evaluation forearthquake due diligence assessment has determined the PMLto be %9. PML is defined as fill in the definitio
44、n used.6.5.2 A body of the report that provides:6.5.2.1 All detailed reporting information required by GuideE 2026, Section 16, including the basis and background for thework performed in support of the conclusions presented in thereport.6.5.2.2 PML values for each building, and, if appropriate,for
45、the group of buildings.(1) For CMBS applications, in addition to the PML, SEL,and SUL values for the DBE and MCE ground motions and PLvalues for 190- and 475-year return periods shall bereported .(2) For other applications the PML and other damageabilityvalues as specified by the user shall be repor
46、ted.(3) Report of any other information required by the user,which may include business interruption, and contents dam-ageability.(4) The organization that commissioned the report and theprofessional liability limitations of the report provider shall bedisclosed in the report.6.5.3 Attachments and a
47、ppendices to the report asappropriate.APPENDIX(Nonmandatory Information)X1. LEVEL OF INVESTIGATIONX1.1 The selection of the level of the investigation per-formed should be guided by the level of uncertainty in theresult that is acceptable to the user. Two guidance tables areprovided: 1) based upon t
48、he level of uncertainty in the resultsand 2) based upon the building replacement cost.X1.1.1 If the degree of uncertainty is the guiding consider-ation in selecting the level of investigation, then Table 1 isoffered as a guide to selection of the levels of investigation tomatch the acceptable level
49、of uncertainty. The zone referencesare from the map of seismic zones as it appears in UBC-97,TABLE 1 Seismic Zone of the Property and the Acceptable Level of Uncertainty of the UserSeismic Zone/UBC-97Acceptable Uncertainty Level Zones 0, 1 Zones 2A, 2B Zone 3 Zone 4Low none BS0, SS0, BD0 BS1, SS1, BD1 BS2, SS2, BD2Moderate none none BS0, SS0, BD0 BS1, SS1, BD1High none none none BS0, SS0, BD0E2557073which is reproduced in Fig. 1. The acceptance uncertaintylevels are not defined, but are given to reflect the progressionof investigation levels with cha
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