1、Designation: E 2026 07An American National StandardStandard Guide forSeismic Risk Assessment of Buildings1This standard is issued under the fixed designation E 2026; 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 (e) 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. T
3、he 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 re
4、al 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 t
5、echnical 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 earthquakeground sha
7、king, earthquake-caused site instability, includingfault rupture, landslides and soil liquefaction, lateral spreadingand settlement, and earthquake-caused off-site response im-pacting the property, including flooding from dam or dikefailure, tsunamis and seiches.1.1.2 This guide does not address the
8、 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 time of the origi
9、nal 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 orbetween Providers who prepared the report and those whowould like to use such
10、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 regulatorylimitat
11、ions prior to use.1.2 The objectives of this guide are:1.2.1 To synthesize and document guidelines for seismicrisk assessment of buildings from earthquakes;1.2.2 To encourage standardized seismic risk assessment;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;1.2.5 To establish guid
13、elines on appropriate field observa-tions and analysis for conducting a seismic risk assessment;and1This 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
14、May 1, 2007. Published May 2007. Originallyapproved in 1999. Last previous edition approved in 1999 as E 2026 99.1Copyright ASTM International, 100 Barr Harbor Drive, PO Box C700, West Conshohocken, PA 19428-2959, United States.1.2.6 To establish guidelines by which a Provider cancommunicate to the
15、User observations, opinions, and conclu-sions in a manner that is meaningful and not misleading eitherby content or by omission.2. Referenced Documents2.1 ASTM Standards:2E 631 Terminology of Building Constructions2.2 Other ReferencesThe following resource documentsprovide technical guidance for the
16、 seismic evaluation andretrofit of existing buildings:ASCE 7 Minimum Design Loads for Buildings and OtherStructures, American Society of Civil Engineers3ASCE 31 Seismic Evaluation of Existing Buildings, Ameri-can Society of Civil Engineers3ASCE 41 Seismic Rehabilitation of Existing Buildings,America
17、n Society of Civil Engineers33. Terminology3.1 Definitions:3.1.1 See Terminology E 631.3.1.2 For definition of terms related to building construc-tion, ASCE 31 (1)4and ASCE 41 (2) provide additional re-sources for understanding terminology and language related toseismic performance of buildings.3.1.
18、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 StandardThissection provides definitions of concepts and terms specific tothis guide. The co
19、ncepts 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 timetypically about the last 11 000 years.3.2.2 building code, na collection of
20、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 building contents, nelements contained within thebuilding that are not defi
21、ned as building systems.3.2.3.1 DiscussionExamples include tenant-installedequipment, storage racks, material handling systems, shelving,stored inventories, furniture, fixtures, office machines, com-puter equipment, filing cabinets, and personal property.3.2.4 building systems, nall physical systems
22、 that com-prise a building and its services.3.2.4.1 DiscussionThis includes architectural, structural,mechanical, plumbing, electrical, fire life-safety, vertical trans-portation and security systems. More specifically architecturalsystems include non-structural building envelopes, roofing,ceilings,
23、 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 systems include domestic water heaters,pipin
24、g, 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-safety systems include fire sprinkler syste
25、ms,monitoring and alarm systems etc. Not included in buildingsystems are those contained within a building and defined asbuilding contents.3.2.5 business interruption, na period of interruption tonormal business operations that can potentially or materiallycause a loss to the owner/operator of that
26、business.3.2.5.1 DiscussionThe loss may be partial or total for theperiod under consideration. Business interruption is expressedin days/weeks/months of downtime for the building as a wholeor the equivalent operating value.3.2.6 correlation, nthe tendency or likelihood of thebehavior of one element
27、to be influenced by the knownbehavior of another element.3.2.7 distribution function, nthe probability distributionfor a random variable.3.2.7.1 DiscussionThe random variable may include suchthings as loss, ground motion, or other consequence of earth-quake occurrence (3-5).3.2.8 damage or repair co
28、st, 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 replacement cost.)3.2.9 damage ratio, nratio of
29、 the damage or repair costdivided by the replacement cost.3.2.10 dangerous conditions, nsituations that pose athreat or possible injury to the occupants.3.2.11 design basis earthquake (DBE), nthe site groundmotion with a 10 % probability of exceedance in 50 years,equivalent to a 475-year return peri
30、od for exceedance, or a0.2105 % annual probability of occurrence.3.2.11.1 DiscussionThe design basis earthquake groundmotions are associated with any earthquake that has thespecified site ground motion value; often there are severalearthquakes with different magnitudes and causative faults thatyield
31、 equivalent site peak ground motions.3.2.12 deficiency, nconspicuous defect(s) in the buildingor significant deferred maintenance items of a building and itscomponents or equipment.3.2.12.1 DiscussionConditions resulting from the lack ofroutine maintenance, miscellaneous repairs, operating mainte-na
32、nce, etc. are not considered a deficiency.3.2.13 due diligence, nthe assessment of the condition ofa property for the purposes of identifying conditions orcharacteristics of the property, including potentially dangerous2For referenced ASTM standards, visit the ASTM website, www.astm.org, orcontact A
33、STM Customer Service at serviceastm.org. For Annual Book of ASTMStandards volume information, refer to the standards Document Summary page onthe ASTM website.3Available from American Society of Civil Engineers (ASCE), 1801 AlexanderBell Dr., Reston, VA 20191, http:/www.asce.org.4The boldface numbers
34、 in parentheses refer to the list of references at the end ofthis standard.E2026072conditions, that may be important to determining the appropri-ateness of the property for financial or real estate transactions.3.2.13.1 DiscussionThe extent of due diligence exercisedon behalf of a User is usually pr
35、oportional to the Userstolerance for uncertainty, the purpose of seismic risk assess-ment, the resources and time available to the Provider toconduct the site visit and research.3.2.14 expected value, nof a random variable, the aver-age or mean of the distribution function.3.2.14.1 DiscussionThe exp
36、ected value is determined asthe sum (or integral) of all the values that can occur multipliedby the probability of their occurrence. (Compare: medianvalue.)3.2.15 fault zone, narea within a prescribed distance fromany of the surface traces of a fault.3.2.15.1 DiscussionThe distance depends on the ma
37、gni-tude of earthquakes that could occur on the faulttypically500 ft (152 m) from major faults, which are those capable ofearthquakes with magnitudes of 6.5 or greater, and 250 ft (761m) away from other well-defined faults. Within California, thefault zones are determined by the California Geologica
38、l Surveyunder the Earthquake Special Studies Zones Act for active andpotentially active earthquake faults that have been identified bythe state or other governmental bodies.3.2.16 Independent Reviewer, ntechnically qualified indi-vidual or organization that has not been engaged in the designor modif
39、ications of the building(s), and is not in any wayaffiliated with the Provider.3.2.16.1 DiscussionThe concept may also be representedby the phrases “independent technical reviewer,” or “indepen-dent peer reviewer”.3.2.17 interdependency, na condition wherein the func-tion of the building is dependen
40、t on another building, onutilities, or on other critical elements in the supply chain.3.2.17.1 DiscussionOther critical elements include trans-portation and may include a customer, vendor (for example,supplier of materials), contractor (supplier of services), staff(for example, supplier of staff), i
41、nformation (for example, dataprocessing for accounting or distribution), etc.3.2.18 landslide, n(1) ground motion, the rapid downs-lope movement 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 b
42、y therapid downslope movement of soil or rock material, or both.3.2.19 lateral load-resisting system, nthe elements of thebuilding system that resist the seismic forces applied to thebuilding. This includes vertical, horizontal, and torsional re-sponse of elements and systems.3.2.20 magnitude of ear
43、thquake, nany of a variety ofmeasures that indicates the “size” of an earthquake.3.2.20.1 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
44、 the largest groundmotion recorded during the arrival of a “P” wave, or seismicsurface wave, and applying a standard correction for thedistance to the epicenter of the earthquake. The measure mostwidely used in the technical community is the momentmagnitude, a measure of the total strain energy rele
45、ased in theevent. Magnitudes calculated using different scales can varywidely for the same earthquake.3.2.21 maximum capable earthquake (MCE),nearthquake that can occur within the region that producesthe largest average ground motion at the site of interest.3.2.21.1 DiscussionThis is NOT the same as
46、 the ASCE 7definition of MCE, which is a ground motion with a 2475-yearreturn period or 150 % of the median ground motion in adesign basis earthquake, which ever is the lesser. The conceptof MCE for purposes of the guide does not include a returnperiod value.3.2.22 median value, nvalue that divides
47、the distributionfunction into equal parts, such that the value of the randomvariable has an equal probability of being above or below thereference value. (Compare expected value.)3.2.23 Modified Mercalli Intensity (MMI), nqualitativedescription of the local effects of the earthquake at a site.3.2.23
48、.1 DiscussionNormally, it is given as a romannumeral, from I to XII, to emphasize its qualitative, notquantitative, nature. A single earthquake can have manydifferent MMI intensities assigned over the region in which theearthquake is felt. MMI does not specify a specific groundmotions, but a range o
49、f peak horizontal ground motion areassigned to a given MMI value. Use of MMI to characterizeground motions for use in the seismic risk assessment ofbuildings should be done with caution because the damagelevel predicted is associated with a very wide range ofearthquake ground motions, not a specific earthquake groundmotion.3.2.24 non-structural components, ncomponents of abuilding system that are not part of the vertical or lateral-loadresisting structural systems nor are defined as building con-tents.3.2.25 observations, nthe relevant inf
