ASTM E2026-16a
(Guide)Standard Guide for Seismic Risk Assessment of Buildings
Standard Guide for Seismic Risk Assessment of Buildings
ABSTRACT
This guide provides guidance on conducting seismic risk assessments for buildings. As such, this guide assists a User to assess a property’s potential for losses from earthquake occurrences. Hazards addressed in this guide include earthquake ground shaking, earthquake-caused site instability, including fault rupture, landslides and soil liquefaction, lateral spreading and settlement, and earthquake-caused off-site response impacting the property, including flooding from dam or dike failure, tsunamis and seiches. This guide is intended to reflect a commercially prudent and reasonable investigation for performance of seismic risk assessments. Seismic risk assessments may be performed for an individual building or a group of buildings. This guide provides suggested approaches for the performance of five different types of seismic risk assessments. Building stability, site stability, building damageability, contents damageability, business interruption, and application and temporal relevance of report. Each is intended to serve different financial and management needs of the User. An earthquake ground motion assessment should be conducted in conjuction with probable loss evaluations for building damageability and may have applications in some scenario loss studies, as well as building stability or site stability assessments. Seismic risk assessments may consider varying degrees of assessment of a building or buildings from Level 0 to Level 3.
SIGNIFICANCE AND USE
4.1 Uses—This Guide is intended for use on a voluntary basis by parties such as lenders, loan servicers, insurers and equity investors in real estate (Users) who wish to estimate possible earthquake losses to buildings. This guide outlines procedures for conducting a seismic risk assessment for a specific User considering the User's requirements for due diligence. The specific purpose of this guide is to provide Users with seismic risk assessment during the anticipated term for holding either the mortgage or the deed. A seismic risk assessment prepared in accordance with this guide should reference or state that the guidance in this document was used as a basis for the report and should also identify any deviations from the guidelines. This guide is intended to reflect a commercially prudent and reasonable investigation for performance of seismic risk assessments.
4.1.1 Users—This Guide is designed to assist the User in developing information about the earthquake-related damage potential of a building, or groups of buildings.
4.1.1.1 Use of this guide may permit a User to satisfy, in part, their requirements for due diligence in assessing a building’s potential for losses associated with earthquakes for real estate transactions.
4.1.2 Types of Investigations—This guide provides suggested approaches for the performance of five different types of assessments. Each is intended to serve different financial and management needs of the User. Several of these types of assessment specifically depend on characterization of the earthquake ground motion as given in Section 7.
4.1.2.1 Building Stability (BS)—Assessment of whether the building will maintain vertical load-carrying capacity in whole or in part during considered earthquake ground motions (see Section 8).
4.1.2.2 Site Stability (SS)—Assessment of the likelihood that the site will remain stable in earthquakes and is not subject to failure through faulting, soil liquefaction, landslide, or other site respo...
SCOPE
1.1 This guide provides guidance on conducting seismic risk assessments for buildings. As such, this guide assists a User to assess a property's potential for losses from earthquake occurrences.
1.1.1 Hazards addressed in this guide include:
1.1.1.1 Earthquake ground shaking,
1.1.1.2 Earthquake-caused site instability, including fault rupture, landslides, soil liquefaction, lateral spreading and settlement, and
1.1.1.3 Earthquake-caused off-site response impacting ...
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This international standard was developed in accordance with internationally recognized principles on standardization established in the Decision on Principles for the
Development of International Standards, Guides and Recommendations issued by the World Trade Organization Technical Barriers to Trade (TBT) Committee.
Designation: E2026 − 16a
Standard Guide for
1
Seismic Risk Assessment of Buildings
This standard is issued under the fixed designation E2026; the number immediately following the designation indicates the year of
original adoption or, in the case of revision, the year of last revision. A number in parentheses indicates the year of last reapproval. A
superscript epsilon (´) indicates an editorial change since the last revision or reapproval.
INTRODUCTION
Lenders, insurers, and equity owners in real estate are giving more intense scrutiny to earthquake
riskthaneverbefore.The1989LomaPrieta,Californiaearthquake,whichcausedmorethan$6billion
in damage, accelerated the trend toward considering loss estimation in real estate transactions. The
1994 Northridge, California earthquake, with over $20 billion in damage, made seismic risk
assessment an integral part of real estate financial decision-making for regions at risk of damaging
earthquakes. Users of Seismic Risk Assessment reports need specific and consistent measures for
assessing the possibility of future loss due to earthquake occurrences. This guide discusses specific
approaches that the real estate and technical communities can consider a basis for characterizing the
seismic risk assessment of buildings in an earthquake. It uses two concepts to characterize earthquake
loss: probable loss (PL) and scenario loss (SL). Use of the term probable maximum loss (PML) is
acceptable, provided it is specifically and adequately defined by the User.
1. Scope Providers who prepared the report and those who would like to
use such prior reports.
1.1 This guide provides guidance on conducting seismic
1.1.2.6 Contractual and legal obligations between a Pro-
risk assessments for buildings. As such, this guide assists a
Usertoassessaproperty’spotentialforlossesfromearthquake vider and a User, and other parties, if any.
occurrences.
1.1.3 It is the responsibility of the User of this guide to
1.1.1 Hazards addressed in this guide include:
establish appropriate life safety and damage prevention prac-
1.1.1.1 Earthquake ground shaking,
tices and determine the applicability of current regulatory
1.1.1.2 Earthquake-caused site instability, including fault
limitations prior to use.
rupture, landslides, soil liquefaction, lateral spreading and
1.2 The objectives of this guide are:
settlement, and
1.1.1.3 Earthquake-caused off-site response impacting the
1.2.1 To synthesize and document guidelines for seismic
property,includingfloodingfromdamordikefailure,tsunamis
risk assessment of buildings;
and seiches.
1.2.2 To encourage standardized seismic risk assessments;
1.1.2 This guide does not address the following:
1.2.3 To establish guidelines for field observations of the
1.1.2.1 Earthquake-causedfiresandtoxicmaterialsreleases.
site and physical conditions, and the document review and
1.1.2.2 Federal, state, or local laws and regulations of
research considered appropriate, practical, sufficient, and rea-
building construction or maintenance. Users are cautioned that
sonable for seismic risk assessment;
current federal, state, and local laws and regulations may differ
1.2.4 To establish guidelines on what reasonably can be
from those in effect at the time of the original construction of
expected of and delivered by a Provider in conducting the
the building(s).
1.1.2.3 Preservation of life safety. seismic risk assessment of buildings; and
1.1.2.4 Prevention of building damage.
1.2.5 To establish guidelines by which a Provider can
1.1.2.5 Contractual and legal obligations between prior and
communicate to the User observations, opinions, and conclu-
subsequentUsersofseismicriskassessmentreportsorbetween
sions in a manner that is meaningful and not misleading either
by content or by omission.
1
This guide is under the jurisdiction of ASTM Committee E06 on Performance
of Buildings and is the direct responsibility of Subcommittee E06.25 on Whole 1.3 The values stated in inch-pound units are to be regarded
Buildings and Facilities.
as standard. The values given in parentheses are mathematical
Current edition approved May 15, 2016. Published June 2016. Originally
conversions to SI units that are provided for information only
approved in 1999. Last previous edition approved in 2016 as E2026-16. DOI:
10.1520/E2026-16A. and are not considered standard.
Copyright © ASTM International, 100 Barr Harbor Drive, PO Box C700, West Conshohocken, PA 19428-2959. United States
1
---------------------- Page: 1 ----------------------
E2026 − 16a
2. Referenced Documents ventilating and air conditioning equipment, ducts, control
2 systems etc; plumbing systems include domestic water heaters,
2.1 ASTM Stan
...
This document is not an ASTM standard and is intended only to provide the user of an ASTM standard an indication of what changes have been made to the previous version. Because
it may not be technically possible to adequately depict all changes accurately, ASTM recommends that users consult prior editions as appropriate. In all cases only the current version
of the standard as published by ASTM is to be considered the official document.
Designation: E2026 − 16 E2026 − 16a An American National Standard
Standard Guide for
1
Seismic Risk Assessment of Buildings
This standard is issued under the fixed designation E2026; the number immediately following the designation indicates the year of
original adoption or, in the case of revision, the year of last revision. A number in parentheses indicates the year of last reapproval. A
superscript epsilon (´) indicates an editorial change since the last revision or reapproval.
INTRODUCTION
Lenders, insurers, and equity owners in real estate are giving more intense scrutiny to earthquake
risk than ever before. The 1989 Loma Prieta, California earthquake, which caused more than $6 billion
in damage, accelerated the trend toward considering loss estimation in real estate transactions. The
1994 Northridge, California earthquake, with over $20 billion in damage, made seismic risk
assessment an integral part of real estate financial decision-making for regions at risk of damaging
earthquakes. Users of Seismic Risk Assessment reports need specific and consistent measures for
assessing the possibility of future loss due to earthquake occurrences. This guide discusses specific
approaches that the real estate and technical communities can consider a basis for characterizing the
seismic risk assessment of buildings in an earthquake. It uses two concepts to characterize earthquake
loss: probable loss (PL) and scenario loss (SL). Use of the term probable maximum loss (PML) is
acceptable, provided it is specifically and adequately defined by the User.
1. Scope
1.1 This guide provides guidance on conducting seismic risk assessments for buildings. As such, this guide assists a User to
assess a property’s potential for losses from earthquake occurrences.
1.1.1 Hazards addressed in this guide include:
1.1.1.1 Earthquake ground shaking,
1.1.1.2 Earthquake-caused site instability, including fault rupture, landslides, soil liquefaction, lateral spreading and settlement,
and
1.1.1.3 Earthquake-caused off-site response impacting the property, including flooding from dam or dike failure, tsunamis and
seiches.
1.1.2 This guide does 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 of building construction or maintenance. Users are cautioned that current
federal, state, and local laws and regulations may differ from those in effect at the time of the original construction of the
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 and subsequent Users of seismic risk assessment reports or between
Providers who prepared the report and those who would like to use such prior reports.
1.1.2.6 Contractual and legal obligations between a Provider and a User, and other parties, if any.
1.1.3 It is the responsibility of the User of this guide to establish appropriate life safety and damage prevention practices and
determine the applicability of current regulatory limitations prior to use.
1.2 The objectives of this guide are:
1.2.1 To synthesize and document guidelines for seismic risk assessment of buildings;
1.2.2 To encourage standardized seismic risk assessments;
1.2.3 To establish guidelines for field observations of the site and physical conditions, and the document review and research
considered appropriate, practical, sufficient, and reasonable for seismic risk assessment;
1
This guide is under the jurisdiction of ASTM Committee E06 on Performance of Buildings and is the direct responsibility of Subcommittee E06.25 on Whole Buildings
and Facilities.
Current edition approved Jan. 1, 2016May 15, 2016. Published June 2016. Originally approved in 1999. Last previous edition approved in 20072016 as E2026-07.-16.
DOI: 10.1520/E2026-16.10.1520/E2026-16A.
Copyright © ASTM International, 100 Barr Harbor Drive, PO Box C700, West Conshohocken, PA 19428-2959. United States
1
---------------------- Page: 1 ----------------------
E2026 − 16a
1.2.4 To establish guidelines on what reasonably can be expected of and delivered by a Provider in conducting the seismic risk
assessment of buildings; and
1.2.5 To establish guidelines by which a Provider can communicate to the User observations, opinions, and conclusions in a
manner that is meaningful and not misleading either by content or by omission.
1.3 The values stated in inch-pound units are to be regarded as standard. The values given in parentheses are mathematical
conversions to SI u
...
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