Any opinions, findings, conclusions, or recommendations expressed in this publication do not

necessarily reflect the views of FEMA. Additionally, neither FEMA or any of its employees makes

any warrantee, expressed or implied, or assumes

any legal liability or responsibility for the accuracy,

completeness, or usefulness of any information,

product, or process included in this publication.

Users of information from this publication assume

all liability arising from such use.
Acknowledgements

Principal Authors:

Frederick Krimgold, Virginia Tech Center for Disaster

Risk Management, Virginia Polytechnic Institute and

State University

David Hattis, Building Technology Incorporated

Melvyn Green, Melvyn Green & Associates Inc.

Contributors:

Milagros Kennett, FEMA, Project Officer, Risk

Management Series Publications

John Harrald, GWU

Charles Scawthorn, ABS Consulting

Medhi Setareh, VT

Rene Van Dorp, GWU

William Whiddon, BTI

Project Advisory Panel:

Daniel Abrams, University of Illinois

Daniel Butler, National Retail Federation

John Coil, John Coil Associates

Joseph Donovan, Carr America

James Harris, National Multi Housing Council

Randal Haslam, Jordan School District, Utah

James Malley, Degenkolb Engineers

Mike Mehrain, URS Dames & Moore

Anthony Moddesette, UC Davis Medical Center

Lawrence Reaveley, University of Utah

Technical Review:

Chris Poland, Degenkolb Engineers

Daniel Shapiro, SOHA Engineers

Production:

Lee-Ann Lyons and Amy Siegel, URS Group, Inc.

Contents

Contents

Foreword and Scope ......................................................................................... i

How to Use This Manual ................................................................................. iv

PART A Critical Decisions for Earthquake Safety in

Multifamily Buildings .................................................................. A-1

Introduction ..................................................................................... A-1

A.1 Is There an Earthquake Hazard for Your

Multifamily Buildings? ............................................................. A-2

A.2 Are Your Multifamily Buildings Safe? ...................................... A-4

A.3 What Can Be Done to Reduce Earthquake Risk in

Existing Vulnerable Multifamily Buildings? ............................. A-6

A.4 Incremental Seismic Rehabilitation of Existing

Multifamily Buildings .............................................................. A-7

Summary of Part A .......................................................................... A-9

Recommended Actions .................................................................... A-9

PART B Planning and Managing the Process for Earthquake

Risk Reduction in Existing Multifamily Buildings .................. B-1

Introduction ..................................................................................... B-1

B.1 Integrating the Efforts of Facility Management, Risk

Management, and Financial Management .............................. B-2

B.2 Integrating Incremental Seismic Rehabilitation into

the Facility Management Process ........................................... B-3

B.2.1 A Model of the Facility Management Process

for Existing Multifamily Buildings............................... B-3

B.2.2 Elements of an Incremental Seismic

Rehabilitation Program ............................................... B-3

B.2.3 Integration into the Multifamily Facility

Management Process ............................................... B-10
Incremental Seismic Rehabilitation of Multifamily Apartment Buildings

B.3 Opportunities for Seismic Risk Reduction in Support of

Integrating Incremental Seismic Rehabilitation into

the Facility Management Process ......................................... B-10

B.3.1 Responding to Occupant Concerns .......................... B-12

B.3.2 Emergency Management/Response Planning .......... B-12

B.3.3 Emergency Management/Mitigation Planning ......... B-12

B.3.4 Developing a Risk Reduction Policy ......................... B-12

B.3.5 Incorporating Federal and State Mandates and

Programs .................................................................. B-12

B.3.6 Coordinating with Risk and Insurance Managers ..... B-13

B.3.7 Coordinating with Lenders ....................................... B-13

B.3.8 Becoming Familiar with Applicable Codes ............... B-13

B.3.9 Establishing and Maintaining a Roster of

Design Professionals ................................................ B-13

B.3.10 Negotiating Code Enforcement ................................ B-14

B.4 Additional Components of a Comprehensive

Earthquake Safety Program .................................................. B-14

B.4.1 Building Contents Mitigation .................................... B-14

B.4.2 Earthquake Drills ...................................................... B-14

B.5 Preparing a Plan for the CEO and the Board ........................ B-15

Summary of Part B........................................................................ B-16

Recommended Actions .................................................................. B-16

PART C Tools for Implementing Incremental Seismic

Rehabilitation in Existing Multifamily Buildings .................... C-1

Introduction ..................................................................................... C-1

Guide to Sections C.1 and C.2 ........................................................ C-1

C.1 How To Use Engineering Services ........................................... C-2

Seismic Screening and Evaluation.......................................... C-2

Incremental Seismic Rehabilitation Planning and Design ...... C-2

Construction Period Support ................................................... C-3

Continuity of Building Documentation.................................... C-3

Fees for Professional Services ................................................ C-3

C.2 Discovering Integration Opportunities for Incremental

Seismic Rehabilitation ............................................................ C-4

Categories of Maintenance and Capital Improvement

Projects ................................................................................... C-4

Work Descriptions and Matrices of Seismic Performance

Improvement Opportunities ................................................... C-4

Definitions of Seismic Performance Improvements ................ C-7

Simplified Information on Integration Opportunities .............. C-7

C.2.1 Roofing Maintenance and Repair/Re-roofing .............. C-8

C.2.2 Exterior Wall and Window Maintenance/Façade

Modernization........................................................... C-10

C.2.3 Public Area Modernization ........................................ C-12
Contents

C.2.4 Kitchen and Bathroom Modernization ...................... C-14

C.2.5 Fire and Life Safety Improvements .......................... C-16

C.2.6 Underfloor and Basement Maintenance

and Repair ................................................................ C-18

C.2.7 HVAC Upgrade and Energy Conservation ................ C-20

C.2.8 Hazardous Materials Abatement .............................. C-21

C.2.9 Definitions of Seismic Performance

Improvements .......................................................... C-21

Summary of Part C ........................................................................ C-25

Recommended Actions .................................................................. C-25

Appendix I. Additional Information on Multifamily

Building Facility Management ....................................... App I-1

Introduction: Typical Facility Management for Multifamily

Buildings ............................................................................. App I-1

1. The ACQUISITION Phase of Multifamily Facility

Management ................................................................... App I-2

2. The REDEVELOPMENT Phase of Multifamily Facility

Management ................................................................... App I-4

3. The Current Building USE Phase of Multifamily

Facility Management ....................................................... App I-6

4. The PLANNING Phase of Multifamily Facility

Management ................................................................... App I-8

5. The Maintenance & Rehabilitation BUDGETING

Phase of Multifamily Facility Management ................... App I-11

6. The Maintenance & Rehabilitation FUNDING

Phase of Multifamily Facility Management ................... App I-13

7. The Maintenance & Rehabilitation IMPLEMENTATION

Phase of Multifamily Facility Management ................... App I-15

Appendix II. Integration Opportunities for Incremental

Seismic Rehabilitation for Small Organizations

and Individual Owners ................................................... App II-1

i

Foreword and Scope

Earthquakes are a serious threat to safety in multifamily apartment buildings and pose a significant potential liability to building owners. Multifamily buildings in

39 states are vulnerable to earthquake damage. Unsafe existing buildings expose multifamily building owners and tenants to the following risks:

 Death and injury of tenants, occupants, and visitors

 Damage to or collapse of buildings

 Damage to and loss of furnishings, equipment, and

other building contents

 Disruption of rental and occupancy functions and

other building operations

The greatest earthquake risk is associated with existing multifamily buildings

that were designed and constructed before the use of modern building

codes. For many parts of the United States, this includes buildings built as

recently as the early 1990s.

Although vulnerable multifamily buildings need to be replaced with safe,

new construction or rehabilitated to correct deficiencies, for many building

owners new construction is limited, at times severely, by budgetary constraints, and seismic rehabilitation is expensive and disruptive. However,

incremental seismic rehabilitation, proposed in this manual, is an innovative approach that phases in a series of discrete rehabilitation actions over

a period of several years. It is an effective, affordable, and non-disruptive

strategy for responsible mitigation actions that can be integrated efficiently

into ongoing facility maintenance and capital improvement operations to

minimize cost and disruption.

This manual and its companion documents are the products of a Federal

Emergency Management Agency (FEMA) project to develop the concept of

incremental seismic rehabilitation—that is, building modifications that

Foreword and Scope
Incremental Seismic Rehabilitation of Multifamily Apartment Buildings

ii

reduce seismic risk by improving seismic performance and that are implemented over an extended period, often in conjunction with other repair,

maintenance, or capital improvement activities. It provides owners of Class

A, B, or C multifamily buildings, be they Real Estate Investment Trusts

(REITs), pension funds, partnerships, individuals, or other forms of ownership, with the information necessary to assess the seismic vulnerability of

their buildings and to implement a program of incremental seismic rehabilitation for those buildings.

The manual consists of three parts:

Part A, Critical Decisions for Earthquake Safety in Multifamily Buildings, is for owners’ senior executives, board members, and policy makers

who will decide on allocating resources for earthquake mitigation.

Part B, Planning and Managing the Process for Earthquake Risk Reduction in Existing Multifamily Buildings, is for facility managers, risk

managers, and financial managers, or those responsible for these areas of

management, who will initiate and manage seismic mitigation measures.

Part C, Tools for Implementing Incremental Seismic Rehabilitation in

Existing Multifamily Buildings, is for facility managers, or those otherwise responsible for facility management, who will implement incremental

seismic rehabilitation programs.

This manual is part of a set of manuals intended for building owners, managers, and their staff:

 Incremental Seismic Rehabilitation of School Buildings (K-12),

FEMA 395

 Incremental Seismic Rehabilitation of Hospital Buildings,

FEMA 396

 Incremental Seismic Rehabilitation of Office Buildings,

FEMA 397

 Incremental Seismic Rehabilitation of Multifamily Apartment

Buildings, FEMA 398
iii

 Incremental Seismic Rehabilitation of Retail Buildings,

FEMA 399

 Incremental Seismic Rehabilitation of Hotel and Motel Buildings,

FEMA 400

 Incremental Seismic Rehabilitation of Storage Buildings,

FEMA 401

 Incremental Seismic Rehabilitation of Emergency Buildings,

FEMA 402

Each manual in this set addresses the specific needs and practices of a particular category of buildings and owners, and guides building owners and

managers through a process that will reduce earthquake risk in their building

inventory. The manuals answer the question, as specifically as possible:

“What is the most affordable, least disruptive, and most effective way to reduce seismic risk in existing buildings?” By using the process outlined in

these manuals, building owners and managers will become knowledgeable

clients for implementing incremental seismic rehabilitation specifically

geared to their building use category.

In addition to this set of manuals, there is a companion manual, Engineering

Guideline for Incremental Seismic Rehabilitation, FEMA 420. It is intended to

assist architects and engineers who provide services to building owners and

contains the information necessary for providing consulting services to owners for implementing incremental seismic rehabilitation. Architects and engineers using that handbook will be effective consultants serving a

knowledgeable owner. Together they will be in a position to implement an

effective incremental seismic rehabilitation program.

Foreword and Scope
Incremental Seismic Rehabilitation of Multifamily Apartment Buildings

iv

How to Use This Manual

Critical Decisions: Multifamily building owners’ senior executives, board

members, and similar policy makers should read Part A. Section A.1 provides

a general understanding of the earthquake hazards faced by a multifamily

building owner. Section A.2 provides an overview of how the seismic vulnerability of multifamily buildings and resultant losses can be estimated. Section

A.3 provides an overview of the actions an owner can take to reduce earthquake risk, including incremental seismic rehabilitation. Section A.4 details

how to implement the concept of incremental seismic rehabilitation, including the additional benefits of integrating incremental seismic rehabilitation

with other maintenance and capital improvement projects. By understanding these four sections, the multifamily building owner’s top management can establish a policy of seismic risk reduction and initiate

a more specific, objective, and cost-effective program of incremental seismic rehabilitation by its technical staff.

Program Development: Those responsible for the multifamily building

owner’s facility, risk, and financial management should read Parts A and B,

paying particular attention to Part B. Sections B.1 through B.3 provide detailed guidance on how the initiation of a program of incremental seismic rehabilitation can fit into the ongoing facility management

process used by the owner organization and its multifamily buildings, and

indicates specific activities you can undertake. A separate Appendix I, Additional Information on Multifamily Building Facility Management, is provided

at the end of this manual for those seeking more information on facility management. It contains a discussion of the specific phases of the facility management process and activities for multifamily building owners seeking

further detail.

Project Implementation: Owner organization and multifamily facility managers should read Part C in addition to Parts A and B. Section C.1 provides

guidance on using the consulting services of architects and engineers in

implementing a program of incremental seismic rehabilitation. Section C.2

discusses specific opportunities for combining increments of seismic

rehabilitation with other maintenance and capital improvement

projects. A separate Appendix II, Integration Opportunities for Incremental

Seismic Rehabilitation for Small Organizations and Individual Owners, is
v

How to Use This Manual

provided at the end of this manual for owners with limited professional facility management. It contains a simplified presentation of specific opportunities that can be identified on the basis of a quick evaluation by a design

professional. The companion manual for design professionals, Engineering

Guideline for Incremental Seismic Rehabilitation, FEMA 420, provides technical guidance for the detailed design of specific rehabilitation projects.

To get the most out of this manual:

 Communicate the importance of assessing your building inventory’s

risks and pass this manual on to staff members responsible for

facility management, risk management, and financial planning.

Specify that they develop an analysis of the current seismic risk of

your buildings and a strategy for risk reduction.

 Promptly initiate a program of earthquake risk reduction in your

buildings located in an earthquake-prone zone that were not

designed and constructed to meet modern building codes.

 Consider incremental seismic rehabilitation as a cost-effective

means to protect the buildings and, most importantly, the safety of

tenants, visitors, and staff, because it is a technically and financially

manageable strategy that minimizes disruption of multifamily

building operations.

A-1

Part A

A

Critical Decisions for

Earthquake Safety

in Multifamily

Buildings

For Multifamily Building

Owner Senior Executives,

Board Members, &

Similar Policy Makers

Introduction

This manual is designed to give decision makers the

framework and information for making informed decisions about investing in earthquake risk management

measures. It is structured to follow the decision-making process of existing planning and management practices and will help you evaluate financial, safety, and

strategic planning priorities.

Owners of multifamily buildings may vary greatly in size, wealth, and technical capability. Some have comprehensive long-term facility management,

maintenance, and development plans. Some have none. The successful

implementation of improved earthquake safety should be part of a comprehensive approach to building safety and multi-hazard mitigation.

Failure to address earthquake risk leaves the multifamily building owner exposed to potential losses, disruption, and liability for deaths and injuries.

While purchasing insurance may protect owners from financial losses and

liability, it still leaves them susceptible to disruption as well as deaths and

injuries. Only building rehabilitation can reduce losses, deaths, and injuries,

as well as control liability and disruption. However, single-stage seismic rehabilitation can be expensive and disruptive. Incremental seismic rehabilitation can reduce that cost and disruption.

Part
Incremental Seismic Rehabilitation of Multifamily Apartment Buildings

A-2

Multifamily Buildings, Risk, and Liability

Earthquakes are low-probability, high-consequence events. Though they may

occur only once in the life of a building, they can have devastating, irreversible consequences.

Moderate earthquakes occur more frequently than major earthquakes. Nonetheless, moderate earthquakes can cause serious damage to building contents and nonstructural building systems, serious injury to tenants, visitors,

and staff, and disruption of building operations. Major earthquakes can cause

catastrophic damage including structural collapse and massive loss of life.

Those responsible for multifamily building safety must understand and manage these risks, particularly risks that threaten the lives of tenants, visitors,

and staff.

Earthquake risk is the product of hazard exposure and building vulnerability,

as shown in the following equation:

RISK = HAZARD x VULNERABILITY

To manage earthquake risk in existing multifamily buildings, one must understand the earthquake hazard and reduce building vulnerability.

Considering Incremental Seismic Rehabilitation

The incremental rehabilitation approach to seismic risk mitigation focuses on

improvements that will decrease the vulnerability of multifamily buildings to

earthquakes at the most appropriate and convenient times in the life cycle of

those buildings. The approach clarifies, as specifically as possible, what is the

most affordable, least disruptive, and most effective way to reduce seismic

risk in your buildings.

Prior to initiating a program of incremental seismic rehabilitation, an owner

must first address the following three questions:

 Are your multifamily buildings located in a seismic zone?

 Are these buildings vulnerable to earthquakes?

 What can you do to reduce earthquake risk in existing vulnerable

buildings?

This manual will help you find the right answers.

A.1 Is There an Earthquake Hazard for Your

Multifamily Buildings?

Earthquakes are one of the most serious natural hazards to which multifamily

building owners may be exposed. Although owners face a variety of risks to

their investment, tenant safety, and facility operations that may appear more

immediate, the consequences of earthquakes can be catastrophic. Therefore,

despite the rare occurrence of earthquakes, earthquake safety should be

given full consideration in design and investment for risk management and

safety.

The first step to understanding earthquake risk:

RISK = HAZARD x VULNERABILITY

is to learn the likelihood and severity of an earthquake affecting your

buildings.

In Brief

 The primary parameters of seismic

hazard are the likelihood of occurrence and severity

of an earthquake.

 Geographic location

is the most significant factor of seismic hazard.

 Soil conditions at a

particular site also

influence the seismic hazard.
A-3

Part A

The Earthquake Hazard: Where, When, and How Big

The surface of the earth consists of solid masses, called tectonic plates, that

float on a liquid core. The areas where separate plates meet each other are

called faults. Most earthquakes result from the movement of tectonic plates,

and seismic hazard is strongly correlated to known faults. A map of zones of

seismic hazard for the United States, based on maps provided by the U.S.

Geological Survey (USGS), shows three zones from the lowest, green, to the

highest, red. The white areas have negligible seismic hazard.

The USGS earthquake hazard map is based on a complex assessment of expected seismic activity associated with recognized faults. The scientific understanding of earthquakes continues to improve and has resulted in increased

estimates of seismic hazard in various parts of the country over the last decade.

Seismic

Hazard

Map

Multifamily building owners and managers responsible for the safety of tenants, visitors, and staff need to know whether to be concerned about earthquakes. Some guidelines for determining earthquake risk in your location

are:

 If your multifamily building is located in a red zone on the map

Earthquakes are one of the most significant risks facing your facilities.

 Take immediate action to undertake comprehensive vulnerability

assessment. Professional structural engineers should perform this

assessment.

 Identify and either replace or rehabilitate vulnerable existing

buildings as soon as possible.
Incremental Seismic Rehabilitation of Multifamily Apartment Buildings

A-4

 If your multifamily building is located in a yellow zone

The probability of severe earthquake occurrence is sufficiently high to

demand systematic investigation of your buildings.

 Assign responsibility for investigation to the risk managers and

facility managers within the organization. If they are not available,

seek professional engineering assistance from outside.

 Identify vulnerable buildings and schedule them for replacement,

rehabilitation, or change of use.

 Also consider mitigation of nonstructural hazards, such as securing

equipment and suspended lighting that could injure building

occupants in an earthquake.

 If your multifamily building is located in a green zone

 Consider low-cost mitigation strategies that protect building

occupants and the owner’s investment in facilities and systems,

even though the probability of an earthquake is low.

Beyond this broad seismic zone designation, expected earthquake ground

motion at a particular location is further influenced by local geology and soil

conditions. Geotechnical engineering studies should be done to understand

fully the earthquake hazard at a particular site in red and yellow zones.

A.2 Are Your Multifamily Buildings Safe?

The second step to understanding earthquake risk:

RISK = HAZARD x VULNERABILITY

is to learn the expected damage and losses that could result from an

earthquake.

What Happens to Multifamily Buildings in Earthquakes

Earthquake fault rupture causes ground motion over a wide area. This ground

motion acts as a powerful force on buildings. Buildings are principally designed to resist the force of gravity, but resistance to earthquake forces requires specialized earthquake engineering. Horizontal earthquake forces

cause the rapid movement of the foundation and displacement of upper levels of the structure. When inadequately designed to resist or accommodate

these earthquake forces, structures fail, leading to serious structural damage

and, in the worst case, total building collapse.

In addition to ground motion, buildings may suffer earthquake damage from

the following effects:

In Brief

 Seismic vulnerability consists of expected damages

and losses.

 Seismic vulnerability depends on

structural type,

age, condition, contents, and use of

multifamily buildings.

 Hazard exposure

and building vulnerability may result in

substantial death,

injury, building and

content damage,

and serious disruption of building use

and rentals.

Fault rupture under or

near the building, often

occurring in buildings

located close to faults.

Reduction of the soil

bearing capacity under

or near the building.

Earthquake-induced

landslides near the

building.

Earthquake-induced waves

in bodies of water near the

building (tsunami on the

ocean and seismic seiche1

on lakes).

1 A wave on the surface

of a lake or landlocked

bay caused by atmospheric or seismic disturbances.
A-5

Part A

Building Age and Earthquake Vulnerability

The first earthquake design legislation was enacted in 1933 for schools in

California (the Field Act). Since that time, awareness of earthquake risk has

expanded across the country, and building codes have been improved because of research and experience. Since the early 1990s, most new multifamily buildings in the United States have been constructed in accordance with

modern codes and meet societal standards for safety. However, older buildings should be reexamined in light of current knowledge. Some seismically

active parts of the country (the Midwest) have only recently adopted appropriate seismic design standards, and in other parts of the country (the Northwest) estimates of seismic risk have been revised upward. The serious

problem resides in existing vulnerable multifamily buildings constructed

without seismic requirements or designed to obsolete standards. The building code is not retroactive; there is no automatic requirement to bring existing buildings up to current standards. Safety in existing buildings is the

responsibility of the owner/operator.

Estimating Building Vulnerability

Engineers have defined levels of the damage that can be expected in particular types of buildings due to varying intensities of earthquake motion. These

levels of damage range from minor damage, such as cracks in walls, to total

building collapse. In addition to building type, expected damage is also a

function of building age and the state of maintenance. Multifamily buildings

suffering from deferred maintenance will experience greater damage than

well-maintained buildings will. For example, failure to maintain masonry

parapets significantly increases the possibility of life-threatening failure in

even a moderate earthquake.

It is possible to estimate roughly the vulnerability of an owner’s portfolio of

buildings and to identify problem buildings with a technique called “rapid

visual screening.”2

 Multifamily building owners can produce generalized estimates of expected damage in the initial seismic risk assessment of their

buildings.

After initial rapid screening, specific seismic risk assessment for individual

multifamily buildings requires detailed engineering analysis.

Other Earthquake Losses

While a serious concern in its own right, building failure is the direct cause of

even more important earthquake losses:

 Death and injury of tenants, visitors, and staff

 Destruction of apartment contents and building equipment

 Disruption of occupancy and rentals

The expected extent of these losses can also be estimated based on hazard

and vulnerability assessments. See Section B.2.2, Elements of an Incremental

Seismic Rehabilitation Program, for applicable references.

2 FEMA 154, Rapid Visual Screening of Buildings for Potential Seismic Hazards: A Handbook, Second Edition.
Incremental Seismic Rehabilitation of Multifamily Apartment Buildings

A-6

A.3 What Can Be Done to Reduce Earthquake Risk

in Existing Vulnerable Multifamily Buildings?

Failure to address earthquake risk leaves the multifamily building owner exposed to potential losses, disruption, and liability for deaths and injuries.

While purchasing insurance may protect owners from financial losses and

liability, it still leaves them exposed to disruption as well as deaths and injuries. Only building rehabilitation can reduce losses, deaths, and injuries and

control liability and disruption.

The implementation of seismic risk reduction through building rehabilitation

will primarily involve the facility manager. However, to be effective it will

require coordination among the facility managers, risk managers, and financial managers. This is further discussed in Part B (for Facility Managers, Risk

Managers, and Financial Managers). In addition, it is the responsibility of the

multifamily building owner’s top administrators to make sure that hazards

are assessed and risk reduction measures implemented.

Options for Seismic Risk Reduction

The most important consideration for earthquake safety in multifamily buildings is to reduce the risk of catastrophic structural collapse. Most likely in

existing vulnerable buildings, structural collapse poses the greatest threat to

life in a major earthquake. Choosing the method of protection from structural

collapse in a deficient building requires two critical decisions:

Replace or Rehabilitate: If you decide to replace a building, new

construction is carried out according to modern codes and can be

assumed to meet current safety standards. However, financial

constraints, historic preservation concerns, and other community

interests may make the replacement option infeasible. In that case,

rehabilitation should be considered.

Single-Stage Rehabilitation3 or Incremental

Rehabilitation: If the rehabilitation option is

chosen, there are still issues of cost and disruption

associated with the rehabilitation work. The cost of

single-stage seismic rehabilitation has proved to

be a serious impediment to its implementation by

many multifamily building owners. Incremental

seismic rehabilitation is specifically designed to

address and reduce the problems of cost and

disruption.

Estimating the Costs and Benefits of Seismic Rehabilitation of

Existing Multifamily Buildings

The direct and indirect costs of seismic rehabilitation of a building are:

 Engineering and design services

 Construction

 Disruption of building occupancy and rentals during construction

The benefits of seismic rehabilitation of a building are:

 Reduced risk of death and injury of tenants, visitors, and staff

 Reduced building damage

In Brief

 Seismic rehabilitation of existing vulnerable multifamily

buildings can reduce

future earthquake

damage.

 Incremental seismic

rehabilitation is a

strategy to reduce

the cost of rehabilitation and related

disruption of occupancy and rentals.

3 Single-stage rehabilitation refers to completing the rehabilitation in a single continuous

project.
A-7

Part A

 Reduced damage to bulding contents and equipment

 Reduced disruption of occupancy and rentals

Engineers have developed estimates of the reduction of earthquake damage

that can be achieved with seismic rehabilitation following FEMA’s current

rehabilitation standards. This type of estimate, however, may significantly

undervalue the benefit of seismic rehabilitation. In considering the return on

seismic rehabilitation investments, it is appropriate to consider the value of

damages avoided as well as the difficult-to-quantify values of deaths, injuries, and disruption of occupancy and rental functions avoided.

The primary obstacles to single-stage rehabilitation of vulnerable existing

multifamily buildings are the cost of rehabilitation construction work and

related disruption of apartment rentals. Incremental seismic rehabilitation

offers opportunities to better manage the costs and reduce disruption of rehabilitation. The following section introduces and explains incremental seismic rehabilitation in more detail.

A.4 Incremental Seismic Rehabilitation of Existing

Multifamily Buildings

Incremental rehabilitation phases seismic rehabilitation into an ordered series of discrete actions implemented over a period of several years, and

whenever feasible, these actions are timed to coincide with regularly scheduled repairs, maintenance, or capital improvements. Such an approach, if

carefully planned, engineered, and implemented, will ultimately achieve the

full damage reduction benefits of a more costly and disruptive single-stage

rehabilitation. In fact, for multifamily buildings, a key distinction between the

incremental and single-stage rehabilitation approaches is that the incremental approach can effectively eliminate or drastically reduce disruption costs if

the incremental approach can be organized so that most rehabilitation increments occur during the period of tenant turnover. Incremental seismic rehabilitation can be initiated in the near-term as a component of planned

maintenance and capital improvement with only marginal added cost. Getting started as soon as possible on a program of earthquake safety demonstrates recognition of responsibility for multifamily building safety and can

provide protection from liability.

Assessment of Deficiencies

A necessary activity that must precede a seismic rehabilitation program, be it

single-stage or incremental, is an assessment of the seismic vulnerability of

the owner’s building inventory. Facility managers can implement such an

assessment using owner staff or outside engineering consultants as appropriate. The assessment should rank the building inventory in terms of seismic

vulnerability and identify specific deficiencies. FEMA publishes a number of

documents that can guide you through the assessment process. Portions of

the assessment activities can be integrated with other ongoing facility management activities such as periodic building inspections. Facility assessments

and the FEMA publications available to help you conduct them are discussed

in more detail in Part B.4

In Brief

 Whereas singlestage seismic rehabilitation of an

existing multifamily

building represents

a significant cost,

rehabilitation actions can be divided

into increments and

integrated into normal maintenance

and capital improvement projects.

 The implementation

of incremental seismic rehabilitation

requires assessing

the buildings, establishing rehabilitation priorities,

and planning integration with other

projects.

4 To order FEMA publications you may write to FEMA, PO Box 2012, Jessup, MD 20794-

2012; or you may call 1-800-480-2520, Monday - Friday, 8:00 a.m. - 5:00 p.m., EASTERN

TIME; or you may Fax your request to 301-362-5335.
Incremental Seismic Rehabilitation of Multifamily Apartment Buildings

A-8

Rehabilitation Strategy

The incremental seismic rehabilitation program will correct the deficiencies

identified by the assessment. The order in which seismic rehabilitation increments are undertaken can be important to their ultimate effectiveness. There

are three aspects to prioritizing seismic rehabilitation increments:

Structural Priority: An initial prioritization of seismic rehabilitation

increments should be established primarily in terms of their

respective impact on the overall earthquake resistance of the

structure. Facility managers will begin with these priorities when

determining the order of seismic rehabilitation increments to be

undertaken. However, the final order of increments may deviate

from this priority order depending on other planning parameters.

Additional engineering analysis may be required for certain building

types when deviating from the structural priority order. This subject

is discussed in more detail in Part B, Section B.2, and Part C.

Use Priority: Multifamily building owners should consider planning

alternative future uses of their existing buildings. Some vulnerable

buildings may be scheduled for demolition or converted to other

uses (for example, storage). Others may be scheduled for expansion

SCHEMATIC

INTEGRATION

OPPORTUNITIES

Exterior Wall Work

Interior Work

Roof Work

and intensification of use. These

considerations, among others, will

influence the prioritization of seismic

rehabilitation increments.

Integration: A major advantage of the

incremental seismic rehabilitation

approach is that specific work items can

be integrated with other building

maintenance or capital improvement

projects undertaken routinely. Such

integration will reduce the cost of the

seismic rehabilitation action by sharing

engineering costs, design costs, and

some aspects of construction costs.

Integration opportunities are a key

consideration in adapting the sequence

of actions suggested by the foregoing

discussions of rehabilitation priorities.

Integration opportunities are discussed in

more detail in Part C, Section C.2.

Incremental Seismic Rehabilitation Plan

An essential feature of implementing incremental

seismic rehabilitation in specific multifamily buildings is the development and documentation of a

seismic rehabilitation plan. The seismic rehabilitation plan will include all the anticipated rehabilitation increments and their prioritization as

previously discussed. The documentation will

guide the implementation of the incremental seismic rehabilitation program and should ensure that

the multifamily building owner does not lose sight

of overall rehabilitation goals during implementation of individual increments.
A-9

Part A

Summary of Part A

 The primary parameters of seismic hazard are the likelihood of

occurrence and severity of an earthquake.

 Geographic location is the most significant factor of seismic hazard.

 Soil conditions at a particular site also influence the seismic hazard.

 Seismic vulnerability consists of expected damages and losses.

 Seismic vulnerability depends on structural type, age, condition,

contents, and use of multifamily buildings.

 Hazard exposure and building vulnerability may result in substantial

death, injury, building and content damage, and serious disruption

of building use and rentals.

 Seismic rehabilitation of existing vulnerable multifamily buildings

can reduce future earthquake damage.

 Incremental seismic rehabilitation is a strategy to reduce the cost of

rehabilitation and related disruption of occupancy and rentals.

 Whereas single-stage seismic rehabilitation of an existing

multifamily building represents a significant cost, rehabilitation

actions can be divided into increments and integrated into normal

maintenance and capital improvement projects.

 The implementation of incremental seismic rehabilitation requires

assessing the buildings, establishing rehabilitation priorities, and

planning integration with other projects.

Recommended Actions

1. Communicate the importance of assessing your building inventory’s

risks and pass this manual on to the staff members responsible for

facility management, risk management, and financial planning.

Specify that they develop an analysis of the current seismic risk of

your buildings and a strategy for risk reduction.

2. Promptly initiate a program of earthquake risk reduction in your

buildings located in an earthquake-prone zone that were not

designed and constructed to meet modern building codes.

3. Consider incremental seismic rehabilitation as a cost-effective

means to protect the buildings and, most importantly, the safety of

tenants, visitors, and staff, because it is a technically and financially

manageable strategy that minimizes disruption of multifamily

building operations.

B-1

Part B

B

Planning and Managing the

Process for Earthquake

Risk Reduction in Existing

Multifamily Buildings

For Facility Managers,

Risk Managers, &

Financial Managers

Introduction

Part B of this manual is written specifically for a multifamily building owner’s facility managers, risk managers, and financial managers concerned with the seismic

safety of their buildings. Senior management may have

requested you, the manager, to make a recommendation to address seismic safety in multifamily buildings

or may have made the decision to address it, or there

may already be a seismic safety program in place. Part

B describes when and how specific activities that will

accomplish the goal of seismic risk reduction can be

introduced into an ongoing multifamily facility management process, regardless of how simple or sophisticated that process is. Part B also provides the

framework and outline that can be used by the facility

managers, risk managers, and financial managers in

developing and communicating their recommendations

to senior management.

An incremental seismic rehabilitation program is one of several seismic risk

reduction strategies that can be implemented in multifamily buildings. It can

be implemented separately or in combination with other seismic risk reduction actions. If you determine that such a program is appropriate for your

Part
Incremental Seismic Rehabilitation of Multifamily Apartment Buildings

B-2

organization, the planning and implementation of incremental seismic rehabilitation should be integrated into the facility management processes and

integrated with other seismic risk reduction actions that will complement it

or support it.

B.1 Integrating the Efforts of Facility Management,

Risk Management, and Financial Management

Preparing an analysis of a multifamily building owner’s earthquake risk reduction needs, and planning and managing such a process, benefits from an

integrated effort by the organization’s facility managers, risk managers, and

financial managers, or by the administrators charged with those respective

responsibilities. Such an integrated effort may be a departure from current

practices, but collaboration is the key to improving safety cost- effectively

and with a minimum of disruption.

Facility managers currently carry out their planning activities by considering the parameters of rental markets, area demographics, and the physical

condition and projected useful life of the existing multifamily buildings. Often they consider pressing social issues such as physical security and accessibility. Some of these issues become federal or local government

mandates, such as asbestos and lead abatement, energy conservation, or

accessibility compliance. Sometimes facility managers consider the risks to

multifamily buildings from natural disasters such as earthquakes or windstorms.

Risk managers, relatively recent additions to many multifamily owners’

organizations, carry out their planning activities by considering three aspects: risk identification, risk reduction, and risk transfer. The latter generally

involves the purchase of insurance. Currently, multifamily building owner

risks are classified into two broad areas: employee risk, and facility and environmental risk. Rarely do risk managers consider the risks to multifamily

buildings and their occupants from natural disasters. Rather, they tend to

assume that the latter risks are addressed by building codes and similar

regulations.

Financial managers currently deal with facilities by controlling and managing maintenance budgets, capital improvement budgets, and insurance

budgets. The facility managers and risk managers present the demands on

these budgets to the financial managers, but rarely are the potential

tradeoffs among these budgets considered. The costs and benefits of various options of facility risk management are rarely explicitly addressed.

Addressing the problem of earthquake risk reduction requires establishing

active communication among the three management functions and coordinating activities into an integrated planning and management effort. Facility

and risk managers will have to consider facility risk, and financial managers

will have to consider the cost and benefits of various options for managing

facility risk. Specific recommendations on implementing such an effort are

provided in the following sections.

In Brief

 Planning for earthquake risk reduction in multifamily

buildings requires a

coordinated and

integrated effort by

facility managers,

risk managers, and

financial managers.

Facility Managers

Risk Managers

Financial Managers
B-3

Part B

B.2 Integrating Incremental Seismic Rehabilitation

into the Facility Management Process

B.2.1 A Model of the Facility Management Process for Existing

Multifamily Buildings

The typical facility management process for existing multifamily buildings

consists of seven phases of activities: Acquisition, Redevelopment, Current

Building Use, Planning, Maintenance & Rehabilitation Budgeting, Maintenance & Rehabilitation Funding, and Maintenance & Rehabilitation Implementation. Each phase consists of a distinct set of activities as follows:

Acquisition: due diligence

Redevelopment: capital improvement

Current Use: facility occupancy, facility operation, facility

maintenance, and facility assessment

Planning: strategic planning and facility planning

Budgeting: capital budgeting, maintenance budgeting, and insurance

budgeting

Funding: financing of capital, maintenance, and insurance budgets

Implementation: capital improvement and maintenance

This process is sequential, progressing from acquisition through implementation of rehabilitation in any given building. An owner who has a large inventory of buildings is likely to have ongoing activities in all of these phases

in different buildings. The process is illustrated in the following diagram.

Appendix I to this manual, Additional Information on Multifamily Building

Facility Management, contains a discussion of the specific phases and the

activities therein for owners seeking further detail on the facility management process. This is a generalized model subject to local variation.

In Brief

 Ten specific

activities can be

added to the

current facility

management

process to

implement an

incremental seismic

rehabilitation

program.

B.2.2 Elements of an Incremental Seismic Rehabilitation

Program

The following ten activities are essential elements of an incremental seismic

rehabilitation program for multifamily buildings, and can be added to the

facility management process by facility, risk, and financial managers who

implement such a program:

B.2.2.1 Due Diligence Analysis

In regions of high and moderate seismicity, due diligence should include a

probabilistic analysis of potential earthquake risks. Such an analysis considers damage from earthquakes of all levels of intensity, and will provide information on seismic vulnerabilities in the building. If the building is

acquired, the due diligence analysis will provide information for the initiation of a full seismic assessment. Probabilistic analysis, because of its detail

and scope, will be more expensive than more simplistic Probable Maximum

Loss (PML) analysis.

Incremental Seismic

Rehabilitation

Element 1

Due Diligence

Analysis
Incremental Seismic Rehabilitation of Multifamily Apartment Buildings

B-4

Incremental Seismic

Rehabilitation

Element 2

Initial Integration

Opportunities

Incremental Seismic

Rehabilitation

Element 3

Seismic Screening

Initial Multifamily

Facility Manager/

Risk Manager

Screening of

Seismic Concerns

B.2.2.2 Initial Integration Opportunities

Even if seismic rehabilitation is not among the capital improvements being

undertaken in the redevelopment phase, and even though seismic screening

and evaluation may not have taken place prior to the determination of redevelopment phase capital improvements, there may be some seismic rehabilitation increments that can be identified with minimal evaluation and

analysis (for example, parapet and gable bracing or anchoring of mechanical

equipment). Depending on the nature of these increments, it may be possible to integrate them with specific capital improvements being undertaken

in this phase. Part C, Section C.2 should be used to identify such integration

opportunities.

B.2.2.3 Seismic Screening

Following building acquisition and initial redevelopment, seismic screening

of the owner’s multifamily building inventory is the first step of the incremental seismic rehabilitation process. Seismic screening procedures can be

incorporated into other facility assessment activities. Begin with a determination of the status of the archival records. If building plans are available, a

document review for the determination of building structure types is the

first step in seismic screening. The following chart can be used to obtain an

overall view of seismic concerns based on the seismic hazard map in Part A.

The Federal Emergency Management Agency (FEMA) has developed FEMA

154, Rapid Visual Screening of Buildings for Potential Seismic Hazards: A

Handbook, Second Edition,

1 as guidance for seismic screening of an inventory of buildings. It describes a technique for identifying the relatively more

vulnerable buildings in a large inventory so that they can be addressed in

more detail.

The FEMA 154 publication is nationally applicable and addresses all building

types. In some cases, the screening will suggest specific seismic rehabilitation opportunities that do not require additional engineering and risk analyses.

The incorporation of seismic screening into ongoing facility assessment

activities requires assigning the screening to the appropriate inspectors. If

1 To order this and other FEMA publications, you may write to FEMA, PO Box 2012,

Jessup, MD 20794-2012; or you may call 800-480-2520, Monday – Friday, 8:00 a.m. –

5:00 p.m., eastern time; or you may fax your request to 301-362-5335.
B-5

Part B

Incremental Seismic

Rehabilitation

Element 4

Seismic Evaluation

Incremental Seismic

Rehabilitation

Element 5

Developing a Risk

Reduction Policy

Incremental Seismic

Rehabilitation

Element 6

Seismic

Rehabilitation

Planning for

Specific Buildings

2 ASCE 31 can be obtained from the American Society of Civil Engineers at

1-800-548-2723.

inspections are periodically carried out in the owner’s multifamily buildings

for other purposes, such as life safety, insurance, occupational health and

safety, or hazardous materials identification, it may be possible to assign the

seismic screening to the same inspectors with some additional training.

Alternatively, the seismic screening can be assigned to a consulting architect or engineer.

B.2.2.4 Seismic Evaluation

Seismic evaluation is an engineering analysis of individual multifamily

buildings. It usually follows the seismic screening, when the buildings identified as relatively more vulnerable are subjected to a more detailed analysis. However, in some cases, such as when the owner’s building inventory is

small, seismic evaluation of individual buildings may be the first step of the

incremental seismic rehabilitation process.

Guidance for seismic evaluation of buildings is contained in standard ASCE

312

, Seismic Evaluation of Existing Buildings, which is based on FEMA 310,

Handbook for the Seismic Evaluation of Existing Buildings—A Prestandard.

The standard provides engineering guidance on how to evaluate categories

of buildings in order to identify deficiencies and determine effective rehabilitation measures.

Seismic evaluation can be done by the owner’s professional staff or by a

consulting engineer.

B.2.2.5 Developing a Risk Reduction Policy

Convince the board of directors to adopt a clear policy statement supporting

seismic risk reduction. Such a policy should, at a minimum, establish seismic performance objectives for the owner’s multifamily buildings. Seismic

performance objectives define the target performance of a building following an earthquake of a specified intensity. The policy and objectives should

be developed and documented as part of the seismic rehabilitation planning

process.

B.2.2.6 Seismic Rehabilitation Planning for Specific Buildings

FEMA has developed engineering guidance to plan seismic rehabilitation for

specific buildings, including FEMA 356, Prestandard and Commentary for

the Seismic Rehabilitation of Buildings, which includes specific techniques

for analyzing and designing effective seismic rehabilitation. The planning

task entails four specific facility planning subtasks:

1. Establish seismic target performance levels: With cooperation

between central management and local facility management,

establish the performance level desired in each of the owner’s

multifamily buildings following an earthquake. Performance levels

used in FEMA 356 are, in declining level of protection:

 Operational

 Immediate Occupancy

 Life Safety

 Collapse Prevention
Incremental Seismic Rehabilitation of Multifamily Apartment Buildings

B-6

Target

Building

Performance

Levels and

Ranges

This is an expansion of the two performance levels—immediate

occupancy and life safety—included in ASCE 31, Seismic Evaluation

of Existing Buildings.

The figures adapted from FEMA 356 on this and the following page

demonstrate the use of these performance levels. Reasonable

objectives and expectations should be considered for moderate,

severe, and rare great earthquakes.

2. Prioritize rehabilitation opportunities: Carry out additional

engineering and risk analysis in order to prioritize the seismic

rehabilitation opportunities identified in the seismic evaluation in

terms of risk reduction. ASCE 31 and FEMA 356 include lists of

seismic rehabilitation measures as a function of common building

types. Priorities for these measures are established in terms of

respective contribution to the overall earthquake resistance of the

structure.

Apply a “worst first” approach. Attend to heavily used sections of

the most vulnerable buildings housing the greatest number of

occupants, as well as to areas housing critical functions and

equipment. For example, higher priorities may be given to

rehabilitation of areas that will facilitate the evacuation of the

building in an earthquake, such as lobbies, corridors, stairs, and

exits.

3. Define increments: Break down the

specific seismic rehabilitation opportunities

into discrete incremental rehabilitation

measures that make sense in engineering

and construction terms. When establishing

increments, consider scheduling to

minimize the disruption to normal

multifamily building operations. Increments

that can be accomplished during tenant

turnover seem to make the most sense.

4. Integrate with other rehabilitation

work: Link each incremental rehabilitation

measure with other related facility

maintenance or capital improvement work.

The related work classifications may differ

from one building owner to another, but

will fall into the following generic

categories:

 Building envelope improvements

 Interior space reconfiguration

 Life safety and accessibility

improvements

 Refinishing and hazardous materials

removal

 Building systems additions,

replacements, and repairs

 Additions to existing buildings
B-7

Part B

Damage Control and Building Performance Levels

Opportunities for project integration are listed in Part C, Section C.2

of this manual. Some examples of the opportunities you can use to

link projects are: when accessing concealed areas, when removing

finishes and exposing structural elements, when performing work

in a common location, when sharing scaffolding and construction

equipment, and when sharing contractors and work force.

The four subtasks described above form an iterative process. The definition

and related cost estimation of increments, as well as the integration with

other maintenance and capital improvement projects (subtasks 3 and 4),

may lead to a revision of target performance levels (subtask 1) or to specific

analysis carried out as part of subtask 2.

B.2.2.7 Staging Seismic Rehabilitation Increments

Determine the number and scope of incremental stages that will be undertaken and the length of time over which the entire rehabilitation strategy will

be implemented.

Incremental Seismic

Rehabilitation

Element 7

Staging Seismic

Rehabilitation

Increments
Incremental Seismic Rehabilitation of Multifamily Apartment Buildings

B-8

Estimates of seismic damage can be quantified in terms of percentage of

building value damaged. Annual seismic damage is calculated as the probable damage that can result in any year from all possible earthquakes. The

benefits of seismic rehabilitation are quantified as the reduction in annual

seismic damage resulting from specific rehabilitation actions (also quantified in terms of percentage of building value). A generalized life-cycle benefit analysis shows that incremental approaches can return a substantial

portion of the expected benefits of single-stage seismic rehabilitation carried out now.

The schematic diagram below illustrates such a life-cycle benefit analysis.

The three wide arrows represent the benefits of single-stage rehabilitation

occurring at three points in time: now, in 20 years, and in 40 years. Clearly,

the largest benefit derives from a single-stage rehabilitation done now, and

it is designated as 100%. The benefits of single-stage rehabilitation done in

the future must be discounted and expressed as some percentage lower

than 100%, as represented by the decreased arrows. The stepped portion of

the diagram represents incremental rehabilitation starting soon, and completed in four increments over 20 years. The benefits of the future increments must also be discounted, and the benefit of the completed

incremental rehabilitation is therefore expressed as a percentage lower than

100%, but higher than the single-stage rehabilitation in year 20. Reducing

the overall duration of the incremental rehabilitation will increase its benefit,

and extending the duration will decrease it.
B-9

Part B

Incremental Seismic

Rehabilitation

Element 8

Budget Packaging

Incremental Seismic

Rehabilitation

Element 9

Bond Packaging

Incremental seismic rehabilitation affords great flexibility in the sequence

and timing of actions when the following precautions are kept in mind:

 It is important to get started as soon as possible. Any early

reduction of risk will provide benefit over the remaining life of the

building. Delaying action extends risk exposure. The incremental

approach can be more effective than a delayed, single-stage

rehabilitation, as long as one gets started soon.

 Even if the completion of the incremental program takes 10 or 20

years, most of the risk reduction benefit is realized.

 There is a wide margin of error. For example, you may

unintentionally increase the probability of damage in the first few

years due to an initial rehabilitation increment that inadvertently

makes the building more vulnerable to damage, and still realize the

benefit of risk reduction if you complete the incremental

rehabilitation over a reasonable period.

B.2.2.8 Budget Packaging

The facility, risk, and financial managers should carefully plan how to

present the incremental seismic rehabilitation budgets to maximize the

probability of their being approved, given the financial realities of the owner

organization.

The facility capital improvements and maintenance budget proposals, generated both locally at the building and centrally at owner headquarters, are

results of the facility planning process. The budget, however, is also a vehicle for establishing funding priorities through a board decision, a bond

issue, or other process. It is unlikely for most multifamily building owners in

the United States to be able to raise funds for a comprehensive seismic rehabilitation program of all their buildings. While the incremental rehabilitation approach appears to be a viable alternative, in some organizations it

may be necessary to “package” incremental seismic rehabilitation with

other work in order to get it funded.

In regions of moderate seismicity and low seismic awareness (parts of New

York and New England, for example), it may be useful to concentrate on

rehabilitation measures that also reduce the risk of loss due to other natural

or man-made forces, such as high winds or terrorist attack. Such a multihazard approach will help justify mitigation investments.

For those parts of the country where the understanding of earthquake risk is

limited, it may be necessary and appropriate to combine seismic rehabilitation costs with normal maintenance budgets.

B.2.2.9 Bond Packaging

Since a bond issue is one of the four financing mechanisms for seismic rehabilitation (in addition to revenue, equity, and commercial credit), you

must ensure that bond-financed incremental seismic rehabilitation does not

include categories of work precluded by law or regulation.

B.2.2.10 Seismic Rehabilitation Project Management

The implementation of the selected incremental seismic rehabilitation measures in combination with other building work may require added attention

to project design and bid packaging.

Incremental Seismic

Rehabilitation

Element 10

Seismic

Rehabilitation

Project

Management
Incremental Seismic Rehabilitation of Multifamily Apartment Buildings

B-10

 Fully brief or train in-house architects/engineers or outside

consultants preparing the bid documents on the rationale behind

the rehabilitation measures, in order to assure that the seismic risk

reduction objectives are achieved.

 Assure the continuity of building documentation from the analysis

and design through construction and as-built drawings.

 Conduct a pre-bid conference to fully explain the seismic risk

reduction objectives and the rationale for their selection to all

prospective bidders.

Federal and state mandates and programs represent opportunities for seismic rehabilitation. Externally, federal and state programs may establish requirements affecting the implementation phase that have implications for

multifamily buildings (e.g., Fair Housing Act and Occupational Safety and

Health Administration [OSHA] requirements).

B.2.3 Integration into the Multifamily Facility Management

Process

The following diagram illustrates the integration of the 10 elements discussed in the preceding sections (B.2.2.1 through B.2.2.10) into the multifamily facility management process. The elements are shown in the phase of

the management process in which they are most likely to be implemented.

In Brief

 Ten additional

activities can be

added to the facility

management

process to further

reduce seismic risk.

B.3 Opportunities for Seismic Risk Reduction in

Support of Integrating Incremental Seismic

Rehabilitation into the Facility Management

Process

The following ten opportunities for seismic risk reduction will support the

integration of an incremental seismic rehabilitation program:

1. Responding to Occupant Concerns

2. Emergency Management/Response Planning (establishing liaison)

3. Emergency Management/Mitigation Planning (establishing liaison)

4. Developing a Risk Reduction Policy

5. Incorporating Federal and State Mandates and Programs

6. Coordinating with Risk and Insurance Managers
B-11

Part B

7. Coordinating with Lenders

8. Becoming Familiar with Applicable Codes

9. Establishing and Maintaining a Roster of Design Professionals

10. Negotiating Code Enforcement

These opportunities are created by internal and external factors that typically influence the multifamily facility management process. Internal factors are generated within the owner’s organization. External factors are

imposed on organizations by outside pressures, such as the government,

insurance regulations and practices, or financial climate. The following factors may influence each respective phase:

Acquisition: external market conditions, lenders and insurers, and

internal risk management

Redevelopment: external market conditions, lenders and insurers,

and internal marketing and architectural policies

Current Use: external federal and state programs, and internal

occupant concerns

Planning: internal board policies, and external insurance carriers

and brokers, and government mandates

Budgeting: external government fiscal regulations and lender

requirements, and internal budgetary constraints and risk

management

Funding: external economic conditions and bond financing

regulations

Implementation: external federal and state mandates and

programs, codes and code enforcement

Appendix I to this manual, Additional Information on Multifamily Building

Facility Management, contains a discussion of the specific phases and the

related internal and external influences for those seeking more information

on the facility management process.

The following diagram illustrates the integration of these opportunities into

the multifamily facility management process. The opportunities are shown

in the phase of the management process in which they are most likely to

be implemented. Each opportunity is discussed in detail in the following

sections (B.3.1 through B.3.10).
Incremental Seismic Rehabilitation of Multifamily Apartment Buildings

B-12

Currently there are no

seismic rehabilitation

mandates or

implications in any

federal or state

programs related to

existing multifamily

buildings with the

exception of

California.

B.3.1 Responding to Occupant Concerns

Track all tenant and staff concerns that relate to earthquake vulnerability,

and make sure they are understood and considered in the planning phase.

Be alert to tenant concerns, especially as they affect leasing. They can be a

source of considerable influence on risk managers as well as potentially

significant pressure on the facility management process. Occupant concerns

may become the vehicle for channeling internal pressures of all kinds, including policies adopted by the board, into capital improvements and maintenance actions.

B.3.2 Emergency Management/Response Planning

Establish a liaison with emergency management agencies and volunteer

agencies, such as the Red Cross.

Become familiar with the role of the owner’s multifamily buildings in the

local emergency response plans. If it is a significant role, become active in

the emergency planning process. Define the role in specific detail, assigning

specific functions to specific facilities. The role of specific multifamily buildings in the local emergency response plans should affect seismic performance objectives and the priority of specific seismic rehabilitation

measures. Therefore, there should be full coordination between the owner’s

emergency planning and facility planning functions.

B.3.3 Emergency Management/Mitigation Planning

Establish a liaison with emergency management mitigation planners at the

state and local levels.

Endeavor to incorporate the multifamily building earthquake mitigation into

the state’s mitigation plan, and to recognize the owner’s incremental seismic

rehabilitation measures as elements of the mitigation plan.

Federal resources and funds are available to small business owners following a presidentially declared disaster for the support of disaster recovery

and mitigation planning activities in the form of Small Business Administration (SBA) loans. Multifamily building owners who qualify should make every effort to obtain these resources.

B.3.4 Developing a Risk Reduction Policy

Convince the board of directors to adopt a clear policy statement supporting

seismic risk reduction. Such a policy should, at a minimum, establish seismic performance objectives for the owner’s buildings. Seismic performance

objectives define the target performance of a building following an earthquake of a specified intensity. The policy and objectives should be developed and documented as part of the seismic rehabilitation planning

process.

B.3.5 Incorporating Federal and State Mandates and

Programs

Become familiar with the seismic rehabilitation requirements imposed on

multifamily buildings by federal and state programs, currently or under discussion for the future, and take them into account in planning activities.
B-13

Part B

B.3.6 Coordinating with Risk and Insurance Managers

Establish coordination between the facility management and risk management functions in the multifamily building owner’s organization.

The owner’s risk and insurance managers may have a direct or indirect role

in the planning and budgeting phases of the facility management process

with regard to decisions related to insurance as well as other budget categories.

In areas of seismic risk, the risk of building loss or damage, the risk of occupant death or injury, and the risk of the owner’s liability must all be assessed. The owner’s risk manager should be fully informed on the individual

building or project approaches to seismic risk reduction and should be a

participant in the planning process. Insurance carriers are more than willing,

when asked, to provide building owners with Loss Control and Prevention

Reports that include recommendations for loss prevention. If seismic risk is

covered by the owner’s insurance carrier, it may be possible to negotiate a

rate reduction, deductible reduction, or increased maximum benefit. On the

other hand, the insurer may require some seismic rehabilitation as a condition of coverage.

Formal risk management is a relatively recent addition to the management

structure of many multifamily building owners, and for large owners with

nationwide portfolios, it is usually placed at central headquarters. Facility

management is a local function that takes place at a particular building, or

regionally, for a group of buildings. In this case, there is a need to establish

effective communication lines between central organization staff and local

facility managers. Risk managers may develop checklists, questionnaires, or

other planning tools to be used by facility managers in planning for seismic

risk reduction.

B.3.7 Coordinating with Lenders

Become familiar with the requirements likely to be imposed by lenders on

your capital improvement program. Some lenders may waive or reduce

their requirement for seismic insurance if certain seismic improvements are

included in your program.

B.3.8 Becoming Familiar with Applicable Codes

Become familiar with the seismic rehabilitation requirements imposed in

your building inventory’s jurisdictions by building codes or other codes and

ordinances, currently or under discussion for the future such as rehabilitation codes, and take them into account in planning activities.

B.3.9 Establishing and Maintaining a Roster of Design

Professionals

Develop and maintain a roster of architects, engineers, and other consultants with expertise in the fields of seismic assessment of buildings, seismic

design, and risk analysis to quickly make use of their specialized expertise

when needed. Such qualified professionals can be identified with the assistance of professional societies such as the American Society of Civil Engineers, the American Institute of Architects, or the Earthquake Engineering

Research Institute.
Incremental Seismic Rehabilitation of Multifamily Apartment Buildings

B-14

B.3.10 Negotiating Code Enforcement

Discuss the owner’s planned incremental seismic rehabilitation actions with

the applicable code enforcement authorities.

Building codes impose requirements on the implementation phase in cases

of repair, alteration, or addition to existing buildings. These requirements

may be enforced by a state or local agency. Such requirements can add

costs to a project and jeopardize feasibility if not taken into account.

Although additions must comply with building code seismic requirements,

few codes mandate seismic rehabilitation in repair and alteration projects.

Incremental seismic rehabilitation is consistent with most building code

requirements applicable to existing buildings.

If applicable, negotiate with code enforcement authorities an optimization of

life safety and risk reduction when undertaking seismic rehabilitation. Some

code enforcement agencies negotiate required life safety and other improvements with owners of existing buildings who undertake voluntary

building rehabilitation. Such negotiations attempt to strike a compromise

between safety, feasibility, and affordability.

B.4 Additional Components of a Comprehensive

Earthquake Safety Program

In addition to integrating an incremental seismic rehabilitation program into

the multifamily facility management process and integrating opportunities

to support and implement such a program, there are additional activities

that can become part of a comprehensive earthquake safety program for

multifamily buildings. These activities can be implemented at any time.

B.4.1 Building Contents Mitigation

Communicate with maintenance staff and tenants to initiate housekeeping

or maintenance measures to reduce or eliminate risks from earthquake

damage to equipment, furnishings, and unsecured objects in buildings.

Work may include such tasks as:

 Anchoring bookcases, file cabinets, storage shelves, and other

large furnishings.

 Restraining objects on shelves

 Securing the storage of hazardous materials such as chemicals

FEMA has developed materials that contain information on contents mitigation. These include FEMA 74, Reducing the Risk of Nonstructural Earthquake

Damage: A Practical Guide, and FEMA 241, Identification and Reduction of

Nonstructural Earthquake Hazards in Schools. (While the latter is addressed

primarily to schools, it is equally applicable to other facility types.)

B.4.2 Earthquake Drills

Introduce earthquake drills and appropriate earthquake preparedness materials into the regular multifamily building emergency preparedness program. Knowing what to do and where to go in an emergency can be critical

to life safety in earthquakes.

In Brief

 Two additional components of an

earthquake safety

program can be

initiated.
B-15

Part B

B.5 Preparing a Plan for the CEO and the Board

This section provides guidance to multifamily facility managers, risk managers, and financial managers when preparing a proposal for a seismic safety

program in response to top management’s request.

The owner’s facility, risk, and financial managers should prepare a proposal

for a seismic risk reduction program. This proposal should be based on an

analysis of each of the elements of an incremental seismic rehabilitation

program (B.2.2), opportunities for seismic risk reduction (B.3), and additional components (B.4) as discussed above. The proposal should include

the following elements:

 A discussion of each recommendation in Part B from the

perspective of the owner’s current facility management, risk

management, and financial management practices. This may take

the form of a comprehensive rewriting of Part B.

 A specific plan and recommendation for initiating the first two

steps following building acquisition and redevelopment, Seismic

Screening and Seismic Evaluation. The plan should include a

budget and schedule of activities.

 A request for the budget for these first steps.

If the necessary resources are available to the facility manager, perform a

rapid visual screening, as outlined in B.2.2.3, prior to preparing the program

proposal. Then, expand the proposal based on the known inventory of potentially vulnerable buildings as determined in the screening process.

If the owner has a current 5-year capital improvement plan or its equivalent,

add the following details to the proposal discussed above:

 Identify existing buildings currently included for rehabilitation in

the current 5-year plan.

 Perform a preliminary review of their seismic vulnerabilities, as

outlined in B.2.2.3.

 Using Part C of this manual, identify potential seismic rehabilitation

increments that could be integrated with the rehabilitation

program.

 Add a FEMA 356, Prestandard and Commentary for the Seismic

Rehabilitation of Buildings, seismic rehabilitation design task to the

rehabilitation projects.

In Brief

 There are three

options to propose

a seismic safety

program.
Incremental Seismic Rehabilitation of Multifamily Apartment Buildings

B-16

Summary of Part B

 Planning for earthquake risk reduction in multifamily buildings

requires a coordinated and integrated effort by facility managers,

risk managers, and financial managers.

 Ten specific activities can be added to the current facility

management process to implement an incremental seismic

rehabilitation program:

1. Due Diligence Analysis

2. Initial Integration Opportunities

3. Seismic Screening

4. Seismic Evaluation

5. Developing a Risk Reduction Policy

6. Seismic Rehabilitation Planning for Specific Buildings

7. Staging Seismic Rehabilitation Increments

8. Budget Packaging

9. Bond Packaging

10. Seismic Rehabilitation Project Management

 Ten additional activities can be added to the facility management

process to further reduce seismic risk.

 Two additional components of an earthquake safety program can

be initiated.

 There are three options to propose a seismic safety program.

Recommended Actions

1. Prepare an analysis of your buildings using Part B of this manual as

a guide.

2. Based on this analysis, prepare a seismic risk reduction plan for top

management that includes the costs and benefits of such a plan.

3. Adopt a comprehensive earthquake safety program and begin to

implement incremental seismic rehabilitation in your buildings.
C-1

Part C

C

Tools for Implementing

Incremental Seismic

Rehabilitation in Existing

Multifamily Buildings

For Facility Managers

Introduction

An owner of multifamily buildings or a multifamily building facility manager charged with the responsibility of

implementing a program of incremental seismic rehabilitation may be entering unfamiliar territory. Part C

of this manual is intended to provide the owner and

facility manager with information and tools regarding

building systems, maintenance, repair, and rehabilitation that should be of assistance in implementing such

a program.

A program of incremental seismic rehabilitation is likely to be more affordable and less disruptive if specific increments of seismic rehabilitation are

integrated with other maintenance and capital improvement projects that

would be undertaken regardless of whether or not seismic issues were being addressed.

Guide to Sections C.1 and C.2

Section C.1, How to Use Engineering Services, provides the facility manager

with practical information on the special services offered by seismic rehabilitation professionals. Several essential activities must be carried out by

the facility manager in order to successfully implement a program of incremental seismic rehabilitation. (These activities are identified and discussed

Part
Incremental Seismic Rehabilitation of Multifamily Apartment Buildings

C-2

in Part B of this manual.) Some of these activities may require professional

architectural and engineering services that differ from or exceed the traditional services usually retained by multifamily building owners.

Section C.2, Discovering Integration Opportunities for Incremental Seismic

Rehabilitation, provides the facility manager with a set of tools to link specific increments of seismic rehabilitation with specific maintenance and

capital improvement projects. These tools will assist the facility manager in

defining appropriate scopes of work for projects that will include incremental seismic rehabilitation actions.

Appendix II to this manual, Integration Opportunities for Incremental Seismic Rehabilitation for Small Organizations and Individual Owners, presents

integration opportunities for owners with limited professional facility management support.

A companion document, Engineering Guideline for Incremental Seismic

Rehabilitation, FEMA 420, provides design professionals with additional

technical guidance for the detailed design of specific rehabilitation projects.

C.1 How To Use Engineering Services

Seismic Screening and Evaluation

Seismic screening and evaluation of the owner’s multifamily building inventory begins with a review of archival drawings and specifications, if available, to determine the types of construction used. This determination is

essential for all subsequent phases. If drawings and specifications are not

available, this determination must be made on the basis of visual inspection.

Following this review, building inventories at one location or region should

be screened in a process based on FEMA 154, Rapid Visual Screening of

Buildings for Potential Seismic Hazards: A Handbook, Second Edition. The

goal of the screening is to identify vulnerabilities in the inventory. Buildings

that have little or no vulnerability are removed from further scrutiny.

For the buildings identified as vulnerable, the next category of service is a

detailed seismic evaluation using ASCE 31, Seismic Evaluation of Existing

Buildings, which is based on FEMA 310, Handbook for the Seismic Evaluation of Existing Buildings: A Prestandard. Multifamily building owners with

few buildings may begin with this evaluation, which addresses individual

buildings and identifies both structural and nonstructural deficiencies that

require rehabilitation. The output of each building evaluation is a list, possibly prioritized, of needed specific rehabilitation actions.

An owner may retain the services of a single engineering firm to perform

both the screening and evaluation, or it can retain a firm for screening and

one or more firms for building evaluation.

Incremental Seismic Rehabilitation Planning and Design

A complete seismic rehabilitation plan covering all the deficiencies identified in the evaluation should be prepared for each building that has been

evaluated. This can be done using ASCE 31 and FEMA 356, Seismic Rehabilitation of Buildings. However, in incremental seismic rehabilitation the correction of all the deficiencies is not implemented at once, but rather in

In Brief

 Engineering services should be

retained for three

specific phases:

seismic screening

and evaluation,

incremental seismic

rehabilitation planning and design,

and construction

period support.

 Continuity of building documentation

is of special importance.
C-3

Part C

discrete increments over a period of time. In order to accomplish this, it is

necessary to carry out four specific steps:

 Establish target seismic performance levels

 Prioritize seismic rehabilitation opportunities

 Define increments

 Integrate seismic rehabilitation into maintenance and capital

improvement programs

Each of these steps is amplified in the discussion of the multifamily building

planning phase in Section B.2.

The potential for unintentional weakening of the building as the result of a

particular increment should be carefully analyzed and must be avoided. This

subject is discussed in more detail in the companion document, Engineering

Guideline for Incremental Seismic Rehabilitation, FEMA 420.

Seismic rehabilitation planning and design may be carried out by the same

engineering firm that performed the evaluation, or by a separate firm. Close

coordination with the owner’s risk management functions is a prerequisite

for the successful implementation of performance objectives and

prioritization steps. The definition of increments and integration of activities

will also require close coordination with financial managers so as to be consistent with budgeting and funding processes, as discussed in Part B. The

contractual agreement covering this work should reflect the fact that some

of the work is implemented immediately and some of the work is left to the

future.

Construction Period Support

Construction period support for incremental seismic rehabilitation is much

the same as for any other construction project. The plans and specifications

should be implemented correctly, and all specified quality control measures

should be followed. All substitutions or changes should be carefully analyzed by the design professionals in terms of their seismic implications. Particular attention should be paid to the proper bracing and anchorage of

nonstructural elements undergoing rehabilitation.

Continuity of Building Documentation

Assuring the continuity of building documentation is of particular importance for incremental seismic rehabilitation. The rehabilitation of each individual building may be staged over a period of several years or decades as

discussed in Section B.2. The screening, evaluation, planning, and design

may be split among several engineering firms. Institutional memory may

disappear as owner personnel, and even building ownership, changes. It is

therefore essential that the multifamily facility manager document all aspects and requirements of seismic rehabilitation from the earliest building

screening through evaluation, seismic rehabilitation planning, and completion of each increment of seismic rehabilitation, paying special attention to

the scheduling of follow-up requirements and actions over time.

Fees for Professional Services

The professional services required to implement incremental seismic rehabilitation, as discussed above, clearly exceed the scope of traditional architectural/engineering design services. An appropriate fee structure for these

new services will need to be developed and integrated into the budgeting

process.
Incremental Seismic Rehabilitation of Multifamily Apartment Buildings

C-4

C.2 Discovering Integration Opportunities for

Incremental Seismic Rehabilitation

In order to benefit from opportunities to integrate incremental seismic rehabilitation with other maintenance and capital improvement activities, it is

useful to discuss these activities as they are typically undertaken in multifamily buildings. Most multifamily building owners are familiar with their

particular building inventories and the related patterns of maintenance and

capital improvement. A significant parameter of patterns of maintenance

and capital improvement may be the building classification (Class A, B, or

C). Aggregate national data is of no particular relevance to a given owner,

but may be of general interest and is summarized in the sidebar on page

C-5.

Categories of Maintenance and Capital Improvement Projects

Multifamily building owners often categorize maintenance and capital improvement projects in the following eight categories:

1. Roofing maintenance and repair/re-roofing

2. Exterior wall and window maintenance/façade modernization

3. Public area modernization

4. Kitchen and bathroom modernization

5. Fire and life safety improvements (usually at acquisition)

6. Underfloor and basement maintenance and repair

7. Heating, ventilating, and air conditioning (HVAC) upgrade and

energy conservation

8. Hazardous materials abatement (usually at acquisition)

These categories reflect groupings of building elements, administrative and

funding categories, tenant versus public spaces, or other parameters. Some

owners may use other categorizations of maintenance and capital improvement work. The purpose of this discussion is not to impose any specific categorization of work, but simply to demonstrate the characteristics of a given

item of planned work that may make it especially suitable for integration

with particular incremental seismic rehabilitation measures. These pairings

of seismic rehabilitation measures with other categories of work are referred to in this section as “integration opportunities.” Facility managers

using this manual are encouraged to modify the work categories to suit their

own practices.

Work Descriptions and Matrices of Seismic Performance

Improvement Opportunities

Eight sections, C.2.1 through C.2.8, provide the facility manager with information used to identify incremental seismic rehabilitation opportunities that

can be combined with maintenance and capital improvement projects. The

information becomes a tool, a technical framework or basis for action, that

can be communicated to the architect or engineer selected to work on any

project resulting from an integration opportunity.

These sections present the expanded descriptions of each of the work categories defined above in a consistent format. Each category is described in

terms of:

 General description

In Brief

 Opportunities to

add seismic

rehabilitation

increments exist

within most major

maintenance and

capital

improvement

activities.

 Incremental seismic

rehabilitation

opportunities are

suggested for eight

specific

maintenance and

capital

improvement

categories.
C-5

Part C

 Physical description

 Associated incremental rehabilitation work

 Performance of the work

 Special equipment

 Impact on building use

Matrices of possible specific integration opportunities, one matrix for each

work category (Tables C-1 through C-6), accompany the descriptions of the

first six categories of maintenance and capital improvement projects. These

include:

 Roofing maintenance and repair/re-roofing

 Exterior wall and window maintenance/façade modernization

 Public area modernization

 Kitchen and bathroom modernization

 Fire and life safety improvements

 Underfloor and basement maintenance and repair

The integration opportunities for the next two categories of work are defined by reference to one or more of the six matrices.

Note that “multifamily building additions” are a category of typical capital

improvement that is not included among the eight categories listed at the

beginning of this section. Additions may have been constructed on multifamily buildings over the course of their useful lives. Current additions will

be designed to meet the seismic requirements of the building code. Additions may also offer opportunities to strengthen an adjacent building or

buildings. These opportunities require careful design and analysis, and they

are not specifically identified in the integration opportunities matrices

(Tables C-1 through C-6). Furthermore, inadequately designed additions,

without proper joints or connections to the existing building, could actually

cause damage in an earthquake as different sections of the building pound

against each other.

The seismic performance improvements shown in the matrices fall into

three categories:

 Indicates improvements that can be implemented when the

integration opportunity arises, on the basis of a quick evaluation by

a design professional. These types of improvements address

deficiencies that may be identified in an ASCE 31, Seismic

Evaluation of Existing Buildings, Tier 1 analysis.

Indicates improvements that can be implemented when the

integration opportunity arises and that require engineering design.

These types of improvements address deficiencies that may be

identified in an ASCE 31 Tier 1 or Tier 2 analysis.

 Indicates improvements that require engineering analysis to

determine if they should be implemented when the integration

opportunity arises to avoid unintentionally increasing the seismic

vulnerability by redistributing loads to weaker elements of the

structural system (sequencing requirements).

The absence of any of these symbols in a matrix cell indicates that the improvement in question is not applicable to the particular structural type. The

Generalized

Maintenance

and Capital

Improvement

Data

Whitestone Research

(a private market research organization)

indicates that expenditures for maintenance

and repairs over a

building’s life exceed

replacement costs for

most building types

and configurations,

including multifamily

apartment buildings.

The predominant categories of maintenance

and repair activities

for mid- to high-rise

apartment buildings

are, first, plumbing

systems, followed by

interior finishes, interior construction, and

mechanical systems.

All these activities

offer opportunities for

integration with incremental seismic rehabilitation work.

The timing of the work

is also highly predictable. The top 5 years of

expense account for

about 45% of building

replacement. With

regularity, years 20, 25,

30, 40, and 50 are the

highest expense years,

with expenditures peaking in years 25 and 50,

which each incur about

17-19% of replacement

costs for outsourced

repair and renovation

expenses.

These patterns suggest significant opportunity (and tendency)

to implement strategies like incremental

rehabilitation at specific points over the

service life of a multifamily apartment

building. They also

imply specific target

periods when the strategies could most likely

be considered and

implemented. Building

age becomes a very

important characteristic for incremental

seismic rehabilitation.
Incremental Seismic Rehabilitation of Multifamily Apartment Buildings

C-6

specific placement of each of these symbols (, , ) or the absence of a

symbol is based on professional judgment considering typical construction.

However, exceptions leading to changes in these categories may arise in

specific buildings.

Integration opportunities for incremental seismic rehabilitation are a function of three levels of seismicity: low, moderate, and high. The definitions of

these levels are those used in ASCE 31, Seismic Evaluation of Existing Buildings, and FEMA 356, Seismic Rehabilitation of Buildings. They include both

seismic zonation and soil conditions. The soil conditions at the site may affect the level of seismicity and must be taken into account. For example, soft

soil may amplify seismic forces on some buildings. The method for determining the level of seismicity is given in Section 2.5 of ASCE 31. Significantly fewer seismic improvements are recommended for low levels of

seismicity than for the higher levels because seismic vulnerability is lower.

The seismic improvements recommended for moderate and high levels of

seismicity are the same in number, but differ in the details of the improvements to reflect the different magnitudes of seismic loads encountered in

the two levels.

Incremental seismic rehabilitation integration opportunities for each category of work are a function of building structure type. This manual uses

five broad structural types, selected to be meaningful to multifamily facility

managers. The materials used for the building’s vertical load-resisting system can be used to categorize the following structural types:

 Wood

 Unreinforced masonry

 Reinforced masonry

 Concrete

 Steel

The latter two structural types, concrete and steel, are broken down further

into those with wood floors and roofs (flexible diaphragms) and concrete

floors and roofs (rigid diaphragms). This breakdown covers an important

parameter that determines how lateral loads are distributed to load-resisting

elements of the structures. Structures with flexible diaphragms distribute

earthquake loads based on proportional or tributary area between shearresisting elements (shear walls or frames). Flexible diaphragms allow a

straightforward analysis of loads in each shear element. Structures with

rigid diaphragms distribute earthquake loads based on the relative rigidity

of the individual shear-resisting elements. Rotational (twisting) forces may

be introduced that must also be resisted by these and other elements. Rigid

diaphragms require more detailed analysis that may have to be conducted

for each increment of the proposed strengthening program.

The facility manager using this section to identify incremental seismic rehabilitation integration opportunities in a particular building should use Sections C.2.1 through C.2.8 and the matrices therein as follows:

 Determine the category of maintenance or capital improvement

under consideration, and go to the section that corresponds most

closely to that category.

 Determine the level of seismicity applicable to the building by

considering the seismic map and the soil conditions, and identify

the applicable rows of the matrix.
C-7

Part C

 Determine which of the seven structural categories most closely fits

the building, and identify the applicable column of the matrix.

 List all the nonstructural and structural seismic improvements

identified in the matrix column and rows.

 Note the category of each improvement (, , ).

The facility manager should present to the architect or engineer the annotated list of all the nonstructural and structural seismic improvements identified for consideration and inclusion in the respective scope of design work.

The architect or engineer should design the project using the companion

document, Engineering Guideline for Incremental Seismic Rehabilitation,

FEMA 420, which includes more detailed guidance on incremental seismic

design. The architect or engineer designing the incremental seismic rehabilitation program will most likely break down the seven structural type categories into further subcategories, as used in ASCE 31 or FEMA 356. These

categories and subcategories are discussed in detail in FEMA 420.

Definitions of Seismic Performance Improvements

The seismic performance improvements, both nonstructural and structural,

that are included in the matrices of integration opportunities described in

the preceding paragraphs and included in Sections C.2.1 through C.2.6, are

all extracted from a generic list of seismic performance improvements. The

generic list is presented in Section C.2.9, which includes brief related explanations for each item on the list. The user of this manual can identify specific

seismic performance improvements in the respective project category matrices and may then refer to these definitions for additional explanation of

the involved activities.

The generic nonstructural improvements in Section C.2.9 are numbered

from 1 to 22 for ease of reference. The improvements selected from this list

for inclusion in each of the matrices in Sections C.2.1 through C.2.6 are presented in the same order and retain their respective number. This explains

the occasional skipping of a number when a specific nonstructural improvement is omitted because it is not applicable in the particular matrix.

The generic structural improvements in Section C.2.9 are arranged in the

order of structural subsystems and elements. The improvements selected

from this list for inclusion in each of the matrices in Sections C.2.1 through

C.2.6 are presented in the same order.

Simplified Information on Integration Opportunities

Small organizations or individual owners with limited facility management

support may wish to concentrate initially on integration opportunities for

incremental seismic rehabilitation that can be identified on the basis of a

quick evaluation by a design professional (i.e., those opportunities designated in the integration opportunity matrices by the symbol ). Appendix II,

Integration Opportunities for Incremental Seismic Rehabilitation for Small

Organizations and Individual Owners, includes a simplified matrix that displays these opportunities for all categories of maintenance and capital improvement projects.

Owners using this appendix should retain the services of an earthquake

engineer to identify other integration opportunities as well as to determine

the applicable seismicity.
Incremental Seismic Rehabilitation of Multifamily Apartment Buildings

C-8

Category 1

Roofing

Maintenance and

Repair/Re-roofing

C.2.1 Roofing Maintenance and Repair/Re-roofing

General Description of the Work: This category of work includes repair

or replacement of any or all of the following elements:

 Roof drainage system

 Eaves and fascias

 Flashing and vents

 Roofing membrane

 Insulation

 Walking surface and ballast

 Parapets and caps

 Roof-mounted equipment

 Roof deck

Most roof maintenance and repair work is done either in response to a failure or as scheduled periodic maintenance or preventive maintenance work.

Most seismic rehabilitation integration opportunities for this work category

will relate to either scheduled or preventive maintenance. Placement of roofmounted equipment usually relates to other work categories such as HVAC

upgrade.

In some jurisdictions, an application for a re-roofing permit triggers a code

requirement to implement specific seismic rehabilitation such as parapet

bracing.

Physical Description of the Work: Work on the roof may be localized to

specific areas, may extend to the entire perimeter of the roof, or may involve the complete roof surface or large portions of it. Work may be limited

to the roofing membrane or may include work on the substrate, deck, and

supporting system.

Associated Incremental Seismic Rehabilitation Work: Incremental

seismic rehabilitation associated with roofing maintenance and repair may

include strengthening diaphragms, improving diaphragm/wall connections,

bracing parapets and chimneys, and improving equipment attachment and

bracing.

Performance of the Work: Repair work on the roof is often performed by

the building owner’s maintenance staff. Outside contractors may be used for

more extensive work.

An architecture/engineering (A/E) firm is typically used in connection with

the installation of mechanical, electrical, telecommunication, or similar

equipment. Also, building owners often use the services of an A/E for preparation of re-roofing specifications and bid documents.

Special Equipment: Scaffolding is sometimes used in connection with roof

work. Cranes or hoists may be used to lift materials or equipment.

Impact of Work on Building Use: Work on the roof generally does not

interrupt building use, except for complete re-roofing including the deck,

which will affect upper floor apartments.
C-9

Part C

Table C-1: Roofing Maintenance and Repair/Re-roofing V e ertical Load Carrying Structure

L f evel of

S y eimicity

W d y oo M y asonr 1 C e l oncrete S l tee

N * L umber* L M H

B g uilding

S l tructural

E t lement

S l tructural

S m t ub-System S t eismic Performance Improvement

N l onstructural

1  n/a n s /a Anchorage of Canopies at Exit       

2   n/a n t /a Anchorage and Detailing of Rooftop Equipmen       

5  n/a n/a Bracing of Parapets, Gables, Ornamentation, and

Appendages       

8   n/a n k /a Attachment and Bracing of Large Ductwor       

18   n/a n s /a Bracing or Removal of Chimney       

S l tructural

n/a   All

Elements Load Path and Collectors  

n/a   Horizontal

Elements D s iaphragms Attachment and Strengthening at Boundarie       

n/a   Horizontal

Elements D s iaphragms Strength/Stiffnes       

n/a   Horizontal

Elements D s iaphragms Strengthening at Opening 

n/a   Horizontal

Elements D s iaphragms Strengthening at Re-entrant Corner  

n/a   Horizontal

Elements D e iaphragms Topping Slab for Precast Concret  

n/a  Vertical

Elements L n oad Path Lateral Resisting System to Diaphragm Connectio       

n/a  Vertical

Elements

Out-of-Plane Anchorage of Concrete or Masonry

Wall     

* Nonstructural improvements are numbered for ease of use.

Structural improvements are not numbered, but rather, organized by structural element and sub-system.

 Work that may be included in the building rehabilitation/maintenance/repair project on the basis of a quick evaluation by a design professional.

Work requiring engineering design.

 Work requiring detailed engineering analysis and evaluation of sequencing requirements. The "x" designates work that could redistribute loads, overstressing

some elements.

Note 1: Masonry buildings with a concrete roof should use the concrete building, concrete diaphragm for options.

UnreinforcedMasonryReinforcedMasonryWoodDiaphragmConcreteDiaphragmWoodDiaphragmConcreteDiaphragm
Incremental Seismic Rehabilitation of Multifamily Apartment Buildings

C-10

Category 2

Exterior Wall

and Window

Maintenance/Façade

Modernization

C.2.2 Exterior Wall and Window Maintenance/Façade

Modernization

General Description of the Work: Exterior wall and window maintenance

may involve the following activities:

 Pointing

 Patching

 Painting

 Caulking

This category of work may also include major projects such as:

 Window repair and replacement

 Refinishing with new cladding or material

Most exterior wall maintenance and repair work is done in response to failure or as scheduled periodic maintenance or preventive maintenance work.

Caulking and window repair and replacement are also often linked to energy

conservation/weatherization work.

Façade modernization is often done as redevelopment work following an

acquisition. The extent and nature of the work is likely to be a function of the

classification of the multifamily building (Class A, B, or C).

In the case of subsidized housing, federal or state mandates may be applicable that require energy conservation improvements that may lead to window repair or replacement.

Physical Description of the Work: Work is usually carried out throughout

an entire multifamily building as a scheduled maintenance activity, although

localized patching work is possible. Work may include:

 Repainting brick exterior walls

 Repairing balconies

 Replacing windows

 Improving energy conservation

Associated Incremental Seismic Rehabilitation Work: Strengthening

of shear walls and improvement of diaphragm/wall connections.

Performance of the Work: Exterior wall and window work may be performed by skilled construction personnel on the owner’s staff or by an outside contractor. In many cases, an A/E may be involved to provide design,

specifications, bid process, and construction administration services.

Special Equipment: Access to higher exterior areas may require scaffolding or swing stages. This access may provide economical opportunities for

the integration of seismic rehabilitation measures.

Impact on Building Use: Since most of the work is being performed from

the building exterior, it may be possible to accomplish the work throughout

the year. However, some of the seismic rehabilitation measures may be

noisy or require access from the interior, so this work may have to be done

when apartments are vacant.
C-11

Part C

Table C-2: Exterior Wall and Window Work V e ertical Load Carrying Structure

L f evel of

S y eimicity

W d y oo M y asonr 1 C e l oncrete S l tee

N * L umber* L M H

B g uilding

S l tructural

E t lement

S l tructural

S m t ub-System S t eismic Performance Improvement

N l onstructural

1  n/a n s /a Anchorage of Canopies at Exit       

5  n/a n/a Bracing of Parapets, Gables, Ornamentation, and

Appendages       

10   n/a n s /a Shut-Off Valve       

14  n/a n e /a Cladding Anchorag 

15   n/a n r /a Anchorage of Masonry Venee       

16  n/a n g /a Glazing Selection and Detailin       

17   n/a n s /a Anchorage of Exterior Wythe in Cavity Wall      

19   n/a n p /a Anchorage of Steel Stud Backu      

S l tructural

n/a   All

Elements Collector and Drag Element Improvement  

n/a   F s oundation Anchor Bolt 

n/a   F g oundation Cripple Stud Bracin 

n/a   Horizontal

Elements D s iaphragms Attachment and Strengthening at Boundarie       

n/a  Vertical

Elements Load Path Lateral Force-Resisting System to DiaphragmConnection       

n/a   Vertical

Elements

Braced

Frames Capacity/Stiffness  

n/a   Vertical

Elements

Braced

Frames Continuity  

n/a   Vertical

Elements

Braced

Frames Connections 

n/a   Vertical

Elements

Moment

Frames Beam Column Capacity/Stiffness  

n/a   Vertical

Elements

Moment

Frames Beam Column Connection 

n/a   Vertical

Elements S y hear Walls Capacit   

n/a   Vertical

Elements S y hear Walls Continuit   

n/a   Vertical

Elements S y hear Walls Lateral Stabilit   

n/a  Vertical

Elements

Out-of-Plane Anchorage of Concrete or Masonry

Wall     

* Nonstructural improvements are numbered for ease of use.

Structural improvements are not numbered, but rather, organized by structural element and sub-system.

 Work that may be included in the building rehabilitation/maintenance/repair project on the basis of a quick evaluation by a design professional.

Work requiring engineering design.

 Work requiring detailed engineering analysis and evaluation of sequencing requirements. The "x" designates work that could redistribute loads, overstressing

some elements.

Note 1: Masonry buildings with a concrete roof or floors should use the concrete building, concrete diaphragm for options. Unreinforced Masonry

ReinforcedMasonryWoodDiaphragmConcreteDiaphragmWoodDiaphragmConcreteDiaphragm
Incremental Seismic Rehabilitation of Multifamily Apartment Buildings

C-12

C.2.3 Public Area Modernization

General Description of the Work: Public area modernization is usually

done by the owner soon after the acquisition of a new property. It may also

be done periodically thereafter in order to keep up with the competition. The

extent and nature of the work is likely to be a function of the classification of

the multifamily building (Class A, B, or C). It has the potential to involve any

interior or exterior wall or element in the public areas, including specialty

rooms, health clubs, swimming pools, etc. Where public areas are located in

the basement, this work may include underfloor and basement work. This

category may involve simple work on a single wall or the entire

reconfiguration of the public areas. The installation of new equipment,

ducts, pipes, conduit, cables, and wiring may involve the reconfiguration of

concealed spaces under floors, above ceilings, and inside wall cavities and

chases located throughout the building.

Physical Description of the Work: This work may include reconfiguration

of spaces and creation of new spaces. Items include:

 Removing walls and ceilings

 Constructing new walls and partitions

 Installing replacement finishes

 Installing ductwork, piping, and communications equipment

Access to spaces behind finishes and construction of new walls provide

various opportunities for seismic rehabilitation work.

Associated Incremental Seismic Rehabilitation Work: Incremental

seismic rehabilitation associated with this work may include adding or

strengthening shear walls and bracing, improving beam/column connections and diaphragm to wall anchorage, and adding or improving bracing

and fastening of equipment.

In the case of public areas located in the basement, this work may include

incremental seismic rehabilitation work associated with Section C.2.6,

Underfloor and Basement Maintenance and Repair. See Table C-6 in addition

to Table C-3.

Performance of the Work: This work is usually performed by skilled construction personnel. Usually A/E design or interior design is used for this

type of work.

Special Equipment: Special equipment required for access to work areas

for any seismic rehabilitation construction will typically be available during

any remodeling work.

Impact on Building Use: Public area modernization can usually be done

with the tenants in place.

Category 3

Public Area

Modernization
C-13

Part C

V e ertical Load Carrying Structure

L f evel of

S y eimicity

W d y oo M y asonr 1 C e l oncrete S l tee

N * L umber* L M H

B g uilding

S l tructural

E t lement

S l tructural

S m t ub-System S t eismic Performance Improvement

N l onstructural

3   n/a n g /a Bracing and Detailing of Sprinkler and Pipin       

4   n/a n/a Fastening and Bracing of Equipment (Mechanical

and Electrical)       

6   n/a n s /a Suspension and Bracing of Light       

7   n/a n s /a Fastening and Bracing of Ceiling       

8   n/a n k /a Attachment and Bracing of Large Ductwor       

9  n/a n g /a Anchorage and Bracing of Emergency Lightin       

11  n/a n/a Bracing or Reinforcing Masonry Walls at Interior

Stairs      

12   n/a n ) /a Bracing of Interior Partitions (Masonry and Wood       

13   n/a n s /a Support and Detailing of Elevator      

16  n/a n g /a Glazing Selection and Detailin       

19   n/a n p /a Anchorage of Steel Stud Backu      

20   n/a n s /a Restraint of Hazardous Materials Container       

21   n/a n/a Attachment and Bracing of Cabinets and

Furnishings       

S l tructural

n/a   A t ll Collector and Drag Element Improvemen  

n/a   Horizontal

Elements D g iaphragms Mezzanine Anchorage and Bracin      

n/a   Horizontal

Elements D s iaphragms Strengthening at Opening 

n/a   Horizontal

Elements D s iaphragms Strengthening at Re-entrant Corner  

n/a  Vertical

Elements Load Path Lateral Force-Resisting System to DiaphragmConnection       

n/a   Vertical

Elements

Braced

Frames Capacity/Stiffness  

n/a   Vertical

Elements

Braced

Frames Continuity  

n/a   Vertical

Elements

Braced

Frames Connections 

n/a   Vertical

Elements

Moment

Frames Beam Column Capacity/Stiffness  

n/a   Vertical

Elements

Moment

Frames Beam Column Connection 

n/a   Vertical

Elements S y hear Walls Capacit   

n/a   Vertical

Elements S y hear Walls Continuit   

n/a   Vertical

Elements S f hear Walls Extension of Wood Interior Walls to Roo   

n/a   Vertical

Elements S y hear Walls Lateral Stabilit   

n/a  Vertical

Elements

Out-of-Plane Anchorage of Concrete or Masonry

Wall     

* Nonstructural improvements are numbered for ease of use.

Structural improvements are not numbered, but rather, organized by structural element and sub-system.

 Work that may be included in the building rehabilitation/maintenance/repair project on the basis of a quick evaluation by a design professional.

Work requiring engineering design.

 Work requiring detailed engineering analysis and evaluation of sequencing requirements. The "x" designates work that could redistribute loads, overstressing

some elements.

Note 1: Masonry buildings with a concrete roof or floors should use the concrete building, concrete diaphragm for options. Unreinforced Masonry

ReinforcedMasonryWoodDiaphragmConcreteDiaphragmWoodDiaphragmConcreteDiaphragm

Table C-3: Public Area Modernization
Incremental Seismic Rehabilitation of Multifamily Apartment Buildings

C-14

C.2.4 Kitchen and Bathroom Modernization

General Description of the Work: Kitchen and bathroom modernization

is generally considered the necessary minimum improvements to be done

in tenant spaces following an acquisition of a new property.

Physical Description of the Work: This work usually does not include

reconfiguration of spaces or creation of new spaces, but rather the removal

and replacement of walls finishes and the installation of new fixtures and

appliances. The installation of new piping and ductwork may also be involved. Access to spaces behind finishes may provide some opportunities

for seismic rehabilitation work.

Associated Incremental Seismic Rehabilitation Work: Incremental

seismic rehabilitation work associated with kitchen and bathroom modernization may include adding or strengthening shear walls and bracing, improving beam/column connections and diaphragm to wall anchorage, and

adding or improving bracing and fastening of equipment.

Performance of the Work: Typically this work involves skilled construction

personnel. A/E design or interior design may be used.

Special Equipment: Special equipment required for access to work areas

for any seismic rehabilitation construction will typically be available during

any remodeling work.

Impact on Building Use: Kitchen and bathroom modernization is usually

done sequentially, as apartments are vacated and leases renewed.

Category 4

Kitchen and

Bathroom

Modernization
C-15

Part C

Table C-4: Kitchen and Bathroom Modernization V e ertical Load Carrying Structure

L f evel of

S y eimicity

W d y oo M y asonr 1 C e l oncrete S l tee

N * L umber* L M H

B g uilding

S l tructural

E t lement

S l tructural

S m t ub-System S t eismic Performance Improvement

N l onstructural

3   n/a n g /a Bracing and Detailing of Sprinkler and Pipin       

4   n/a n/a Fastening and Bracing of Equipment (Mechanical

and Electrical)       

7   n/a n s /a Fastening and Bracing of Ceiling       

12   n/a n ) /a Bracing of Interior Partitions (Masonry and Wood       

S l tructural

n/a   A t ll Collector and Drag Element Improvemen  

n/a   Horizontal

Elements D g iaphragms Mezzanine Anchorage and Bracin      

n/a   Horizontal

Elements D s iaphragms Strengthening at Re-entrant Corner  

n/a  Vertical

Elements Load Path Lateral Force-Resisting System to DiaphragmConnection       

n/a   Vertical

Elements

Braced

Frames Capacity/Stiffness  

n/a   Vertical

Elements

Braced

Frames Continuity  

n/a   Vertical

Elements

Braced

Frames Connections 

n/a   Vertical

Elements

Moment

Frames Beam Column Capacity/Stiffness  

n/a   Vertical

Elements

Moment

Frames Beam Column Connection 

n/a   Vertical

Elements S y hear Walls Capacit   

n/a   Vertical

Elements S y hear Walls Continuit   

n/a   Vertical

Elements S f hear Walls Extension of Wood Interior Walls to Roo   

n/a   Vertical

Elements S y hear Walls Lateral Stabilit   

n/a  Vertical

Elements

Out-of-Plane Anchorage of Concrete or Masonry

Wall     

* Nonstructural improvements are numbered for ease of use.

Structural improvements are not numbered, but rather, organized by structural element and sub-system.

 Work that may be included in the building rehabilitation/maintenance/repair project on the basis of a quick evaluation by a design professional.

Work requiring engineering design.

 Work requiring detailed engineering analysis and evaluation of sequencing requirements. The "x" designates work that could redistribute loads, overstressing

some elements.

Note 1: Masonry buildings with a concrete roof or floors should use the concrete building, concrete diaphragm for options. Unreinforced Masonry

ReinforcedMasonryWoodDiaphragmConcreteDiaphragmWoodDiaphragmConcreteDiaphragm
Incremental Seismic Rehabilitation of Multifamily Apartment Buildings

C-16

C.2.5 Fire and Life Safety Improvements

General Description of the Work: Fire and life safety improvements may

involve the following building elements:

 Corridors and doors

 Stairs

 Lobbies

 Exits

 Alarm systems

 Standpipes

 Automatic fire sprinkler systems

In multifamily buildings, this work will usually be identified as part of the

due diligence at time of acquisition. Only if the work is in response to a disaster, such as a fire, will the work be unplanned. However, a building disaster that requires some construction may provide an opportunity to integrate

seismic safety improvements.

This category of work may be mandated by a fire marshal inspection. It may

also be part of public area modernization that provides the opportunity to

implement this work category. Some codes may also require seismic rehabilitation when a building experiences a significant amount of damage in a

disaster such as fire, flood, or earthquake.

Physical Description of the Work: Fire and life safety improvements

usually involve the building’s means of egress, which will affect specific internal public spaces. Often the work is near the center of the building, such

as in the corridors and stairwells. In some cases, it may affect spaces on the

building perimeter, such as lobbies, entrances, and stairways. Items include:

 Removing and replacing corridor wall finishes, doors, transoms,

and equipment (e.g., cabinets), which provides access to walls and

ceilings

 Installing new walls or altering existing walls at fire separations and

stairway enclosures

 Installing new stairways either within the building or on the

exterior, which may require removing part of a floor and

constructing new walls

 Installing alarms, standpipes, or sprinklers, which may provide

access to concealed spaces

Associated Incremental Seismic Rehabilitation Work: Incremental

seismic rehabilitation work associated with fire and life safety improvements may include adding or strengthening shear walls and bracing, improving beam/column connections and diaphragm to wall anchorage, and

adding or improving bracing and fastening of equipment.

Performance of the Work: Typically this work involves skilled construction

personnel. These may be the owner’s personnel or contractors. In some

cases an A/E is involved.

Special Equipment: No special equipment is required for this task except

for scaffolding to provide access to the work areas.

Impact on Building Use: Typically this work is performed with tenants in

place.

Category 5

Fire and Life Safety

Improvements
C-17

Part C

V e ertical Load Carrying Structure

L f evel of

S y eimicity

W d y oo M y asonr 1 C e l oncrete S l tee

N * L umber* L M H

B g uilding

S l tructural

E t lement

S l tructural

S m t ub-System S t eismic Performance Improvement

N l onstructural

3   n/a n g /a Bracing and Detailing of Sprinkler and Pipin       

4   n/a n/a Fastening and Bracing of Equipment (Mechanical

and Electrical)       

6   n/a n s /a Suspension and Bracing of Light       

7   n/a n s /a Fastening and Bracing of Ceiling       

8   n/a n k /a Attachment and Bracing of Large Ductwor       

9  n/a n g /a Anchorage and Bracing of Emergency Lightin       

11  n/a n/a Bracing of Reinforcing Masonry Walls at Interior

Stairs      

12   n/a n ) /a Bracing of Interior Partitions (Masonry and Wood       

13   n/a n s /a Support and Detailing of Elevator      

16  n/a n g /a Glazing Selection and Detailin       

19   n/a n p /a Anchorage of Steel Stud Backu      

20   n/a n s /a Restraint of Hazardous Materials Container       

21   n/a n/a Attachment and Bracing of Cabinets and

Furnishings       

S l tructural

n/a   All

Elements Collector and Drag Element Improvement  

n/a   Horizontal

Elements D g iaphragms Mezzanine Anchorage and Bracin      

n/a  Vertical

Elements Load Path Lateral Force-Resisting System to DiaphragmConnection       

n/a   Vertical

Elements

Braced

Frames Capacity/Stiffness  

n/a   Vertical

Elements

Braced

Frames Continuity  

n/a   Vertical

Elements

Braced

Frames Connections 

n/a   Vertical

Elements

Moment

Frames Beam Column Capacity/Stiffness  

n/a   Vertical

Elements

Moment

Frames Beam Column Connection 

n/a   Vertical

Elements S y hear Walls Capacit   

n/a   Vertical

Elements S y hear Walls Continuit   

n/a   Vertical

Elements S f hear Walls Extension of Wood Interior Walls to Roo   

n/a   Vertical

Elements S y hear Walls Lateral Stabilit   

n/a  Vertical

Elements

Out-of-Plane Anchorage of Concrete or Masonry

Wall     

* Nonstructural improvements are numbered for ease of use.

Structural improvements are not numbered, but rather, organized by structural element and sub-system.

 Work that may be included in the building rehabilitation/maintenance/repair project on the basis of a quick evaluation by a design professional.

Work requiring engineering design.

 Work requiring detailed engineering analysis and evaluation of sequencing requirements. The "x" designates work that could redistribute loads, overstressing

some elements.

Note 1: Masonry buildings with a concrete roof or floors should use the concrete building, concrete diaphragm for options. Unreinforced Masonry

ReinforcedMasonryWoodDiaphragmConcreteDiaphragmWoodDiaphragmConcreteDiaphragm

Table C-5: Fire and Life Safety Improvements
Incremental Seismic Rehabilitation of Multifamily Apartment Buildings

C-18

C.2.6 Underfloor and Basement Maintenance and Repair

General Description of the Work: Underfloor and basement maintenance may involve the following activities:

 Repair of deterioration

 Repair of termite damage

 Equipment replacement

This category of work is most likely to be applicable in smaller multifamily

buildings. In larger multifamily buildings, basements are likely to contain

parking, storage, and mechanical areas. In the latter case, underfloor and

basement work may therefore be much more extensive, closer in scope to

public area modernization.

Most underfloor repair activities will be in response to a problem. The solution may be immediate or assigned to the capital improvements budget. For

example, settlement and resulting underpinning repair may be the result of

a floor problem and require immediate intervention.

Usually there are no mandates or code issues involved with underfloor repair work. Safety is the usual driving force.

Physical Description of the Work: Work includes:

 Replacing deteriorated wood elements

 Repairing cracked or bowed walls

 Repairing damaged or deteriorated floors, underpinning where

buildings have settled

 Replacing basement equipment

Associated Incremental Seismic Rehabilitation Work: Incremental

seismic rehabilitation work associated with underfloor and basement work

may include adding cripple stud bracing, improving foundation anchorage,

adding new foundations, and improving floor to wall anchorage.

In the case of larger multifamily buildings, this work may include the incremental seismic rehabilitation work associated with Section C.2.3, Public

Area Modernization. See Table C-3 in addition to Table C-6.

Performance of the Work: The work is often performed by owner staff or

by outside contractors. Major design work will often require A/E services.

Special Equipment: Special equipment is usually not required for

underfloor work. However access to the area must be available.

Impact on Building Use: Except for equipment replacement, the work

may be done at any time, independent of building use.

Category 6

Underfloor and

Basement

Maintenance and

Repair
C-19

Part C

V e ertical Load Carrying Structure

L f evel of

S y eimicity

W d y oo M y asonr 1 C e l oncrete S l tee

N * L umber* L M H

B g uilding

S l tructural

E t lement

S l tructural

S m t ub-System S t eismic Performance Improvement

N l onstructural

4   n/a n/a Fastening and Bracing of Equipment (Mechanical

and Electrical)       

10   n/a n s /a Shut-Off Valve       

20   n/a n s /a Restraint of Hazardous Materials Container       

S l tructural

n/a   All

Elements Collector and Drag Element Improvement  

n/a   F s oundation Anchor Bolt 

n/a   F e oundation Anchorag  

n/a   F g oundation Cripple Stud Bracin 

n/a   F s oundation New Foundation  

n/a   F d oundation Pile Cap Lateral Loa   

n/a   F t oundation Uplif    

n/a  Vertical

Elements Load Path Lateral Force-Resisting System to DiaphragmConnection       

n/a   Vertical

Elements

Braced

Frames Connections 

n/a   Vertical

Elements

Moment

Frames Beam Column Connection 

n/a   Vertical

Elements S y hear Walls Capacit   

n/a   Vertical

Elements S y hear Walls Continuit   

n/a  Vertical

Elements

Out-of-Plane Anchorage of Concrete or Masonry

Wall     

* Nonstructural improvements are numbered for ease of use.

Structural improvements are not numbered, but rather, organized by structural element and sub-system.

 Work that may be included in the building rehabilitation/maintenance/repair project on the basis of a quick evaluation by a design professional.

Work requiring engineering design.

 Work requiring detailed engineering analysis and evaluation of sequencing requirements. The "x" designates work that could redistribute loads, overstressing

some elements.

Note 1: Masonry buildings with a concrete roof or floors should use the concrete building, concrete diaphragm for options. Unreinforced Masonry

ReinforcedMasonryWoodDiaphragmConcreteDiaphragmWoodDiaphragmConcreteDiaphragm

Table C-6: Underfloor and Basement Work
Incremental Seismic Rehabilitation of Multifamily Apartment Buildings

C-20

C.2.7 HVAC Upgrade and Energy Conservation

General Description of the Work: HVAC upgrade and energy conservation projects may include the following items:

 Exterior envelope work

 Insulation

 Windows

 HVAC equipment

 Ducts and piping

Building elements affected may include exterior walls, ceilings, attic spaces,

roofs, and basements.

These improvements may be in response to the owner’s long-range strategic plan, special state or federal requirements for subsidized housing, or as

part of other routine equipment replacement. In all cases the intent is not

only to improve performance and reduce operating costs, but also to save

energy.

Federal or state mandates may be factors leading to energy conservation

improvements. If special grants are available, they can be made part of the

capital improvement program. Local building code requirements may also

encourage energy conservation improvements.

Physical Description of the Work: The physical work involved in HVAC

upgrade and energy conservation may be localized or involve the entire

building. Items include:

 Improving or replacing windows

 Installing new insulation in exterior walls

 Installing new insulation in the attic, which may permit access to

the ceiling space

 Installing new insulation on the roof deck, which may be

coordinated with other roof-top work

 Installing HVAC equipment, which should meet the anchorage

requirements for seismic forces and may provide access to areas

for other work

 Adding air conditioning, which may include the installation of ducts

or piping to spaces throughout the building

Associated Incremental Seismic Rehabilitation Work: This work may

include the incremental seismic rehabilitation work associated with the following other project categories discussed earlier:

 C.2.1 Roofing Maintenance and Repair/Re-Roofing

 C.2.2 Exterior Wall and Window Maintenance/Façade Modernization

 C.2.3 Public Area Modernization

 C.2.4 Kitchen and Bathroom Modernization

See Tables C-1, C-2, C-3, and C-4 for integration opportunities.

Performance of the Work: The work may be performed by owner personnel or by outside contractors, depending on the project size or complexity.

Whether the services of an A/E are required will depend on the nature of the

work.

Category 7

HVAC Upgrade and

Energy Conservation
C-21

Part C

Special Equipment: Special equipment may be required to provide access

to the work, including scaffolding or a crane or lift.

Impact on Building Use: Some of this work may be done at any time of

year from the roof and in public spaces. Most window or interior work must

be accomplished when apartments are vacant. Typically this work cannot be

done easily around occupants.

C.2.8 Hazardous Materials Abatement

General Description of the Work: The presence of hazardous materials

may involve abatement of:

 Asbestos

 Lead paint

 Radon

In multifamily buildings, this work will usually be identified as part of the

due diligence at the time of acquisition.

Physical Description of the Work: Hazardous materials abatement may

include the removal of finishes such as plaster, ceiling materials, and flooring throughout the tenant and public spaces. It may include removal of the

adhesives used. Asbestos abatement may include the removal or encapsulation of insulation on pipes and ducts. Lead paint abatement may include

removal of the paint and finishes or encapsulation of the component containing the lead paint. Radon abatement may require installation of ventilation systems or other work in the basement.

Associated Incremental Seismic Rehabilitation Work: In some cases,

the extent of the work may provide access to interior spaces that will provide a seismic rehabilitation opportunity. Seismic rehabilitation work could

follow the hazard mitigation work before the finishes are reinstalled. This

work may include the incremental seismic rehabilitation work associated

with the following other project categories discussed earlier:

 C.2.3 Public Area Modernization

 C.2.4 Kitchen and Bathroom Modernization

 C.2.5 Fire and Life Safety Improvements

See Tables C-3, C-4, and C-5 for integration opportunities.

Performance of the Work: The work is typically performed by specialty

contractors.

Special Equipment: Special equipment, such as scaffolding, would often

be on the job as part of the abatement work. Other special equipment, such

as fans and enclosures, are irrelevant to seismic work.

Impact on Building Use: Building use will be curtailed during any hazardous materials abatement work. The work cannot be done around occupants.

It requires vacant apartments.

C.2.9 Definitions of Seismic Performance Improvements

The seismic performance improvements included in the matrices of integration opportunities in Sections C.2.1 through C.2.8 are all extracted from the

generic list in the following tables. The tables contain additional information

(description and purpose) that should be useful to multifamily facility managers using this section.

Category 8

Hazardous Materials

Abatement
Incremental Seismic Rehabilitation of Multifamily Apartment Buildings

C-22

Nonstructural Seismic Performance Improvements

M m Fa

N * umber*

L y evel of Seismicity D e efinitions and Purpose

L M H S e eismic Performance

I t mprovement D n escription P e urpose

1    Anchorage of Canopies at Exits Canopies or roofs over exits. Prevent collapse of canopies that would block exits and

possibly cause injuries.

2   Anchorage and Detailing of

Rooftop Equipment

Equipment should be properly attached,

and restrained if isolation-mounted.

Prevent equipment from sliding or falling off platforms

due to connection failure or nonfunction.

3   Bracing and Detailing of

Sprinkler and Piping

Sprinkler pipes should be braced in each

direction.

Prevent sprinkler lines from breaking and flooding the

building.

4   Fastening and Bracing of

Equipment (Mechanical and

Electrical)

Equipment above ceilings. Prevent fans and other equipment from swaying and

falling on occupants; connections could fail resulting in

equipment no longer functioning.

5    Bracing of Parapets, Gables,

Ornamentation, and

Appendages

Construct parapet bracing on the roof

side of the parapet. Gables are braced in

the attic space. Other elements are

anchored in a positive manner.

Prevent parapets, gables, and ornamentation from

falling outward.

6   Suspension and Bracing of

Lights

Lights may swing or otherwise fall in an

earthquake.

Prevent lights from falling and injuring occupants. Lights

should not be supported by a suspended ceiling in a

high or moderate seismic zone. Pendent lights should

have their sway limited.

7   Fastening and Bracing of

Ceilings

Diagonal bracing of ceiling. Suspended ceilings should be braced against sidesway

to reduce the chance of elements falling.

8   Attachment and Bracing of

Large Ductwork

Large ducts. Prevent ducts from falling on occupants.

9    Anchorage and Bracing of

Emergency Lighting

Positive attachment of emergency lights. Prevent heavy battery packs from falling.

10   Shut-Off Valves Installation of a shut-off device. Gas and water lines could break and should have a

means of turning them off.

11    Bracing of Reinforcing

Masonry Walls at Interior

Stairs

Interior exit stairs may have unreinforced

masonry enclosure walls that could

collapse.

Prevent collapse of walls that could block stairways.

12   Bracing of Interior Partitions

(Masonry and Wood)

Bracing may be vertical or diagonal

braces.

Interior partitions must be braced to prevent

falling/collapse.

13   Support and Detailing of

Elevators

Elevator guides have become dislodged

in earthquakes. Applies to cable lift

elevators.

Keep elevators functioning.

14    Cladding Anchorage Heavy cladding (concrete) must be

connected to the structure.

Prevent cladding from falling. Careful design is required

so the cladding does not limit the structure's lateral

movement.

15   Anchorage of Masonry Veneer Veneer over exterior wood or masonry

walls or over other materials in steel or

concrete structure. Materials may be

brick, terra cotta, stone, or similar

materials.

Prevent inadequately anchored veneer from falling

outward onto pedestrians.

16    Glazing Selection and Detailing Glass above a walking surface. Prevent exterior or interior glass from falling onto the

walking surface and causing injuries.

17   Anchorage of Exterior Wythe in

Cavity Walls

A masonry wall separated from the

veneer by a hollow space.

Prevent veneer from falling outward. Existing anchorage

should be checked for rust damage and loss of

strength.

18   Bracing or Removal of

Chimneys

Chimneys should be braced to the

structure.

Prevent chimneys from toppling into yards or through

roofs.

19   Anchorage of Steel Stud

Backup

Steel studs behind veneer or other

cladding.

Prevent steel studs used as a backup to support veneer

or other cladding from becoming detached or falling.

20   Restraint of Hazardous

Materials Containers

Chemical labs, shops, etc. may have

materials that could, when combined,

create a fire or chemical hazard.

Reduce danger of breakage and mixing of chemicals.

21   Attachment and Bracing of

Cabinets and Furnishings

Anchorage to structural walls or other

elements.

Prevent cabinets and other furnishings from toppling or

moving and causing damage. Fallen file cabinets may

block exit doors.

22 (n/a)   Underfloor Bracing of

Computer Access Floor

Raised floors for cabling. Prevent floors from collapsing and damaging

equipment.

* Items numbered for ease of reference.
C-23

Part C

Structural Seismic Performance Improvements

L y evel of Seismicity

B g uilding

E t lement

S l tructural

S - ub

S m yste

D e efinitions and Purpose

L M H S e eismic Performance

I t mprovement D n escription P e urpose

  Foundation Anchor Bolts Connection between the foundation

and the building.

Improve load path. Prevent building from sliding

off foundation.

  Foundation Anchorage Connection between the foundation

and the building for larger buildings.

Improve load path. Provide adequate

connection between building and foundation.

  Foundation Cripple Stud Bracing Short wood studs between the

foundation and the first floor.

Cripple studs are usually not braced. Prevent

them from toppling and causing the building to

fall off the foundation.

  Foundation New Foundations New foundations to convey loads. Additional foundations may be the preferred

solution in some cases.

  Foundation Pile Cap Lateral Load Piles supporting buildings may try to

move laterally from building loads

during earthquakes.

Brace piles at their top to eliminate the chance

of lateral movement and reduce chance of

foundation failure.

  Foundation Uplift Under overturning type loads

foundations may be pulled upward.

Reduce the uplift chance by improving

foundation system; engineer should evaluate the

effects of uplift.

Definition Horizontal

Elements

Floors, mezzanines, and roofs.

Definition Horizontal

Elements

Diaphragms Floors and roofs connecting walls and

lateral force-resisting elements.

Diaphragms are the roof and floors of a

building. They must be of adequate strength to

transfer the earthquake loads to the walls and

other elements. The connection from the

diaphragm to the wall or other lateral forceresisting element is part of the load path.

  Horizontal

Elements

Diaphragms Attachment and

Strengthening at

Boundaries

Improving the connection of the

diaphragm to the edge/boundary

elements with nails, bolts, or welding.

This is part of the load path and conveys the

diaphragm forces into the walls or other lateral

force-resisting elements.

  Horizontal

Elements

Diaphragms Mezzanine Anchorage

and Bracing

Anchor the mezzanine to the wall.

Where there is an open side of the

mezzanine, bracing may be

necessary.

Make sure the mezzanine is attached to the

building to provide a load path for the

mezzanine diaphragm and to reduce any

pounding of the mezzanine against the

building's walls or columns. A large mezzanine

may require bracing on the open sides.

  Horizontal

Elements

Diaphragms Strength/Stiffness Strengthen the diaphragm to limit its

lateral deflection.

Control the movement of the diaphragm to

reduce the damage due to drift and to control

the out-of-plane loads on vertical elements.

  Horizontal

Elements

Diaphragms Strengthening at

Openings

Strapping around diaphragm

openings.

Openings may create a weak point in the

diaphragm. Straps will provide additional

strength to wood diaphragms.

  Horizontal

Elements

Diaphragms Strengthening at Reentrant Corners"L" and "U" shaped buildings have

stress concentrations at the interior

corners.

Reduce damage from cracking and failures

caused by stress concentration.

  Horizontal

Elements

Diaphragms Topping Slab for

Precast Concrete

Concrete slab over precast concrete

roof to create a continuous

diaphragm. Connect to the vertical

elements as part of a load path.

Strengthen the roof to act as a lateral force

element. Control drift of the roof or floor.

Definition Vertical

Elements

Braced

Frames

Steel or concrete beams and columns

with diagonal bracing.

Braced frames act as a lateral force-resisting

element. They are often used as the lateral

force-resisting element on open sides of

buildings. They must be connected to the

horizontal element as part of the load path.

  Vertical

Elements

Braced

Frames

Capacity/Stiffness Frame capacity improvements for

adequate load resistance.

Capacity and stiffness assure the adequacy of

the frame elements to resist loads.

  Vertical

Elements

Braced

Frames

Continuity Braced frames should be continuous

from the foundation to the roof.

Discontinuities of lateral force-resisting

elements create load transfer demands. Design

standards may impose higher loads for this

condition.

  Vertical

Elements

Braced

Frames

Connections The details of the connections (bolts

or welds) must be adequate.

Improvements to strength will not

have a negative effect on the phased

construction.

Braced frame connections assure the adequacy

of the frame elements to resist loads.

Improvements may be made by the addition of

steel plates with bolting or welding.

   Vertical

Elements

Load Path Lateral Force-Resisting

System to Diaphragm

Connection

Connections between roof/floor and

wall or other element.

Permit earthquake loads to be conveyed to the

foundation—develop a load path. This is the key

element in seismic safety.
Incremental Seismic Rehabilitation of Multifamily Apartment Buildings

C-24

Structural Seismic Performance Improvements (continued)

L y evel of Seismicity B g uilding

E t lement

S l tructural

S - ub

S m yste

D s efinitions and Purpose of Structural Performance Improvements

L M H S e eismic Performance

I t mprovement D n escription P e urpose

Definition Vertical

Elements

Moment

Frames

A steel or concrete system of beams

and columns.

Moment frames act as a lateral force-resisting

element and brace the structure. They are often

used as the lateral force-resisting element on

open sides of buildings. They must be

connected to the horizontal element as part of

the load path.

  Vertical

Elements

Moment

Frames

Beam Column

Capacity/Stiffness

Frame capacity improvements for

adequate load resistance.

Capacity and stiffness assure the adequacy of

the frame elements to resist loads.

  Vertical

Elements

Moment

Frames

Beam Column

Connection

Steel or concrete with improved

connections to increase strength.

Improvements will not have a

negative effect on the phased

construction.

Beam column connections assure the adequacy

of the frame elements to resist loads.

Improvements may be made by the addition of

steel plates with bolting or welding.

Definition Vertical

Elements

Shear Walls Walls that brace the building against

earthquakes.

Shear walls brace the structure. Building walls

can act as lateral load-resisting elements. They

must be connected to the horizontal elements

as part of the load path.

  Vertical

Elements

Shear Walls Capacity Capacity equals strength. Capacity assures the adequacy of walls to resist

loads.

  Vertical

Elements

Shear Walls Continuity Shear walls should be continuous

from the foundation to the roof.

Discontinuities of lateral force-resisting

elements create load transfer demands. Design

standards may impose higher loads for this

condition. This is one of the most cost-effective

improvements in buildings.

  Vertical

Elements

Shear Walls Extension of Wood

Interior Walls to Roof

Extending interior wood walls to

diaphragms in unreinforced masonry

and other buildings.

Permit walls that were not constructed full

height to be used as shear walls in buildings

with wood interior walls.

  Vertical

Elements

Shear Walls Lateral Stability Tall walls may buckle and need

bracing.

Prevent buckling and possible wall collapse.

Walls must be anchored at the top or may have

other bracing elements such as diagonal or

vertical braces.

   Vertical

Elements

Out-of-Plane

Anchorage of

Concrete or Masonry

Wall

Connections from the walls to the

floors and roof.

Prevent walls from falling outward due to

inadequate connections between the wall and

the diaphragms. A cost-effective mitigation

measure for bearing wall buildings.

   All

Elements

Load Path and

Collectors

Distribute loads from diaphragms into

lateral force-resisting elements.

These are straps of steel or wood that "collect"

load and distribute it into the vertical lateral

force-resisting elements. Connections may be

with bolts, nails, or welding, depending on the

material and location.
C-25

Part C

Summary of Part C

Part C consists of recommended tools to enable the facility manager to

implement incremental seismic rehabilitation.

 Engineering services should be retained for three specific phases:

seismic screening and evaluation, incremental seismic

rehabilitation planning and design, and construction period

support.

 Continuity of building documentation is of special importance.

 Opportunities to add seismic rehabilitation increments exist within

most major maintenance and capital improvement activities.

 Incremental seismic rehabilitation opportunities are suggested for

eight specific maintenance and capital improvement categories.

Recommended Actions

1. Determine the category of maintenance or capital improvement

under consideration.

2. Determine the level of seismicity applicable to the building.

3. Determine which of the seven structural categories most closely fits

the building.

4. List all the nonstructural and structural seismic improvements

identified as integration opportunities.

5. Note the category of each improvement (, , ).

6. Present to the architect or engineer the annotated list of all the

nonstructural and structural seismic improvements identified for

consideration and inclusion in the respective scope of design work.

7. The architect or engineer should design the project using the

companion document, Engineering Guideline for Incremental

Seismic Rehabilitation, FEMA 420.

App I-1

Appendix I

Appendix I.

Additional Information on

Multifamily Building Facility

Management

Introduction:

Typical Facility Management for Multifamily Buildings

The typical facility management process for existing multifamily buildings

consists of seven phases of activities: Acquisition, Redevelopment, Current

Building Use, Planning, Maintenance & Rehabilitation Budgeting, Maintenance & Rehabilitation Funding, and Maintenance & Rehabilitation Implementation, as diagrammed in Figure 1. This process is sequential,

progressing from left to right in any given building. An owner of a large inventory of multifamily buildings is likely to have ongoing activities in all of

these phases. Figure 1: Typical

Management

Process
Incremental Seismic Rehabilitation of Multifamily Apartment Buildings

App I-2

This process is generic and, while variations may occur, it is generally followed by multifamily building owners, either explicitly or implicitly.

Both internal and external factors typically influence the multifamily facility

management process in its various phases. Internal factors (represented by

up arrows in Figure 2) are generated within the owner organization. External

factors (down arrows) are imposed on owners by outside entities.

This Appendix describes the activities and influences within each phase.

1. The ACQUISITION Phase of Multifamily Facility

Management

Typical Process

The acquisition phase of the typical multifamily facility management process

consists of due diligence activities and is influenced by significant internal

and external pressures, as depicted in Figure 3.

Multifamily building acquisitions initiate the facility management process for

all owners who are not also developers or merchant builders. The due diligence process that precedes an acquisition is intended to identify, and quantify if possible, all the liabilities or potential liabilities related to the asset

being acquired.

Figure 2:

Management

Process Influences
App I-3

Appendix I

For a given acquisition there may be several due diligence processes carried

out by the various participants in the deal:

 Owner (buyer)

 Lender (if there is one)

 Insurer

A multi-discipline team that includes legal, risk management, and engineering experts carries out the due diligence. Specialty consultants may be used.

Because of the potential professional liabilities, legal questions are often the

driving force in the process. The due diligence process also involves a walkthrough of the building. Environmental risks, such as the presence of asbestos, are identified in the due diligence process.

Influences and Related Seismic Considerations

As indicated in Figure 3, two external factors (down arrow) and one internal

factor (up arrow) influence acquisition phase decision making.

Market Conditions: External local conditions of the multifamily rental market are the principal factor governing multifamily building acquisition, regardless of the short-term or long-term strategic objectives of the purchaser.

This is true for all types of owners, be they real estate investment trusts

(REITs), pension fund or other fiduciary institutions, partnerships, or individuals.

Figure 3:

Acquisition
Incremental Seismic Rehabilitation of Multifamily Apartment Buildings

App I-4

Seismic Consideration

Studies in California suggest that regional and local earthquake hazards (presence of faults and their proximity, regional earthquake history, geological and local site factors, etc.) have little if any influence

on the levels of multifamily rental rates. Earthquake risk, in general,

does not appear to translate into financial cost in the multifamily marketplace.

Lenders and Insurers: Lenders and insurers are important external participants in many multifamily building acquisitions, and each carry out due diligence functions to determine the risks and potential liabilities in any given

deal. By their nature, lenders and insurers spread their risks over a wider

range of investments than that presented to an owner in a specific acquisition. The insurability of the acquired property and the cost of insurance are of

great concern to multifamily building owners because the cost of insurance

may not be able to be passed on to tenants in residential properties.

Seismic Consideration

Lenders and insurers usually employ engineering consultants to perform the seismic portion of the due diligence, and they use proprietary programs to carry out the analysis. The most common analysis

used is the Probable Maximum Loss (PML) analysis, which quantifies

the percentage of the property that will be lost in a major earthquake.

Such an analysis is referred to as deterministic, and it does not consider the damages and losses that could result from more moderate

but more frequent earthquakes. Lenders and insurers establish their

own proprietary criteria for acceptable PML. Lenders often require seismic due diligence in California and the Pacific Northwest, and the extent to which it is done in other seismic regions is not known.

Risk Management: Many multifamily building owners have formally established internal risk management functions within their organizations. These

risk managers participate in the due diligence analyses carried out prior to

acquisition. The rigor of internal due diligence varies from owner to owner.

Seismic Consideration

The owners’ internal seismic due diligence, whether carried out by inhouse staff or consultants, is the PML analysis. Owners establish their

own proprietary criteria for acceptable PML. Some large owners limit

their PML analysis to California, Oregon, and Washington. Depending

on the deal, the PML leads to one of three decisions about the acquisition:

 Reject the deal if the PML exceeds a preset threshold

 Accept the deal with an initial rehabilitation

 Accept the deal without rehabilitation

It is noteworthy that, currently, many owners will not acquire a California property with an open parking area under the building, which is

the most common seismic vulnerability in low-rise multifamily buildings.

2. The REDEVELOPMENT Phase of Multifamily Facility

Management

Typical Process

The redevelopment phase of the typical multifamily facility management

process consists of various types of capital improvements, and is influenced by significant internal and external pressures, as depicted in Figure 4.
App I-5

Appendix I

The types of redevelopment phase capital improvement projects vary as a

function of the building’s classification (A, B, or C.) They generally consist of:

 Architectural upgrading of entrances, lobbies, and public areas

 Architectural upgrading of façades

 Upgrading of the HVAC systems

 Modernization and upgrading of kitchens and bathrooms (“white

work”)

 Environmental and other risk remediation work identified in the due

diligence process

 Upgrading of life safety systems

Since most multifamily buildings are acquired with active leases and tenants

in place, kitchen and bathroom modernization is carried out at the time of

tenant turnover.

Influences and Related Seismic Considerations

As indicated in Figure 4, two external factors (down arrow) and one internal

factor (up arrow) influence redevelopment phase decision making.

Market Conditions: Multifamily properties in a given classification must

compete with neighboring, similarly classified properties. Local architectural

traditions and fashions and historic preservation are significant factors determining the specific nature of various capital improvement projects.

Figure 4:

Redevelopment
Incremental Seismic Rehabilitation of Multifamily Apartment Buildings

App I-6

Seismic Consideration

While signs that read “are you ready for the big one?” have been seen

recently at residential projects in the Los Angeles area, the extent of

market-driven seismic improvement in multifamily buildings seems to

be limited.

Lenders and Insurers: External lenders and insurers may require specific

capital improvements as a condition of loans or insurance coverage. These

are generally the direct result of the due diligence analyses.

Seismic Consideration

The extent to which lenders or insurers have required seismic rehabilitation in multifamily buildings is not known.

Owner Policies: Owners’ marketing and architectural policy is the principal

internal factor governing capital improvement decisions in the redevelopment phase.

Seismic Consideration

Multifamily building owners have not established marketing and architectural policies that feature seismic rehabilitation.

3. The Current Building USE Phase of Multifamily

Facility Management

Typical Process

The current building use phase of the typical multifamily facility management process consists of four categories of activities and is influenced by

significant internal and external pressures, as depicted in Figure 5.

Occupancy: This category of activity consists of the primary function of occupancy of apartments by tenants. Support functions are administrative, such

as collecting rents and addressing tenants’ concerns. Ancillary functions may

be recreational, such as operating a health club, pool, or spa, and social, such

as operating a lecture room, restaurant, or similar facility. The specific functions may vary depending on the building classification, A, B, or C.

Occupancy functions are carried out in each building by the tenants and facility managers. Each of these functions is subject to seismic risk and can be

disrupted by seismic damage.

Operation: Facility operation consists of all the activities and functions that

the facility and its components must perform in order to support the occupancy. Examples are the mechanical functions (heating, cooling, and ventilation), electrical functions (lighting, communications, and alarm), and

plumbing functions.

Operation functions may be carried out by custodial staff of the owner and/or

by contractors. Each of these functions is subject to seismic risk and can be

disrupted by seismic damage.

Maintenance: Maintenance includes all the activities required to enable the

occupancy and operation of the building to be carried out continuously over

time. They can be broken down into custodial maintenance, routine maintenance, and repair.

Maintenance functions may be carried out by custodial staff of the owner

and/or by contractors.

Facility Assessment: Facility assessment, which less sophisticated multifamily building owners may not carry out systematically, consists of the sur-
App I-7

Appendix I

vey or inspection of the multifamily buildings on a scheduled basis. It may

also include a review of documents, such as archival building plans, for retrieving specific information. The purpose of the surveys or inspections is to

determine facility conditions in relation to one or more of the following categories:

 tenant complaints

 maintenance needs

 preventive maintenance needs

 specific environmental hazards

 asbestos

 lead paint

 lead

 radon

These surveys may or may not be coordinated as to schedule, content, personnel, etc. Facility managers may or may not use prepared inspection forms

or checklists. Finally, facility managers may vary as to the extent and specific

nature of their record keeping and reporting.

Figure 5:

Use

 structural hazards

 fire/life safety

 environmental quality

 energy use/conservation

 accessibility

 other
Incremental Seismic Rehabilitation of Multifamily Apartment Buildings

App I-8

Influences and Related Seismic Considerations

As indicated in Figure 5, one external factor (down arrow) and one internal

factor (up arrow) influence current building use phase decision making.

Federal and state programs: Various external programs may establish

requirements affecting the use of multifamily buildings that have facilities

implications (e.g., Fair Housing Act and Occupational Safety and Health Administration [OSHA] requirements). Additionally, governmental funding programs, such as rent subsidies or mortgage insurance, may entail facilities

requirements in participating multifamily buildings (e.g., energy conservation).

Seismic Consideration

Currently there are no seismic rehabilitation mandates or implications

in any federal or state programs related to multifamily buildings, with

the exception of California.

Specific surveys or inspections may be mandated by state or local laws/programs. These surveys/inspections may be carried out by a variety of entities:

 Federal personnel (e.g., from OSHA, Environmental Protection

Agency [EPA])

 State/city/county personnel (e.g., fire marshal, code enforcement,

environmental, health)

 Multifamily building personnel (e.g., custodial or facility managers)

 Multifamily building contracted personnel (e.g., asbestos inspectors)

 Consultants

Seismic Consideration

Currently there are no seismic survey or inspection mandates or implications in any federal or state programs related to multifamily buildings, with the possible exception of California.

Complaints by Occupants: Internal complaints by tenants are a potentially

significant pressure on the facility management process.

Seismic Consideration

Rarely, if ever, have there been complaints about seismic vulnerability

generated by multifamily building occupants, with the possible exception of California. This is because seismic risk and seismic damage

are not routine experiences in most regions of the United States.

4. The PLANNING Phase of Multifamily Facility

Management

Typical Process

The planning phase consists of projecting and forecasting future needs. It

can be carried out periodically or continuously, and it may vary as to the time

period covered by the projections and forecasts. Planning functions may be

carried out by the owner, with or without the assistance of consultants. Planning consists of two separate but related activities—strategic planning and

facility planning—and is affected by significant internal and external pressures, as depicted in Figure 6.

Strategic Planning: Strategic planning attempts to formulate future business strategy by analyzing and forecasting financial trends as well as national, regional, and local housing markets. Many owners acquire properties
App I-9

Appendix I

Figure 6:

Planning

for a limited period of time, and many have an exit strategy in place at the

time of acquisition. Strategic planning addresses such issues as:

 Should the property classification (A, B, or C) be upgraded or

downgraded?

 Should the exit strategy be accelerated or prolonged?

 Should trends in the insurance market revise current investment

programs?

 Should specific major capital investments be considered?

Strategic planning is usually carried out at the owner’s headquarters and

concerns itself with the owner’s entire multifamily building portfolio or large

segments of it.

Facility Planning: Facility planning consists of preparing short- and longrange facility plans. It combines the products of two distinct activities—the

strategic plan and the facility assessment (see Figure 5)—into a detailed projection of facility requirements. The projection may cover a defined time

frame, such as five years.

Different owners may use different classifications of projects in their facility

plans, reflecting a variety of legal, administrative, jurisdictional, and other

factors. However they may be classified, a comprehensive facility plan

should include the following elements:

 New construction
Incremental Seismic Rehabilitation of Multifamily Apartment Buildings

App I-10

 Additions to existing buildings

 Renovations of existing buildings

 Building systems replacements

 Building systems repairs

 Scheduled maintenance

 Preventive maintenance

 Building disposition (change of use, sale, demolition)

The plan will identify the time frames in which each project is to be accomplished, and it may include cost estimates.

If effective, the facility plan will be used as a budgeting tool and will provide

direct inputs into the budget process. It should be revised and updated on a

routine basis to reflect:

 Changes in the strategic plan (including market conditions)

 Revised facility assessments

 Budgeting and funding realities

Facility planning usually begins at the individual building or project level and

entails the flow of information up the management hierarchy for final capital

decision making and budgeting at the owner’s headquarters.

Influences and Related Seismic Considerations

As indicated in Figure 6, two external factors (down arrow) and one internal

factor (up arrow) influence current planning phase decision making.

Insurance Carriers and Brokers: External private property and liability

insurance companies often require surveys or inspections of multifamily

buildings on an annual or other scheduled basis. Insurance carriers are more

than willing, when asked, to provide building owners with Loss Control and

Prevention Reports that include recommendations for loss prevention. Insurance brokers also employ loss/risk specialists.

Seismic Consideration

Property insurers are unlikely to recommend extensive seismic improvements outside of California. In Utah, for example, they have recommended seismic bracing of sprinklers in hospitals as part of the life

safety systems, but no other improvements.

Government Mandates: The U.S. Department of Housing and Urban Development, as well as state or local departments of housing and community

development, may establish external requirements affecting facility planning

in the planning phase. They may have funding programs, such as rent subsidies or mortgage insurance, that may entail facility planning requirements in

participating multifamily buildings (e.g., energy conservation). These requirements may have facility rehabilitation implications.

Seismic Consideration

Currently there are no seismic rehabilitation mandates or implications

in any federal or state programs, with the exception of California.

Board Policies: In terms of internal influences, boards of directors may occasionally adopt written policies on issues of business and social significance

that can impact both strategic and facility planning. These policies guide the

actions of the owner organization.
App I-11

Appendix I

Seismic Consideration

Multifamily building owners boards may adopt policies addressing seismic issues, including seismic performance objectives and rehabilitation of multifamily buildings, either as a one-time or recurring

incremental program.

5. The Maintenance & Rehabilitation BUDGETING

Phase of Multifamily Facility Management

Typical Process

The budgeting phase consists of the projection of future financial resources

required to meet future needs. It is carried out annually (covering a period of

one or more years). Each local or regional facility manager initiates it with

input from his or her staff. Organization-wide, the Vice President for facilities,

or similarly titled position, oversees the budget development. The facility

budget is a process that can be thought of as percolating up through the organization. It is affected by external government fiscal regulations and lender

requirements, and internal risk management policies and budget constraints,

as depicted in Figure 7.

Figure 7:

Budgeting
Incremental Seismic Rehabilitation of Multifamily Apartment Buildings

App I-12

Three elements of the budget are relevant to the discussion of facility management:

 Capital

 Maintenance

 Insurance

Capital Budgets: Capital budgets generally relate to the acquisition of

buildings and major systems, the occurrence of which is not annual or repetitive and which can therefore be amortized. The distinction between capital

and maintenance budgets may vary among different multifamily building

owners. At one extreme is a total separation, mandated by law, labor jurisdiction or other factors. At the other extreme is a rather unclear separation between the two funding mechanisms.

Maintenance Budgets: Maintenance budgets generally relate to recurring

annual expenditures and address existing inventories of buildings and systems without adding to the inventories.

Insurance Budgets: Financial resources earmarked for insurance may be

used in different ways, including the purchase of third-party insurance, and/

or the funding of a self-insurance reserve. Property and general liability insurance are relevant to facility management considerations.

Influences and Related Seismic Considerations

As indicated in Figure 7, two external factors (down arrow) and two internal

factors (up arrow) influence budgeting phase decision making.

Government Fiscal Regulations: Federal, state, and local government

agencies have historically established external requirements dealing with

fiscal responsibility of commercial property owners. A variety of Security and

Exchange Commission regulations apply to REITs. Pension funds are subject

to a variety of fiduciary requirements. Partnerships are subject to a variety of

state and federal regulations. One important objective of these regulations is

to assure the responsible stewardship of someone else’s resources. These

requirements may have facility rehabilitation implications if resources are

expended in an irresponsible manner. Additionally, these regulations may

determine, directly or indirectly, the length of time that an acquired real estate asset must be held and, therefore, what the owner’s planning horizon

should be.

Seismic Consideration

As far as is known, there have been no seismic considerations attendant to these fiscal regulations.

Lender Requirements: Commercial lenders impose requirements on building owners who use mortgage financing for capital improvements. Often, the

lender requires the purchase of a particular type of insurance coverage.

Seismic Consideration

In California, lenders sometimes require the purchase of earthquake

insurance as a condition of the loan. For some commercial multifamily

building loans, this requirement has been waived when the owner includes seismic improvements in the project that reduce the lender’s

risk below a defined threshold.

Risk and Insurance Management: Internally, the owner organization’s risk

and insurance management may have a direct or indirect role in the budget

phase of the process, regarding the decisions related to insurance.

Seismic Consideration

In areas of seismic hazard, the risks of building loss or damage, occupant death or injury, and multifamily building owner liability must all
App I-13

Appendix I

be assessed. It must be decided whether to seek earthquake property

and liability insurance coverage. Insurance companies that offer such

coverage do not usually offer incentives to customers to undertake

loss reduction measures in the form of seismic rehabilitation. However, this situation might change, and insurance incentives for seismic rehabilitation may become subject to negotiation.

Budgetary Constraints: Internally, political and economic conditions may

place limits on multifamily building capital and maintenance budgets. The

problem is often exacerbated by un-funded mandates imposed on multifamily buildings by federal and state agencies.

Seismic Consideration

The strategy of integrating incremental seismic rehabilitation with

other work, which is an integral part of this facility and financial management model, can provide a method for addressing seismic risk reduction within budget constraints. See full discussion of this

opportunity in Section B.2.2.6, Seismic Rehabilitation Planning for

Specific Buildings.

6. The Maintenance & Rehabilitation FUNDING Phase

of Multifamily Facility Management

Typical Process

The funding phase consists of those activities required in order to obtain the

financial resources to meet the budgets. It is influenced externally by regional and local economic conditions, federal and state programs, and bond

financing regulations, as depicted in Figure 8. Figure 8:

Funding
Incremental Seismic Rehabilitation of Multifamily Apartment Buildings

App I-14

The funding of multifamily building budgets in general, and of the three budget elements of capital improvement, maintenance, and insurance, varies

from one owner organization to another.

Multifamily building owners can fund their budgets by various combinations

of equity and debt.

Influences and Related Seismic Considerations

As indicated in Figure 8, three external factors (down arrow) influence funding phase decision making.

Regional and Local Economic Conditions: Externally, the funding of

multifamily building construction is subject to local and national socioeconomic conditions well beyond the control of the building owner. Construction

funding depends on interest rates, the owner’s bond rating, and similar parameters.

Seismic Consideration

Even though seismic rehabilitation is clearly a risk reduction activity,

there is no evidence that any building owner has improved its bond

rating as the result of undertaking seismic mitigation activities of any

kind.

Federal and State Programs: The funding of subsidized multifamily construction and rehabilitation may be subject to federal and state programs that

are also beyond the control of the multifamily building owner, but should be

taken advantage of to the fullest extent possible.

Seismic Consideration

There are no seismic rehabilitation mandates in any government subsidized housing programs, with the possible exception of California.

Bond Financing Regulations: Local administrative procedures and structure in place to obtain bond financing will have a significant impact on the

ability of multifamily building owners to achieve their objectives, regardless

of whether they include seismic risk reduction or not. Certain types of expenditures out of the proceeds of a bond issue, such as operations or maintenance, may be prohibited by the conditions of the bond.

Seismic Consideration

Some seismic rehabilitation increments may be classified as repair or

maintenance work, and thereby be precluded from a capital improvement bond. Experience with bond-financed incremental seismic rehabilitation has been limited to school districts, and the most extensive

is that of the Seattle Public Schools program. Seattle’s experience

may be of interest to some multifamily building owners. Seattle Public

Schools used two types of bonds to fund its program. Capital Levy

Bonds were used to fund projects with smaller seismic rehabilitation

increments categorized as repair and major maintenance. Capital Improvement Bonds were used to fund major projects categorized as

modernization of hazardous buildings. This distinction was necessary

because of Washington state law. Similar distinctions may be required

in other parts of the country.
App I-15

Appendix I

Figure 9:

Implementation

7. The Maintenance & Rehabilitation

IMPLEMENTATION Phase of Multifamily Facility

Management

Typical Process

The implementation phase includes design and construction and can be broken into three categories of projects, all of which are relevant to existing

buildings:

 Building acquisition projects

 Capital improvement projects

 Maintenance projects

The implementation phase is primarily affected by external federal and state

programs and building code requirements, as depicted in Figure 9.

Acquisition includes new building construction and the acquisition of existing buildings. Acquisition of existing buildings is discussed above as the first

phase of the facility management process.

Capital improvement and maintenance projects are managed by multifamily

building owner’s staffs, and carried out by these staffs and by contractors.

The management of these two categories may be separated or combined,

depending on issues of labor jurisdiction and legal authority.
Incremental Seismic Rehabilitation of Multifamily Apartment Buildings

App I-16

Influences and Related Seismic Considerations

As indicated in Figure 9, two external factors (down arrow) influence implementation phase decision making.

Federal and State Mandates and Programs: Externally, federal and state

programs may establish requirements affecting the implementation phase

(e.g., Fair Housing Act and OSHA requirements). Additionally, governmental

funding programs may entail facility requirements in participating multifamily buildings (e.g., energy conservation).

Seismic Consideration

Currently there are no seismic rehabilitation mandates or implications

in any federal or state programs related to multifamily buildings with

the possible exception of California.

Codes and Code Enforcement: Also externally, building codes impose

requirements on the implementation phase in cases of repair, alteration, or

addition to existing buildings. These requirements may be enforced by a

state or local agency. Such requirements can add costs to a project and jeopardize feasibility unless done incrementally.

Seismic Consideration

Codes do not mandate seismic rehabilitation in repair and alteration

projects, though additions must comply with building code seismic

requirements. Incremental seismic rehabilitation is consistent with

most building code requirements applicable to existing buildings.
Appendix II

Appendix II.

Integration Opportunities

for Incremental Seismic

Rehabilitation for Small

Organizations and

Individual Owners

Small organizations or individual owners with limited professional facility

management may use the following matrix to identify opportunities to integrate incremental seismic rehabilitation with maintenance and capital improvement projects. These opportunities can be identified on the basis of a

quick evaluation by a design professional.

The categories of maintenance and capital improvement projects included in

the columns of this matrix are:

1. Roofing Maintenance and Repair/Re-Roofing

2. Exterior Wall and Window Maintenance/Façade Modernization

3. Public Area Modernization

4. Kitchen and Bathroom Modernization

5. Fire and Life Safety Improvements

6. Underfloor and Basement Maintenance and Repair

These categories are the same as those included in Section C.2, and are described in detail in the text portions of Sections C.2.1 through C.2.6, respectively. Two remaining categories of maintenance and capital improvement

projects are not included in this matrix, but their respective integration opApp II-1
Incremental Seismic Rehabilitation of Multifamily Apartment Buildings

portunities can be identified by reference to several of the preceding six, as

follows:

7. HVAC Upgrade and Energy Conservation—integration opportunities

from 1, 2, 3, and 4

8. Hazardous Materials Abatement—integration opportunities from 3,

4, and 5

Owners using this Appendix are encouraged to retain the services of a seismic engineer to identify additional incremental seismic improvements as

discussed in Part C.

App II-2
Appendix II

B g uilding

S e tructure

E t lement

S l tructural

S m ub-System

S e eismic Performance

I t e mprovement P e * urpose A * pplicability*

N l onstructural

Anchorage of Canopies

at Exits

Prevents collapse of canopies that could

block exits and possibly cause injuries.

all 

Anchorage and Detailing

of Rooftop Equipment

Prevent equipment from sliding or falling

off platforms due to connection failure or

nonfunction.

all 

Bracing and Detailing of

Sprinkler and Piping

Prevent sprinkler lines from breaking and

flooding the building.

all 

Fastening and Bracing of

Equipment (Mechanical

and Electrical)

Prevent fans and other equipment from

swaying and falling on occupants;

connections could fail resulting in

equipment no longer functioning.

all 

Bracing of Parapets,

Gables, Ornamentation,

and Appendages

Prevent parapets, gables, and

ornamentation from falling outward.

all 

Suspension and Bracing

of Lights

Prevent lights from falling and injuring

occupants. Lights should not be

supported by a suspended ceiling in a

high or moderate seismic zone. Pendent

lights should have their sway limited.

all 

Fastening and Bracing of

Ceilings

Suspended ceilings should be braced

against sidesway to reduce the chance

of elements falling.

all 

Attachment and Bracing

of Large Ductwork

P l revent ducts from falling on occupants. al 

Anchorage and Bracing

of Emergency Lighting

P l revent heavy battery packs from falling. al 

S d hut-Off Valves Gas and water lines could break an

should have a means of turning them off.

all 

Bracing of Reinforcing

Masonry Walls at Interior

Stairs

Prevent collapse of walls that could

block stairways.

all buildings except

wood



Bracing of Interior

Partitions (Masonry and

Wood)

Interior partitions must be braced to

prevent falling/collapse.

all 

Support and Detailing of

Elevators

K t eep elevators functioning. all buildings, excep

wood, with cable

elevators



Anchorage of Masonry

Veneer

Prevent inadequately anchored veneer

from falling outward onto pedestrians.

all 

* For NONSTRUCTURAL improvements: applicable to all wood, masonry, concrete, or steel buildings except as noted.

For STRUCTURAL improvements: applicable to all buildings (wood, masonry, concrete, and steel) with wood diaphragms (floors), except as noted.

App II-3

Simplified Matrix of Seismic Performance Improvements Level of Seismicity (Low) Level of Seismicity (Med or High)

1. Roofing Maintenance & Repair / Re-roofing

2. Exterior Wall & Window Work

3. Public Area Modernization

4. Kitchen & Bathroom Modernization

5. Fire & Life Safety Improvements

6. Underfloor & Basement Work
Incremental Seismic Rehabilitation of Multifamily Apartment Buildings

B g uilding

S e tructure

E t lement

S l tructural

S m ub-System

S e eismic Performance

I t e mprovement P e * urpose A * pplicability*

N ) onstructural (continued)

Glazing Selection and

Detailing

Prevent exterior or interior glass from

falling onto the walking surface and

causing injuries.

all 

Anchorage of Exterior

Wythe in Cavity Walls

Prevent veneer from falling outward.

Existing anchorage should be checked

for rust damage and loss of strength.

all buildings except

wood



Bracing or Removal of

Chimneys

Prevent chimneys from toppling into

yards or through roofs.

all 

Anchorage of Steel Stud

Backup

Prevent steel studs used as a backup to

support veneer or other cladding from

becoming detached or falling.

all buildings except

wood



Restraint of Hazardous

Materials Containers

Reduce danger of breakage and mixing

of chemicals.

all 

Attachment and Bracing

of Cabinets and

Furnishings

Prevent cabinets and other furnishings

from toppling or moving and causing

damage. Fallen file cabinets may block

exit doors.

all 

S l tructural

F s oundation A m nchor Bolt Improve load path. Prevent building fro

sliding off foundation.

wood buildings only 

F e oundation A e nchorag Improve load path. Provide adequat

connection between the building and the

foundation.

wood buildings only 

F g oundation C . ripple Stud Bracin Cripple studs are usually not braced

Prevent them from toppling and causing

the building to fall off the foundation.

wood buildings only 

F s oundation N e ew Foundation Additional foundations may be th

preferred solution in some cases.

wood buildings only 

F d oundation Pile Cap Lateral Loa Brace piles at their top to eliminate the

chance of lateral movement and reduce

chance of foundation failure.

masonry buildings only 

F t oundation Uplif Reduce the uplift chance by improving

foundation system; engineer should

evaluate the effects of uplift.

wood and masonry

buildings only



Horizontal

Elements

D d iaphragms Attachment an

Strengthening at

Boundaries

This is part of the load path, and conveys

the diaphragm forces into the walls or

other lateral force-resisting elements.

all 

* For NONSTRUCTURAL improvements: applicable to all wood, masonry, concrete, or steel buildings except as noted.

For STRUCTURAL improvements: applicable to all buildings (wood, masonry, concrete, and steel) with wood diaphragms (floors), except as noted.

App II-4

Simplified Matrix of Seismic Performance Improvements (continued) Level of Seismicity (Low) Level of Seismicity (Med or High)

1. Roofing Maintenance & Repair / Re-roofing

2. Exterior Wall & Window Work

3. Public Area Modernization

4. Kitchen & Bathroom Modernization

5. Fire & Life Safety Improvements

6. Underfloor & Basement Work
Appendix II

B g uilding

S e tructure

E t lement

S l tructural

S m ub-System

S e eismic Performance

I t e mprovement P e * urpose A * pplicability*

S ) tructural (continued)

Horizontal

Elements

D e iaphragms Mezzanine Anchorag

and Bracing

Make sure the mezzanine is attached to

the building to provide a load path for the

mezzanine diaphragm and to reduce any

pounding of the mezzanine against the

building’s walls or columns. A large

mezzanine may require bracing on the

open sides.

all buildings except

wood



Horizontal

Elements

D s iaphragms S m trength/Stiffnes Control the movement of the diaphrag

to reduce the damage due to drift and to

control the out-of-plane loads on vertical

elements.

all 

Vertical

Elements

L g oad Path Lateral Force-Resistin

System to Diaphragm

Connection

Permit earthquake loads to be conveyed

to the foundation—develop a load path.

This is the key element in seismic safety.

all 

Vertical

Elements

S y hear Walls C - apacit Building walls can act as lateral load

resisting elements. They must be

connected to the horizontal elements.

wood buildings only 

Vertical

Elements

S y hear Walls C g ontinuit Discontinuities of lateral-resistin

elements create load transfer demands.

Design standards may impose higher

loads for this condition. This is one of the

most cost-effective improvements in

buildings.

wood buildings only 

Vertical

Elements

S d hear Walls Extension of Woo

Interior Walls to Roof

Permit walls that were not constructed

full height to be used as shear walls in

buildings with wood interior walls.

wood and masonry

buildings only



Vertical

Elements

S y hear Walls L l ateral Stabilit Prevent buckling and possible wal

collapse. Walls must be anchored at the

top or may have other bracing elements

such as diagonal or vertical braces.

masonry buildings only 

Vertical

Elements

Out-of-Plane Anchorage

of Concrete or Masonry

Wall

Prevent walls from falling outward due to

inadequate connections between the wall

and the diaphragms. A cost-effective

mitigation measure for bearing wall

buildings.

all buildings except

wood



* For NONSTRUCTURAL improvements: applicable to all wood, masonry, concrete, or steel buildings except as noted.

For STRUCTURAL improvements: applicable to all buildings (wood, masonry, concrete, and steel) with wood diaphragms (floors), except as noted.

App II-5

Simplified Matrix of Seismic Performance Improvements (continued) Level of Seismicity (Low) Level of Seismicity (Med or High)

1. Roofing Maintenance & Repair / Re-roofing

2. Exterior Wall & Window Work

3. Public Area Modernization

4. Kitchen & Bathroom Modernization

5. Fire & Life Safety Improvements

6. Underfloor & Basement Work