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

Executive Summary........................................................................................... i

Foreword ........................................................................................................... iii

Preface .............................................................................................................. iv

Introduction ...................................................................................................... vi

How to Use This Manual ............................................................................... viii

PART A Critical Decisions for Earthquake Safety in

Office Buildings ............................................................................ A-1

A.1 Is There an Earthquake Hazard for Your Office Buildings?..... A-1

A.2 Are Your Office Buildings Safe?............................................... A-3

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

Existing Vulnerable Office Buildings?..................................... A-5

A.4 Incremental Seismic Rehabilitation of Existing

Office Buildings ....................................................................... A-6

PART B Planning and Managing the Process for Earthquake

Risk Reduction in Existing Office 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 Office Buildings ....................................... B-3

B.2.2 Elements of an Incremental Seismic Rehabilitation

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

B.2.2.1 Due Diligence Analysis ................................ B-4

B.2.2.1 Initial Integration Opportunities .................. B-4

B.2.2.3 Seismic Screening ....................................... B-4

B.2.2.4 Seismic Evaluation ...................................... B-5
Incremental Seismic Rehabilitation of Office Buildings

B.2.2.5 Developing a Risk Reduction Policy ............ B-5

B.2.2.6 Seismic Rehabilitation Planning for

Specific Buildings ........................................ B-5

B.2.2.7 Staging Seismic Rehabilitation

Increments................................................... B-8

B.2.2.8 Coordination With Tenant Work ................... B-9

B.2.2.9 Budget Packaging ........................................ B-9

B.2.2.10 Bond Packaging ......................................... B-10

B.2.2.11 Seismic Rehabilitation Project

Management.............................................. B-10

B.2.3 Integration into the Office Facility

Management Process ............................................... B-10

B.3 Opportunities for Seismic Risk Reduction in Support of

Integrating Incremental Seismic Rehabilitation into the

Facility Management Process................................................ B-11

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-13

B.3.4 Developing a Risk Reduction Policy ......................... B-13

B.3.5 Incorporating Federal and State Mandates and

Programs .................................................................. B-13

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

B.3.7 Coordinating with Lenders ....................................... B-14

B.3.8 Becoming Familiar with Applicable Codes ............... B-14

B.3.9 Establishing and Maintaining a Roster of Design

Professionals ............................................................ B-14

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

B.4 Preparing a Plan for the CEO and the Board ........................ B-15

B.4.1 Getting Started ........................................................ B-15

B.4.2 Getting Started Plus ................................................. B-15

B.4.3 Getting Started with a Jump Start............................ B-15

B.5 Additional Components of a Comprehensive

Earthquake Safety Program .................................................. B-16

B.5.1 Building Contents Mitigation .................................... B-16

B.5.2 Earthquake Drills ...................................................... B-16

PART C Tools for Implementing Incremental Seismic

Rehabilitation in Existing Office 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

Coordination with Tenant Work ............................................... C-3
Contents

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

Fees for Professional Services ................................................ C-4

C.2 Discovering Integration Opportunities for Incremental

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

Introduction ............................................................................ C-4

Categories of Maintenance and Capital Improvement

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

Work Descriptions and Matrices of Seismic Performance

Improvement Opportunities ................................................... C-5

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

Simplified Information on Integration Opportunities .............. C-8

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

C.2.4 Fire and Life Safety Improvements .......................... C-14

C.2.5 New Technology Accomodation................................ C-16

C.2.6 Tenant Alterations and Improvements ..................... C-18

C.2.7 Underfloor and Basement Maintenance and

Repair ....................................................................... C-20

C.2.8 HVAC Upgrade and Energy Conservation ................ C-22

C.2.9 Hazardous Materials Abatement .............................. C-23

C.2.10 Definitions of Seismic Performance

Improvements .......................................................... C-23

Appendix I. Additional Information on Office Building

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

Introduction: Typical Facility Management for Office

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

1. The ACQUISITION Phase of Office Facility

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

2. The REDEVELOPMENT Phase of Office Facility

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

3. The Current Building USE Phase of Office Facility

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

4. The PLANNING Phase of Office Facility Management ..... App I-8

5. The Maintenance and Rehabilitation BUDGETING

Phase of Office Facility Management ........................... App I-10

6. The Maintenance and Rehabilitation FUNDING

Phase of Office Facility Management ........................... App I-12

7. The Maintenance and Rehabilitation

IMPLEMENTATION Phase of Office Facility

Management ................................................................. App I-14

Appendix II. Integration Opportunities for Incremental

Seismic Rehabilitation for Small Organizations

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

i

Executive Summary

Earthquakes are a serious threat to office safety and

pose a significant potential liability to office building

owners. Office buildings in 39 states are vulnerable to

earthquake damage. Unsafe existing buildings expose

office 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 office functions and building operations

The greatest earthquake risk is associated with existing office 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 office 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, an innovative approach that phases in a series of

discrete rehabilitation actions over a period of several years, is an effective,

affordable, and non-disruptive strategy for responsible mitigation action. It

can be integrated efficiently into ongoing facility maintenance and capital

improvement operations to minimize cost and disruption. The strategy of

incremental seismic rehabilitation makes it possible to get started now on

improving earthquake safety in your office building inventory.

This manual provides owners of office 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 vulnerExecutive Summary
Incremental Seismic Rehabilitation of Office Buildings

ii

ability 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 Office Buildings,

is for owner 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 Office 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 Office Buildings, is for facility managers, or those otherwise responsible for facility management, who will implement incremental seismic

rehabilitation programs.

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 office building

operations.
iii

Foreword

The concept of seismically rehabilitating buildings in discrete segments, as

resources become available or as part of a structural renovation program,

was pioneered by the Federal Emergency Management Agency (FEMA) and a

Virginia Polytechnic Institute/Building Technology Inc. team that, in the early

1990s, published Existing School Buildings – Incremental Seismic Retrofit

Opportunities, FEMA 318. Lack of resources at the time, however, restricted

application of this promising concept to a few states in the Pacific Northwest

and to a single occupancy or use category: schools. FEMA is now pleased to

make available a manual on office buildings. Further, the team is also preparing a series of manuals that will address seven additional building uses:

schools (an updated version), hospitals, retail establishments, multi-family

dwellings, emergency management facilities, warehousing/distribution centers, and hotels/motels. A separate manual will serve the needs of design

professionals and building officials and will be applicable across all occupancy categories.

FEMA gratefully acknowledges the dedicated efforts of all members of the

team: the Virginia Polytechnic Institute and State University (the prime contractor); the Project Advisory Panel; Project Consultants; Building Technology

Inc.; EQE Inc.; Melvyn Green & Associates Inc.; the Institute for Crisis Disaster

and Risk Management of the George Washington University; and URS Group,

Inc. The FEMA Project Officer adds his sincerest appreciation for the excellent

support of this multi-disciplinary team.

The Federal Emergency Management Agency

Foreword
Incremental Seismic Rehabilitation of Office Buildings

iv

Preface

This manual is intended to assist office building owners’ personnel responsible for funding and operating existing office buildings across the United

States. This publication 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 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.

The manual was developed after the project team analyzed the management

practices of office building owners of varying sizes located in various seismic

zones in different parts of the United States. It focuses on the identified concerns and decision making practices of owners and managers of Class A, B,

or C buildings, be they REITs, pension funds, partnerships, individuals, or

other types of owners.

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

 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
v

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.

Preface
Incremental Seismic Rehabilitation of Office Buildings

vi

Introduction

Office Buildings, Risk, and Liability

Owners of office buildings face a wide array of

risks. These risks range from fire to terrorist attack.

Risk management for office buildings typically is

driven by experience; we recognize the need for

fire safety and terrorism insurance, but the risk of

catastrophic loss due to a damaging earthquake is

more difficult to understand or to anticipate. 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 occupants and staff, and disruption of

building operations. Major earthquakes can cause

catastrophic damage including structural collapse

and massive loss of life. Those responsible for

office building safety must understand and manage these risks, particularly risks that threaten the

lives of tenants, occupants, 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 office buildings, one must understand the earthquake hazard

and reduce building vulnerability.

This manual is designed to give decision makers

the framework and information for making informed decisions about investing in earthquake

You may be liable for

earthquake deaths and injuries

in your older office buildings.

The 1933 Long Beach, California Earthquake destroyed at least 70 schools and damaged 420 more, 120 of them seriously. As a

direct response, California enacted the Field

Act, which established strict design and construction standards for new schools in California. But what about all the existing schools

that were vulnerable to earthquakes? It took

over 30 years to solve this problem, but more

than just the passage of time was required.

In 1966 the Attorney General of California

issued an opinion indicating that school

boards were responsible for ensuring nonField Act buildings were examined, and if

schools were found to be unsafe and the

board did not make the necessary corrections

to make them safe, the individual school

board members were personally liable. The

opinion received widespread media attention.

School boards, then realizing the gravity of

the situation, became quite concerned about

the structural condition of their pre-Field Act

public school buildings. Legislative action

soon followed. The Governor signed the

Greene Act in 1967, which relieved the individual school board members of personal

liability only once the board initiated the process of examining existing buildings and established an intent to carry through to

completion all the steps necessary for their

replacement or repair.

This responsibility may apply to office

building owners as well. You too may be liable

for earthquake deaths and injuries in your

older buildings, but can you wait 30 years to

act? This manual provides you with the tools

to assess your vulnerability and to find costeffective ways to reduce your liability today.
vii

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 office 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 office 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.

Considering Incremental Seismic Rehabilitation

The incremental rehabilitation approach to seismic risk mitigation focuses on

improvements that will decrease the vulnerability of office 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 office 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.

Introduction
Incremental Seismic Rehabilitation of Office Buildings

viii

How to Use This Manual

Critical Decisions: Office building owner 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 an office building

owner. Section A.2 provides an overview of how the seismic vulnerability of

office 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 office 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 office 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 office buildings, and indicate specific activities you can undertake. A separate Appendix I, Additional Information on

Office Building Facility Management, is provided at the end of this manual for

those seeking more information on facility management. It contains a discussion of specific phases of the facility management process and activities for

office building owners seeking further detail.

Project Implementation: Owner organization and office building 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

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. A companion manual for design professionals has been developed to provide technical guidance for the detailed design of specific rehabilitation projects.
A-1

Part A

A

Critical Decisions for

Earthquake Safety

in Office Buildings

For Office Building

Owner Senior

Executives, Board

Members, & Similar

Policy Makers

A.1 Is There an Earthquake Hazard for Your Office

Buildings?

Earthquakes are one of the most serious natural hazards to which office building owners may be exposed.

Although owners face a variety of risks to their investment and to tenant safety and operations that may

appear more immediate, the consequences of earthquakes can be catastrophic. Therefore, despite the fact

that earthquake occurrences are rare, 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.

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.

Part

In Brief

 Geographic location is the most

significant factor

of seismic hazard.

 Soil conditions at

a particular site

also influence the

seismic hazard.
Incremental Seismic Rehabilitation of Office Buildings

A-2

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.

Office 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 office 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.

 If your office 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.

Seismic

Hazard

Map
A-3

Part A

 Also consider mitigation of nonstructural hazards, such as securing

equipment and suspended lighting that could injure building

occupants in an earthquake.

 If your office 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 Office 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 Office 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 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 depends on

structural type,

age, condition, contents, and use of

office buildings.

 Hazard exposure

and building vulnerability may result in

substantial death,

injury, building and

content damage,

and serious disruption of building use

and loss of rentals

and leases.

1 A wave on the surface of a lake or landlocked bay caused by atmospheric or seismic

disturbances.

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).
Incremental Seismic Rehabilitation of Office Buildings

A-4

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 office

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 office 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. That means you!

Estimating Building Vulnerability

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.” An office building owner can produce generalized estimates of expected damage in the initial seismic risk assessment of its buildings.

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. Office buildings suffering from deferred maintenance will experience greater damage than wellmaintained buildings will. For example, failure to maintain masonry parapets

significantly increases the possibility of life-threatening failure in even a

moderate earthquake.

After initial rapid screening, specific seismic risk assessment for individual

office 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 contents and equipment belonging to tenants and

owner

 Disruption of occupancy and rentals

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

and vulnerability assessments.
A-5

Part A

A.3 What Can Be Done to Reduce Earthquake Risk

in Existing Vulnerable Office Buildings?

Failure to address earthquake risk leaves the office

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

office 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 office 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 Rehabilitation2 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 singlestage seismic rehabilitation has proved to be a serious impediment

to its implementation by many office 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 Office 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

In Brief

 Seismic rehabilitation of existing

vulnerable office

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.

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

project.
Incremental Seismic Rehabilitation of Office Buildings

A-6

The benefits of seismic rehabilitation of a building are:

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

 Reduced building damage

 Reduced damage of tenants’ or owners’ contents and equipment

 Reduced disruption of the delivery of occupancy and rental services

Engineers have developed estimates of the reduction of earthquake damage

that can be achieved with seismic rehabilitation following the Federal Emergency Management Agency’s (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

office buildings are the cost of rehabilitation construction work and related

disruption of office 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

Office Buildings

Approach

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 office 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, or are carefully coordinated with tenant work. 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

office 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

In Brief

 Whereas singlestage seismic rehabilitation of an

existing office

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.
A-7

Part A

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

in more detail in Part B.

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: Office 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 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 office 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 office building owner

does not lose sight of overall rehabilitation goals during

implementation of individual increments.

SCHEMATIC

INTEGRATION

OPPORTUNITIES

Exterior Wall Work

Interior Work

Roof Work
Incremental Seismic Rehabilitation of Office Buildings

A-8

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 office building

operations.
B-1

Part B

B

Planning and Managing the

Process for Earthquake

Risk Reduction in Existing

Office Buildings

For Facility Managers,

Risk Managers, &

Financial Managers

Introduction

Part B of this manual is written specifically for an office

building owner’s facility managers, risk managers, and

financial managers concerned with the seismic safety

of their buildings. The organization’s senior management may have requested you, the manager, to make

a recommendation to address seismic safety in office

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 office 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 office 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 organiPart

In Brief

 Planning for earthquake risk reduction in office

buildings requires a

coordinated and

integrated effort by

facility managers,

risk managers, and

financial managers.

 Eleven specific activities can be

added to the current facility management process to

implement an incremental seismic rehabilitation

program.

 Ten additional activities can be

added to the facility

management process to further reduce seismic risk.

 There are three

ways to start reducing seismic risk.
Incremental Seismic Rehabilitation of Office Buildings

B-2

zation, 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 an office 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 office 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 office buildings

from natural disasters such as earthquakes or windstorms.

Risk managers, relatively recent additions to many office 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, office building owner risks are classified into two broad areas: employee risk, and facility and environmental risk.

Rarely do risk managers consider the risks to office buildings and their occupants from natural disasters. Rather, they tend to assume that risks from

natural disasters 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 costs and benefits of various options for managing

facility risk. Specific recommendations on implementing such an effort are

provided in the following sections.
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

Office Buildings

The typical facility management process for existing office 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 Office 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.

B.2.2 Elements of an Incremental Seismic Rehabilitation

Program

The following activities are considered essential elements of an incremental

seismic rehabilitation program for office buildings:

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. Coordination With Tenant Work

9. Budget Packaging

10. Bond Packaging

11. Seismic Rehabilitation Project Management
Incremental Seismic Rehabilitation of Office Buildings

B-4

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.

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 office 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.

Incremental Seismic

Rehabilitation

Element 2

Initial Integration

Opportunities

Incremental Seismic

Rehabilitation

Element 3

Seismic Screening

Initial Office

Facility Manager/

Risk Manager

Screening of

Seismic Concerns

Incremental Seismic

Rehabilitation

Element 1

Due Diligence

Analysis

The Federal Emergency Management Agency (FEMA) has developed FEMA

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

Handbook, Second Edition 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.
B-5

Part B

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

inspections are periodically carried out in the owner’s office 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 office 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

31, Seismic Evaluation of Existing Buildings,

1

 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 office 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,

2

 which includes specific techniques

for analyzing and designing effective seismic rehabilitation. The planning

task entails four specific facility planning subtasks:

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

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

1-800-548-2723.

2 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.
Incremental Seismic Rehabilitation of Office Buildings

B-6

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

office buildings following an earthquake. Performance levels used

in FEMA 356 are, in declining level of protection:

 Operational

 Immediate Occupancy

 Life Safety

 Collapse Prevention

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 of higher human occupancy, such as

auditoriums and restaurants; to areas that

facilitate the evacuation of the building in an

earthquake, such as lobbies, corridors, stairs,

and exits; and to areas where important

information and equipment are housed.

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

disruption to normal office 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

Target

Building

Performance

Levels and

Ranges
B-7

Part B

classifications may differ from one building owner to another, but

they 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

 Tenant work

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

Damage Control and Building Performance Levels
Incremental Seismic Rehabilitation of Office Buildings

B-8

recommended activity B.2.2.8 Coordination With Tenant Work

for further discussion.

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.

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

Incremental Seismic

Rehabilitation

Element 7

Staging Seismic

Rehabilitation

Increments
B-9

Part B

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.

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 Coordination With Tenant Work

Tenant work is usually planned, funded, and implemented independently of

owner work. However, in the case of large tenants with long-term leases, it

may be possible for the owner’s facility manager to coordinate the planning

and the identification of integration opportunities for seismic rehabilitation

increments with the tenants. Various arrangements may be possible, such as

the owner coordinating owner-implemented seismic rehabilitation with tenant work within tenant spaces, or the tenant implementing owner-planned

seismic rehabilitation work within tenant spaces.

B.2.2.9 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 office 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.

Incremental Seismic

Rehabilitation

Element 8

Coordination With

Tenant Work

Incremental Seismic

Rehabilitation

Element 9

Budget Packaging
Incremental Seismic Rehabilitation of Office Buildings

B-10

Incremental Seismic

Rehabilitation

Element 11

Seismic

Rehabilitation

Project

Management

Incremental Seismic

Rehabilitation

Element 10

Bond Packaging

B.2.2.11 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.

 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 ensure that the seismic risk

reduction objectives are achieved.

 Ensure the continuity of building documentation from the analysis

and design stages through construction and as-built drawings.

 Conduct a pre-bid conference to explain to all prospective bidders

the seismic risk reduction objectives and the rationale for their

selection.

 In cases where seismic rehabilitation increments are to be

implemented within tenant spaces, whether or not they are

integrated with other items of tenant work, the tenant work and

owner work should be well coordinated.

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

office buildings (e.g., Americans with Disabilities Act [ADA] and Occupational Safety and Health Administration [OSHA] requirements).

B.2.3 Integration into the Office Facility Management Process

The following diagram illustrates the integration of the 11 elements discussed in the preceding sections (B.2.2.1 through B.2.2.11) into the office

facility management process. The elements are shown in the phase of the

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

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 office 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.

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.2.2.10 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-11

Part B

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 support the integration of an incremental seismic rehabilitation program:

1. Responding to Occupant Concerns

2. Emergency Management/Response Planning

3. Emergency Management/Mitigation Planning

4. Developing a Risk Reduction Policy

5. Incorporating Federal and State Mandates and Programs

6. Coordinating with Risk and Insurance Managers

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 office 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 the 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
Incremental Seismic Rehabilitation of Office Buildings

B-12

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 Office 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 office 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).

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 occupant concerns, especially as they affect leasing. They can be

a source of considerable influence on risk managers as well as a 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 office buildings in the local

emergency response plans, especially if governmental entities are among

the tenants. If it is a significant role, become active in the emergency planning process. Define the role in specific detail, assigning specific functions
B-13

Part B

to specific facilities. The role of specific office 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 office 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. Office 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

office buildings by federal and state programs, currently or under discussion

for the future, and take them into account in planning activities.

B.3.6 Coordinating with Risk and Insurance Managers

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

The owner’s risk and insurance management 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.

Currently there

are no seismic

rehabilitation

mandates or implications in any federal

or state programs

related to existing

commercial buildings

with the exception of

California.
Incremental Seismic Rehabilitation of Office Buildings

B-14

Formal risk management is a relatively recent addition to the management

structure of many office 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.

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-15

Part B

B.4 Preparing a Plan for the CEO and the Board

This section provides guidance to office facility managers, risk managers,

and financial managers when preparing a proposal for a seismic safety program in response to top management’s request.

B.4.1 Getting Started

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) and opportunities for seismic risk reduction (B.3) as discussed above, and additional components (B.5) discussed below. 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.

B.4.2 Getting Started Plus

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.

B.4.3 Getting Started with a Jump Start

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.
Incremental Seismic Rehabilitation of Office Buildings

B-16

B.5 Additional Components of a Comprehensive

Earthquake Safety Program

In addition to integrating an incremental seismic rehabilitation program into

the office 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 office buildings. These activities can be implemented at any time.

B.5.1 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:

 Fastening desktop equipment

 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.5.2 Earthquake Drills

Introduce earthquake drills and appropriate earthquake preparedness materials into the regular office building emergency preparedness program.

Knowing what to do and where to go in an emergency can be critical to life

safety in earthquakes.
C-1

Part C

C

Tools for Implementing

Incremental Seismic

Rehabilitation in Existing

Office Buildings

For Facility Managers

Introduction

An owner of office buildings or an office 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 in Part B

Part
Incremental Seismic Rehabilitation of Office Buildings

C-2

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 office 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

To successfully implement integrated incremental seismic rehabilitation, an

owner or office building facility manager should retain engineering services

for three specific phases:

 Seismic screening and evaluation

 Incremental seismic rehabilitation planning and design

 Construction period support

Seismic Screening and Evaluation

Seismic screening and evaluation of the owner’s office 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 separated out.

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. Office 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.

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.

 Coordination with

tenant work and

continuity of building documentation

are of special importance.
C-3

Part C

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 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 office 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 anchoring of

nonstructural elements undergoing rehabilitation.

Coordination with Tenant Work

Incremental seismic rehabilitation work by the building owner may in some

cases be integrated with tenant work. This is most likely to occur in the case

of large tenants with long-term leases. In this case, design and construction

work will require close coordination between the owner’s design professionals and those of the tenant.

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 disap-
Incremental Seismic Rehabilitation of Office Buildings

C-4

pear as owner personnel, and even building ownership, changes. It is therefore essential that the office 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.

C.2 Discovering Integration Opportunities for

Incremental Seismic Rehabilitation

Introduction

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 office

buildings. Most office 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 the opposite page.

Categories of Maintenance and Capital Improvement Projects

Office building owners often categorize maintenance and capital improvement projects in the following nine categories:

1. Roofing maintenance and repair/re-roofing

2. Exterior wall and window maintenance/façade modernization

3. Public area modernization

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

5. New technology accommodation

6. Tenant alterations and improvements

7. Underfloor and basement maintenance and repair

8. Heating, ventillating, and air conditioning (HVAC) upgrade and

energy conservation

9. 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

In Brief

 Opportunities to

add seismic rehabilitation increments exist within

most major maintenance and capital

improvement activities.

 This section identifies these opportunities.
C-5

Part C

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

Nine sections, C.2.1 through C.2.9, 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

 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-7), accompany the descriptions of the

first seven 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

 Fire and life safety improvements

 New technology accommodation

 Tenant alterations and 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 seven matrices.

Note that “building additions” is a category of typical capital improvement

that is not included among the nine categories listed at the beginning of this

section. Additions may have been constructed on office 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-7). 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:

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 office

buildings.

The predominant categories of maintenance

and repair activities for

mid- to high-rise office

buildings are, first,

mechanical systems,

followed by electrical

systems, interior finishes, conveying systems, and plumbing

systems. For low-rise

buildings roofing takes

precedence over conveying systems. All

these activities offer

opportunities for

integration with incremental seismic rehabilitation work.

The timing of the work

is also highly predictable. The top 8 years of

expense account for

about 55% of building

replacement. With

regularity, years 10, 15,

20, 25, 30, 40, 45 and

year 50 are the highest

expense years, roughly

peaking in year 30,

with year 30 incurring

about 10% 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 an office 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 Office Buildings

C-6

 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

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 structural type. This manual uses five broad

structural types, selected to be meaningful to office 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
C-7

Part C

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.2.9 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.

 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 (, , or ).

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.2.7, are all

extracted from a generic list of seismic performance improvements. The generic list is presented in Section C.2.10, 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 C.2.10 are numbered from 1 to 22

for ease of reference. The improvements selected from this list for inclusion

in each of the matrices in C.2.1 through C.2.7 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 C.2.10 are arranged in the order of

structural subsystems and elements. The improvements selected from this

list for inclusion in each of the matrices in C.2.1 through C.2.7 are presented

in the same order.
Incremental Seismic Rehabilitation of Office Buildings

C-8

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.

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

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 new

technology accommodation or 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

office owner 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.

 Walking surface and ballast

 Parapets and caps

 Roof-mounted equipment

 Roof deck

Category 1

Roofing

Maintenance and

Repair/Re-roofing
C-9

Part C

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 offices.

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       

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

Appendages       

9   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 Office Buildings

C-10

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 office building (Class A, B, or C).

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

an entire office building as a scheduled maintenance activity, although localized patching work is possible. Work may include:

 Repainting brick exterior walls

 Replacing windows

 Replacing curtain walls

 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 or curtain wall consultant 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

tenant spaces are vacant.

Category 2

Exterior Wall

and Window

Maintenance/Façade

Modernization
C-11

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

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

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

Appendages       

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

14  n/a n e /a Cladding Anchorag      

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

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

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

20   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 L n oad Path Lateral Resisting System to Diaphragm Connectio       

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

Table C-2: Exterior Wall and Window Work
Incremental Seismic Rehabilitation of Office 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 office 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, conference rooms, etc. 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 networks for new

technology

Access to spaces behind finishes and new wall construction 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.

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 s /a Suspension and Bracing of Light       

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

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

and Electrical)       

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

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

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

Stairs      

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

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

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

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

Furnishings       

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

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

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 L n oad Path Lateral Resisting System to Diaphragm Connectio       

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 Office Buildings

C-14

C.2.4 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 office 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) to provide 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 to 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 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 will be performed with tenants

in place.

Category 4

Fire and Life Safety

Improvements
C-15

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 s /a Suspension and Bracing of Light       

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

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

and Electrical)       

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

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

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

Stairs      

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

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

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

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

Furnishings       

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

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

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 L n oad Path Lateral Resisting System to Diaphragm Connectio       

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-4: Fire and Life Safety Improvements
Incremental Seismic Rehabilitation of Office Buildings

C-16

C.2.5 New Technology Accommodation

General Description of the Work: The installation of conduits, cables, and

wiring to accommodate new technology may involve the reconfiguration of

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

chases located throughout the building in both public and tenant spaces.

The extent and nature of the work is likely to depend on the classification of

the office building (Class A, B, or C). It may be part of the initial redevelopment following acquisition, or it may be part of the facility plan.

Physical Description of the Work: This work involves all possible concealed spaces.

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.

Performance of the Work: This work is usually performed by skilled construction personnel. Usually A/E design is used for major re-wiring.

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: It may be possible to do this work without interrupting tenant occupancy, even when the work involves tenant spaces.

Category 5

New Technology

Accommodation
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 s /a Suspension and Bracing of Light       

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

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

Electrical)       

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

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

10  n/a n s /a Bracing or Reinforcing Masonry Walls at Interior Stair      

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

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

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

19   n/a n s /a Attachment and Bracing of Cabinets and Furnishing       

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

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

22   n/a n r /a Underfloor Bracing of Computer Access Floo       

S l tructural

n/a   A t ll Collector and Drag Element Improvemen       

n/a   F s oundation Anchor Bolt 

n/a   F g oundation Cripple Stud Bracin 

n/a   F s oundation New Foundation 

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 L n oad Path Lateral Resisting System to Diaphragm Connectio       

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: New Technology Accomodation
Incremental Seismic Rehabilitation of Office Buildings

C-18

C.2.6 Tenant Alterations and Improvements

General Description of the Work: Tenant alteration and improvement

work is usually done by the tenants. The owner’s participation varies and is

defined in the lease. It is usually limited to a financial allowance. This work

has the potential to involve any interior or exterior wall or element within the

tenant space. It may involve simple work on a single wall or the entire

reconfiguration of the tenant space. 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 within the tenant space.

Physical Description of the Work: This work may include reconfiguration

of spaces and creation of new spaces anywhere in the building. Items include:

 Removing walls and ceilings

 Constructing new partitions

 Installing replacement finishes

 Installing ductwork, piping, and communications networks for new

technology

Access to spaces behind finishes and new wall construction 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. Because extensive coordination between owner and tenant

will be required, the integration of seismic rehabilitation will likely be limited

to large tenants with long-term leases.

Performance of the Work: This work is usually performed by skilled construction personnel. A/E design or interior design may be used. Close coordination will be required between owner and tenant in the planning and

implementation of the 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: This work is usually done by the tenant prior to

occupancy.

Category 6

Tenant Alterations

and Improvements
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

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

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

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

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

and Electrical)       

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

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

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

Stairs      

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

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

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

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

Furnishings       

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

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

22   n/a n r /a Underfloor Bracing of Computer Access Floo       

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 L n oad Path Lateral Resisting System to Diaphragm Connectio       

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-6: Tenant Alterations and Improvements
Incremental Seismic Rehabilitation of Office Buildings

C-20

C.2.7 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 work is most likely to be significant in smaller office buildings. In larger

office buildings, basements are likely to contain parking areas or to be similar

to any other office floor. In the latter case, underfloor and basement work

may be much more extensive, closer in nature to Tenant Alterations and Improvements.

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 major 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 office buildings, this work may include the incremental

seismic rehabilitation work associated with C.2.6, Tenant Alterations and Improvements. See Table C-6 in addition to Table C-7.

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 7

Underfloor and

Basement

Maintenance

and Repair
C-21

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

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

and Electrical)       

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

21   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 L n oad Path Lateral Resisting System to Diaphragm Connectio       

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-7: Underfloor and Basement Work
Incremental Seismic Rehabilitation of Office Buildings

C-22

C.2.8 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 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.2.6 Tenant Alterations and Improvements

See Tables C-1, C-2, C-3, and C-6 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 8

HVAC Upgrade and

Energy Conservation
C-23

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 spaces are vacant. Typically this work cannot be done

easily around occupants.

C.2.9 Hazardous Materials Abatement

General Description of the Work: The presence of hazardous materials

may involve abatement of:

 Asbestos

 Lead paint

 Radon

In office buildings, this work will usually be identified as part of the due diligence at 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 Fire and Life Safety Improvements

 C.2.5 New Technology Accommodation

 C.2.6 Tenant Alterations and Improvements

See Tables C-3, C-4, C-5, and C-6 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 spaces.

C.2.10 Definitions of Seismic Performance Improvements

The seismic performance improvements included in the matrices of integration opportunities in Sections C.2.1 through C.2.9 are all extracted from the

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

(description and purpose) that should be useful to office facility managers

using this section.

Category 9

Hazardous Materials

Abatement
Incremental Seismic Rehabilitation of Office Buildings

C-24

Nonstructural Seismic Performance Improvements

O e ffic

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   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.

5   Fastening and Bracing of

Ceilings

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

to reduce the chance of elements falling.

6   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.

7    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.

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

walking surface and causing injuries.

9   Attachment and Bracing of

Large Ductwork

Large ducts. Prevent ducts from falling on occupants.

10    Bracing or 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.

11   Bracing of Interior Partitions

(Masonry and Wood)

Bracing may be vertical or diagonal

braces.

Interior partitions must be braced to prevent

falling/collapse.

12   Support and Detailing of

Elevators

Elevator guides have become dislodged

in earthquakes. Applies to cable lift

elevators.

Keep elevators functioning.

13    Anchorage and Bracing of

Emergency Lighting

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

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

means of turning them off.

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   Attachment and Bracing of

Cabinets and Furnishings

Anchorage to structural walls or other

elements.

Prevent cabinets and other furnishings form toppling or

moving and causing damage. Fallen file cabinets may

block exit doors.

20   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.

21   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.

22   Underfloor Bracing of

Computer Access Floor

Raised floors for cabling. Prevent floors from collapsing and damaging

equipment.

* Items numbered for ease of reference.
C-25

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 for 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 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 Office Buildings

C-26

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.
App I-1

Appendix I

Appendix I.

Additional Information on

Office Building Facility

Management

Introduction:

Typical Facility Management for Office Buildings

The typical facility management process for existing office 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 office buildings

is likely to have ongoing activities in all of these phases.

This process is generic, and while variations may occur, it is generally followed by office building owners, either explicitly or implicitly. Figure 1: Typical

Management

Process
Incremental Seismic Rehabilitation of Office Buildings

App I-2

Both internal and external factors typically influence the office 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 Office Facility

Management

Typical Process

The acquisition phase of the typical office facility management process consists of due diligence activities and is influenced by significant internal and

external pressures, as depicted in Figure 3.

Office 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.

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

Figure 2:

Management

Process Influences
App I-3

Appendix I

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 office rental market are

the principal factor governing office 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.

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 office rental rates. Earthquake risk, in general, does

not appear to translate into financial cost in the office marketplace.

Lenders and Insurers: Lenders and insurers are important external participants in many office 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

Figure 3:

Acquisition
Incremental Seismic Rehabilitation of Office Buildings

App I-4

investments than that presented to an owner in a specific acquisition. The

insurability of the acquired property is of great concern to office building

owners, but the cost of insurance is of lesser concern because the cost reportedly can be passed on to tenants in office 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, reportedly, 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 office 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:

 pass on the deal if the PML exceeds a preset threshold

 do the deal with an initial rehabilitation

 do the deal without rehabilitation

2. The REDEVELOPMENT Phase of Office Facility

Management

Typical Process

The redevelopment phase of the typical office facility management process

consists of various types of capital improvements, and is influenced by

significant internal and external pressures, as depicted in Figure 4.

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

 Environmental and other risk remediation work identified in the due

diligence process

 Upgrading of life safety systems

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.
App I-5

Appendix I

Market Conditions: Office 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.

Seismic Consideration

The extent of market-driven seismic improvement in office buildings

is not known.

Lenders and Insurers: External lenders and insurers may require specific

capital improvements as a condition of the deal. For example, they may require the replacement of a questionable roof or HVAC system. 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 office buildings is not known.

Owner Policies: Owners’ marketing and architectural policies are the principal internal factor governing capital improvement decisions in the redevelopment phase.

Seismic Consideration

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

Figure 4:

Redevelopment
Incremental Seismic Rehabilitation of Office Buildings

App I-6

3. The Current Building USE Phase of Office Facility

Management

Typical Process

The current building use phase of the typical office 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 office space 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. In some cases, some maintenance functions may be

carried out by tenants or their contractors.

Facility Assessment: Facility assessment, which less sophisticated office

building owners may not carry out systematically, consists of the survey or

inspection of the office buildings on a scheduled basis. It may also include a

review of documents, such as archival building plans, for retrieving specific

information. The purpose(s) of the surveys or inspections is to determine

facility conditions in relation to one or more of the following categories:

 user 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.

 structural hazards

 fire/life safety

 environmental quality

 energy use/conservation

 accessibility

 other
App I-7

Appendix I

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 office buildings that have facilities implications (e.g., Americans with Disabilities Act [ADA] and Occupational Safety

and Health Administration [OSHA] requirements).

Seismic Consideration

Currently there are no seismic rehabilitation mandates or implications

in any federal or state programs related to office buildings, with the

exception of California.

Specific surveys or inspections may be mandated by federal, 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)

 Office building personnel (e.g., custodial or facility managers)

 Office building contracted personnel (e.g., asbestos inspectors)

 Consultants

Figure 5:

Use
Incremental Seismic Rehabilitation of Office Buildings

App I-8

Seismic Consideration

Currently there are no seismic survey or inspection mandates or implications in any federal or state programs related to office 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 office 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 Office 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 office space markets. Many owners acquire

properties 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 office 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

 Additions to existing buildings

 Renovations of existing buildings
App I-9

Appendix I

Figure 6:

Planning

 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 so as 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.
Incremental Seismic Rehabilitation of Office Buildings

App I-10

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.

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.

Seismic Consideration

Office building owners boards may adopt policies addressing seismic

issues, including seismic performance objectives and rehabilitation of

office buildings, either as a one-time or recurring incremental program.

Insurance Carriers and Brokers: External private property and liability

insurance companies often require surveys or inspections of office 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: Federal, state, and local government agencies may

establish external requirements affecting facility planning in the planning

phase. 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.

5. The Maintenance and Rehabilitation BUDGETING

Phase of Office 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.

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
App I-11

Appendix I

and maintenance budgets may vary among different office 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. Figure 7:

Budgeting

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 Securities

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 ensure 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 an acquired
Incremental Seismic Rehabilitation of Office Buildings

App I-12

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 office 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.

Budgetary Constraints: Internally, political and economic conditions may

place limits on office building capital and maintenance budgets. The problem

is often exacerbated by un-funded mandates imposed on office 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.

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 office building owner liability must all 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.

6. The Maintenance and Rehabilitation FUNDING

Phase of Office Facility Management

Typical Process

The funding phase consists of those activities required to obtain the financial

resources to meet the budgets. It is influenced externally by regional and

local economic conditions and bond financing regulations, as depicted in

Figure 8.

The funding of office building budgets in general, and of the three budget

elements of capital improvement, maintenance, and insurance, varies from

one owner organization to another.

Office building owners can fund their budgets by various combinations of

equity and debt.
App I-13

Appendix I

Influences and Related Seismic Considerations

As indicated in Figure 8, two external factors (down arrow) influence funding

phase decision making.

Regional and Local Economic Conditions: Externally, the funding of

office building construction is subject to local and national socio-economic

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.

Bond Financing Regulations: Local administrative procedures and structure in place to obtain bond financing will have a significant impact on the

ability of office 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. Seattle Public Schools used two types of bonds (Capital

Levy Bonds and Capital Improvement Bonds) to cover the funding of

its incremental seismic rehabilitation program in response to Washington state law.

Figure 8:

Funding
Incremental Seismic Rehabilitation of Office Buildings

App I-14

7. The Maintenance and Rehabilitation

IMPLEMENTATION Phase of Office 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 the office

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.

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., ADA and OSHA requirements).

Seismic Consideration

Currently there are no seismic rehabilitation mandates or implications

in any federal or state programs related to office 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.
App I-15

Appendix I

Figure 9:

Implementation

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 & Repair/Re-Roofing

2. Exterior Wall and Window Maintenance/Façade Modernization

3. Public Area Modernization

4. Fire and Life Safety Improvements

5. New Technology Accommodation

6. Tenant Alterations and Improvements

7. Underfloor and Basement Work

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.2.7, respectively. Two remaining categories of maintenance and capital improvement

projects are not included in this matrix, but their respective integration opportunities can be identified by reference to several of the preceding seven,

as follows:

App II-1
Incremental Seismic Rehabilitation of Office Buildings

8. HVAC Upgrade and Energy Conservation—integration opportunities

from 1, 2, 3, and 6.

9. Hazardous Materials Abatement—integration opportunities from 3,

4, 5, and 6.

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

App II-3

Simplified Matrix of Seismic Performance Improvements

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

Prevent collapse of canopies that

would 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 

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 

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 

Glazing Selection and

Detailing

Prevent exterior or interior glass

from falling onto the walking surface

and causing injuries.

all 

Attachment and Bracing

of Large Ductwork

Prevent ducts from falling on

occupants.

all 

Bracing or 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 and Bracing

of Emergency Lighting

Prevent heavy battery packs from

falling.

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.

Level of Seismicity (Low)Level of Seismicity (Med or High)

1. Roofing Maintenance & Repair / Re-Roofing

2. Ext. Wall/Window Maintenance/Façade Modernization

3. Public Area Modernization4. Fire & Life Safety Improvements

5. New Technology Accomodation6. Tenant Alterations & Improvements

7. Underfloor & Basement Maintenance & Repair
Incremental Seismic Rehabilitation of Office Buildings

App II-4

Simplified Matrix of Seismic Performance Improvements (continued)

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)

Anchorage of Masonry

Veneer

Prevent inadequately anchored

veneer from falling outward onto

pedestrians.

all 

S d hut-Off Valves Gas and water lines could break an

should have a means of turning them off.

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 

Attachment and Bracing

of Cabinets and

Furnishings

Prevent cabinets and other

furnishings form toppling or moving

and causing damage. Fallen file

cabinets may block exit doors.

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 

Underfloor Bracing of

Computer Access Floor

Prevent floors from collapsing and

damaging equipment.

all 

S l tructural

F s oundation A g nchor Bolt Improve load path. Prevent buildin

from 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 P e ile Cap Lateral Loa Brace piles at their top to eliminat

the chance of lateral movement and

reduce chance of foundation failure.

masonry buildings

only



F t oundation U y plif Reduce the uplift chance b

improving foundation system;

engineer should evaluate the effects

of uplift.

wood and masonry

buildings only



* 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.

Level of Seismicity (Low)Level of Seismicity (Med or High)

1. Roofing Maintenance & Repair / Re-Roofing

2. Ext. Wall/Window Maintenance/Façade Modernization

3. Public Area Modernization4. Fire & Life Safety Improvements

5. New Technology Accomodation6. Tenant Alterations & Improvements

7. Underfloor & Basement Maintenance & Repair
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 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 forceresisting elements.

all 

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 e trength/Stiffnes Control the movement of th

diaphragm to reduce the damage

due to drift and to control the out-ofplane loads on vertical elements.

all 

Vertical

Elements

L m oad Path Lateral Resisting Syste

to Diaphragm Connection

Permits earthquake loads to be

conveyed to the foundation.

Develops a load path.

all 

Vertical

Elements

S y hear Walls C l apacit Building walls can act as latera

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

Permits 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 Prevents 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

Prevents 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.

Level of Seismicity (Low)Level of Seismicity (Med or High)

1. Roofing Maintenance & Repair / Re-Roofing

2. Ext. Wall/Window Maintenance/Façade Modernization

3. Public Area Modernization4. Fire & Life Safety Improvements

5. New Technology Accomodation6. Tenant Alterations & Improvements

7. Underfloor & Basement Maintenance & Repair

App II-5