Any opinions, findings, conclusions, or recommendations expressed in this publication do not necessarily reflect the views of FEMA.

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4 Any opinions, findings, conclusions, or recommendtions expressed in this publiction do not necessrily reflect views FEMA. Additionlly, neir FEMA or ny its employees mkes ny wrrntee, expressed or implied, or ssumes ny legl libility or responsibility for ccurcy, completeness, or usefulness ny informtion, product, or process included in this publiction. Users informtion from this publiction ssume ll libility rising from such use.

5 Acknowledgements Principl Authors: Frederick Krimgold, Virgini Tech Center for Disster Risk Mngement, Virgini Polytechnic Institute nd Stte University Dvid Httis, Building Technology Incorported Melvyn Green, Melvyn Green & Assocites Inc. Contributors: Milgros Kennett, FEMA, Project Officer, Risk Mngement Series Publictions John Hrrld, GWU Chrles Scwthorn, ABS Consulting Medhi Setreh, VT Rene Vn Dorp, GWU Willim Whiddon, BTI Project Advisory Pnel: Dniel Abrms, University Illinois Dniel Butler, Ntionl Retil Federtion John Coil, John Coil Assocites Joseph Donovn, Crr Americ Jmes Hrris, Ntionl Multi Housing Council Rndl Hslm, Jordn School District, Uth Jmes Mlley, Degenkolb Engineers Mike Mehrin, URS Dmes & Moore Anthony Moddesette, UC Dvis Medicl Center Lwrence Reveley, University Uth Technicl Review: Chris Polnd, Degenkolb Engineers Dniel Shpiro, SOHA Engineers Production: Lee-Ann Lyons nd Amy Siegel, URS Group, Inc.

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7 Contents Foreword nd Scope... i How to Use This Mnul... iv Prt A Prt B Criticl Decisions for Erthquke Sfety in Retil Buildings...A-1 Introduction...A-1 A.1 Is There n Erthquke Hzrd for Your Retil Buildings?...A-2 A.2 Are Your Retil Buildings Sfe?...A-4 A.3 Wht Cn Be Done to Reduce Erthquke Risk in Existing Vulnerble Retil Buildings?... A-6 A.4 Incrementl Seismic Rehbilittion Existing Retil Buildings... A-7 Recommended Actions... A-9 Summry Prt A... A-9 Plnning nd Mnging Process for Erthquke Risk Reduction in Existing Retil Buildings... B-1 Introduction... B-1 B.1 Integrting Efforts Fcility Mngement, Risk Mngement, nd Finncil Mngement... B-2 B.2 Integrting Incrementl Seismic Rehbilittion into Fcility Mngement Process... B-3 B.2.1 A Model Fcility Mngement Process for Existing Retil Buildings... B-3 B.2.2 n Incrementl Seismic Rehbilittion Progrm... B-3 B.2.3 Integrtion into Retil Fcility Mngement Process... B-10 B.3 Opportunities for Seismic Risk Reduction in Support Integrting Incrementl Seismic Rehbilittion into Fcility Mngement Process... B-11 Contents

8 B.3.1 Responding to Occupnt Concerns... B-12 B.3.2 Emergency Mngement/Response Plnning... B-12 B.3.3 Emergency Mngement/Mitigtion Plnning... 1B-2 B.3.4 Developing Risk Reduction Policy... B-13 Prt C B.3.5 Incorporting Federl nd Stte Mndtes nd Progrms... B-13 B.3.6 Coordinting with Risk nd Insurnce Mngers... B-13 B.3.7 Coordinting with Lenders... B-14 B.3.8 Becoming Fmilir with Applicble Codes... B-14 B.3.9 Estblishing nd Mintining Roster Design Pressionls... B-14 B.3.10 Negotiting Code Enforcement... B-14 B.4 Additionl Components Comprehensive Erthquke Sfety Progrm... B-14 B.4.1 Building Contents Mitigtion... B-15 B.4.2 Erthquke Drills... B-15 B.5 Prepring Pln for CEO nd Bord... B-15 Summry Prt B... B-16 Recommended Actions... B-16 Tools for Implementing Incrementl Seismic Rehbilittion in Existing Retil Buildings... C-1 Introduction... C-1 Guide to Sections C.1 nd C.2... C-1 C.1 How To Use Engineering Services... C-2 Seismic Screening nd Evlution... C-2 Incrementl Seismic Rehbilittion Plnning nd Design... C-2 Construction Period Support... C-3 Coordintion with Tennt Work... C-3 Continuity Building Documenttion... C-3 Fees for Pressionl Services... C-4 C.2 Discovering Integrtion Opportunities for Incrementl Seismic Rehbilittion... C-4 Ctegories Mintennce nd Cpitl Improvement Projects... C-4 Work Descriptions nd Mtrices Seismic Performnce Improvement Opportunities... C-4 Definitions Seismic Performnce Improvements... C-7 C.2.1 Roing Mintennce nd Repir/Re-roing... C-8 C.2.2 Exterior Wll nd Window Mintennce/Fçde Moderniztion... C-10 C.2.3 Fire nd Life Sfety Improvements... C-12 C.2.4 Mll Public Are Moderniztion... C-14 C.2.5 Retil Are Moderniztion... C-16 Incrementl Seismic Rehbilittion Retil Buildings

9 C.2.6 Underfloor nd Bsement Mintennce nd Repir... C-18 C.2.7 HVAC Upgrde nd Energy Conservtion... C-20 C.2.8 Hzrdous Mterils Abtement... C-21 C.2.9 Definitions Seismic Performnce Improvements... C-21 Summry Prt C... C-25 Recommended Actions... C-25 Appendix Additionl Informtion on Retil Building Fcility Mngement... App-1 Introduction: Typicl Fcility Mngement for Retil Buildings... App-1 1. The ACQUISITION Phse Retil Fcility Mngement... App-2 2. The REDEVELOPMENT Phse Retil Fcility Mngement... App-4 3. The Current Building USE Phse Retil Fcility Mngement... App-6 4. The PLANNING Phse Retil Fcility Mngement... App-8 5. The Mintennce & Rehbilittion BUDGETING Phse Retil Fcility Mngement... App The Mintennce & Rehbilittion FUNDING Phse Retil Fcility Mngement... App The Mintennce & Rehbilittion IMPLEMENTATION Phse Retil Fcility Mngement... App-14 Contents

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11 i Foreword nd Scope Erthqukes re serious thret to sfety in retil buildings, be y mlls or single tennt buildings, nd pose significnt potentil libility to retil building owners. Retil buildings in 39 sttes re vulnerble to erthquke dmge. Unsfe existing buildings expose retil building owners nd tennts to following risks: Deth nd injury to tennts, occupnts, shoppers, nd visitors Dmge to or collpse buildings Dmge to nd loss furnishings, equipment, merchndise, nd or building contents Disruption sles functions nd building opertions The gretest erthquke risk is ssocited with existing retil buildings tht were designed nd constructed before use modern building codes. For mny prts United Sttes, this includes buildings built s recently s erly 1990s. Although vulnerble retil buildings should be replced with sfe, new construction or rehbilitted to correct deficiencies, for mny building owners new construction is limited, t times severely, by budgetry constrints, nd seismic rehbilittion is expensive nd disruptive. However, incrementl seismic rehbilittion, proposed in this mnul, is n innovtive pproch tht phses in series discrete rehbilittion ctions over period severl yers. It is n effective, ffordble, nd non-disruptive strtegy for responsible mitigtion ction tht cn be integrted efficiently into ongoing fcility mintennce nd cpitl improvement opertions to minimize cost nd disruption. This mnul nd its compnion documents re products Federl Emergency Mngement Agency (FEMA) project to develop concept incrementl seismic rehbilittion tht is, building modifictions tht re- Foreword nd Scope

12 ii duce seismic risk by improving seismic performnce nd tht re implemented over n extended period, ten in conjunction with or repir, mintennce, or cpitl improvement ctivities. It provides owners Clss A, B, or C retil buildings, be y Rel Estte Investment Trusts (REITs), pension funds, prtnerships, individuls, or or forms ownership, with informtion necessry to ssess seismic vulnerbility ir buildings nd to implement progrm incrementl seismic rehbilittion for those buildings. The mnul consists three prts: Prt A, Criticl Decisions for Erthquke Sfety in Retil Buildings, is for owners senior executives, bord members, nd policy mkers who will decide on llocting resources for erthquke mitigtion. Prt B, Plnning nd Mnging Process for Erthquke Risk Reduction in Existing Retil Buildings, is for fcility mngers, risk mngers, nd finncil mngers, or those responsible for se res mngement, who will initite nd mnge mitigtion. Prt C, Tools for Implementing Incrementl Seismic Rehbilittion in Existing Retil Buildings, is for fcility mngers, or those responsible for fcility mngement, who will implement incrementl seismic rehbilittion progrms. This mnul is prt set mnuls intended for building owners, mngers, nd ir stff: Incrementl Seismic Rehbilittion School Buildings (K-12), FEMA 395 Incrementl Seismic Rehbilittion Hospitl Buildings, FEMA 396 Incrementl Seismic Rehbilittion Office Buildings, FEMA 397 Incrementl Seismic Rehbilittion Multifmily Aprtment Buildings, FEMA 398 Incrementl Seismic Rehbilittion Retil Buildings, FEMA 399 Incrementl Seismic Rehbilittion Retil Buildings

13 iii Incrementl Seismic Rehbilittion Hotel nd Motel Buildings, FEMA 400 Incrementl Seismic Rehbilittion Storge Buildings, FEMA 401 Incrementl Seismic Rehbilittion Emergency Buildings, FEMA 402 Ech mnul in this set ddresses specific needs nd prctices prticulr ctegory buildings nd owners, nd guides building owners nd mngers through process tht will reduce erthquke risk in ir building inventory. The mnuls nswer question, s specificlly s possible: Wht is most ffordble, lest disruptive, nd most effective wy to reduce seismic risk in existing buildings? By using process outlined in se mnuls, building owners nd mngers will become knowledgeble clients for implementing incrementl seismic rehbilittion specificlly gered to ir building use ctegory. In ddition to this set mnuls, re is compnion mnul, Engineering Guideline for Incrementl Seismic Rehbilittion, FEMA 420. It is intended to ssist rchitects nd engineers who provide services to building owners. Architects nd engineers using tht mnul will be effective consultnts serving knowledgeble owner. Toger y will be in position to implement n effective incrementl seismic rehbilittion progrm. Foreword nd Scope

14 iv How to Use This Mnul Criticl Decisions: Retil building owners senior executives, bord members, nd similr policy mkers should red Prt A. Section A.1 provides generl understnding erthquke hzrd fced by retil building owner. Section A.2 provides n overview how seismic vulnerbility retil buildings nd resultnt losses cn be estimted. Section A.3 provides n overview ctions n owner cn tke to reduce erthquke risk, including incrementl seismic rehbilittion. Section A.4 detils how to implement concept incrementl seismic rehbilittion, including dditionl benefits integrting incrementl seismic rehbilittion with or mintennce nd cpitl improvement projects. By understnding se four sections, retil building owner s top mngement cn estblish policy seismic risk reduction nd initite more specific, objective, nd cost-effective progrm incrementl seismic rehbilittion by its technicl stff. Progrm Development: Those responsible for retil building owner s fcility, risk, nd finncil mngement should red Prts A nd B, pying prticulr ttention to Prt B. Sections B.1 through B.3 provide detiled guidnce on how initition progrm incrementl seismic rehbilittion cn fit into ongoing fcility mngement process used by owner orgniztion nd its retil buildings, nd indicte specific ctivities tht cn be undertken. A seprte Appendix, Additionl Informtion on Retil Building Fcility Mngement, is provided t end this mnul for those seeking more informtion on fcility mngement. It contins discussion specific phses fcility mngement process nd ctivities for retil building owners seeking furr detil. Project Implementtion: Owner orgniztion nd retil building fcility mngers should red Prt C in ddition to Prts A nd B. Section C.1 provides guidnce on using consulting services rchitects nd engineers in implementing progrm incrementl seismic rehbilittion. Section C.2 discusses specific opportunities for combining increments seismic rehbilittion with or mintennce nd cpitl improvement projects, including tennt work. Incrementl Seismic Rehbilittion Retil Buildings

15 v To get most out this mnul: Communicte importnce ssessing your building inventory s risks nd pss this mnul on to stff members responsible for fcility mngement, risk mngement, nd finncil plnning. Specify tht y develop n nlysis current seismic risk your buildings nd strtegy for risk reduction. Promptly initite progrm erthquke risk reduction in your buildings locted in n erthquke-prone zone tht were not designed nd constructed to meet modern building codes. Consider incrementl seismic rehbilittion s cost-effective mens to protect buildings nd, most importntly, sfety tennts, shoppers, visitors, nd stff, becuse it is techniclly nd finncilly mngeble strtegy tht minimizes disruption retil building opertions. How to Use This Mnul

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17 A-1 For Retil Building Owner Senior Executives, Bord Members, & Similr Policy Mkers ACriticl Decisions for Prt Erthquke Sfety in Retil Buildings Introduction This mnul is designed to give decision mkers frmework nd informtion for mking informed decisions bout investing in erthquke risk mngement mesures. It is structured to follow decision-mking process existing plnning nd mngement prctices nd will help you evlute finncil, sfety, nd strtegic plnning priorities. Owners retil buildings my vry gretly in size, welth, nd technicl cpbility. Some hve comprehensive long-term fcility mngement, mintennce, nd development plns. Some hve none. The successful implementtion improved erthquke sfety should be prt comprehensive pproch to building sfety nd multi-hzrd mitigtion. Filure to ddress erthquke risk leves retil building owner exposed to potentil losses, disruption, nd libility for deths nd injuries. While purchsing insurnce my protect owners from finncil losses nd libility, it still leves m susceptible to disruption s well s deths nd injuries. Only building rehbilittion cn reduce losses, deths, nd injuries, s well s control libility nd disruption. However, single-stge seismic rehbilittion cn be expensive nd disruptive. Incrementl seismic rehbilittion cn reduce tht cost nd disruption. Prt A

18 A-2 Retil Buildings, Risk, nd Libility Erthqukes re low-probbility, high-consequence events. Though y my occur only once in life building, y cn hve devstting, irreversible consequences. Moderte erthqukes occur more frequently thn mjor erthqukes. Noneless, moderte erthqukes cn cuse serious dmge to building contents nd nonstructurl building systems, serious injury to tennts, shoppers, visitors, nd stff, nd disruption building opertions. Mjor erthqukes cn cuse ctstrophic dmge including structurl collpse nd mssive loss life. Those responsible for retil building sfety must understnd nd mnge se risks, prticulrly risks tht threten lives tennts, shoppers, visitors, nd stff. Erthquke risk is product hzrd exposure nd building vulnerbility, s shown in following eqution: RISK = HAZARD x VULNERABILITY To mnge erthquke risk in existing retil buildings, one must understnd erthquke hzrd nd reduce building vulnerbility. Considering Incrementl Seismic Rehbilittion The incrementl rehbilittion pproch to seismic risk mitigtion focuses on improvements tht will decrese vulnerbility retil buildings to erthqukes t most pproprite nd convenient times in life cycle those buildings. The pproch clrifies, s specificlly s possible, wht is most ffordble, lest disruptive, nd most effective wy to reduce seismic risk in your buildings. Prior to inititing progrm incrementl seismic rehbilittion, n owner must first ddress following three questions: Are your retil buildings locted in seismic zone? Are se buildings vulnerble to erthqukes? Wht cn you do to reduce erthquke risk in existing vulnerble buildings? This mnul will help you find right nswers. In Brief The primry prmeters seismic hzrd re likelihood occurrence nd severity n erthquke. Geogrphic loction is most significnt fctor seismic hzrd. Soil conditions t prticulr site lso influence seismic hzrd. A.1 Is There n Erthquke Hzrd for Your Retil Buildings? Erthqukes re one most serious nturl hzrds to which retil building owners my be exposed. Although owners fce vriety risks to ir investment, tennt sfety, nd fcility opertions tht my pper more immedite, consequences erthqukes cn be ctstrophic. Therefore, despite rre occurrence erthqukes, erthquke sfety should be given full considertion in design nd investment for risk mngement nd sfety. The first step in understnding erthquke risk: RISK = HAZARD x VULNERABILITY is to lern likelihood nd severity n erthquke ffecting your buildings. Incrementl Seismic Rehbilittion Retil Buildings

19 A-3 The Erthquke Hzrd: Where, When, nd How Big The surfce erth consists solid msses, clled tectonic pltes, tht flot on liquid core. The res where seprte pltes meet ech or re clled fults. Most erthqukes result from movement tectonic pltes, nd seismic hzrd is strongly correlted to known fults. A mp zones seismic hzrd for United Sttes, bsed on mps provided by U.S. Geologicl Survey (USGS), shows three zones from lowest, green, to highest, red. The white res hve negligible seismic hzrd. The USGS erthquke hzrd mp is bsed on complex ssessment expected seismic ctivity ssocited with recognized fults. The scientific understnding erthqukes continues to improve nd hs resulted in estimtes incresed seismic hzrd in vrious prts country over lst decde. Seismic Hzrd Mp Retil building owners nd mngers responsible for sfety tennts, shoppers, visitors, nd stff need to know wher to be concerned bout erthqukes. Some guidelines for determining erthquke risk in your loction re: If your retil building is locted in red zone on mp Erthqukes re one most significnt risks fcing your fcilities. Tke immedite ction to undertke comprehensive vulnerbility ssessment. Pressionl structurl engineers should perform this ssessment. Identify nd eir replce or rehbilitte vulnerble existing buildings s soon s possible. Prt A

20 A-4 If your retil building is locted in yellow zone The probbility severe erthquke occurrence is sufficiently high to demnd systemtic investigtion your buildings. Assign responsibility for investigtion to risk mngers nd fcility mngers within orgniztion. If y re not vilble, seek pressionl engineering ssistnce from outside. Identify vulnerble buildings nd schedule m for replcement, rehbilittion, or chnge use. Also consider mitigtion nonstructurl hzrds, such s securing equipment nd suspended lighting tht could injure building occupnts in n erthquke. If your retil building is locted in green zone Consider low-cost mitigtion strtegies tht protect building occupnts nd owner s investment in fcilities nd systems, even though probbility n erthquke is low. Beyond this brod seismic zone designtion, expected erthquke ground motion t prticulr loction is furr influenced by locl geology nd soil conditions. Geotechnicl engineering studies should be done to fully understnd erthquke hzrd t prticulr site in red nd yellow zones. In Brief Seismic vulnerbility consists expected dmges nd losses. Seismic vulnerbility depends on structurl type, ge, condition, contents, nd use retil buildings. Hzrd exposure nd building vulnerbility my result in substntil deth, injury, building nd content dmge, nd serious disruption building use nd loss rentls nd leses. A.2 Are Your Retil Buildings Sfe? The second step in understnding erthquke risk: RISK = HAZARD x VULNERABILITY is to lern expected dmge nd losses tht could result from n erthquke. Wht Hppens to Retil Buildings in Erthqukes Erthquke fult rupture cuses ground motion over wide re. This ground motion cts s powerful force on buildings. Buildings re principlly designed to resist force grvity, but resistnce to erthquke forces requires specilized erthquke engineering. Horizontl erthquke forces cuse rpid movement foundtion nd displcement upper levels structure. When indequtely designed to resist or ccommodte se erthquke forces, structures fil, leding to serious structurl dmge nd, in worst cse, totl building collpse. In ddition to ground motion, buildings my suffer erthquke dmge from following effects: Fult rupture under or ner building, ten occurring in buildings locted close to fults. Erthquke-induced lndslides ner building. 1 A wve on surfce lke or lndlocked by cused by tmospheric or seismic disturbnces. Reduction soil bering cpcity under or ner building. Erthquke-induced wves in bodies wter ner building (tsunmi on ocen nd seismic seiche 1 on lkes). Incrementl Seismic Rehbilittion Retil Buildings

21 A-5 Building Age nd Erthquke Vulnerbility The first erthquke design legisltion ws encted in 1933 for schools in Cliforni ( Field Act). Since tht time, wreness erthquke risk hs expnded cross country, nd building codes hve been improved becuse reserch nd experience. Since erly 1990s, most new retil buildings in United Sttes hve been constructed in ccordnce with modern codes nd meet societl stndrds for sfety. However, older buildings should be reexmined in light current knowledge. Some seismiclly ctive prts country ( Midwest) hve only very recently dopted pproprite seismic design stndrds, nd in or prts country ( Northwest) estimtes seismic risk hve been revised upwrd. The serious problem resides in existing vulnerble retil buildings constructed without seismic requirements or designed to obsolete stndrds. The building code is not retroctive; re is no utomtic requirement to bring existing buildings up to current stndrds. Sfety in existing buildings is responsibility owner/opertor. Estimting Building Vulnerbility Engineers hve defined levels dmge tht cn be expected in prticulr types buildings due to vrying intensities erthquke motions. These levels dmge rnge from minor dmge, such s crcks in wlls, to totl building collpse. In ddition to building type, expected dmge is lso function building ge nd stte mintennce. Retil buildings suffering from deferred mintennce will experience greter dmge thn wellmintined buildings will. For exmple, filure to mintin msonry prpets significntly increses possibility life-thretening filure in even moderte erthquke. It is possible to estimte roughly vulnerbility n owner s portfolio buildings nd to identify problem buildings with technique clled rpid visul screening. 2 Retil building owners cn produce generlized estimtes expected dmge in initil seismic risk ssessment ir buildings. After initil rpid screening, specific seismic risk ssessment for individul retil buildings requires detiled engineering nlysis. Or Erthquke Losses While serious concern in its own right, building filure is direct cuse even more importnt erthquke losses: Deth nd injury tennts, shoppers, visitors, nd stff Destruction contents belonging to tennts nd owner Disruption occupncy nd rentls The expected extent se losses cn lso be estimted bsed on hzrd nd vulnerbility ssessments. See Section B.2.2, n Incrementl Seismic Rehbilittion Progrm, for pplicble references. 2 FEMA 154, Rpid Visul Screening Buildings for Potentil Seismic Hzrds: A Hndbook, Second Edition. Prt A

22 A-6 In Brief Seismic rehbilittion existing vulnerble retil buildings cn reduce future erthquke dmge. Incrementl seismic rehbilittion is strtegy to reduce cost rehbilittion nd relted disruption occupncy nd rentls. A.3 Wht Cn Be Done to Reduce Erthquke Risk in Existing Vulnerble Retil Buildings? Filure to ddress erthquke risk leves retil building owner exposed to potentil losses, disruption, nd libility for deths nd injuries. While purchsing insurnce my protect owners from finncil losses nd libility, it still leves m exposed to disruption s well s deths nd injuries. Only building rehbilittion cn reduce losses, deths, nd injuries nd control libility nd disruption. The implementtion seismic risk reduction through building rehbilittion will primrily involve fcility mnger. However, to be effective it will require coordintion mong fcility mngers, risk mngers, nd finncil mngers. This is furr discussed in Prt B (for Fcility Mngers, Risk Mngers, nd Finncil Mngers). In ddition, it is responsibility retil building owner s top dministrtors to mke sure tht hzrds re ssessed nd risk reduction mesures implemented. Options for Seismic Risk Reduction The most importnt considertion for erthquke sfety in retil buildings is to reduce risk ctstrophic structurl collpse. Most likely in existing vulnerble buildings, structurl collpse poses gretest thret to life in mjor erthquke. Choosing method protection from structurl collpse in deficient building requires two criticl decisions: Replce or Rehbilitte: If you decide to replce building, new construction is crried out ccording to modern codes nd cn be ssumed to meet current sfety stndrds. However, finncil constrints, historic preservtion concerns, nd or community interests my mke replcement option infesible. In tht cse, rehbilittion should be considered. Single-Stge Rehbilittion 3 or Incrementl Rehbilittion: If rehbilittion option is chosen, re re still issues cost nd disruption ssocited with rehbilittion work. The cost single-stge seismic rehbilittion hs proved to be serious impediment to its implementtion by mny retil building owners. Incrementl seismic rehbilittion is specificlly designed to ddress nd reduce problems cost nd disruption. Estimting Costs nd Benefits Seismic Rehbilittion Existing Retil Buildings The direct nd indirect costs seismic rehbilittion building re: Engineering nd design services Construction Disruption building occupncy nd rentls during construction 3 Single-stge rehbilittion refers to completing rehbilittion in single continuous project. Incrementl Seismic Rehbilittion Retil Buildings

23 A-7 The benefits seismic rehbilittion building re: Reduced risk deth nd injury tennts, shoppers, visitors, nd stff Reduced building dmge Reduced dmge to building contents, merchndise, nd equipment Reduced disruption occupncy nd rentls Engineers hve developed estimtes reduction erthquke dmge tht cn be chieved with seismic rehbilittion following FEMA s current rehbilittion stndrds. This type estimte, however, my significntly undervlue benefit seismic rehbilittion. In considering return on seismic rehbilittion investments, it is pproprite to consider vlue dmges voided s well s difficult-to-quntify vlues deths, injuries, nd disruption occupncy nd rentl functions voided. The primry obstcles to single-stge rehbilittion vulnerble existing retil buildings re cost rehbilittion construction work nd relted disruption sles opertions. Incrementl seismic rehbilittion fers opportunities to better mnge costs nd reduce disruption rehbilittion. The following section introduces nd explins incrementl seismic rehbilittion in more detil. A.4 Incrementl Seismic Rehbilittion Existing Retil Buildings Incrementl rehbilittion phses seismic rehbilittion into n ordered series discrete ctions implemented over period severl yers, nd whenever fesible, se ctions re timed to coincide with regulrly scheduled repirs, mintennce, or cpitl improvements. Such n pproch, if crefully plnned, engineered, nd implemented, will ultimtely chieve full dmge reduction benefits more costly nd disruptive single- stge rehbilittion. In fct, for retil mlls, key distinction between incrementl nd single-stge rehbilittion pproches is tht incrementl pproch cn effectively eliminte or drsticlly reduce disruption costs if incrementl pproch cn be orgnized so tht ll rehbilittion increments occur during period tennt turnover, or re crefully coordinted with tennt work. Incrementl seismic rehbilittion cn be initited in nerterm s component plnned mintennce nd cpitl improvement with only mrginl dded cost. Getting strted s soon s possible on progrm erthquke sfety demonstrtes recognition responsibility for retil building sfety nd cn provide protection from libility. Assessment Deficiencies A necessry ctivity tht must precede seismic rehbilittion progrm, be it single-stge or incrementl, is n ssessment seismic vulnerbility owner s building inventory. Fcility mngers cn implement such n ssessment using owner stff or outside engineering consultnts s pproprite. The ssessment should rnk building inventory in terms seismic In Brief Wheres singlestge seismic rehbilittion n existing retil building represents significnt cost, rehbilittion ctions cn be divided into increments nd integrted into norml mintennce nd cpitl improvement projects. The implementtion incrementl seismic rehbilittion requires ssessing buildings, estblishing rehbilittion priorities, nd plnning integrtion with or projects. 4 To order FEMA publictions you my write to FEMA, PO Box 2012, Jessup, MD ; or you my cll , Mondy - Fridy, 8:00.m. - 5:00 p.m., estern time; or you my Fx your request to Prt A

24 A-8 SCHEMATIC INTEGRATION OPPORTUNITIES Ro Work Exterior Wll Work vulnerbility nd identify specific deficiencies. FEMA publishes number documents tht cn guide you through ssessment process. Portions ssessment ctivities cn be integrted with or ongoing fcility mngement ctivities such s periodic building inspections. Fcility ssessments nd FEMA publictions vilble to help you conduct m re discussed in more detil in Prt B. 4 Rehbilittion Strtegy The incrementl seismic rehbilittion progrm will correct deficiencies identified by ssessment. The order in which seismic rehbilittion increments re undertken cn be importnt to ir ultimte effectiveness. There re three spects to prioritizing seismic rehbilittion increments: Structurl Priority: An initil prioritiztion seismic rehbilittion increments should be estblished primrily in terms ir respective impct on overll erthquke resistnce structure. Fcility mngers will begin with se priorities when determining order seismic rehbilittion increments to be undertken. However, finl order increments my devite from this priority order depending on or plnning prmeters. Additionl engineering nlysis my be required for certin building types when deviting from structurl priority order. This subject is discussed in more detil in Prt B, Section B.2, nd Prt C. Use Priority: Retil building owners should consider plnning lterntive future uses ir existing buildings. Some vulnerble buildings my be scheduled for demolition or converted to or uses (for exmple, storge). Ors my be scheduled for expnsion nd intensifiction use. These considertions, mong ors, will influence prioritiztion seismic rehbilittion increments. Integrtion: A mjor dvntge incrementl seismic rehbilittion pproch is tht specific work items cn be integrted with or building mintennce or cpitl improvement projects undertken routinely, including tennt work in cse retil mlls. Such integrtion will reduce cost seismic rehbilittion ction by shring engineering costs, design costs, nd some spects construction costs. Integrtion opportunities re key considertion in dpting sequence ctions suggested by foregoing discussions rehbilittion priorities. Integrtion opportunities re discussed in more detil in Prt C, Section C.2. Interior Work Incrementl Seismic Rehbilittion Retil Buildings

25 A-9 Incrementl Seismic Rehbilittion Pln An essentil feture implementing incrementl seismic rehbilittion in specific retil buildings is development nd documenttion seismic rehbilittion pln. The seismic rehbilittion pln will include ll nticipted rehbilittion increments nd ir prioritiztion s previously discussed. The documenttion will guide implementtion incrementl seismic rehbilittion progrm nd should ensure tht retil building owner does not lose sight overll rehbilittion gols during implementtion individul increments. Summry Prt A The primry prmeters seismic hzrd re likelihood occurrence nd severity n erthquke. Geogrphic loction is most significnt fctor seismic hzrd. Soil conditions t prticulr site lso influence seismic hzrd. Seismic vulnerbility consists expected dmges nd losses. Seismic vulnerbility depends on structurl type, ge, condition, contents, nd use retil buildings. Hzrd exposure nd building vulnerbility my result in substntil deth, injury, building nd content dmge, nd serious disruption building use nd rentls. Seismic rehbilittion existing vulnerble retil buildings cn reduce future erthquke dmge. Incrementl seismic rehbilittion is strtegy to reduce cost rehbilittion nd relted disruption occupncy nd rentls. Wheres single-stge seismic rehbilittion n existing retil building represents significnt cost, rehbilittion ctions cn be divided into increments nd integrted into norml mintennce nd cpitl improvement projects. The implementtion incrementl seismic rehbilittion requires ssessing buildings, estblishing rehbilittion priorities, nd plnning integrtion with or projects. Recommended Actions 1. Communicte importnce ssessing your building inventory s risks nd pss this mnul on to stff members responsible for fcility mngement, risk mngement, nd finncil plnning. Specify tht y develop n nlysis current seismic risk you buildings nd strtegy for risk reduction. 2. Promptly initite progrm erthquke risk reduction in your buildings locted in n erthquke-prone zone tht were not designed nd constructed to meet modern building codes. 3. Consider incrementl seismic rehbilittion s cost-effective mens to protect buildings nd, most importntly, sfety tennts, shoppers, visitors, nd stff, becuse it is techniclly nd finncilly mngeble strtegy tht minimizes disruption retil building opertions. Prt A

26

27 B-1 For Fcility Mngers, Risk Mngers, & Finncil Mngers BPlnning nd Mnging Process for Erthquke Prt Risk Reduction in Existing Retil Buildings Introduction Prt B this mnul is written specificlly for retil building fcility mngers, risk mngers, nd finncil mngers concerned with seismic sfety ir buildings. The orgniztion s senior mngement my hve requested you, mnger, to mke recommendtion to ddress seismic sfety in retil buildings or my hve mde decision to ddress it, or re my lredy be seismic sfety progrm in plce. Prt B describes when nd how specific ctivities tht will ccomplish gol seismic risk reduction cn be introduced into n ongoing retil fcility mngement process, regrdless how simple or sophisticted tht process is. Prt B lso provides frmework nd outline tht cn be used by fcility mngers, risk mngers, nd finncil mngers in developing nd communicting ir recommendtions to senior mngement. An incrementl seismic rehbilittion progrm is one severl seismic risk reduction strtegies tht cn be implemented in retil buildings. It cn be implemented seprtely or in combintion with or seismic risk reduction ctions. If you determine tht such progrm is pproprite for your orgni- Prt B

28 B-2 ztion, plnning nd implementtion incrementl seismic rehbilittion should be integrted into fcility mngement processes nd integrted with or seismic risk reduction ctions tht will complement it or support it. Prt B this mnul is pplicble to orgniztions tht own mlls with multiple retil tennts s well s to those tht own individul, independent retil fcilities. Where differences pply to se different types owners, it is noted in text. In Brief Plnning for erthquke risk reduction in retil buildings requires coordinted nd integrted effort by fcility mngers, risk mngers, nd finncil mngers. Fcility Mngers Risk Mngers Finncil Mngers B.1 Integrting Efforts Fcility Mngement, Risk Mngement, nd Finncil Mngement Prepring n nlysis retil building owner s erthquke risk reduction needs, nd plnning nd mnging such process, benefits from n integrted effort by orgniztion s fcility mngers, risk mngers, nd finncil mngers, or by dministrtors chrged with those respective responsibilities. Such n integrted effort my be deprture from current prctices, but collbortion is key to improving sfety cost-effectively nd with minimum disruption. Fcility mngers currently crry out ir plnning ctivities by considering prmeters mrket conditions, re demogrphics, nd physicl condition nd projected useful life existing retil buildings. Often y consider pressing socil issues such s physicl security nd ccessibility. Some se issues become federl or locl government mndtes, such s sbestos nd led btement, energy conservtion, or ccessibility complince. Sometimes fcility mngers consider risks to retil buildings from nturl dissters such s erthqukes or windstorms. Risk mngers, reltively recent dditions to mny retil owners orgniztions, crry out ir plnning ctivities by considering three spects: risk identifiction, risk reduction, nd risk trnsfer. The ltter generlly involves purchse insurnce. Currently, retil building owner risks re clssified into three brod res: lrceny nd shoplifting risk, employee risk, nd fcility nd environmentl risk. Rrely do risk mngers consider risks to retil buildings nd ir occupnts from nturl dissters. Rr, y tend to ssume tht ltter risks re ddressed by building codes nd similr regultions. Finncil mngers currently del with fcilities by controlling nd mnging mintennce budgets, cpitl improvement budgets, nd insurnce budgets. The fcility mngers nd risk mngers present demnds on se budgets to finncil mngers, but rrely re potentil trdefs mong se budgets considered. The costs nd benefits vrious options fcility risk mngement re rrely explicitly ddressed. Addressing problem erthquke risk reduction requires estblishing ctive communiction mong three mngement functions nd coordinting ctivities into n integrted plnning nd mngement effort. Fcility nd risk mngers will hve to consider fcility risk, nd finncil mngers will hve to consider costs nd benefits vrious options for mnging fcility risk. Specific recommendtions on implementing such n effort re provided in following sections. Incrementl Seismic Rehbilittion Retil Buildings

29 B-3 B.2 Integrting Incrementl Seismic Rehbilittion into Fcility Mngement Process B.2.1 A Model Fcility Mngement Process for Existing Retil Buildings The typicl fcility mngement process for existing retil buildings consists seven phses ctivities: Acquisition, Redevelopment, Current Building Use, Plnning, Mintennce & Rehbilittion Budgeting, Mintennce & Rehbilittion Funding, nd Mintennce & Rehbilittion Implementtion. Ech phse consists distinct set ctivities s follows: Acquisition: due diligence Redevelopment: cpitl improvement Current Use: fcility occupncy, fcility opertion, fcility mintennce, nd fcility ssessment Plnning: strtegic plnning nd fcility plnning Budgeting: cpitl budgeting, mintennce budgeting, nd insurnce budgeting Funding: finncing cpitl, mintennce, nd insurnce budgets Implementtion: cpitl improvement nd mintennce This process is sequentil, progressing from cquisition through implementtion rehbilittion in ny given building. An owner who hs lrge inventory buildings is likely to hve ongoing ctivities in ll se phses in different buildings. The process is illustrted in following digrm. The Appendix to this mnul, Additionl Informtion on Retil Building Fcility Mngement, contins discussion specific phses nd ctivities rein for owners seeking furr detil on fcility mngement process. This is generlized model subject to locl vrition. In Brief Eleven specific ctivities cn be dded to current fcility mngement process to implement n incrementl seismic rehbilittion progrm. B.2.2 n Incrementl Seismic Rehbilittion Progrm The following 11 ctivities re essentil elements n incrementl seismic rehbilittion progrm for retil buildings, nd cn be dded to fcility mngement process by fcility, risk, nd finncil mngers who implement such progrm. B Due Diligence Anlysis In regions higher nd moderte seismicity, due diligence should include probbilistic nlysis potentil erthquke risks. Such n nlysis considers dmge from erthqukes ll levels intensity, nd will provide informtion on seismic vulnerbilities in building. If building is cquired, due diligence nlysis will provide informtion for initition full seismic ssessment. Probbilistic nlysis, becuse its detil nd scope, will be more expensive thn more simplistic Probble Mximum Loss (PML) nlysis. Incrementl Seismic Rehbilittion Element 1 Due Diligence Anlysis Prt B

30 B-4 Incrementl Seismic Rehbilittion Element 2 Initil Integrtion Opportunities Incrementl Seismic Rehbilittion Element 3 Seismic Screening B Initil Integrtion Opportunities Even if seismic rehbilittion is not mong cpitl improvements being undertken in redevelopment phse, nd even though seismic screening nd evlution my not hve tken plce prior to determintion redevelopment phse cpitl improvements, re my be some seismic rehbilittion increments tht cn be identified with miniml evlution nd nlysis (for exmple, prpet nd gble brcing or nchoring mechnicl equipment). Depending on nture se increments, it my be possible to integrte m with specific cpitl improvements being undertken in this phse. Prt C, Section C.2 should be used to identify such integrtion opportunities. B Seismic Screening Following building cquisition nd initil redevelopment, seismic screening owner s retil building inventory is first step incrementl seismic rehbilittion process. Seismic screening procedures cn be incorported into or fcility ssessment ctivities. Begin with determintion sttus rchivl records. If building plns re vilble, document review for determintion building structure types is first step in seismic screening. The following chrt cn be used to obtin n overll view seismic concerns bsed on seismic hzrd mp in Prt A. Initil Retil Fcility Mnger/ Risk Mnger Screening Seismic Concerns The Federl Emergency Mngement Agency (FEMA) hs developed FEMA 154, Rpid Visul Screening Buildings for Potentil Seismic Hzrds: A Hndbook, Second Edition 1 s guidnce for seismic screening n inventory buildings. It describes technique for identifying reltively more vulnerble buildings in lrge inventory so tht y cn be nlyzed in more detil. The FEMA 154 publiction is ntionlly pplicble nd ddresses ll building types. In some cses, screening will suggest specific seismic rehbilittion opportunities tht do not require dditionl engineering nd risk nlyses. The incorportion seismic screening into ongoing fcility ssessment ctivities requires ssigning screening to pproprite inspectors. If 1 To order this nd or FEMA publictions, you my write to FEMA, PO Box 2012, Jessup, MD ; or you my cll , Mondy Fridy, 8:00.m. 5:00 p.m., estern time; or you my fx your request to Incrementl Seismic Rehbilittion Retil Buildings

31 B-5 inspections re periodiclly crried out in owner s retil buildings for or purposes, such s life sfety, insurnce, occuptionl helth nd sfety, or hzrdous mterils identifiction, it my be possible to ssign seismic screening to sme inspectors with some dditionl trining. Alterntively, seismic screening cn be ssigned to consulting rchitect or engineer. B Seismic Evlution Seismic evlution is n engineering nlysis individul retil buildings. It usully follows seismic screening, when buildings identified s reltively more vulnerble re subjected to more detiled nlysis. However, in some cses, such s when owner s building inventory is smll, seismic evlution individul buildings my be first step incrementl seismic rehbilittion process. Guidnce for seismic evlution buildings is contined in stndrd ASCE 31, 2 Seismic Evlution Existing Buildings, which is bsed on FEMA 310, Hndbook for Seismic Evlution Existing Buildings A Prestndrd. The stndrd provides engineering guidnce on how to evlute ctegories buildings in order to identify deficiencies nd determine effective rehbilittion mesures. Seismic evlution cn be done by owner s pressionl stff or by consulting engineer. B Developing Risk Reduction Policy Convince bord directors to dopt cler policy sttement supporting seismic risk reduction. Such policy should, t minimum, estblish seismic performnce objectives for owner s retil buildings. Seismic performnce objectives define trget performnce building following n erthquke specified intensity. The policy nd objectives should be developed nd documented s prt seismic rehbilittion plnning process. B Seismic Rehbilittion Plnning for Specific Buildings FEMA hs developed engineering guidnce to pln seismic rehbilittion for specific buildings, including FEMA 356, Prestndrd nd Commentry for Seismic Rehbilittion Buildings, which includes specific techniques for nlyzing nd designing effective seismic rehbilittion. The plnning tsk entils four specific fcility plnning subtsks: 1. Estblish seismic trget performnce levels: With coopertion between centrl mngement nd locl fcility mngement, estblish performnce level desired in ech owner s retil buildings following n erthquke. Performnce levels used in FEMA 356 re, in declining level protection: Opertionl Immedite Occupncy Life Sfety Collpse Prevention Incrementl Seismic Rehbilittion Element 4 Seismic Evlution Incrementl Seismic Rehbilittion Element 5 Developing Risk Reduction Policy Incrementl Seismic Rehbilittion Element 6 Seismic Rehbilittion Plnning for Specific Buildings 2 ASCE 31 cn be obtined from Americn Society Civil Engineers t Prt B

32 B-6 Trget Building Performnce Levels nd Rnges This is n expnsion two performnce levels immedite occupncy nd life sfety included in ASCE 31, Seismic Evlution Existing Buildings. The figures dpted from FEMA 356 on this nd following pge demonstrte use se performnce levels. Resonble objectives nd expecttions should be considered for moderte, severe, nd rre gret erthqukes. 2. Prioritize rehbilittion opportunities: Crry out dditionl engineering nd risk nlysis in order to prioritize seismic rehbilittion opportunities identified in seismic evlution in terms risk reduction. ASCE 31 nd FEMA 356 include lists seismic rehbilittion mesures s function common building types. Priorities for se mesures re estblished in terms respective contribution to overll erthquke resistnce structure. Apply worst first pproch. Attend to hevily used sections most vulnerble buildings housing gretest number occupnts, s well s to res housing criticl functions nd equipment. For exmple, higher priorities my be given to rehbilittion res higher humn occupncy, such s movie tres nd resturnts; to res tht fcilitte evcution building in n erthquke, such s lobbies, corridors, stirs, nd exits; nd to res where importnt informtion nd equipment re housed. 3. Define increments: Brek down specific seismic rehbilittion opportunities into discrete incrementl rehbilittion mesures tht mke sense in engineering nd construction terms. When estblishing increments, consider scheduling to minimize disruption to norml retil opertions. Increments tht cn be ccomplished during tennt turnover seem to mke most sense. 4. Integrte with or rehbilittion work: Link ech incrementl rehbilittion mesure with or relted fcility mintennce or cpitl improvement work. The relted work clssifictions my differ from one building owner to nor, but y will fll into following generic ctegories: Building envelope improvements Interior spce reconfigurtion Life sfety nd ccessibility improvements Refinishing nd hzrdous mterils removl Building systems dditions, replcements, nd repirs Additions to existing buildings Tennt work Incrementl Seismic Rehbilittion Retil Buildings

33 B-7 Dmge Control nd Building Performnce Levels Opportunities for project integrtion re listed in Prt C, Section C.2 this mnul. Some exmples opportunities you cn use to link projects re: when ccessing conceled res, when removing finishes nd exposing structurl elements, when performing work in common loction, when shring scffolding nd construction equipment, nd when shring contrctors nd work force. In cse mlls, see recommended ctivity B.2.2.8, Coordinting With Tennt Work, for furr discussion. The four subtsks described bove form n itertive process. The definition nd relted cost estimtion increments, s well s integrtion with or mintennce nd cpitl improvement projects (subtsks 3 nd 4), my led to revision trget performnce levels (subtsk 1) or to specific nlysis crried out s prt subtsk 2. B Stging Seismic Rehbilittion Increments Determine number nd scope incrementl stges tht will be undertken nd length time over which entire rehbilittion strtegy will be implemented. Incrementl Seismic Rehbilittion Element 7 Stging Seismic Rehbilittion Increments Prt B

34 B-8 Estimtes seismic dmge cn be quntified in terms percentge building vlue dmged. Annul seismic dmge is clculted s probble dmge tht cn result in ny yer from ll possible erthqukes. The benefits seismic rehbilittion re quntified s reduction in nnul seismic dmge resulting from specific rehbilittion ctions (lso quntified in terms percentge building vlue). A generlized life-cycle benefit nlysis shows tht incrementl pproches cn return substntil portion expected benefits single-stge seismic rehbilittion crried out now. The schemtic digrm below illustrtes such life-cycle benefit nlysis. The three wide rrows represent benefits single-stge rehbilittion occurring t three points in time: now, in 20 yers, nd in 40 yers. Clerly, lrgest benefit derives from single-stge rehbilittion done now, nd it is designted s 100%. The benefits single-stge rehbilittion done in future must be discounted nd expressed s some percentge lower thn 100%, s represented by decresed rrows. The stepped portion digrm represents incrementl rehbilittion strting soon nd completed in four increments over 20 yers. The benefits future increments must lso be discounted, nd benefit completed incrementl rehbilittion is refore expressed s percentge lower thn 100%, but higher thn single-stge rehbilittion in yer 20. Reducing overll durtion incrementl rehbilittion will increse its benefit, nd extending durtion will decrese it. Incrementl Seismic Rehbilittion Retil Buildings

35 B-9 Incrementl seismic rehbilittion ffords gret flexibility in sequence nd timing ctions when following precutions re kept in mind: It is importnt to get strted s soon s possible. Any erly reduction risk will provide benefit over remining life building. Delying ction extends risk exposure. The incrementl pproch cn be more effective thn delyed, single-stge rehbilittion, s long s one gets strted soon. Even if completion incrementl progrm tkes 10 or 20 yers, most risk reduction benefit is relized. There is wide mrgin error. For exmple, you my unintentionlly increse probbility dmge in first few yers due to n initil rehbilittion increment tht indvertently mkes building more vulnerble to dmge, nd still relize benefit risk reduction if you complete incrementl rehbilittion over resonble period. B Coordinting with Tennt Work Tennt work is usully plnned, funded, nd implemented independently owner work. However, in cse lrge tennts with long-term leses such s nchor stores in mlls, it my be possible for owner s fcility mnger to coordinte plnning nd identifiction integrtion opportunities for seismic rehbilittion increments with tennts. Vrious rrngements my be possible, such s owner coordinting seismic rehbilittion with tennt work within tennt spces, or requesting tennts to implement owner-plnned seismic rehbilittion work within tennt spces. B Budget Pckging The fcility, risk, nd finncil mngers should crefully pln how to present incrementl seismic rehbilittion budgets to mximize probbility ir being pproved, given finncil relities owner orgniztion. The fcility cpitl improvements nd mintennce budget proposls, generted both loclly t building nd centrlly t owner hedqurters, re results fcility plnning process. The budget, however, is lso vehicle for estblishing funding priorities through bord decision, bond issue, or or process. It is unlikely for most retil building owners in United Sttes to be ble to rise funds for comprehensive seismic rehbilittion progrm ll ir buildings. While incrementl rehbilittion pproch ppers to be vible lterntive, in some orgniztions it my be necessry to pckge incrementl seismic rehbilittion with or work in order to get it funded. In regions moderte seismicity nd low seismic wreness (prts New York nd New Englnd, for exmple), it my be useful to concentrte on rehbilittion mesures tht lso reduce risk loss due to or nturl or mn-mde forces, such s high winds or terrorist ttck. Such multihzrd pproch will help justify mitigtion investments. For those prts country where understnding erthquke risk is limited, it my be necessry nd pproprite to combine seismic rehbilittion costs with norml mintennce budgets. Incrementl Seismic Rehbilittion Element 8 Coordinting with Tennt Work Incrementl Seismic Rehbilittion Element 9 Budget Pckging Prt B