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ARCHITECTURAL PRACTICE AND EARTHQUAKE HAZARDS

A Report

of the

Committee on the Architect’s Role in Earthquake Hazard Mitigation

State of California
State Seismic Safety Commission
1755 Creekside Oaks Drive, Suite 100
Sacramento, CA 95833

SSC 91-10
Credits

Seismic Safety Commission


Barbara Cram Riordan Assemblyman Senator Alfred E. Alquist
Chairman Dominic L. Cortese (Chris Lindstrom)
Local Government (Tom White) State Senate
State Assembly
Wilferd W. Peak*
Hal Bernson Paul F. Fratessa Geology
Local Government Structural Engineer
Stanley Scott
Bruce A. Bolt Wilfred D. Iwan Local Government
Seismology Mechanical Engineering
Lloyd S. Cluff William J. Kockelman* James E. Slosson**
Utilities Architecture & Planning Geology
LeRoy Crandall Robert E. McCarthy Patricia Snyder
Soils Engineering Local Government Social Services
Morgan Davis** Gary L. McGavin** William T. Waste*
Insurance Architecture and Planning Insurance
Daniel J. Eberle* James F. McMullen Frances E. Winslow**
Emergency Services Fire Services Emergency Services

Commission Staff
L. Thomas Tobin Rita Darden Ed Hensley
Executive Director Teri DeVriend Richard McCarthy
Marc Firestone Susan Merkel
Brenda Boswell Laura Fowler Brian Stoner
Karen Cogan Kathy Goodell Fred Turner
Tim Cronin James Goodfellow Patrick Tyner

Committee Members
Stanley Scott Eric Elsesser, SE, CE Henry J. Lagorio, AIA
Committee Chairman Forell/Elsesser Engineers, Inc. Center for Environmental Design
Research, University of California,
Berkeley

Christopher Arnold, FAIA Richard Eisner, AIA, AICP Paul R. Neel, FAIA
Building Systems Development, Bay Area Regional Earthquake Board of Architectural Examiners
Inc. Preparedness Project

Gregg Brandow, SE, CE Robert I. Hench, AIA Paul W. Welch, Jr., Hon. CCAIA
Brandow & Johnston Associates The Blurock Partnership California Council of the American
Institute of Architects
*Appointment ended July 15, 1991
** Appointment began November 20, 1991

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Table of Contents
Foreword...................................................................................................................................................1
Introduction...............................................................................................................................................2
The Architect’s Role in Design..........................................................................................................2
The Architect’s Role in Community Leadership ...............................................................................3
Needed: Improved Seismic Awareness and Better Teamwork................................................................4
Design Practice Aids.................................................................................................................................5
Strengthening Seismic Design Practice ....................................................................................................6
Professional Interaction in Seismic Design ..............................................................................................7
Seismic Goals and Expectations ...............................................................................................................10
Seismic Performance Guidelines and Evaluation Reports .......................................................................12
Scope-of-Work Guidelines and Agreements ............................................................................................13
Peer Review of Architectural Firms .........................................................................................................15
Testing and Licensing Architects .............................................................................................................16
The Potentials of Architectural Education ...............................................................................................17
Strengthening Educational Programs .................................................................................................17
Improving Faculty Awareness............................................................................................................17
Promoting Participation in Continuing Education .............................................................................17
Post-Earthquake Roles of Architects ........................................................................................................19
Rapid Screening and Evaluation of Damaged Buildings ...................................................................19
Assistance with Recovery and Reconstruction ..................................................................................19
Earthquake Site Visits—Learning from Earthquakes ........................................................................20
Summary of Recommendations ................................................................................................................21
Introduction ........................................................................................................................................21
Strengthening Architects’ Leadership Roles......................................................................................21
Preparing and Using the References and Resources ..........................................................................21
Professional Interaction in Seismic Design........................................................................................21
Seismic Goals and Expectations ........................................................................................................21
Seismic Performance Guidelines and Evaluation Reports.................................................................21
Scope-of-Work Guidelines and Agreements......................................................................................22
Peer Review of Architectural Firms...................................................................................................22
Testing and Licensing Architects.......................................................................................................22
Realizing the Potentials of Architectural Education ..........................................................................22
Strengthening Educational Programs...........................................................................................22
Improving Faculty Awareness .....................................................................................................22
Promoting Participation in Continuing Education.......................................................................22
Post-Earthquake Roles of Architects..................................................................................................23
Rapid Screening and Evaluation of Damaged Buildings.............................................................23
Assistance With Recovery and Reconstruction...........................................................................23
Earthquake Site Visits—Learning from Earthquakes..................................................................23

Appendices
Appendix A—Acronyms ..........................................................................................................................24
Appendix B—Notes on Terminology.......................................................................................................25

Tables
1. Options for Improving Architectural Seismic Design Practice..........................................6
2. Seismic Design Checklist to Facilitate Architect/Engineer Interaction.......................8-9
3. Seismic Goals and Expectations ................................................................................................11
4. Design Scope-of-Work Guidelines............................................................................................14
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Foreword
This report was prepared to explore roles for More specifically, the committee was asked
architects in seismic design and post-earthquake to:
response, and to consider the kinds of
• Identify ways architects might improve the
relationships between architects, structural
seismic resistance of buildings they design.
engineers, clients and others that can promote
good seismic design and satisfactory building • Identify the kinds of relationships between
performance. The committee also was asked to architects and structural engineers that
identify any additional training or other might promote improvements in seismic
preparation from which architects might benefit, design.
in relation to seismic safety. • Consider how relationships among design
Architects practicing and teaching in professionals, clients, builders, developers
California are a prime audience for the report, and others can facilitate improvements in
although several other audiences should also structural safety.
find it pertinent. Non-architect members of
design teams—structural engineers, civil • Consider roles of architects in the post-
engineers who design structures, and earthquake evaluation of structures.
mechanical and electrical engineers—should • Identify educational needs with respect to
number among the report’s interested readers. seismic concerns and building performance
In addition, owners, builders, those who put up in earthquakes.
the money to finance buildings, and the insurers
of structures and businesses against losses, also The findings and recommendations are
will find the contents highly relevant. Other based on committee discussions and
readers with broader concerns for seismic safety unpublished position papers written by
and earthquake preparedness will be interested committee members. The committee
in ways to encourage improvements in the acknowledges its indebtedness to Mr. Eric
seismic design of structures built in California. Elsesser for his position paper’s contributions,
which were adapted for inclusion in this report.

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Introduction
Architects practicing in California have requirements of the Uniform Building Code may
threefold opportunities to help with seismic not result in an appropriate seismic design for
design and seismic safety policy. First, as key all situations. Careful attention by qualified and
members of design teams, they are in a unique experienced practitioners having a broad
position to identify opportunities for designing knowledge of seismic design is also essential.
and constructing buildings and other facilities to The earthquake resistance of a structure
resist seismic forces. Second, architects can designed by well-qualified practitioners will
assume professional and leadership roles in almost always be superior to that of a building
promoting community awareness and working by designers with less experience in seismic
for earthquake-hazard mitigation. Third, they design.
can have a distinct role in post-earthquake Economic constraints on design and
recovery. construction practices may result in structures
that comply with codes but are nevertheless
The Architect’s Role in Design susceptible to significant damage. They may
As prime design professionals, architects have a cause many severe casualties when an
unique role in design and construction. The earthquake occurs. Even if no lives are lost,
architect is often the only professional with an poorly performing buildings and their contents
overall view of all aspects of the design and can suffer major damage, which can be
construction process. The architect serves the devastating to occupants, e.g., tenants or
client, brings in the structural engineer and other businesses forced to vacate or suspend
engineering specialties, works closely with the operations.
contractor, and ideally, orchestrates the project In the prevailing circumstances, the fees
to facilitate performance and achieve good public and private owners appear willing to pay
results. Architects are therefore in a crucial for architectural engineering work are often
position to influence the seismic safety of insufficient to provide the levels of professional
structures. service needed for adequate attention to seismic
For several reasons this potential is not resistance. Consequently, at the outset the
always fully realized. The opportunity to buyer or owner should understand the
influence a project’s quality and cost is greatest relationship between design and construction
in the earliest phases of the design period, after costs, and the levels of quality control and
which it drops precipitously. Initial decisions building reliability being purchased with the
on a project’s structural concepts can do much fees budgeted.
to determine its ultimate seismic resistance, for While improving building performance is
better or worse. Thus decisions early in the likely to mean some increase in construction and
design period may commit a project to a design costs, these added expenses may not be
building configuration or design concept that significantly more than those of a structure built
makes effective lateral-force resistance difficult to minimal seismic standards. Furthermore,
to achieve. Accordingly, close collaboration typical kinds of earthquake damage are
from the outset between the architect and controllable for very little added expense. In
structural engineer—as well as the mechanical short, owners’ decisions to go for the lowest fee
and electrical engineers—is highly desirable. in design contract negotiations may save little at
A second consideration arises from the beginning, while proving very costly later in
economic pressures in the design and the event of a damaging earthquake.
construction process. In California this is a The recommendations in this report may
particular cause for concern, because of possible clarify important design practice issues and
effects on the seismic resistance of structures. It provide guidance in dealing with major issues.
needs to be more widely understood by owners Implementation of the recommendations may
that simply complying with minimum also strengthen the role of California architects

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in the design and construction process. preserved, and architects can help by mediating
Moreover the recommendations for between the needs of structural retrofit
improvements in practice can reduce exposure technology and the goals of historic and
to damage claims and liability suits due to architectural preservation. Thus they are in a
building failures. Accordingly, this report position to promote improved seismic safety,
merits careful attention by architects practicing while also seeking to maintain intrinsic values
in California, and by all organizations concerned that might be lost.
with earthquake safety. Approaches to seismic hazard abatement
depend on a community’s physical environment,
The Architect’s Role in Community Leadership and its social, economic and political
Architects have many opportunities to advocate circumstances. Influential factors include the
the creation of a more seismically safe prevalence of hazardous buildings, the
environment, help identify existing earthquake availability of alternative affordable housing,
hazards, and avoid the creation of new ones. the demography and composition of the
They can pursue these objectives in cooperation community, economic pressures for
with other design and construction redevelopment, and the ability to obtain
professionals, community organizations, economic and fiscal resources to help pay for
schools, and public and business leaders. Their mitigation of earthquake hazards.
efforts might include advocacy of earthquake Architects can help formulate appropriate
safety in public forums, in addition to mitigation strategies for their communities.
encouraging design and construction projects First, they can work as advocates for sensible
that embody improved standards of lateral-force and prudent seismic safety programs. Second,
resistance. they can help address the needs of displaced
Architects are frequently involved in the residents for affordable housing or alternative
seismic strengthening of existing buildings— commercial space. Third, they can promote
many of which are older structures, some with mitigation plans that respect and preserve the
architectural merit, historic character, or long- historic fabric of the community through
term associations with community life. Where architecturally sensitive retrofit designs. Fourth,
possible, these values should be they can join in multidisciplinary research
efforts to advance new technologies and
directions in earthquake hazard mitigation
activities.
To capitalize on these many opportunities
for playing more effective roles, and to
strengthen the profession’s community and
educational leadership, the California Council,
American Institute of Architects (CCAIA)
should promote a strengthening of architects’
earthquake awareness and knowledge of seismic
design considerations.

3
Needed: Improved Seismic Awareness and Better Teamwork
The seismic resistance of buildings is a major of buildings with enhanced resistance to the
concern in a state prone to earthquakes. The lateral forces of earthquakes.
conceptual stages of a building’s design involve As things stand, some architects may need
decisions by the design team and owner that can to improve their understanding of design
do much to determine a structure’s seismic requirements for improved seismic resistance.
performance. Accordingly, owners, architects Furthermore, working relationships among
and engineers should collaborate closely, owners, architects and engineers may not be
starting at the very beginning of the design sufficiently close. We therefore recommend
process. A good grasp of seismic design steps to improve seismic design practice and to
considerations, plus good architect and engineer promote strengthened architect-engineer
teamwork, can lead to the construction collaboration.

4
Design Practice Aids
Each construction job involves unique Use of such aids could also help design
circumstances, but use of common methods, teams explain to owners and others the level of
procedures, and documentation by design-team building performance in earthquakes that a
members can facilitate better awareness of proposed project budget is likely to buy, and
mutual responsibilities and promote improved what it is not likely to assure. Used in contract
seismic design. Several of these aids are negotiations, such aids may facilitate a better
discussed below, including checklists, guides match between owners’ expectations and
and other sample documents. Their appropriate realistic anticipated building performance.
use by design teams could help clarify task Accordingly professional organizations
assignments, reduce uncertainties, promote representing architects, engineers and owners
teamwork, and improve seismic design. are urged to collaborate in developing and
publicizing the value of and availability of
practice and documentation aids such as those
suggested herein.

5
Strengthening Seismic Design Practice
The uniqueness of every construction project procedures, adapting them to their own
requires the exercise of professional judgment individual approaches. The considerations
and a multitude of design and construction outlined in Table 1 are proposed as options for
decisions. In the interest of strengthening improving design practice, rather than as
seismic design practice, architects should standards of accepted practice.
consider certain concepts and

TABLE 1

Options For Improving Architectural Seismic Design Practice

1. Participate in continuing education programs, with special attention to seismic design and
performance.

2. Participate in post-earthquake site visits to examine damage and study patterns of structural
behavior.

3. Participate in the development of seismic codes and guidelines, work on code committees, and
promote the use of design guidelines.

4. Work with structural engineers who are experienced in seismic design.

5. Develop seismic goals and expectations for each project, jointly with the owner and other members
of the design team. (See Table 3.)

6. Ensure that conceptual and schematic designs are developed with joint architect/engineer
participation.

7. Develop a scope-of-work definition (a division of tasks between architect, engineer and builder) for
incorporation in each architect/engineer contract.

8. Develop formal architect/engineer interaction techniques to deal with basic seismic issues, such as a
professional interaction guide for all critical aspects of design (site characteristics, configuration,
structural system and performance, and nonstructural components). (See Table 2.)

9. Develop seismic performance guidelines and evaluation reports. (See p. 13.)

10. Seek appropriate compensation for seismic design (based on defined scope-of-work and services.)
(See Table 4.)

11. Educate owners on seismic design issues.

12. Educate builders on seismic design issues. Encourage owners to discuss seismic design issues with
builders.

13. Provide independent expert design review for major projects.

6
Professional Interaction in Seismic Design
Architects and engineers, as well as the public, and structural engineers practicing in California
have an interest in close professional interaction are encouraged to consider incorporating
between the members of design teams. versions of these model interaction processes
Adapting model processes of interaction to into their practice manuals. Professional
specific projects, and using common guidelines interaction and agreement also will be furthered
highlighting key seismic design issues needing if principal members of design teams utilize
resolution, may greatly facilitate communication such project checklists. Joint efforts by the
within architect-engineer design teams. (See architectural and structural engineering
checklist, Table 2.) professions could refine and develop such
Consistent and methodical use of such guidelines, explaining their merits to members
guidelines and checklists may materially and promoting their availability to all practicing
improve quality control and seismic-design professionals.
performance. Architects

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TABLE 2

Seismic Design Checklist to Facilitate


Architect/Engineer Interaction

Minor Moderate Significant


Item Issue Issue Issue Resolution

Goals
Life Safety
Damage Control
Continued Post-earthquake Function

Site Characteristics
Near Fault
Ground Failure Possibility
(Landslide, Liquefaction,
Subsidence)
Soft Soil (Long Periods,
Amplification, Duration)
Accessibility (Lifelines,
Access/Egress)
Adjacency (Up-slope or Down-
slope Conditions, Collapse-hazard
Buildings Nearby)

Building Configuration
Height
Size Effect
Architectural Concept
Vertical Discontinuity
Soft Story
Setback
Offset
Resistance Elements
Plan Discontinuity
Re-entrant Corner
Eccentric Mass or Stiffness
Adjacency-Pounding Possibility

Structural System
Dynamic Resonance
Diaphragm Versatility
Torsion
Redundancy
Deformation Compatibility
Out-of-Plane Vibration
Unbalanced Resistance

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TABLE 2
(continued)

Seismic Design Checklist to Facilitate


Architect/Engineer Interaction

Minor Moderate Significant


Item Issue Issue Issue Resolution
Resistance Location
Drift/Interstory Effect
Strong Column/Weak Beam
Condition
Structural Performance
Ductility
Inelastic Demand
Constant or Degrading Stiffness
Damping
Energy Dissipation Capacity
Yield/Fracture Behavior
Special System (e.g., Base Iso.)
Mixed System
Repairability

Nonstructural Components
Cladding, Glazing
Deformation Compatibility
Mounting System
Random Infill
Ceiling Attachment
Partition Attachment
Rigid
Floating
Replaceable Partitions
Stairs
Rigid
Detached
Elevators
MEP Equipment
Special Equipment
Computer/Communications
Equipment
Special Building Contents

9
Seismic Goals and Expectations
Preparation of a statement on seismic goals and ensure that they are fully understood by the
expectations can help design team members and owner and design team. The architectural and
owners agree on goals that are reasonably in line structural engineering professions should
with resources available. Before construction consider collaborating on a manual on the
begins, agreement by the design team and the preparation of such statements.
owner, including the construction manager, if The California Council of the American
involved, on a project’s goals and expectations Institute of Architects (CCAIA) and the
can help achieve the desired level of Structural Engineers Association of California
performance and limit later surprises due to (SEAOC) should encourage the preparation and
unexpected earthquake damage. This objective use of seismic goals and expectations statements
will be promoted by making a seismic goals and on all California projects where such use is
expectations statement part of a project’s considered appropriate. The contents of such
building program documents. statements can then be agreed on by the
See Table 3 for a preparation of goals and principal parties—design team, contractor, and
expectations statements. The architect should owner—and made part of each project’s
organize the discussion of appropriate goals and building program documents.
statements, and

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TABLE 3

Seismic Goals and Expectations

A. Earthquake Performance of Structural Systems

Damage
Earthquake effects No Life Repairable Repairable
Threatening Damage: Damage: No No Significant
Collapse Evacuation Evacuation Damage
Low-Moderate
Mod-Large
Large

B. Earthquake Performance of Non-structural Systems

Damage
Earthquake effects No Life Repairable Repairable
Threatening Damage: Damage: No No Significant
Collapse Evacuation Evacuation Damage
Low-Moderate
Mod-Large
Large

C. Function Continuance: Structural/Nonstructural

Time to Reoccupy
Earthquake effects Immediate
6 months + To 3 months To 2 weeks (hours)
Low-Moderate
Mod-Large
Large

Notes: 1) Effects of Nearby Earthquakes:


Low-Moderate: Up to Richter M 6.5
Moderate-Large: Richter M 6.5-7.5
Large: Richter M 7.5 +
2) Classification of earthquake effects and extent of anticipated damage may be modified by
site conditions—such as poor soils, ground failure potential, or vulnerable adjacent
structures—which may result in stronger shaking and greater damage.

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Seismic Performance Guidelines and Evaluation Reports
Agreement on a project’s seismic goals and
6. What is the degree of drift and deformation
expectations makes possible the preparation of
compatibility?
specific seismic performance guidelines—as
well as a seismic performance evaluation—for 7. If the structure is damaged, how difficult
each building type, configuration, and structural and costly are repairs likely to be?
system under active consideration. Performance 8. Is the building's serviceability and
guidelines and evaluation reports prepared in the continued function an important
early stages of each design project can be used consideration?
in design-team discussions with the owner and
contractor, to facilitate a meeting of minds on 9. Is the site on or adjacent to an active
major issues of seismic design. earthquake fault?
Each seismic performance evaluation can 10. Would the site geology be likely to
present the design-team’s professional opinion increase ground shaking intensity in an
regarding key questions about the structure and earthquake?
the site, such as the following:
11. Is the site stable?
1. Does the structure’s configuration have
important implications for its seismic 12. Is the site subject to liquefaction?
performance? 13. Are the up-slope and down-slope
2. What are the probable linear and nonlinear environments near the site stable?
behaviors of the structure and its principal 14. Are building separations adequate to
components during ground motion? prevent battering (pounding) during an
3. In an earthquake are the building and its earthquake?
main components likely to prove brittle and 15. Are adjacent buildings collapse hazards?
experience degrading behavior, or is
ductile performance and stable behavior a 16. Are hazardous materials stored or used in
reasonable expectation? the vicinity of the site?
4. Is the building likely to exhibit unbalanced 17. Will site access and egress be secure
nonlinear behavior, and if so what are the against earthquake-caused obstruction?
implications for its earthquake 18. Are transportation, communication and
performance? utility lifeline systems vulnerable to
5. What is the structure’s potential for disruption or failure?
dissipating earthquake energy without 19. Is the site in an area that is subject to
suffering undue damage? inundation in case of dam failure, or
susceptible to tsunami or seiche damage or
flooding?

12
Scope-of-Work Guidelines and Agreements
Costs and economic pressures tend to restrict Reducing the likelihood of future claims is
the time made available for design. Working another valuable benefit.
within limited budgets, architects and engineers, Scope-of-work agreements can be based on
while following customary practice, may guidelines such as those in Table 4. Use of such
nevertheless leave some design tasks to guidelines in negotiating agreements may assist
engineers employed by contractors or vendors design professionals in their efforts to convince
(e.g., precast cladding panels, windows, stairs, owners that providing for modest additional
and elevators). At times, unless carefully amounts of professional time during design and
monitored, this can reduce building quality and construction may yield large dividends in the
performance to levels that may be less than long run. Scope-of-work agreements could also
desirable with respect to seismic safety. be valuable tools for architects to use in defining
To enhance performance, all the principal and clarifying their roles in design and
parties—designers, owners, contractors, and construction.
sub-contractors—should clearly understand the The architectural and structural engineering
scope of design work involved in construction professions should be encouraged to develop
projects, and the assignment of responsibilities and publicize the availability of reference
and tasks. Agreement should be reached on the guidelines such as those suggested in Table 4.
budgeting of adequate fees to pay for the CCAIA and SEAOC should be encouraged to
necessary services. Scope-of-work agreements promote use of such guidelines by practicing
seek to allocate and assign tasks properly, and to professionals wherever appropriate, adapted to
budget adequate fees to do what is needed. the unique circumstances of individual projects.
Lack of agreement early in a project’s life may Owners should be encouraged to retain
increase the likelihood of omitting tasks, architects and engineers to monitor the
budgeting insufficient funds for necessary construction processes in all projects. In
design services, or making other compromises negotiations with owners and builders, design
that can adversely affect building quality and teams should be encouraged to seek the
seismic performance. In negotiating such allocation of sufficient funds to pay for
agreements, architects and engineers are appropriate services to improve the seismic
encouraged to educate owners on the benefits of performance of the structures they design,
retaining design teams to observe construction including site review or on-site observation
and review implementation of design, in the during construction. Where it is appropriate,
interest of achieving good structural results scope-of-work agreements should be
through effective quality control. incorporated into building contracts.

13
TABLE 4

Design Scope-of-Work Guidelines


Activity

Shop Field
Construction Item Design Corrdinate Check DWGS Sign/Stamp Review

Foundation SE A G SE SE A,SE

Superstructure
Steel Frame SE A SE SE SE A,SE
Concrete Frame SE A SE SE A,SE
P/T Floors V SE SE SE V,SE
Open Web Joists V SE SE SE V,SE

Cladding
Precast V A,SE SE SE V A,SE
Metal V A SE A V A
Glass V A A A - A

Stairs A,SE A SE SE V,SE A,SE

Elevator V A SE A,SE V A,SE

Ceilings A A SE A A

Equipment V A SE A V,SE A,SE

MEP Systems MEP A SE MEP MEP MEP

Note: This table represents a hypothetical project and should not be taken as a suggestion for
assigning specific responsibilities, which must be uniquely established for each project.

Key: A = Architect
SE = Structural Engineer
MEP = Mechanical, electrical, plumbing services
V = Vendor or manufacturer of prefabricated components
G = Geotechnical Engineer

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Peer Review of Architectural Firms
In addition to encouraging use of consistent safety concerns.
documentation and procedures, some CCAIA’s Professional Liability Project
professions use organizational peer reviews or Steering Committee has issued a highly
performance audits to evaluate the methods and favorable report on peer review, strongly
procedures of individual practitioners and firms. encouraging member firms to consider voluntary
Project-specific peer reviews may also consider participation in peer reviews:
the design and other features of individual
Every design firm, whether a one-person
projects.
firm or a 100-person firm, has something to
In a typical design profession organizational
gain from an objective review of how their
peer review, several experienced architects or
business is managed. Peer review offers
engineers spend several days studying a
the valuable opportunity to gain insight
participant firm’s stated policies and
into how your business practices and
procedures, and comparing them to what is
management techniques are working and
actually being done. Because they are effective
how they could be improved. (“Peer
in improving standards of practice, such
Review,” January 1988)
organizational peer reviews ought to be used
more widely by the design professions.
The CCAIA committee recommended the peer
Some insurance companies already
review program of the American Consulting
recognize the value of peer review in
Engineers Council (ACEC), which focuses on
architecture, offering significant premium
six areas: overall management, development
reductions as incentives for submitting to a peer-
and maintenance of technical competence,
review process, or taking special exams or other
project management, human resources, financial
actions intended to improve performance. For
management, and business development. The
example, the Design Professionals Insurance
Seismic Safety Commission should work jointly
Company (DPIC) reimburses its policyholders
with CCAIA to encourage the inclusion of
for all monies spent for an organizational peer
seismic design considerations in peer review
review up to a maximum of $6,000. An
evaluation procedures. Peer review audits
organizational peer review examines
should include examination of seismic design
policyholder practices in general management,
practice, professional interaction between
professional development, project management,
architects and engineers, and use of the guides
human resources management, financial
and procedures suggested in this report.
management and business development.
The Design Professional’s Insurance
Company also reimburses its structural
engineering policyholders for technical peer
reviews that evaluate individual projects, from
conceptual design through design calculations,
contracts, shop drawing review, and field
observation. All costs of technical peer reviews
of structural engineering firms insured by DPIC
are paid by DPIC. (August 30, 1991 letter from
DPIC)
The architectural and engineering
professions should seek wider use of such
incentives by the insurance industry, based on
peer reviews and other methods of strengthening
standards of practice. Moreover in California it
is imperative that peer reviews include seismic

15
Testing and Licensing Architects
Concern about the inadequacy of the national commission resolved that:
architectural examination in testing on seismic
design prompted California authorities to • “civil engineers practicing in the State of
prepare and administer their own state test. The California must be knowledgeable of and
new California exam was specially formulated be tested on seismic principles to assure the
to include seismic concerns that architects safety and adequacy of facilities they are
designing in earthquake regions should know responsible for,”
about. The exam specifications were rewritten
• “the term ‘seismic principles’ should be
to ensure inclusion of questions demonstrating
interpreted broadly as it applies to a wide
that those admitted to the profession qualify for
variety of civil engineering activities,”
a minimum standard of seismic practice. The
leadership shown by the California Board of • “applicants should demonstrate their
Architectural Examiners (CBAE) is highly understanding of these principles on the
commendable, and California’s action licensing test in a way that is applicable to
subsequently influenced the national real situations,” and
examination in architecture as administered by • “understanding these principles will allow
the National Council of Architectural civil engineers with responsible charge for
Registration Boards (NCARB). project location, design, and construction
The state board should continue to take all to exercise the trust that we, the people of
reasonable steps needed to ensure that all who the State of California, place in them.”
successfully complete the architectural licensing
process authorizing practice in California The resolution was adopted to show
possess high levels of seismic awareness and Commission support for measures to strengthen
competence. It is imperative that all candidates the seismic design portions of the test given to
who acquire licenses for practice in a seismic civil engineering license candidates in
region like California be properly tested for California.
knowledge of the principles of good seismic
The respective California state licensing
design.
boards presently require architects and civil
Prompted in part by the example of CBAE, engineers to limit their practices to areas in
on October 13, 1988, the Seismic Safety which they have demonstrated competence.
Commission adopted Resolution No. 88-2, Both boards, however, need to emphasize the
“Testing of Civil Engineer License Candidates importance of these requirements by vigorously
on Seismic Principles.” In summary, the enforcing all such board rules and actively
promoting greater awareness of the
requirements.

16
The Potentials of Architectural Education
Especially because of California’s earthquake regions.
hazard, architectural education in this state To this end, symposia and seminars should
should give special attention to good seismic be developed to familiarize architectural school
design. It is in the public interest that all faculty members with seismic design, emphasize
architecture students who graduate with a its importance to the architectural profession,
professional degree and enter the profession and facilitate the introduction of seismic
should be familiar with the principles of considerations into design studio work. In
earthquake-resistant design. future recruitment of faculty members for
teaching roles in building technology, structures,
Strengthening Educational Programs and construction, candidates’ qualifications
In the United States, architecture and should include a realistic grasp of seismic
engineering are considered distinct professions design and its importance in California
and follow separate educational careers. For architectural practice.
best results, however, practicing architects and
engineers need to work in close collaboration. Promoting Participation in Continuing
Through joint programs, schools of architecture Education
and engineering can promote early development Continuing education is widely used in many
of architectural students’ understanding of professional fields to keep up with state-of-the-
architect-engineer team relationships and art practice. When practice is changing rapidly,
responsibilities. continuing education is a key way to maintain
Further, the seismic-design awareness of competence and learn specific new methods and
graduating architecture students needs to be procedures. Well-designed and well-attended
strengthened, especially if they are to practice in continuing education programs in architecture
California. Interdisciplinary programs can could help practicing architects become much
educate architecture students in the better informed on seismic design issues. The
fundamentals of good seismic design, the CCAIA’s Professional Liability Project Steering
seismic consequences of various design Committee commented as follows in introducing
decisions, and methods of analyzing structures its report on continuing education for architects:
for seismic resistance. All schools of
architecture that prepare students for practice in ...the architect in practice must continue
California should offer and require adequate his/her education to meet public and client
instruction in the basic principles of seismic expectations of proficiency in rapid legal
design, where possible in collaboration with and technical changes affecting the design
schools of engineering. and construction industry.

CCAIA and its chapters should sponsor


Improving Faculty Awareness
continuing education programs for architects,
Architectural school faculty members are not, and the curricula should include seismic design
however, typically well versed in seismic design as a major topic of instruction. CCAIA,
principles. Moreover the many competing SEAOC, and the Earthquake Engineering
demands on curricula and teaching time have Research Institute (EERI) should collaborate in
limited the attention given to the crucial developing seminars on seismic design
responsibilities of architects for the earthquake involving architects and structural engineers.
resistance of structures they design. Concerted Such programs can improve architect-engineer
efforts are needed to ensure that architecture interaction in design work and strengthen
school faculty become more fully acquainted architects’ understanding of the seismic
with the importance of seismic design and the concerns of structural engineers.
proper role of architects in ensuring the seismic State-mandated participation in continuing
resistance of structures built in earthquake education is often required for relicensing in a
17
number of fields—e.g., health care, accounting, education for architects, primarily to improve
real estate and law. In California and most other the standards of professional practice, and to
states, however, continuing education for reduce liability, litigation and insurance
architects has been voluntary, and participation premiums. Our committee also supports the
not especially strong. concept of mandatory continuing education for
CCAIA’s Professional Liability Committee architects. To implement such a policy,
has recommended that the CCAIA Board of eligibility for relicensing can be conditioned on
Directors consider a policy of mandatory participation in continuing education programs,
continuing which should include instruction in seismic-
design practice and on the need for close
architect-engineer collaboration.
The insurance industry should be
encouraged to expand the use of incentives for
active participation in continuing education,
testing, and peer review programs (see also
above, “Peer Review of Architectural Firms”).
The Seismic Safety Commission should
encourage the insurance industry to include
seismically related questions in any
examinations used to qualify California
architects for premium credits or other
incentives.

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Post-Earthquake Roles of Architects
There are several significant roles architects Accordingly, CCAIA and CBAE, working
could play after damaging earthquakes. These with OES, should be encouraged to continue
roles generally are beyond the training and development of appropriate training programs
experience most architects now have, but with on the rapid screening and evaluation of
appropriate advance preparation they could damaged buildings, and to promote participation
participate actively. Thus architects could help by California architects and other construction
evaluate the safety of damaged structures, and professionals. The ultimate goal should be a
assist recovery and reconstruction efforts. By substantial cadre of architects willing, able and
involving themselves in these roles, architects qualified to join earthquake-damage assessment
can also improve their professional knowledge teams in responding to future earthquake
of seismic safety and building vulnerability. disasters.

Rapid Screening and Evaluation of Assistance with Recovery and


Damaged Buildings Reconstruction
Moderate or large earthquakes in urban areas Following a significant earthquake, damage
may place heavy demands on the design and assessment and environmental impact analysis
construction professions. Damaged buildings by teams of architects, planners, engineers, and
must be identified and screened to guide geotechnical experts can facilitate recovery and
decisions on the safety of continued occupancy reconstruction planning. As team members,
and the need to post some structures as unsafe. architects can help assess a community’s
The demand for rapid screening and the urgent architectural and historical resources, and advise
need for shelter may require help from a broad on alternative strategies for recovery and
segment of the design and construction reconstruction.
professions. Planning for communities devastated by
Previous earthquake experience, good nonearthquake disasters—e.g., Wichita Falls,
advance training, or both, are essential for Texas (tornado); Lynn, Massachusetts (major
proficiency in post-earthquake screening and fire); West Virginia (floods)—has demonstrated
evaluation. Currently the engineering how architects affiliated with the American
community participates in such a training Institute of Architects (AIA), along with other
program with the Office of Emergency Services professionals, can provide valuable support to
(OES), through the Structural Engineers help beleaguered communities develop
Association of California (SEAOC) and the reconstruction ideas.
American Society of Civil Engineers (ASCE). In Multidisciplinary teams supported by AIA’s
1991 CCAIA bacame a participant in OES Regional/Urban Design Assistance Team
volunteer damage assessment programs, training program—brought together for short problem-
courses for architects have been held, and solving charrettes—identify community assets,
architects are now included in the OES plan for resources and limitations, stimulate local
post-earthquake evaluations. This participation thinking, and help community leaders focus on
is highly commendable, and should continue as promising directions for physical and economic
rapidly as possible. recovery. Similar programs sponsored by
Thus architects can also acquire the skills CCAIA were organized after the Coalinga,
needed for effective post-earthquake screening Whittier, and Loma Prieta earthquakes.
and evaluation. With adequate training, they can Such disaster response teams do not need to
make significant contributions to earthquake- draft precise solutions or plans, but can suggest
disaster response. Participation in training and design themes and generic solutions illustrating
post-earthquake site visits are excellent ways to concepts for future reconstruction. These in
increase architects’ seismic knowledge, which turn can stimulate community action in
will also assist them in their regular practice. formulating local reconstruction plans. Perhaps

19
the most important result of such endeavors is special interest in earthquake engineering—have
the positive psychological impact of looking learned a great deal from site visits made to
beyond the immediate destruction toward the examine earthquake damage. Interested
future of a rebuilt city. architects could likewise benefit from
CCAIA and CBAE should promote involvement in such post-disaster investigations.
measures to strengthen California architects’ Accordingly, concerted efforts are needed to
ability to respond quickly and effectively in get more architects to make site visits
helping provide emergency planning and immediately after damaging earthquakes, and to
technical assistance. To this end, state and local attend subsequent debriefings. CCAIA and
chapters of the AIA should join with the CBAE should seek EERI’s advice in developing
National AIA Urban Design and Planning a site-visit program based on the highly
Committee, Regional Urban Design Assistance successful “Learning from Earthquakes”
Teams, in developing architects’ capacity for program, or alternatively, CCAIA members
early response to major disasters, including should participate directly in EERI‘s program.
earthquakes. CCAIA should work actively to further such
efforts, and should recommend that local AIA
Earthquake Site Visits—Learning from chapters use membership meetings and chapter
Earthquakes media to inform members on the value of post-
Site visits immediately after damaging earthquake site investigations and debriefings.
earthquakes are probably the best way to By promoting earthquake site visits and
enhance architects’ awareness of the effects of disseminating post-earthquake information,
seismic forces on various kinds of structures and CCAIA and the CBAE can reach a considerable
designs. Site visits and post-earthquake percentage of the 18,000 practicing architects in
investigations can teach design professionals a California. After major earthquakes, the
great deal about the kinds of structures that are professional organizations and the licensing
vulnerable to failure, as well as those that boards should plan for and sponsor special
perform well in earthquakes. debriefing workshops for design professionals.
Acting both individually and through EERI, Perhaps these could be presented jointly with
SEAOC, and other organizations, many EERI.
structural engineers—particularly those having a For wide dissemination of lessons learned
from earthquakes, the Seismic Safety
Commission should work with CCAIA, CBAE,
EERI, SEAOC and ASCE to sponsor and
promote the preparation of a book on earthquake
damage for use by owners, architects, engineers
and other construction professionals. It should
contain photographs, graphics and text
illustrating and explaining the causes of typical
failures, and recommending ways to avoid them.

20
Summary of Recommendations
collaborate in preparing guidelines on how
Introduction to draw up seismic goals and expectations
Implementation of these recommendations will statements for use in their practice.
significantly strengthen the effectiveness of
architects in earthquake hazard mitigation, and 6. CCAIA and SEAOC should encourage
contribute to good seismic design of buildings architects and structural engineers to adopt
that are able to perform satisfactorily in the practice of preparing seismic goals and
earthquakes. We urge CCAIA, CBAE, SEAOC expectations statements for all significant
and other appropriatre organizations to support projects.
these recommenfdations and help carry them 7. Seismic goals and expectations statements
out. The Commission will periodically monitor should be prepared for all significant
progress, taking further action as needed. building projects in California. We
recommend that each statement’s contents
Strengthening Architects’ Leadership be agreed to by the principal parties—the
Roles design team, the owner and the
contractor—and each statement be
1. The California Council of the American
incorporated into the building program
Institute of Architects (CCAIA) should
documents of each project.
promote architects’ earthquake awareness
and knowledge of seismic safety needs, in
order to strengthen the profession’s Seismic Performance Guidelines and
community and education leadership Evaluation Reports
capabilities. 8. In the early stages of significant California
building projects, architects and engineers
Preparing and Using the References and should be encouraged to collaborate in
Resources preparing seismic performance guidelines
for the alternative designs actively being
2. CCAIA and the Board of Architectural
considered. Owners should be prepared to
Examiners (CBAE), along with the
pay the fees necessary to support the
Structural Engineers Association of
services required.
California (SEAOC) and the Board of
Registration for Professional Engineers and 9. Using the performance guidelines, a
Land Surveyors, should promote use by seismic performance evaluation should be
architects and structural engineers of the prepared for use in discussing building
guidelines, references, performance type, configuration, and structural,
evaluations and other documents nonstructural and mechanical systems with
recommended in this report. the owner/builder.

Professional Interaction in Seismic Design


Scope-of-Work Guidelines and Agreements
3. CCAIA and SEAOC should identify
10. CCAIA and SEAOC should arrange for and
opportunities to strengthen processes of
coordinate the preparation of scope-of-
professional interaction.
work guidelines.
4. CCAIA and SEAOC should identify key
11. CCAIA and SEAOC should actively
seismic design issues of common interest
promote the use of seismic scope-of-work
and concern.
guidelines by practicing professionals in
preparing agreements for appropriate
Seismic Goals and Expectations projects, clearly spelling out task
5. Architects and structural engineers should assignments. It is recommended that,
21
where appropriate, scope-of-work seminars to familiarize architectural school
agreements be included in building faculty members with seismic design,
contracts. emphasizing its importance to the
architectural profession and facilitating the
12. Architects and engineers should encourage
introduction of seismic considerations into
owners to include monitoring and
design studio work.
construction observation in the scope-of-
work of all projects. In negotiations with 19. New faculty members recruited for
owners/builders, design teams are urged to teaching roles in architecture/ building
request the budgeting of sufficient funds to technology should have an understanding
pay for necessary services, including on- of seismic design and its importance for
site observation during construction. architectural practice in California.

Peer Review of Architectural Firms Promoting Participation in Continuing


Education
13. In the interest of improving practice, and
thereby reducing potential liabilities and 20. To improve standards, reduce liability and
lowering insurance premiums, architecture lower insurance premiums, architects are
and structural engineering firms should be encouraged to support continuing
encouraged to submit to peer review. education, including instruction in seismic
design.
14. CCAIA and SEAOC should encourage the
insurance industry to make wider use of 21. CCAIA should encourage continuing
premium incentives based on peer reviews. education programs, and through the local
chapters provide opportunities for
15. The Seismic Safety Commission should architects to participate in voluntary
work jointly with CCAIA and the continuing education.
Consulting Engineers Association of
California (CEAC) in promoting the 22. The Commission should encourage the
inclusion of seismic design considerations insurance industry to expand the use of
in peer review evaluations. premium credits as incentives for active
participation in continuing education,
Testing and Licensing Architects testing, and peer review programs.
Evaluations used to qualify California
16. The California Board of Architectural architects for premium credits should
Examiners (CBAE) should continue to take consider knowledge of seismic design.
all reasonable steps needed to promote high
levels of seismic awareness and 23. CCAIA and SEAOC are urged to
competence on the part of those who collaborate in developing joint seminars on
successfully complete the architectural seismic design, involving architects and
licensing process. structural engineers.

Realizing the Potentials of Architectural Post-Earthquake Roles of Architects


Education Rapid Screening and Evaluation of
Damaged Buildings
Strengthening Educational Programs
24. CCAIA and CBAE should participate
17. All schools of architecture that prepare
strongly in Office of Emergency Services
students for practice in California should
(OES) planning for the rapid evaluation of
provide and require instruction in the basic
damaged buildings, and encourage the
principals of seismic design, and where
participation of interested architects, as
feasible this should be offered in
well as other construction professionals.
collaboration with schools of engineering.
Training programs should be organized in
Improving Faculty Awareness conjunction with other technical groups
involved in the OES plan.
18. The California Council of Architectural
Educators should provide symposia and Assistance With Recovery and

22
Reconstruction with the National AIA Urban Design and
Planning Committee, Regional Urban
25. CCAIA and CBAE should be encouraged
Design Assistance Teams, in developing
to promote measures to strengthen
architects’ capacity to provide emergency
California architects’ ability to provide
technical assistance after earthquakes, as
emergency technical assistance.
well as other major disasters.
26. Local chapters and councils of the AIA
should be encouraged to join Earthquake Site Visits—Learning from
Earthquakes
27. CCAIA and CBAE should seek EERI’s
advice in developing plans for architects’
earthquake site-visits, based on EERI’s
highly successful “Learning from
Earthquakes” program or, alternatively,
should participate directly in the EERI
program. Concerted efforts should be
made to encourage architects’ participation
in post-earthquake site visits and
debriefings.
28. CCAIA and CBAE should be encouraged
to make plans for and sponsor special post-
earthquake debriefing workshops for
architects, perhaps presented jointly with
EERI.
29. The Seismic Safety Commission will work
with CCAIA, CBAE, EERI and SEAOC to
promote the preparation of a book on
earthquake damage for use by architects.
The book should use photographs, graphics
and text to illustrate and explain the causes
of typical structural and nonstructural
failures, and acquaint architects with
effective ways to minimize such failures.

23
Appendix A—Acronyms

ACEC American Consulting Engineer's Council


AIA American Institute of Architecture
AICP American Institute of Certified Planners
ASCE American Society of Civil Engineers
CBAE California Board of Architectural Examiners
CCAIA California Council, American Institute of Architects
CE Civil Engineer
CEAC Consulting Engineers Association of California
DPIC Design Professionals Insurance Company
EERI Earthquake Engineering Research Institute
FAIA Fellow, American Institute of Architects
MEP Mechanical, Electrial, Plumbing
NCARB National Council of Architectural Registration Boards
OES Office of Emergency Services
RUDAT Regional Urban Design Assistance Teams
SE Structural Engineer
SEAOC Structural Engineers Association of California

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Appendix B—Notes on Terminology
A number of terms used in the body of this inadequately separated structures strike each
report have specific meanings. These are briefy other during an earthquake.
discussed below.
Re-entrant corner: Interior corners where
Deformation compatibility: A measure of a wings of irregular buildings adjoin. Stresses
building’s ability to deform during earthquakes concentrate at re-entrant corners during
and accommodate deformations without the earthquakes.
battering and premature failure of building
elements. Richter scale: The most widely used
measure for the magnitude of an earthquake.
Diaphragm: A horizontal, or nearly
horizontal, system acting to transfer lateral Seiche: Oscillation of the surface of water
forces to walls, frames, or other resisting in an enclosed or semi-enclosed basin (lake,
elements. The term “diaphragm” includes bay, or harbor) which can be caused by
horizontal bracing systems. earthquake shaking.

Drift (story drift): The displacement of one Setback: A horizontal offset, such as in the
level relative to the level above or below. plane of an exterior wall.

Ductility: The ability of a material or Settlement: The sinking or lowering of the


combination of materials to withstand repeated gound surface; slope failure.
bending and major deformation without fracture
or failure. Soft story: A relatively flexible story in a
building often at the ground floor where there
Geotech: A geotechnical engineer. are fewer columns, braces, or walls to resist
earthquake forces.
Inelastic demand: A building’s response to
earthquakes that accounts for behavior beyond Subsidence: The sinking or lowering of the
the first onset of damage. ground.

Infill: An unreinforced wall that fills in Tsunami: A sea wave produced by large
parts of a structure’s frame of beams and displacements of the ocean bottom, often the
columns. The interaction of infill walls with result of earthquakes or volcanic activity; also
frames can have a significant impact on the known as a seismic sea wave.
overall seismic response of structures. Infill
walls may also fail during earthquake shaking. Yield stress: The stress at which a building
element will become damaged and no longer
Liquefaction: The transformation of a return to its original shape.
granular material from a solid state into a
liquefied state due to increased pore-water
pressure.

Offset: A discontinuity in a building’s


lateral force path, such as an element that does
not align with the supporting element below.

Pounding: The bumping, battering, or


hammering that occurs when two adjacent

25