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EARTHQUAKEENGINEERINGHAND BOOK
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Forthcoming TitlesEarthquake Engineering Handbook

W.F.Chen and Charles Scawthorn

Transportation Systems Planning: Methods and ApplicationsKonstandinos Goulias

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CRC PRESS

Boca Raton London New York Washington,D.C.

EARTHQUAKE

ENGINEERINGWai-Fah Chen

Charles Scawthorn

EDITED BY

HAND BOOK
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This book contains information obtained from authentic and highly regarded sources. Reprinted material is quoted with

permission, and sources are indicated.A wide variety ofreferences are listed. Reasonable efforts have been made to publish

reliable data and information, but the authors and the publisher cannot assume responsibility for the validity of all materials

or for the consequences of their use.

Neither this book nor any part may be reproduced or transmitted in any form or by any means, electronic or mechanical,

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permission in writing from the publisher.

All rights reserved. Authorization to photocopy items for internal or personal use, or the personal or internal use of specific

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The consent of CRC Press LLC does not extend to copying for general distribution, for promotion, for creating new works,

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Direct all inquiries to CRC Press LLC, 2000 N.W. Corporate Blvd., Boca Raton, Florida 33431.

Trademark Notice: Product or corporate names may be trademarks or registered trademarks, and are used only for

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Visit the CRC Press Web site at www.crcpress.com

2003 by CRC Press LLC

Information contained in this work has been obtained from sources believed to be reliable. ICBO , NCSEA, or their

memberships shall not be responsible for any errors, omissions, or damages arising out of this information. This work is

published with the understanding that ICBO and NCSEA, as copublishers, are supplying information but are not attempting

to render engineering or other professional services. If such services are required, the assistance of an appropriate professional

should be sought.

No claim to original U.S. Government works

International Standard Book Number 0-8493-0068-1Library of Congress Card Number 2002073647

Printed in the United States of America 1 2 3 4 5 6 7 8 9 0

Printed on acid-free paper

Library of Congress Cataloging-in-Publication Data

Earthquake engineering handbook/ edited by Wai-Fah Chen, Charles Scawthorn.

p. cm.(New directions in civil engineering)

Includes bibliographicalreferences and index.

ISBN 0-8493-0068-1 (alk. paper)

1. Earthquake engineeringHandbooks, manuals, etc. I. Chen, Wai-Fah, 1936- II.

Scawthorn, Charles, III. Series.

TA654.6 .E374 2002

624.1'762dc21 2002073647
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Foreword

The International Conference of Building Officials (ICBO) is proud to join CRC Press to co-publish

the Earthquake Engineering Handbook. Known internationally for its development and publication of the

Uniform Building Code(UBC), ICBOs reputation as a leader in seismic codes traces its origin back

to 1927 with its release of the nations first complete model building code. The Earthquake Engineering

Handbook is not only timely, reflecting the most recent research in earthquake engineering, but also

comprehensive, covering more than 30 topics. Written byapanel of internationally known experts, the

Handbookprovides applications and practical information to help solve real-world problems faced by

civil, structural, geotechnical, and environmental engineers. The Handbook also serves as an excellent

resource for researchers and students wishing to extend their knowledge of earthquake engineering.

Editors Wai-Fah Chen, and Charles Scawthorn have donea masterful job of assemblingablue ribbon

panel of authors from both academic and professional engineering communities. The result is abook

that more than lives up to the reputation of the long and outstanding line of engineering handbooks

from CRC Press. The Earthquake Engineering Handbookdoes not just review standard practices, but alsobrings readers quickly up to date on new approaches and innovative techniques.

CRC Press and ICBO would like to thank the National Council of Structural Engineers Associations

(NCSEA) for co-sponsoring this Handbook. NCSEA was founded for the purpose of improving the level

of standard practice for the structural engineering profession throughout the United States and to

represent the profession ona national level.

MarkA.Johnson

Director of Publications and

Product Development, ICBO

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Preface

The Handbook of Earthquake Engineering isa comprehensive reference and resource work covering the

spectrum of disciplines required for mitigation of earthquake effects and design of earthquake-resistant

structures. It has been written with the practitioner in mind. The focus is on a graduate engineer with

a need fora single reference source to keep abreast of new techniques and practices, as well as review

standard practices.

Earthquake engineering requires first of all knowledge of the geologic causes of, and expected shaking,

liquefaction, and other effects that result from,a strong earthquake. It also requiresa good understanding

of the impacts these natural effects have on humankind, ranging from our buildings and other structures

to the entire built and even social environment. In this regard, earthquakes are an almost unique natural

phenomenon, in that they affect virtually everything within a region even to furnishings within a

building, and underground structures.

To this end, the Handbook is divided into five parts. Initially, Part I reviews the basic problem of

earthquakes fromahistorical perspective, provides an overview of the framework within which earth-quake risk is managed and an introduction to dynamics, since earthquakes are most fundamentally a

dynamic process and problem. Part II of the Handbookaddresses the geoscience aspects, covering geology,

tectonics, liquefaction and tsunamis, focusing especially on earthquake strong ground motion.

Parts III and IV cover the broad spectrum of structures, from buildings built of steel, concrete, wood

and masonry, to special structures such asbridges and equipment, to the variety of infrastructure called

lifelinesthat is, the water, power, transportation and other systems and components without which

modern urban society cannot function. Earthquake structural engineering in the last decade has also

seen a burst of new technology intended to avoid rather than resist the forces of earthquakes. These

topics, base isolation and structural control,are also included.

Because earthquakes affect not only the built but also the social environment, in all its aspects, Part

V addresses special topics that the earthquake engineer must be cognizant of, if not indeed be expert in.

An important aspect of this is the social and economic impacts of earthquakes, which in recent years

have assumed increasing importance.

We wish to thank all the authors for their contributions and also to acknowledge the support of

CRC Press.

Wai-Fah Chen

Charles Scawthorn

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Editors

Wai-Fah Chenis presently Dean of the College of Engineering at the

University of Hawaii. He was a George E. Goodwin Distinguished

Professor of Civil Engineering and Head of the Department ofStruc-

tural Engineering at Purdue University from 1976 to 1999.

He received hisB.S. in civil engineering from the National Cheng-

Kung University, Taiwan, in 1959,M.S. in structural engineering from

Lehigh University, Pennsylvania, in 1963, and Ph.D.in solid mechan-

ics from Brown University, Rhode Island, in 1966. He received the

Distinguished Alumnus Award from the National Cheng-Kung Uni-

versity in 1988 and the Distinguished Engineering Alumnus Medal

from Brown University in 1999.

Dr. Chens research interests cover several areas, including consti-

tutive modeling of engineering materials, soil and concrete plasticity,structural connections, and structural stability. He is the recipient of

several national engineering awards, including the Raymond Reese

Research Prize and the Shortridge Hardesty Award, both from the

American Society of Civil Engineers, and the T. R. Higgins Lectureship Award from the American Institute

of Steel Construction. In 1995, he was elected to the U.S. National Academy ofEngineering. In 1997, he

was awarded Honorary Membership by the American Society of Civil Engineers. In 1998, he was elected

to the Academia Sinica (National Academy of Science) in Taiwan.

A widely respected author, Dr. Chen authored and coauthored more than 20 engineering books and

500 technical papers. His books include several classical works such as Limit Analysis and Soil Plasticity

(Elsevier, 1975), the two-volume Theory of Beam-Columns(McGraw-Hill, 197677), Plasticity in Rein-

forced Concrete(McGraw-Hill, 1982), and the two-volume Constitutive Equations for Engineering Materials

(Elsevier, 1994). He currently serves on the editorial boards of more than 10 technical journals. He has

been listed in more than 20 Whos Who publications.

Dr. Chen is the editor-in-chief for the popular 1995 Civil Engineering Handbook, the 1997 Handbook

of Structural Engineering, and the 1999 Bridge Engineering Handbook. He currently serves as the consulting

editor for McGraw-Hills Encyclopedia of Science and Technology.

He has been a longtime member of the Executive Committee of the Structural Stability Research

Council and the Specification Committee of the American Institute of Steel Construction. He has been

a consultant for Exxon Production Research on offshore structures, for Skidmore, Owings, and Merrill

in Chicago on tall steel buildings, and for the World Bank on the Chinese University Development

Projects, among many others.Dr. Chen has taught at Lehigh University, Purdue University, and the University of Hawaii.

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Charles Scawthorn is aSenior Vice President with an international

risk consulting firm. He received his Bachelor of Engineering from

The Cooper Union for the Advancement of Science and Art, New

York; M.S. in structural engineering from Lehigh University, Bethle-

hem, Pennsylvania; and Doctor of Engineering in seismic risk analysis

from Kyoto University, Kyoto, Japan.

In more than 30 years of practice, Dr. Scawthorn has designed and

analyzed buildings and industrial structures and engaged in planning

projects and research in the United States and internationally. These

projects have included structural design of high-rise buildings, off-

shore platforms, and critical facilities such as LNG plants and data

processing and emergency operating centers. These activities have

progressed from the assessment of individual structure risk to that of

complex systems risk and the development of integrated risk reduc-

tion programs. Dr. Scawthorn has assessed organizational and com-

munity risk due to earthquake and other hazards for the Federal Emergency Management Agency

(FEMA), the Office of Emergency Services, and other agencies in the United States, and for national

governments and the World Bank internationally. These projects have ranged from analysis of portfolio

risks for multinational corporations and insurance companies, and regional loss assessments for govern-

ment, to analysis of enterprise-wide risk for multinationals, and design of national insurance programs.

These projects have ranged across the United States, Mid-East, Far East, and Europe.Under funding from the National Science Foundation, the U.S. Geological Survey, FEMA and the

insurance industry, Dr. Scawthorn has developed innovative approaches for the analysis of fires following

earthquakes, optimizing urban land use with respect to natural hazards risk, and seismically reinforcing

low-strength masonry buildings. Much of his decision-oriented and emergency management work on

the spread and mitigation of fires following earthquakes has been performed in conjunction with fire

departments in California, particularly San Francisco. He has been a principal in the development of

techniques for the rapid assessment ofseismic vulnerability,is the original author of the EQEHAZARDTM

software for seismic risk assessment, and was technical lead on the development of a national Flood Loss

Estimation Model for HAZUS, for the National Institute of Building Sciences and FEMA. Dr. Scawthorn

has investigated natural disasters in the United States, Canada, Mexico, Japan, Turkey, and the former

Soviet Union.

Dr. Scawthorn is a Fellow of the American Society of Civil Engineers and a member of various other

professional organizations. He has served on the Scientific Advisory Committee of the National Center

for Earthquake Engineering Research, received the Applied Technology Council s Award of Excellence

for Extraordinary Achievement in Seismic Evaluation of Buildings, and is on the Editorial Board of

Engineering Structuresand the Natural Hazards Review(ASCE). He is the author of over 100 technical

papers as well as a contributor to the McGraw-Hill Yearbook of Science and Technology.

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Contributors

Jorma K. ArrosABS Consulting

Oakland, California

Donald B.BallantyneABS Consulting

Seattle, Washington

Horst G. BrandesDepartment of Civil

Engineering

University of Hawaii

Honolulu, Hawaii

Gilles J. BureauConsulting Engineer

Piedmont, California

Kenneth W. CampbellABS Consulting and EQECAT, Inc.

Portland, Oregon

Kuo-Chun ChangDepartment of Civil Engineering

National Taiwan UniversityTaiwan, China

Wai-Fah ChenUniversity of Hawaii

Honolulu, Hawaii

J. Daniel DolanBrooks Forest Product Research

Center

Department of Wood Science and

Forest ProductsVirginia Polytechnic Institute and

State University

Blacksburg, Virginia

Lian DuanCalifornia Department of

TransportationSacramento, California

Eser DurukalBogacizi University

Kandilli Observatory

Istanbul, Turkey

Ronald T. EguchiImageCat, Inc.

Long Beach, California

Mustafa ErdikBogacizi University

Kandilli Observatory

Istanbul, Turkey

Ronald O. HamburgerSimpson Gumpertz & Heger, Inc.

San Francisco, California

Susumu Iai

Port and Airport ResearchInstitute

Yokosuka, Japan

Hirokazu IemuraGraduate School of Civil

Engineering

Department of Civil Engineering

Systems

Kyoto University

Kyoto, Japan

Gayle S. JohnsonHan-Padron Associates

Oakland, California

James J. JohnsonJames J. Johnson and Associates

Alamo, California

Mahmoud KhaterABS Consulting

Oakland, California

Richard E.KlingnerDepartment of Civil

Engineering

The University of Texas

Austin, Texas

Howard KunreutherWharton School

University of Pennsylvania

Philadelphia, Pennsylvania

David L. McCormickABS Consulting

Oakland, California

Y. L. MoDepartment of Civil and

Environmental Engineering

University of Houston

Houston, Texas

Niaz A.NazirDeSimone Consulting Engineers

San Francisco, California

Michael J. ORourkeDepartment of Civil EngineeringRensselaer Polytechnic Institute

Troy, New York

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KeithA. PorterCivil Engineering Department

California Institute of Technology

Pasadena, California

Mulyo Harris PradonoStructural Dynamics

Laboratory

Department of Civil Engineering

Systems

Kyoto UniversityKyoto, Japan

Richard Roth, Jr.Consulting Casualty Actuary

Huntington Beach, California

Charles ScawthornConsulting Engineer

Berkeley, California

Anschel J. SchiffStanford University

Stanford, California

Hope A.SeligsonABS Consulting

Irvine, California

Guna SelvadurayMaterials Engineering

Department

San Jose State University

San Jose, California

Kimberly I. ShoafSchool of Public Health

University of California at

Los Angeles

Los Angeles, California

Costas SynolakisDepartment of Civil Engineering

University of Southern California

Los Angeles, California

Paul C. ThenhausABS Consulting

Evergreen, Colorado

Yeong-Bin YangDepartment of Civil Engineering

National Taiwan University

Taiwan, China

Jong-Dar YauDepartment of Architecture and

Building Technology

Tamkang University

Taiwan, China

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Contents

SECTION I Fundamentals

1 Earthquakes: A Historical Perspective Charles Scawthorn1.1 Introduction

1.2 Review of Historical Earthquakes

2 Earthquake Risk Management: An Overview Charles Scawthorn2.1 Introduction

2.2 Overview of Earthquake Risk

2.3 Identifying the Assets at Risk

2.4 Earthquake Hazard

2.5 Earthquake Damage and Loss2.6 Mitigation Alternatives

2.7 Earthquake Risk Management Decision-Making

2.8 Earthquake Risk Management Program

2.9 Summary

3 Dynamics of Structures Jorma K. Arros3.1 Introduction

3.2 Single-Degree-of-Freedom System

3.3 Multidegree-of-Freedom Systems

SECTION II Geoscience Aspects

4 Earthquakes: Seismogenesis, Measurement, and DistributionCharles Scawthorn4.1 Introduction

4.2 Causes of Earthquakes and Faulting

4.3 Measurement of Earthquakes

4.4 Global Distribution of Earthquakes

4.5 Characterization of Seismicity

5 Engineering Models of Strong Ground Motion Kenneth W. Campbell5.1 Introduction

5.2 The Attenuation Relation

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8.19 Conclusions

8.20 PSHA Computer Codes

9 Tsunami and Seiche Costas Synolakis9.1 Introduction

9.2 Tsunamis vs. Wind Waves

9.3 Tectonic Tsunami Sources

9.4 Initial Waves Generated by Submarine Landslides

9.5 Exact Solutions of the Shallow-Water (SW) Equations

9.6 Numerical Solutions for Calculating Tsunami Inundation9.7 Harbor and Basin Oscillations

9.8 Tsunami Forces

9.9 Producing Inundation Maps

10 SoilStructure Interaction James J. Johnson10.1 SoilStructure Interaction: Statement of the Problem

10.2 Specification of the Free-Field Ground Motion

10.3 Modeling of the Soil

10.4 SoilStructure Interaction Analysis

10.5 SoilStructure Interaction Response

SECTION III Structural Aspects

11 Building Code Provisions for Seismic Resistance Ronald O. Hamburger11.1 Introduction

11.2 Historical Development

11.3 2000 NEHRP Recommended Provisions

11.4 Performance-Based Design Codes

12 Seismic Design of Steel Structures Ronald O. Hamburger and Niaz A. Nazir12.1 Introduction

12.2 Historic Development and Performance of Steel Structures

12.3 Steel Making and Steel Material

12.4 Structural Systems

12.5 Unbraced Frames

Appendix A: Design Procedure for a Typical Reduced Beam Section-Type Connection

13 Reinforced Concrete Structures Y. L. Mo13.1 Introduction13.2 Basic Concepts

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13.3 Seismic Behavior

13.4 Analytical Models

13.5 Seismic Design

13.6 Seismic Retrofit

14 Precast and Tilt-Up Buildings Charles Scawthorn and David L. McCormick14.1 Introduction

14.2 Precast and Tilt-Up Buildings

14.3 Performance of Precast and Tilt-Up Buildings in Earthquakes

14.4 Code Provisions for Precast and Tilt-Up Buildings14.5 Seismic Evaluation and Rehabilitation of Tilt-Up Buildings

15 Wood Structures J. Daniel Dolan15.1 Introduction

15.2 Wood As a Material

15.3 Seismic Performance of Wood Buildings

15.4 Design Considerations

15.5 Resistance Determination

15.6 Diaphragms

15.7 Shear Walls15.8 Connections

16 Seismic Behavior, Design, and Retrofitting of Masonry Richard E. Klingner16.1 Introduction

16.2 Masonry in the United States

16.3 Performance of Masonry in U.S. Earthquakes

16.4 Fundamental Basis for Seismic Design of Masonry in the United States

16.5 Masonry Design Codes Used in the United States

16.6 Analysis Approaches for Modern U.S. Masonry

16.7 Seismic Retrofitting of Historical Masonry in the United States

17 Base Isolation Yeong-Bin Yang, Kuo-Chun Chang, and Jong-Dar Yau17.1 Introduction

17.2 Philosophy behind Seismic Isolation Systems

17.3 Basic Requirements of Seismic Isolation Systems

17.4 Design Criteria for Isolation Devices

17.5 Design of High Damping Rubber Bearings

17.6 Design of Lead Rubber Bearings

17.7 Design of Friction Pendulum Systems

17.8 Design Examples17.9 Concluding Remarks

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18 Bridges Lian Duan and Wai-Fah Chen18.1 Introduction

18.2 Earthquake Damages to Bridges

18.3 Seismic Design Philosophies

18.4 Seismic Conceptual Design

18.5 Seismic Performance Criteria

18.6 Seismic Design Approaches

18.7 Seismic Analysis and Modeling

18.8 Seismic Detailing Requirements

19 Structural Control Hirokazu Iemura and Mulyo Harris Pradono19.1 Introduction

19.2 Structural Control Concepts

19.3 Structural Control Hardware and Software

19.4 Examples of the Application of Semiactive Control

19.5 Concluding Remarks

20 Equipment and Systems Gayle S. Johnson20.1 Introduction

20.2 Importance of Equipment Seismic Functionality20.3 Historical Performance

20.4 Design Practices

20.5 Code Provisions

20.6 Assessment of Existing Facilities

20.7 Nonstructural Damage

21 Seismic Vulnerability Keith A. Porter21.1 Introduction

21.2 Method 1: Statistical Approach

21.3 Method 2: Expert Opinion21.4 Analytical Methods: General

21.5 Validation of Vulnerability Functions

21.6 Catalog of Vulnerability Functions

21.7 Uses of Vulnerability Functions

21.8 Closing Remarks

SECTION IV Infrastructure Aspects

22 Lifeline Seismic Risk Ronald T. Eguchi22.1 Introduction

22.2 Brief History of Lifeline Earthquake Engineering in the United States

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22.3 Nonlinearity of Earthquakes

22.4 Indirect Economic Losses

22.5 Cost-Effective Mitigation Strategies

22.6 Federal and Industry Lifeline Initiatives

22.7 Lifeline Seismic Risk

23 Buried Pipelines Michael J. ORourke23.1 Introduction

23.2 Pipeline Performance in Past Earthquakes

23.3 PGD Hazard Quantification23.4 Wave Propagation Hazard Quantification

23.5 Pipe Failure Modes and Failure Criterion

23.6 Pipeline Response to Faulting

23.7 Pipeline Response to Longitudinal PGD

23.8 Pipeline Response to Transverse PGD

23.9 Pipeline Response to Wave Propagation

23.10 Countermeasures to Mitigate Seismic Damage

24 Water and Wastewater Systems Donald B. Ballantyne

24.1 Introduction24.2 Performance Objectives

24.3 Analysis Overview

24.4 Hazards

24.5 Pipe Vulnerability and Damage Algorithms

24.6 System Component Vulnerability

24.7 System Assessment

24.8 Mitigation Alternatives

24.9 Summary and Conclusions

25 Electrical Power Systems Anschel J. Schiff25.1 Introduction25.2 Historical Response of Electrical Power Systems to Earthquakes

25.3 Code Provision, Standards and Guidelines for Electrical Systems

25.4 Earthquake Preparedness

25.5 Earthquake Hazard and System Vulnerability Evaluation

25.6 Earthquake Preparedness Disaster-Response Planning

25.7 Earthquake Preparedness Earthquake Mitigation

25.8 Earthquake Preparedness Mitigation


26 Dams and Appurtenant Facilities Gilles J. Bureau26.1 Introduction

26.2 Dams and Earthquakes

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26.3 Seismic Vulnerability of Existing Dams

26.4 Seismic Evaluation of Dams

26.5 Seismic Upgrade of Existing Dams

26.6 Seismic Design of New Dams

26.7 Seismic Instrumentation of Dams

27 Port Structures Susumu Iai27.1 Introduction

27.2 Seismic Response of Port Structures

27.3 Current Seismic Provisions for Port Structures27.4 Seismic Performance-Based Design

27.5 Seismic Performance Evaluation and Analysis

27.6 Methods for Analysis of Retaining/Earth Structures

27.7 Analysis Methods for Open Pile/Frame Structures

SECTION V Special Topics

28 Human Impacts of Earthquakes Hope A. Seligson and Kimberley I. Shoaf28.1 Introduction28.2 Casualties in Historic Earthquakes

28.3 A Standardized Earthquake Injury Classification Scheme

28.4 Casualty Estimation Methodology

28.5 Casualty Mitigation and Prevention

28.6 Public Health Impacts

28.7 Shelter Requirements


29 Fire Following Earthquakes Charles Scawthorn29.1 Introduction29.2 Fires following Selected Earthquakes

29.3 Analysis

29.4 Mitigation

29.5 Conclusion

30 Hazardous Materials: Earthquake-Caused Incidentsand Mitigation Approaches Guna Selvaduray30.1 Introduction and Significance of Earthquake-Caused Hazardous Materials Incidents

30.2 The Loma Prieta Earthquake

30.3 The Northridge Earthquake30.4 The Hanshin-Awaji Earthquake

30.5 Earthquake-Caused HAZMAT Incidents at Educational Institutions and Laboratories

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30.6 Damage and Corrective Actions at Japanese Petroleum Facilities

30.7 Lessons Learned

30.8 Mitigation Approaches

30.9 Problem Areas That Must Be Addressed

30.10 Conclusions

31 Loss Estimation Mahmoud Khater, Charles Scawthorn and James J. Johnson31.1 Introduction and Overview

31.2 Why Do We Need Loss Estimation?

31.3 History of Loss Estimation31.4 Loss Modeling

31.5 The Hazard Module

31.6 Seismic Vulnerability Models

31.7 Damage and Loss Estimation

31.8 HAZUSEarthquake Loss Estimation Software

31.9 Applications of Loss Estimation

32 Insurance and Financial Risk Transfer Charles Scawthorn, Howard Kunreuther,and Richard Roth, Jr.

32.1 Introduction32.2 Insurance and the Insurance Industry

32.3 Earthquake Insurance

32.4 Earthquake Insurance Risk Assessment

32.5 Government Earthquake Insurance Pools

32.6 Alternative Risk Transfer

32.7 Summary

33 Emergency Planning Charles Scawthorn33.1 Introduction

33.2 Planning for Emergencies33.3 Writing the Emergency Plan

33.4 The Emergency Operations Center (EOC)

33.5 Training and Maintenance of the Emergency Plan

33.6 Summary: Developing an Emergency Plan

Appendix A

Appendix B

34 Developing an Earthquake Mitigation Program Charles Scawthorn34.1 Introduction

34.2 Overview of an Earthquake Mitigation Program34.3 Phase 0: Pre-Program Activities

34.4 Phase 1: Assessing the Problem

34.5 Phase 2: Developing the Program

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34.6 Phase 3: Implementing the Program

34.7 Maintaining the Program


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