OES State of California - Business Resumption Planning Guidelines

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' ES -IFOaNI.*~ c . e - . : Earthquake Program

BUSINESS RESUMPTIONPLANNING GUIDELINES

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BUSINESS RESUMPTION PLANNING GUIDELINES

June. 1993

California Office of Emergency Services Earthquake Program

Coastal Region101 8th Street Southern RegIon1110 E. Green Street

Southern Region117 W. MicheltorenaSuite 152 Suite 300 Suite DOakland. CA 94607 Pasadena. CA 91106 Santa Barbara. CA 93101(510) 5402713 (818) 304-8383 (805) 5681207


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The work t h ~ provided the basis for this publicatIOn ....as supported by joint funding through a cooperatiagreement belween the Federal Emergency Management Agency and the State of California Governor's OffofEmergency Services. The recommendations and suggestions included in thisdocumentare intended to improeanhquake preparedness, response and mitigation. The contents do not necessarily reflect the views and policof the Federal Emergency Management Agency, me Governor's Office of Emergency Services and do nguarantee the safetyofany individual. structure or factht y n an earthquake. Neither the United States nor the Stof Califomia assumes liability for any injury. death or property damage which occurs in connection witheanhquake.


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IV. DATA PROCESSING AND INFORMATION SERVICES 25-Mainframe Back Strategies-Dealing with yendors-Recovery ofNon-Mainframes-Considerations in Planning

V. TESTING AND MAINTAINING THE PLAN 31-Infonnation Services Testing-Disaster Simulation/Organization Wide Testing

VI. FROM RECOVERY TO RESTORATION 37-Inventory-Insurance-Facilities

VII. CONCLUSION 40

IV


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ACKNOWLEDGMENTS

The Governor's Office of Emergency Services. Eanhquake Program. Southern Region andCoastal Region would like to thank the author of these guidelines. Paul Coleman. Undercontract to the former Southern California Earthquake Preparedness Project. Governor'sOffice of Emergency Services, he developed and revised them. Coleman is currently one ofthe Coordinators of Disaster Contingency Planning for Kaiser Permanente's SouthernCalifornia Region. a health maintenance organization comprising ten medical centers, 85buildings. 35.000 employees. and 2.3 million members. Prior to taking his position atKaiser. he was part of the Business Resumption Planning group at First Interstate Bank.where he helped direct the recovery from the high-rise flre in the bank's headquarters in1988. as well as recovery after the 1989 Lorna Prieta eanhquake.


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INTRODUCTIONRecent disasters highlight the need for business resumption planning. Damage and business disruptioresulting from high-rise f i r ~ . hurricanes, earthquakes and telecommunications problems have showmanagers that businessrecQve.rYplanning is a necessity. not a luxury. Developing a plan that allows yobusiness to resume operations as soon as possible is a fonn of insurance coverage.

A recent study revealed that: The average company will lose 2-3 percent of its gross wes within eight days of a

sustained computer outage. The average company that experiences a computer outage lasting longer than 10 days

will never fully recover. Fifty percent will be out of business within five years.Despite these facts and the numerous disasters that have occu.rred recently. few organizations have takbusiness resumption planning seriously. Some organizations produce voluminous plans that sitshelves and are not tested. personnel have never been trained. and there is no real management financial commitment to the process.Advances in technology and our growing dependency in using computers have made companies angovernment agencies more vulnerable to disasters. Senior management must commit to developiviable plans. maintaining and testing them as pan of a dynamic process. If a plan is not "living" a

changing. it soon becomes obsolete.These business resumption planning guidelines are designed to provide managers and planners withgeneric set of guidelines for building an effective business recovery plan. They are equally applicabto either the public or private sector. They fulfill a need, because published material on the subjecteither too detailed and technical or too brief and simplified. This document provides a road map fbusiness recovery .

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OVERVIEW OF BUSINESS RESUMPTION

PLA!'INING


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I. OVERVIEW OF BVSINESS RESUMPTION PLANNINGWhat is Business R e s u m p t i o ~ Planning?Business Resumption Planning (BRP) is the process of developing the capability to offset the effects ofa disruption of business. The process involves arranging alternatives for critical business functions andplanning for business or service survival.Objectives of Business Resumption Planning

Resume critical operations within a specified time after a disaster. Minimize financial loss. Minimize interruptions to business operations. Assure clients/customers that their interests are protected. Limit the severity of the disruption. Expedite the restoration of services as quickly as possible. Establish awareness so that management and staff understand the implications of a

disaster on services. Maintain a positive image of the organization.Management and Organizational Commitment

Commitment and financial suppon from owners and senior management are critical to the success of theeffon. This commitment must include:

Providing funds and resources. Assigning staff for planning and training. Obtaining commitment and suppon from middle management. Getting cooperation from user departments. Setting priorities for planning. Reviewing the development of the planning process. Testing plans. Establishing accountability for the planmng.

Plan Scope and AssumptionsThe scope of the plan must be addressed before planning can begin. Identify realistic assumptions toguide the planning process. What assumptions can be made aoout your organization in the process ofplanning for recovery? What is the scope of the recovery for which you are planning?The plan should be simple, flexible and based on reallSlIC assumptions. The plan provides for continuity.the use ofexisting resources and delegates authority while malO taining control. It coordinates the variouselements of response and provides necessary orgamzalion .

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Sample assumptions: Planning as_sumptions should be based on likely events. The plan is designed to address long term business outage. as well as shon term

outages. The orgar.ization can expect some inconvenience and financial loss if the disaster is

severe. Planning will include all information services departments. Key computer applications win be operational within a 48 hour period after the

disaster. The plan will address a "worst case scenario" such as a large magnitude regional

earthquake. Utilities will be affected. Backup power will be available immediately for the critical

functions. (A risk assessment of facilities can help guide the assumptions.) There will be limited telephone capability in the affected areas for 3-4 days. Mail delivery may be delayed. A percentage of staff will be unavailable for 48 hours. (Staff availability will be based

on regional planning scenarios. employee home locations relative to the disaster. shiftpatterns. and past experience.) Payroll will be processed the same as the previous run. Backup files will be available from offsite storage within 24 hours. The backup data center will be fully operational 48 hours after a major disaster.

Pitfalls and Weaknesses in Disaster Planning Lack of integration of emergency preparedness and business recovery planning. Lack of integration of disaster planning into the management system of the organi

zation. Key managers are not involved in the planning process. Senior management is not committed. flexible. or expects too much too fast. Budgeting is inadequate or not properly allocated . Too much is attempted quickly. Planning is not coordinated by a centralized entity. or is too centralized to be

disseminated throughout the organization. Lack of a "big picture" view and/or lack of knowledge of the culture of the

organization and its recovery needs. Information is not collected systematically. Infonnation is not disseminated systematically. Recovery teams are not trained or their responsibilities are not detailed enough. Risk/hazard assessment is insufficient. Plan is not tested. updated and maintained as a "living" plan. Users are not integrated properly into the planning process. Not enough liaison with local entities. Lack of urgency about emergency planning in critical areas of the organization. Confusion about roles in an emergency.

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Real Life DisastersIt is critical that disaster recov_ery planners examine the lessOIls from real life ex.amples of effective andineffective business recovery e ~ ~ n s and apply the lessons to their own planning effons.In the last decade tremendous advances in technology have made business easier to conduct. However,with this increased dependence on technology, there has been a corresponding increase in the riskassociated with disasters. In many cases, it is not possible to return to the manual way of processing. Evenif it were possible, in some cases the volume of processing is so great that manual processing would bevery difficult.Several disasters have focused attention on disaster plan[ting. One of the most effective examples ofbusiness recovery was the response of First Interstate Bank to the high-rise ftre in its 62 storyheadquaners building in May, 1988. The rapid recovery by the Bank demonstrated the value of businessresumption planning, and funher demonstrated that effective business recovery planning is possiblewhen the process is taken seriously by senior management. This commitment is reflected in adequatebudgets and resources for the planning effon

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THE PLANNING PROCESS


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.' n. THE PLANNING PROCESSThe ProcessThe business resumption planning process is intended to promote readiness in the organization.process can be divided into three phases -planning, preparation and maintenance. The critical funcof the organization should be determined through a business impact analysis. Methods to reducpossible losses should be developed, and resources such as equipment and personnel should be traiidentified and procured to implement recovery.The phases are:Senior management and users must be integrated into the process. Planning decisions must be weiagainst projected recovery costs so that decisions are cost effective. Provisions must be in placmonitor plan development and to insure the timely completion of the steps involved. The plan mukept up to date in order to be useful.The planning process for business resumption Includes six primary steps:

Business impact analysis. Recovery strategies. Cost options. Data gathering or minimum requirements. Testing. Maintenance.Business Impact Analysis (BIA)The business impact analysis is designed to insure a thorough understanding of the vital busfunctions and systems within the organization. The impact of loss of these vital functions muidentified. evaluated and categorized according to time within the recovery period. Based oninfonnation and analysis, the recovery priorities can be set.Business impact analysis drives the planning solUllons for recovery. Without an accurate analysiorganization might adopt a recovery strategy thJt 1 far too generalized and not responsive to operatneeds. It is very difficult to balance the cost ~ n e f 1 t of resumption planning without understandinloss potential resulting from a disaster.The business impact analysis can be a difficu It and ') u bJective process. It is not easy to estimate the of losing a business function or a system for a "pee 1fled period of time, but it can be done. Someto approach it:

Set a time limit for the process If It takes too long. the infonnation may becomobsolete by the time you finish . Use worksheets or questionnaires to help gather data.Page 7


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Quantitative measures of critical functiuns may be useful depending on the type oforganization and -functions. Break down potential losses into timeframes, i.e. one day, five days, ten days, etc. Differentiate between potential losses "with a plan" and "without a plan". Even witha plan, some losses might be expected. Assess any non financial considerations in not operating, i.e. loss of customer

confidence, lack of services provided. etc. Detennine whether there will be penalties if the functions do not operate. Will

compensation have to be paid?' Detennine regulatory problems if functions do not operate. Will reimbursements not

occur if reponing does not occur? Detennine costs associated with the reconstruction of vital records. Will there be

potential income loss? Will new business be cunailed? Identify interdependencies between business functions. Will the dysfunction of one

impact others? Detennine worst case assumption in tenns of loss. Detennine whether insurance coverage will offset potential losses. With a plan?

Without a plan?A completed business impact analysis should be reviewed and verified by users and management. Thisplanning tool may be used to prioritize critical functions and systems during recovery.

Recovery Strategy Critical Business FunctionsThe next step in the process is developing a recovery strategy based on the business impact analysISIdentify resources required to suppon critical functions. Business functions should be defined andprioritized in tenns of specific activities.Consider the following:

How the application or function is currently processed. The required timeframe to complete the processing cycle. The necessary staffing to carry out processing. The ponions of the system or function that must be performed and the interrelation

ships with other functions. Procedures used.

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Equipment used. Telecommunications considerations. The degree,to which processing can be reduced.

Cost 0 ptionsOnce the business impact analysis has been completed and the recovery strategy has been outlinexamine recovery costs against the potential losses. Research the generic resources needed for recoveand combine them with the costs each specific unit anticipates. What will be the cost for hardwasoftware? telecommunications? travel? Weigh anticipated costs against the potential losses. andwarranted. implement the recovery strategy.Data GatheringfMinimum RequirementsThe unit responsible for each critical function should identify minimum requirements for recovery. Tcan be an exhaustive (depending on the size of the organization) process. Minimum operatrequirements are needed for the following items:

Computers -Processing capability. -Storage capacity. -Peripherals and special equipment. -Network/te lecommunications -Processing equipment. Software-Operating systems and suppon software.-Teleprocessing.-Data management.-Applications. Data and Documentation-Input requirements.-Backup master files.-Minimum repons.-Interfaces and dependencies with other systems.

Communications -Data. -Voice.

Personnel Facilities Transportation Forms and Supplies Utilities -Electrical power.

-Water -HVAC.

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Recovery Strategy Alternate Business ProceduresRecovery strategies can be validate-d based on the minimum resources and cost options. What is the bestway to provide for the recovery? Some alternatives:

Manual processing Service bureau agreements Reciprocal or mutual aid agreements Panicipation in a shared facility, such as provided by vendors In-house backup at another facilityConsider the following criteria when evaluating your final recovery strategy:

Location - in relation to other businesses or clients Recovery timeframes Internal control Reliability C ~ p a c i t y Personnel availability Security Practicality Cost

Selection of a viable recovery strategy should take into account the following key elements: The business impact analysis. including the critical applications/functions Expected time line for recovery Backup site description infonnation Cost summary

Organization and staffing requirements Testing and MaintenanceTesting and maintaining the plan is a critical component of business resumption planning (addressed inSection V). Testing is done to insure that critical functions can be perfonned after a disaster. Testingcan be expensive and time consuming; therefore it must be well planned. The type and extent of testing- application. system, business function, etc. - will vary from organization to organization.Organization of the Planning EffortThe organization of the planning effort is critical to its success. The overall development and continuityof the business resumption plan are based on the delegation of specific responsibilities and authority tothe planning group and planning representatives in the critical areas.One key to success is having the critical areas "take ownership" for their recovery plans. It is theresponsibility of the planning group to coordinate the development, testing, and maintenance of the plan

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- and to obca.in management decisions on kt:y issues.Generally. it is a good idea to fonn a "steerins committee" (which may be comprised of senior managto set policy and give direction to the planning group, An active. well-infonned steering committeebe extremely v a J u a b l e - i n d . ~ i n make the difference between winning middle management and semanagement suppon and simply treading water. A user committee that is a representative of the crareas is also indispensable in implementing and developing the plan. The user committee shouldworking body that meets more frequently than the steering comminee, although much of its workbe done on an infonnal basis.Functions of the Planning group include:

Insuring that the environment is created to sustain business after a disruption. Assuring plan consistency. Coordinating testing. Acting as interface between data processing and business functions. Following up on deficiencies in planning. Developing plan methodology. Coordinating recovery locations. Fonning the emergency management organization to direct the response and recov

ery. Training personnel in the recovery plan. Coordinating with all involved depanments. Reponing to and interfacing with senior management. Re-assessing the plan periodically. Directing the business recovery of the organization as necessary.

., Specific planning group tasks include: Scheduling and coordinating meetings. Developing policy. Coordinating and implementing the plan on an organization-wide basis. Delegating and directing tasks to be performed by critical users. Consulting with users and defining needed data gathering. Evaluating business case options. Preparing repons for all levels of the organization. Managing tests.

The planning group should be seen as internal consultants to the organization. It is ultimately responfor the integration of recovery strategies to insure they are consistent in fonnat quality and that thework in concen with each other to insure the recovery of the organization.

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Self Review Checklist

1. Has your organization developed criteria for determining the imponance of busi-ness functions?

2. Have all business functions been assessed?3. Does the assessment include an estimate of potential losses over time intervals?4. Do the loss estimates consider intangible losses?5. Has a list of critical business functions and applications been developed and

documented?6. Has the list been formally reviewed and periodically updated?7. Have the resources required to backup critical functions been identified?8. Are strategies in place for recovery of critical business functions?9. Are the recovery strategies properly documented? 10 Have the strategies been reviewed and approved by senior management? 11. Does the backup facility have the necessary resources?12. Can the resources be traIlsponed to the necessary recovery .locations in an accept-

able timeframe?13. Are master files, backup files. etc. in place for recovery?14. Have all critical functions and applications been tested?15. Is the plan maintained and up to date?16. Are facilitieslsttuctures secure, and how has vulnerability to eanhquakes, fires, and

other disasters been mitigated?17. Have the possible effects of loss of power, water, and HV AC been adequatelyaddressed?

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llL ELEMENTSOFTHEPLANAn effective business recovery plan includes three elements - recovery teams. the activation process, athe integration of these e l e ~ e n t s with the documented recovery strategies.Recovery TeamsRecovery teams are responsible for executing the plan. Specific team functions. responsibilities. ar e p o n ~ n g structure have to be clearly established before an event occurs. Recovery teams are usuacomposedof individuals from critical areas, as well as from management and suppon areas. The recoveteam structure must be flexi ble enough to allow alternates to replace primary team members if necessaProcedures should be in place to have employees who are familiar with critical business functions notsenior management about developing problems. Managers should be responsible for having themployees' home phone numbers and pager numbers available at all times. Business recovery teashould be a separate structure from emergency response/life safety teams. as individuals cannot perfoboth functions simultaneously or efficiently.Recovery team documentation involves:

Function - Generic team function no matter what event occurs Script - Activities of the team based on a specific scenario

There are several approaches to developing and staffing recovery teams. Depending on the. size aresources available to the organization. it might be appropriate to develop generic teams, i.e. damaassessment team, management learn. operations team. etc. However. in medium to large sorganizations, this generic structure will be too general. Teams will need to be based on the actbusiness function itself, i.e.the management of a panicular business function. Here are some suggestions for recovery teams tmay be needed:

Policy/Senior Management. Audit. legaL Finance. Customer/Client Services. Security. Public Affairs. Human Resources. Facilities. Infonnation Services. Transponation. Emergency Operations Center (planning group included).

More specific teams may include: System software.

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Specific application teams. Telecommunications. Hardware. Purchasing/S u p p l i e ~ ... Systems development. Insurance. Restoration/salvage.

The following is an example of the functions that a Public Affairs team might perform: Handle media relations and encourage a positive public perception of the organization. Insure that the press has access to the organization's media spokespersons andlocations. Help in the creation of consumer affairs subteam if appropriate. Respond with facts to aid in rumor control. Issue bulletins to media. Answer inquiries from many different sources. Inform the Emergency Operations Center regularly about operations. Interface with senior management in forging correct policies. Establish a central point for Public Affairs to operate.

Scripts developed by a recovery team should anticipate likely events to occur. Examples might include: A disastrous regional event, such as a large magnitude eanhquake, hurricane. etc. A severe localized event, such as a devastating building fire. An internal disaster, such as computers going down, water pipe bursting, etc. A telephone or power outage.

Based on five or ten scenarios, establish recovery scripts for each event, detailing step-by-step what theteams would do. Be sure to include different scenarios for night and day, i.e. one scenario for 3 PM andone scenario for 3 AM, as well as scenarios for headquaners operations versus field operations.Whether business function or application testing, recovery team training should be done simultaneouslywith the testing ofplans. Business function testing rnay be in the context ofan organization wide disasterexercise which is discussed in more detail in another section.Recovery Team ActivationHow will recovery teams be activated? Who is responsible for declaring an emergency situation andmobilizing the teams? Decide who can activate the teams and how this will be done, especially ifcommunications are compromised in the area. It is critical that phone notification lists. commonlyreferred to as "call trees", be in place, up to date, accessible and kept in safe storage by all appropriatepersonnel.Business resumption planning may take several years to put in place. "Call trees" should be an interimprocedure put in place as quickly as possible. Recovery scripts or checklists are other items that should

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be put in place relatively quickly. Each individual recovery team member should have his/her "call tree'responsibilities detailed before any event, and an alternate should be designated for each set of callsbe made, in case the primary is not available. Consider giving individuals their list of calls only, or yomay give them the entire '-'cal.1tree" structure but only with phone numbers for their team "tree", If thorganization is not too large, each recovery team member may receive the entire "call tree" with all phonnumbers.Flowchans may be used to document the information flow, or recovery team structure. Rowchans auseful only if they are simple and easy to understand, One approach to documenting recovery teastructure is lO use a simple organization chan approach to show ! ~ a r n s , with a larger scale chart for thoverall structure, and individual pages with subteams if appropriate. A numbering structure can hekeep track of teams if the organization is large. For example. the Policy Team can be 1.0. and ansubteams such as Legal and Public Affairs could be 1.1 and 1.2, respectively.Recovery teams should be trained and equipped to deal with difficult situations. This can mean outfittinthem with hardhats, vests, and other equipment that they could, for example. keep in the trunks of thecars. It is helpful to provide recovery tearn members with special emergency or disaster identificatiophoto cards.Plan ElementsRecovery strategies for business functions must be coordinated with critical support services, which wbe necessary after almost any disaster.Logistics!Transportation - This department will be responsible for the transportation of personnel anphysical data and items. It handles the coordination of couriers and mail distribution i f items have totransported from one location to another. To facilitate the movement of physical datalinfonnatiocategories should be established and prioritized priority items, interoffice items, and low priority itemEmployees may have to be designated as couriers if the regular couriers are not available. After a disastethe potential for fraud increases, thereby creating the need for verification of couriersor employees actinas couriers. Cour iers and deliveries should be reduced to essential i tems only in a disaster situation.Facilities Facilities will generally be responSible for leasing facilities, acquiring property and siconstruction or reconstruction. They may also be responsible for building maintenance. Managers aresponsible for taking appropriate steps to minimize hazards and insuring that buildings meet codes, hasprinklers, backup generators, etc. After a disaster. Facilities will be responsible for managing acoordinating damage assessment and repair issues Other functions may include:

Establishing priorities in damage assessment and repair. Obtaining approval for access to certam buildings. CoUecting damage assessment repons from various sources. Retaining architects, structural engIneers, and other necessary vendors. Assessing the operational capacity of facilities and estimating repair timeframes. Reporting damage to the Emergency Operations Center. Validating temporary space needs. Negotiating flexible lease terms.

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.' If critical data is not back.ed up regularly according to a set and synchronized schedule, utilizing offsistorage will be of little use.Human Resources (HR) -.:Staffing is critical to the recovery process. Oftentimes. human resourcesnot included in the planning process, which is a serious mistake. HR should be responsible for marecovery issues:

Scheduling staff to work as needed and insuring relief rotation for staff is adequate. Locating qualified staff from non-critical areas to work. in critical areas. Procuring staff from temporary agencies and state employment agencies. Tracking and monitoring employees for assignment or reassignment. Working in the EOC to coordinate HR issues. Developing staff notification and reporting procedures in concen with the planninggroup.

Monitoring the status of employees after a disaster. Coordinating transponation ofemployees to different work. locations in concert withthe Transponation Depanment. Taking care of employees' temporary housing needs if homeless or relocated.. Dealing with provisions for meals for relocated employees. Dealing with employees ' expenses during and after relocation. Controlling. monitoring and tracking employee work hours. Dealing with family suppon issues for relocated or otherwise displaced employees. Mitigating the psychological effects of the disaster on employees through counseling

and/or employee assistance. Monitoring and guiding compensation, expenses, per diems, telephone usage. andgeneral relocation issues. Orienting new employees in disaster preparedness before an event occurs.Accounting and Control- This critical function encompasses many pansof an organization.including:

Finance. Insurance. Legal. Inventory. Audit. Damage documentation and reimbursement procedures

Finance and Insurance functions may include: Reviewing insurance coverage with Audit. Facilities, and Legal to detennine appropriate levels of coverage. including exclusions and limits (business inteffilpnon insurance should be considered). Creating subteams as appropriate Activating "extra expense" units as appropriate to track. disaster expenses separatelyfrom normal operating expenses. Divide extra expense into overtime. temporary

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help, temporary space, equipment. moving costs. and other miscellaneous COSts. Reviewing accounting implications of any disaster, including taxes. Handling third p4fty ~ l a i m s for personal injury, propeny damage, business interruption. etc. Liaison with outside counsels, insurance adjusters. insurance brokers. consultants,

cleaning and restoration companies. Managing the inventory process, setting up filing systems, resolving issues of loss,

filing proofof loss, settling and negotiating with insurance companies, and accounting for losses. Addressing financial issues affecting the company that normally fall under thepurview of Finance.

Audit responsibilities may include: Insuring that processing. procedures, and controls used during recovery are adequate. Determining if previously used functions need to be modified. Identifying and resolving issues relating to security and control for alternate process

ing. Auditing financial repons produced after the disaster to insure accuracy.

Legal responsibilities may include: Evaluat ing potential liability to third parties. Evaluating the organization's rights in relation to insurance costs. Evaluat ing and providing guidance on employee liability arising from the

disaster. Providing guidance to departments concerned with conforming to government

regulations. Reviewing contracts negotiated for temporary space, equipment,etc.Public Affairs - This is one of the most critical functions in recovery, yet it isone of the most frequentlyignored in the planning process. It does not generate revenue nor products, but is critical to anorganization's success.General responsibilities of Public Affairs have been detailed in the sample team duties earlier In thedocument. There are, however, several principles that apply to crisis public relations.

Be honest with the media wh:' : keeping in mind that you are not obligated to answprquestions posed.

I'fyou do not know the answer, say you do not know, and get back to the person withthe answer if feasible.

I fyou don't tell your story, themedia will tell your story, possibly in a way you won '(like.

Mishandling the press can have a huge financial and public relations impact. The first response to the media is very imponant, and it will set the tone for the basic

message. Respond to the media about rumors, but not in a d e f e n s i v ~ way.

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Public Affairs is an integral pan of the business resumption plan, and it must participate in the plannieffon. Public Affairs will most likely be resyonsible for:

,- Media relations. C o n s u m ~ r affairs. Government relations. InteIfacing with senior management about public affairs issues. Internal communications.

Internal communications are critical and may in fact be handled by another department if yoorganization is large. Several forms of communications may be used to notify employees of eventelectronic mail, internal newsletters, posted signs, employee meetings, media announcements, and/public address announcements.Media relations are the lifeblood of Public Affairs. It is crucial that the organizationspeak in a "single voice" when communicating to the media, employees, andlor customers/clienPublic Affairs should serve as the focal point for these communications in consultation with senimanagement The team can also playa critical role in gathering information, as it will interface with tEOC, the media, employees, senior management, and other sources. Official spokespersons mustthoroughly briefed before any press conference or meeting.If the Public Affairs staff is not large enough to handle the volume of inquiries. other employees who aaniculate may be "drafted" to serve in the media relations area supervised by Public Affairs personnSufficient staff must be available to handle the potential flood of media calls. It may be a good ideaestablish a media andlor employee andlor customer "hot line" to field the incoming calls. It mayadvisable to separate the three areas by designating three different phone numbers. It may alsoadvisable to predesignate a "hot line" location before any event occurs

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DATA PROCESSING AND INFORMATIONSERVICES


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The disadvantage of an internal recovery site is the expense. If the backup data center is currently in usefor other production needs. cost will not be as high. At an internal site it will be easy to test your backupfor critical computer a p p l i c a . t i o n ~ : The cost of testing hours at vendor sites can be quite expensive. Aninternal site affords consistent security standards, control over hardware configuration. and rapid accessif a disaster occurs. If an organization has multiple data centers, backup can be perfonned at another site.However. one problem with this approach is that the backup production needs combined with the nonnalproduction capacity needs of the other center may overwhelm the computer capacity. You may have todecide to delay or suspend some non-essential production to accommodate the critical applications.Commercial or vendor recovery strategies have advantages and disadvantages. Vendor sites aregenerally a cheaper alternative than in-house backup. Suppon staff is available as are telecommunications capabilities. Access is fairly immediate in most cases. Most vendors are very knowledgeable a boutthe recovery business, and testing can be done on a prearranged basis. Generally. the disadvantages include inadequate amount of testing time included in contracts. Largeorganizations require many hours of testing for critical applications which can add up to great expense.There are also unique problems associated with a major regional disaster. If commercial vendors havea large number of subscribers in an area prone to major regional disasters such as a large magnitudeeanhquake. can vendors really handle the potential volume? Some deal on a first-come, first-serve basisan obviously risky proposition. Others guarantee access to all subscribers, also a risky proposition in a major regional event. Othedisadvantages to a vendor backup strategy can be logistical moving your critical personnel to a backupsite far removed from your primary location of business.Cooperative strategies or mutual aid is an alternative strategy to consider. If the other organization. oshared facility, is in the same geographical location as your data center, it too may be impacted by theevent Configuration differences may be a serious problem. testing very difficult. and the potentialoccupancy time very limited due to a shared situation. However, costs will be lower. Dealing with VendorsWhen considering commercial or vendor recovery strategies, take into account the following:

Is there a disaster declaration fee? A daily usage fee? How is access? First come. first serve? Guaranteed? How much testing time is included In the contract? What is the cost of additional

testing time? How long could you stay in the vendor data center? How far away is the vendor site from your nonnal operations? How will the vendor handle your staffing logistics? How will you handle telecommuntcatlons? Is their support s taff adequate and \I. hat are their responsibilities after a disaster: Is there a limit on subscribers in anyone area? Are their facilities vulnerable to eanhquakes and other disasters? What are their backup strategies and where are their backup locations?

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Recovery of Non-MainframesWhen considering recovery of non-mainframes, these are possible strategies:

Replacement. Redundant hardware. Consolidation of applications on a larger processor.

Considerations in PlanningWhen planning for recovery of infonnation services and data processing, consider the following:

Computer facility layouts. including utility lines. Hardware configurations. Lists of vendors and vendor contacts. Descriptions of disk and tape files. Operating manuals and written procedures. Processing requirements and schedules. Priorities for application recovery. Systems software. Telecommunications recovery for computers. Database management. Power, air conditioning, utilities. Backup power. Offsite storage of critical files. Data or information security. Transponation/logistics. Computer capacity planning. Applications JCL. Technical suppon staffing. Administrative support staffing. Operating supplies required. System audit conaol requirements. Program libraries. Crucial systems flow in recovery. Liaison with non-technical users of systems. Possible costs of recovery - need to be tracked. Production disk and tape backup. On-line and batch systems interdependencies. Source documents.

This is by no means an exhaustive list. More technical books or personnel should be consulted for moredetail.

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TESTING AND MAINTAINING THE PLAN


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--v. TESTING AND MAINTAINING THE PLANIn order for a business resumption plan to be effective, it must be a "living" plan - constantly changingin response to changes in the organizational srructure, technology, or philosophy. The businessresumption plan must be part of the overall emergency plan which makes provisions for emergencypreparedness, life safety and crisis management. Plans must be regularly tested in order to assureviability. Testing in this section will be separated between application or data processing testing andsimulations or business function/organizational readiness testing.Information Services TestingThe business resumption planning group should play the coordinating role in critical application testing.There are several types of testing: functionality testing, where each critical application is tested by itself;group or "string" testing, in which logical groups of applications are tested together in the logicalsequence ofproduction; and "24 Hour Testing". where all the critical applications are brought up in theirlogical sequence.The following sequence is suggested for application testing:

Service Request - Provides specific information for testing each application. Thesystems development group should position the test in the work queue. Project Meeting - Creates the project plan and allows discussion of tasks.

Test Objective Establishes the application testing criteria. Project Plan - Details dates. tasks. duration. personnel and details. Test Script Outlines actual test steps to be performed. Test Walk Through - Verifies test steps and familiarizes personnel with test. Test - Verifies functionality of application. Evaluation - Reviews and documents all issues penaining to the test. Management Approval- Management signs of fon test and application functionality.

Disaster Simulation/Organization Wide TestingDisaster simulations or organization wide bUSiness recovery testing are much wider in scope thanapplication testing. This type of test can invol \. e a specific division, business unit, or the entireorganization. The most common testing of this nature Involves critical personnel.It may be wise to stan with smaller scale exercises and work towards a large scale organization widesimulation. Large scale simulations are extremely complex and can take as long as six months to planfor. In general, four main objectives could be stated

The exercise problems must be solvable by the consensus of panicipants. Theunwritten number one objective should be to have the simulation be a success. asfailure or embarrassment will only demoralize participants and hun the credibility ofthe planning group.

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.. The scenario chosen for the exercise has to be realistic. It is sometimes a good ideato use a worst case scenario - such as a regional eanhquake - in order to more easilyenable recovery from lesser events. The exercise haft


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List test ground rules:.. !' ." What time is it? Five hours after eanhquake? Twenty four hours later? What is the timeframe for the exercise itself?

Will the ~ a m e time be the same as real time, or will one hour of game time beequivalent to 24 hours of recovery time?

What rules will govern the use of phones and other communications systems? Who will panicipate in the exercise and in " ' ~ a t capacity? What fonns will be used and how will they be used? Describe the flow of the exercise. Will there be facilitators? Will there be evaluators for the test?

Scri pts may be developed for use by facilitators and/or umpires. Creating the timed problems for specificareas or divisions should be coordinated by the planning group. in concert with representatives of thoseareas. Staff involved in the development of test "problems" could serve as group facilitators in theirrespective areas.Evaluation forms are critical to obtaining worthwhile feedback on the exercise. Questions on theevaluation form could include:

Did you find emergency communications systems easy to use? Were you able to communicate with critical areas? Are there areas of the organization that did not participate that you feel should have" Was the scenario detailed enough? Were your recovery checklists validated? Was your awareness of business recovery issues strengthened? Were the members of your recovery teams the appropriate individuals? How did you find the functioning of the Emergency Operations Center and/or

command centers? Do you have any general comments about the exercise?

Schedule a de-briefing immediately following the exercise. When all evaluations have been processedand the planning group has conducted an overall evaluation of the exercise. call a meeting for keyparticipants to discuss lessons learned. It is a good idea for the planning group to publish a documensummarizing findings and lessons learned. as well as detailing recommendations for improvement.

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, f ,

I,

FROM RECOVERY TO RESTORATION


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VI. FROM RECOVERY TO RESTORAiION.J After a business disruption, the firSt phase can be seen as the response phase -life safety issues have thefirst priority. The recovery phase begins after the life safety issues have diminished to a manageablelevel. The recovery phase is then followed by the restoration phase. These phases have significantoverlap, as items addressed in recovery often continue throughout the restoration period. At the sametime, restoration issues are often immediately addressed, even as the recovery begins and/or continues.Some overlapping or concurrent issues in recovery and restoration might be:

Management lines of authority. Prioritizing telecommunications issues. Prioritizing delivery of supplies and the installation of equipment. Prioritizing item processing by critical business areas. Restoring organizational proouctivity while being sensitive to employee needs. Damage assessment and documentation.

The team directing restoration should: Centralize responsibilities that will need to continue for a longer period of time. Manage the relocation of business areas. Consolidate requirements from area representatives for telecommunications needs. Establish relocation sequencing for equipment and files. Coordinate transportation of office contents if necessary. Coordinate procurement and installation of office furniture and equipment.

The purpose of having a restoration team(s) is to transfer the responsibility away from the businessresumption planning group. The planning group should direct the recovery from the disll1ption andshould remain in control until the situation has stabilized and recovery processing has become somewhatstandardized. There should then be a phase out of the planning group involvement, as well as theEmergency Operations Center and command centers. Control can then be switched back to normaloperating procedures and the restoration teams can direct the necessary functions. Restoration teamsrructure may include the following teams:

Structural Restoration. Salvage. Inventory. Insurance. NonstrUctural Restoration.

Teams can be drawn from appropriate work areas, i.e. Structural and NonstrUctural from Facilities, andInventory and Insurance from Finance.

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mventoryInventory can be a critical function after a disaster. Inventory may detennine what items can be restoreand what items need to be replaced. The official inventory d(x:uments support the organizationinsurance claims. Appropriate fonns shouldbe developed to track items. Special inventory supplies maalso. be needed. A detailed inventory can be used to:

Suppon insurance claims. Assess the magnitude of the loss. Validate fixed asset records. Plan for the replacement of damaged propeny. Enable the removal of damaged property.

Recommendations for effective inventory control: Maintain current asset records. Divide inventory responsibility among specialized areas. Do not inventory items that will be cleaned in their original locations. Update inventory records to differentiate between total loss and repairable items. Keep "families" of equipment together, i.e. computers and peripherals. Establish which items are not economical to restore. Give total loss items to salvage companies in dual custody so there will be no disputeslater. Make an effective detennination as to the value of supplies lost.

InsuranceAn Insurance Team is critical after an event. The team could be structured as a task force to guarantrepresentation from appropriate jlreas. Detennine if the following expense categories would be coverby insurance:

External consulting for insurance services after an event. Data restoration. Recovery services. Payments to salaried employees for overtime. Air freight costs to expedite equipment receipt Equipment upgrades. Employees' personal propeny. Data holding costs prior to cleaning. Temporary help costs. Temporary space costs.

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Rentals of equipment. Facilities Strucrural and/or Nonstructuralltestoration Team responsibilities might include:

Coordinating with vendors. Restoring life safety systems and providing for environmental safety. Insuring that the building(s) are in compliance with codes. Performing repairs. Coordinating cleaning. Restoring utilities. Coordinating meetings to deal with damage assessment issues. Establishing building reoccupancy schedules. Creating propeny and equipment databases. Restoring and cataloging files. Relocating business units. Perfonning salvage of data processing equipment or coordinating the salvage. Removing. restoring and returning employees' personal effects: Relocating and installing equipment.

It may also be necessary to consider fonning specialized teams to deal with restorationofdata processingequipment and establish relationships with vendors who do salvage and/or restoration work before anyevent occurs. This might also include environmental hygienists and other vendors who might be useful'w depending on the expenise available internally in the organization.

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-- VII. CONCLUSIONEffective business resumption planning requires senior management commitment mea;:;ured in dollaand resources. This committnent must be sustained, even after an effective plan has been put togethePlans must be maintained to be effective, indeed they must be "living" and aynamic. In a sense, businesresumption planning can be seen panially as a marketing, promotion and public relations functionSelling the benefits of long term planning to an organization that has daily crises and productior needis an an!In order for the business resumption planning group to stay effective, they must stay on the "cuttinedge" of the growing and dynamic business recovery "industry". Too many planners put together aeffective plan and then think they can rest on their laurels constant effon is required to assimilate nelessons and incorporate them into the planning. The planning group should attend seminars. liaison wiother planners. attend planning peer group meetings, and stay abreast of the issues in the field. Readinthe periodicals now available will enable the planner to stay current. Never assume you know too mucNo matter how good your plan and planning group is, there are new lessons to be learned from eacdisaster that occurs - take advantage of others' experiences to learn lessons for use by your organizatio

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FACSiMilE COVE-=;' PAGE r:;-_-:- - - ; : : - = - - - ~ . _" _;;:-----.---- --- .. --.-----------..----- .--1- - - - - - - - . - - - - - - ~ - - - - - - - - ~ . _ . - _ I I U . ua l Y L l U D U I ~ r r u m ~ II Time: j ,:35:18 Date: i2i8i94 II Pages (induding cover): 20 IEndosed is a rough draft of the lnsbuctor 's guide for the Rebofit training course. Sections 4 and6 have not yet been written. Please review this draf t and senJ me any comments that you haveooncerning material that should be added. deleted. reorganized. or explained in a different way. Sendwritten oomments to me or call me to discuss.cc: Hassan SughayerAlexis NavarroAngela Kucherenko


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SEISMIC RETROFH fRAINING FOR

BUILDlNG CONTRACTORS AND INSPECTORS

INSTRUCTOR'S GUIDE

INTRODUCTIONThis course has been developed as a guide foe training building contractors and building inspectors involved in seismicretrofitting ofone to tOur unit timber frame dwellings. The intent of the focus of the course is on teaching the audiencethe correctmethods foe doing typical seismic retrofits that have been designed by an engineer or architect oe describedin a p r e s c r i p ~ ' ;tandard. The intent is not for the contractors to be able to learn how to design 3 seismic retrofit.The Federal Emergency Management Agency (FEMA), the Cllifomia Office of Emergency Services (OES), and theBuilding IndustJy A (BIA) da.;ded that there was a special need for additional training of building contractorsand inspectors because of the surveys of buildings done after the January 17, 1994 Northridge Earthquake. Manybuildings that had been retrofit were found to have deficiencies in the installation of the seismic retrofitThis manual has been prepared foe the instructor(s) to use in preparation and presentation of the course. Each of themajor sections of the course has been numbered 1 through 6. For each section, II copy of the visuals to be presentedis reproduced in this manual Along side of the visual is a description of the material that should be discussed when thevisual is displayed. At the end of this manual is also a list of additional references, with an annotated bibliography, thatthe instructor(s) should review to be able to direct the attendees to read on particular subjects i f hey have furtherquestions.The students must be able to demonstrate some understandi 19 of the material being presented in the course for thecourse to be considered effective. The measurement for this understanding will be by testing the students follo,""ing eachof the sections. Several questions will be asked covering the material foe each section. The student will need to havea passing grade in order to receive a Certificate of Attendance.COURSE PRESENT ATIONThe c has been prepared as a six hour course to be given in two three hour sessions. The material is intended tobe presented in lecture format using slides for audiences of at kast 100 attendees. Many of the slides are also availablein overhead transparency format, which can be used in conjunction with the photographic slides. This may be moresuitable for a smaller audience.The following is a list of items that is neces"aI)' for conducting the course:

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setting with a chair and table space for each studentSample Agenda

, ,.t .... ," - ~ , t ~ " ' 6 _ " . ' . 1 Introduction 40 minutesQuestions 5 minutes

I Shear Walls 110 minutesI j2\lestions 10 minutesI ....** TEST u** 15 minutesII COIUlections 40 minutesII Ouestions 5 minutesII Foundations 40 minutesII Questions 5 minutesII Miscellaneous Elements 40 minutesII Questions 5 minutes II Other Topics 40 minutes II Questions 5 minutes II ++++ T F ~ T ++++ 1 " minnt. .

I

INSTRUCTOR Q ( J A L I F I C A T l O ~ S 1be course can be given by one to four individuals. Using more than one person per session is preferable to allow formore variety in the method of presentation. All of the instructors should be familiar with the material that they arepresenting and have experience in teaching to nontechnical audiences. A minimum of 10 hours of teaching experiencein the past year for similar course material is recommended.The instructor(s) for this course should be able to speak from experience about the typical problems that areencountered, not only from the contractor's perspective, but also from the perspective of an engineer or buildinginspectorwhl:' bas seen deficil-"llcies in construction. The i n s t n l c t ~ < ; for this course should have working knowledge ofseismic retrotitting of timber framed buildings.

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SESSION ISECTION 1 - INTRODUCTIONCourse Title and CreditsThis is a tr.Iining course 011 seismic retrofit of buildings for building contractors and building inspectors. The course wasde\clopedfurthe Building htdustry Association with the assistance of the Federal Emergency Management Agency andthe State of California Office of Emergency Services.The instructor should also introduce themselves and briefly describe their qualifications for teaching this course.Introductory M ; l ~ 1 . l The intent of the course is to describe methods for seismicaUy retrofitting timber framed buildings. The focus will beon residential buildings containing one to four units. The basic type of structure to be COVeTed are single family houses.built prior to the 1950's, that are raised up on cripple walls. These buildings are often not bolted to the foundation andthe cripple wall\; ate generally vel)' weak for resisting earthquake forces. The fOCus of the course is restricted to one tofour unite timber frame residential buildings for several reasons: 1) there are It large number of houses fitting thisdescription that have structural weaknesses; 2) the typical retrofit for these houses is usually simple to install forcontractors and mllJ1Y homeowners; 3) buildings that are larger or more constructed of material other than light timberframingoften require a more exten.'iive retrofit using teclmiques that cannot be described thoroughly in a short seminar.Examples ofbuiJdings that are NOT included are apartment buildings with more than 4 units, single family houses builton hillside locations, mobile homes. and commercial buildings.The course will describe the seismic retrofit methods that are typically incorporated into a retrofit designed by anengi:1eer or that has been described in a prescriptive standard. For each of the retrofit techniques described, the course",ill discuss the typical errOTS that are made, some of the problems that are often encountered by contractors, and tipsfor avoiding problems. Quite often a contractor will run into unforeseen conditions when working with existingconstruction. The course will present some guidelines for the contractor to aid in deciding when the conditions areserious enough to require the contractor to stop and get assistance from an engineer or other person before proceedingA prescriptM: standard for voIunlaly seismic strengthening of light, wood frame residential buildings has been developedand is currently being considered for adoption by the International Conference of Building Officials. When adopted,these pIO\'isiom could be used to develop a seismic re ; withoot t h e R o o . Q Q ( 3 J t - M . c h i t e c t . o r : . a J H ~ n ~ .

~ ' . s Angeles, as weU as other citi , are considering making seismic retrofit of single family h ~ ~ - S mandatory. fore there will be many houses . s, e 0 retro . ast expenence om e anuary, NOOhridge earthquake tound that there were many errors in construction of the houses that had been retrofitprior to the earthquake. I f installed incorrectly, the retrofitted houses will be damaged just as much as i f they had notbeen retrofit. This course was developed as a means to describe the correct methods of installing the retrofit so that itwill be effective in reducing the damage to the houses during the next earthquake.Earthquake Basics

Earthquake ForcesWhen an earthquake strikes an area, the ground below each building receives strong shaking in all directions.The amountof shaking the each house feels de1Jends on a number of factor.; including: the magnitude of theearthquake, the distance of the building from the epicenter, and the composition of the soil between theepicenter and the building. As the ground below the earthquake shakes back and forth, forces, caned inertiaforces, are felt by the building. Every part of the building feels these inertia forces. The concept of inertiafOICes can be explained by the example of a person standing in a mO\llng vehicle. When the vehicle starts oraccelerates, the vehicle moves forward, but the people inside feel an inertia force moving them backwardsSimilarly, when the vehicle stops or decelerates. the person feels an inertia force pushing them forwards. Whenthe whicle is moving at a steady speed (no acceleration or deceleration) the person feels no force. The amount

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of inertia force that a petrol\, or a building experiences, depends on the weight of the person or building andthe amount of acceleration or deceleration. Increas ing the weight of a building increases the inertial force inpropor tion to the weight.An engineer designs a building to withstand horizontal earthquake forces equal to about 10 to 18 percent ofgravity times the weight of the building. That would be equivalent of turning the building on a 10 to 20 degreeangle. However, large earthquakes can produce accelerations of more than 1 times gravity: equivalent toturning the building on its side. This may soWld like the engineer and the building code is being negligent, butthere are many justifications for not designing for the real earthquake forces. One of the ,justifications is thatwood framed buildings, which are properly designed and constructed, have historically survived majorearthquakes w.dhout aDowing the building to collapse, thus protecting the lives of the people within the building.Thus the additional cost of designing for larger forces is not ,justified when the intent of earthquake design isto protect the occupants of a building from being killed.Lateral 'Force Resistin& SystemBuildings designed to resist earthquake forces have two structural systems. One system is prmided for thebuilding to hold up the vertical loads on the building, including the dead weight of the building and the loadsofpeople or moveable furnishing that may be placed in or on the building. Fo r typical timber framed buildings,this usually includes plywood floor and roofsheathing nailed to wood joists or roof rafters. These are supportedby timber columns or on wood stud walls, which are framed down to the foundations. This is the Vertical LoadResisting System,To resist earthquake forces, the building must also have a structural system to resist the lateral inertia forces thatare generated by the earthquake. The roof and floor systems act as structural elements in the plane of the flooror roof. Th e forces from those e 1 e m e n t ~ and transferred horizontally to stiffvertical elements, such as shearwalls. Without structural walls, a wood frame hous( would be very tlexible and could easily be pushed ov\.."[in a sIrong wind or earthquake. The shear walls stiflen up each level of the building down to the foundation.For this system to be effective, all portions of the building must be connected together to allow the inertia forcesgenerated by each element to be transferred to the structural elements and then out of the building. Structuralttulure occurs i f there is any weakness in the path that the load., must travel to get out of the building.Most boucles have plenty ofwalls, most of which can act as shear walls. Fora complete load path to be present,the walls must be attached at the top to the floor or roof diaphragm and at the bottom to the floor diaphragm.For the latenl furce resisting system to be effective, the shea r walls must be continued an the way down to thefoundation. Many older houses have the first floor supported on short walls, referred to as cripple walls, aroundthe perimeter of t h e ~ . These wans must also act as shear walls because there are usually no interior wallsto act as shear walls.Types of DamageEarthquakes can strike at any time in many areas of the countly. Since the majority of structures in any areaare timber framed houses, more of these buildings are affected by the earthquake. Many small wood framehouses withstand earthquake shaking with little damage. Th e damage that does occur is usually cosmetic anddoes not threaten the life safety of the occupants. Because ofgood histOl}' of typical timber frame construction,the building code allows simple wood frame houses to be designed and built without the need for an engineerto design the house. llowever, past earthquakes have ;liso pointed out common structural weaknesses in light,wood frame houses that have led to extensive and costly damage. The most significant weaknesses are: 1) thefoundations below the exterior walls are missing or are discontinuous; 2) th e exterior walls are not adequatelyconnected to the fOWldation; and the cripple waDs below the first floor are no t adequately braced. Thefollowing pictures will present some examples of typical damage that occurs to timber framed residentialbuildings subjected to moderate earthquake shaking.

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Need for RetrofitBuilding code requirements for designing to resist earthquakes have changed dramatically in the last thirty years.However, there are hundreds of thousands of houses that were built prior to modern building codes. Thesehouses have many of the weaknesses that led to failures of similar houses in previous earthquakes. Many home0\WerS "in chose to strengthen their house for future earthquake, either voluntarily or because of requirementsoflocal ordinances. Most of the seimlic retrofits only attempt to correct obvious weakness in the original designor construction. Most of the time, the retrofit does not bring the building up to a level of earthquake resistancerequired for new construction. This is usually justified because the cost of a full upgrade is much more thana home owner is willing to spend, and the ex.pense of a full upgrade is cost beneficial. I f all of the majorweakness have been corrected, most timber framed houses will sustain only cosmetic damage after anearthquake, not enough to require the building to be evacuated.

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SECTION 2 - SHEAR WALLSShear Wall DescriptionShear waDs are vertical elements of the lateral force resisting system. Shear walls are typically wood framedstudwalls that are


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shear walls \\7'ith heavy ply\vood nailing, large lmldowns, and additional framing and hardware.Shear Wall DimensionsFor shear walls to be considered effective in resisting lateral forces, walls must meet UBC code height-lengthaspects ratios For example, the maximum aspect ratio for plywood shear walls is 3-112 to 1 (2'-3" long wallfor II 8 foot floor to ceiling height) and for unblocked gypsum board shear walls is 1-112 to 1 (5'-4" long wallfor a 8 toot floor to ceiling height).Recent tests on shear walls indicated that tall and narrow shear walls behave differently than shear walls tha tare longer than tall. Limits are placed on the height to length aspect ratio to r shear walls because a waH thatis too narrow will not perform as intended and will usually be too flexible and may not have the requiredstrength.Shear Wall ComponentsComponents are added to conventionally framed stud walls 10 form shear walls. Sheathing is secured to thestud wall framing using nails or staples. The fasteners must secure the sheathing to the sill or sole plate, the topplate of the double top plate, the boundary hold dOM} post, and along the edges of the sheathing. Supplementalnailing is added in the field of the sheathing to prevent the sheathing trom buckling when loaded. Dependingupon the magnitude of the overturning forces, hold dom. posts and hold down hardware are added at each endof the shear wall to carry the tension and compression forces.

SheathingPlywoodPlywood i"UIll board ~ h e a t h i n g is based upon the thickness of the gypsum bnard, the size and numberofnails and whethcr the edges of the sheathing are blocked. For liZ inch gypslUTl board to qualifY as structuralsheathing. the gypsluu 1 ~ . 1 3 1 d must be fastened to the framing with 5d cCKlier or drywall nails. Even though 5/8inch gypsum board can be tilstened ~ v i t h 5d nails for fire purposes, for 5/8 inch gypsum board to qualifY asstructural sheathing, 6d cooler or drywall nails must be used t 'lecure 5/8 inch gypsum ooard to the framing.

Following the Northridge Earthquake and as a result of recent testing, the allowable shear capacity for gypsumboard waD sheathing has Ix:en reduced in order to improve the performance of gypsum board shear walls duringan earthquake.Cenlent PlasterCement plaster can be used as sheathing for shear walls provided the plaster and metal lath is of adequatestrength and, more importantly, the lath 1S fastened to the framing with the cOITed size and number of staplesor nails. As discussed earlier. the lath must be fastened to the top plate of the double top plate. the sill or soleplate, the boundary bold down posts, and the studs fo r the cement plaster sheathing to function as a shear wall.

Comparison of Strength and Stiffness

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In general, the strength and stiffuess of a shear wall will depend upon the type of sheathing and the size andnumber of fasteners used to secure the shealbing to the framing. As an example, a heavily nailed plywood sheafwall will be stronger and stiffer on a per foot of length basis than an unblocked 1(2 inch thick gypsum boardshear wall .."ith nails spaced at 7 inches on center. As a general rule of thumb. on a per foot of length basis,plywood will tend to be stronger and stiffer than other sheathing material, followed by cement plaster. Gypsumboard will usuaDy have the least strength lind sti.ffi1ess than other sheathing materials. However, an extremelylong, gypswn board sheathed shear wall may be stronger and stiffer than a short, heavily nailed, plywoodsheathed shear wall.Combining Sheathing MaterialsBecause the s1rength and stiffitess of a shear wan depends upon the type of sheathing and the size and numberof fiIsteners used to secure the sheathing to the framing, it usually not acceptable to combine the strength of twodifferent sheathing materials. The primary rea30n for not allowing two different sheathing materials on thesame wall is that, as the wall detects, the stiffer sheathing material will reach its ultimate strength betore thesofter sheathing material. As an example, consider a shear waD ..'lith plywood on one side and gypsum boardon the other side, and assume that the shear wall was designed by combining the allowable shear capacities ofthe p1).wood and gypsum board. When the wall is loaded to the combined allowable shear capacit)', becausethe plywood is stiffer than the gypsum board., the plywood will be loaded beyond its allowable shear capacitywhile at the same time the gypsum board will b loaded less than its allowable shear capacity. The only timetwo sheathing materials can be combined is when the materials have the same stiffuess characteristics undercyclic loading in the elastic and inelastic range.

FastenersTypes of fastenersIn order to provide II complete and consistent load path for seismic and wind forces through a timber framedstructure, the building components that makeup f. e lateral resisting system must be tied together by fastenersan d hardware. Typical fasteners for timber framed structures are nails and staples. Screws should not beconsidered as a substitute to r nails or staples. A design protessionalmay specifY screws for II particularappl ication . However, the contractor must provide the specified screw that satisfies strength and ductilityrequirements. As an example, hardener screws do not satisfY the ductility requirements because they tend tobreak rather than bend when loaded. Unless a screws type fastener is reviewed and approved by a designprofeslo,ional, the screw should not be used.There are many different nail types available to II contractor. However, nails are not all alike and vary instrength. Design pmfessionals normally specify common nails. Suppliers for contractors will typically haveavai labl e not only common nails, but also box nails, green vinyl sinkers, gun nails, brights, electroplatedgalvanized nails and hot-


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Holdown Installation ErrorsHoldo\Vl1 straps must be long enough to engage the boundary members above and below the flooL I f a strapappears too short, the strap may not have been specified properly by not discounting the length of strap that isassociated with the height of the floor framing, sill plate and double top plates. The straps should always becentered so that an equal number of fasteners are installed in each boundary memberWhen hold down posts are specified, such as a 4x4 or 6x6, the contractor must provide the specified timberand not double or triple up studs. The allowable capacity of holdowns from a manufacture are typically basedupon bolt values into solid timber. Since the bolt value to r a 2x member is substantially less than the boltvalues for 4x4 or 6x6, the capacity of the holdown assemble is correspondingly reduced.Hold down post should be installed at each end of a shea r wall. Sometimes contractors frame stud wallswithout the required hold dmm posts and holdm'und the vent opening, and the length of shear wallextended the y,idth of the vent opening to the ncawt stud.Decav PreventionAdequate crawl space ventilation is olle of the best ways to minimize potential wood decay. As noted above,adequate ventilation must be provided within the crawl space and within the stud cavities that are covered onboth sides with siding and sheathing. Another way to prevent wood decay is to insure that water is not allowedto continuously saturate wood. Water entering the crawl space through the cripple wall siding and saturatingwood will cause wood decay. Leaking pipes and other sources of water that saturates wood will also cause

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wood decay. \Vhen the retrofit work is being perfonned, the contractor should also check for sources ofwater intrusion that could cause wood decay. Interior posts Foundation systems may include a series of individual concrete piers and wood posts that support floor beams. The wood post are normally tie-nailed to the tloor beam and to the wood sill plate on top of the concrete pIer. During an earthquake, the building maymove enough to cause the wood posts to collapse. In order to improve the connections and reduce the potential collapse problem, clips and brackets should be installed between the wood post and the floor beam, and and concrete pier.

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S ~ C T I O N 3 - CONNECTIONSLoad PathsWe\'e talked about the need for a complete load path to carry the earthquake forces to the ground, and about how shearwaDs re!.istthe earthquake forces delivered to them by the horizontal diaphragms (th e Hoors and roof). This section isto discuss considerations requi red fnr proper connections. Most of this discussion will cover connections for platformframing; then we will dIscuss connections for balloon-framing.The load path can be thought of as a chain; it is only as strong as its weakest link. The roof and floor diaphragms andvertical shear waDs are two kinds of links; the connections between the root; walb floors and foundation, are other typesof links. Without adequate connections to complete the load path, the chain will have missing links. [show examplesoffailures dun' missing or inadequate connections).For a platform-framed, two story building or a one story builcling over cripple walls, the following elements must beattached to each other in tum (indicate each on the wall section graphic1to develop a complete path for loads to becarried from the roof to the ground: the roof and ceiling to the double top plates, the top plates to the shear wall, theshear wall to the sill plate, the sill plate to the floor framing, the floor framing to the double top plate of the wall below,the double top plate to the shear wall, the shear wall to the mudsill, and the mudsill to the fmmdation. When theseelements are connected they form an unbroken path from the roof to the ground that will transfer the roof loads. :'I.similar path must be traced to the ground from each of the floor decks (diaphragms).Without proper connections, these elements will separate or slide past each other when the earthquake strikesConnectiongr3in bending occurs when a ledger IS attached to a wall with bolts near its centerline and to the plywooddecks along its top edge. When earthquake forces attempt to pull the wall from the roof, the ledger can split lengthwiseeither at the nail') or at the bolts, and the roof can collapse. All connection') within a building should be designed toprevent cross-grain bending conditions.NailsIt should be noted that green vinyl sinkers that are in almost wliversal use as both hand-driven and gun nails areimpmperiy named. Just as a 2 x 4 has not measured 2 inches by 4 inches for many years, a 16d or 8d sinker is not thesame as a l td or 8d box or common nail. Through extensive te;"ing it has been determined that the strength of a nailin wood is determined by three variables: species of the wood the length of nail penetration into the wood, and thediameter of the nail shank. A 16d sinker is 1/4 inch shorter than a 16d box or common, but that seldom reduces theJXlletration bekJW the required minimum. The 16d sinker's shaak diameter, however, is smaUer--the same as a 10d boxnail1herefore, it carmot cany the same load as a 16d box: or common nail. Similarly, a 8d sinker has the same shankdiameter and load capacity as a 6d boxWhile it is unlikely that contractors are going to stop using silli\ers, most engineers and architects have not adapted to

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this reality and continue to design buildings counting on the strength of the common and box nails they specif)'.Assuming the sinkers' length is not too short for a particular application, they can still be used if the number of 16dsinkers is increased by about 10%when substituted for specified box nails and 3 0 ~ ~ when substituted for conunon nails.Also, 8d sinkers can be substituted for 8d box and 8d common i f the number is increased 20% and 35il-o, respectiwly.Ibe discus.'OOIl of the connecring elements that follows assumes that the wood framing is in good condition. Obviously,rotted or insect-weakened wood cannot resist earthquake forces as well as undamaged wood. When investigating woodstructures after a moderate earthquake, one often finds the most severe damage has occurred in decayed framing.Similarly, metal fasteners must be in good condition to perform adequately. For example, in salt-air enviromnentsunprotected metal connectors can corrode away in a short time leaving portions of a building much more vulnerable toearthquake damage.To p PlatesThe top of a wall nomlally has doubled top plates UpOll which the floor or roof framing rests. On some olderconstruct ion only a single top plate was installed. The top of a shearwall is nailed into the top plates. For adequatetransfer of forces, it is necessaJ)' to also attach the top plate to the framing above it. Code comoentional framingrequirements call for each joist to be attached to the double tup plate \Vllh 3-Sd nails. For shear forces in the plane ofthe wall this amount of attachment may not be adequate. \fetal right angle clips nailed into the doubled top plate andthe rinI blocking or rinIjoist \\till strengthen the connect'ln between the 1100r framing and the shearwall below.

For shallow 2 x 6 or 2 x 8 _joist') it may be difficult to attach the dip into the nm blocking and top of the double plate.However, with patience the clips can usually be installed. It pneumatIc equipment is available, a pahn-nailer is Yeryhelpful for mstaUing nads in difficult access areas.Alternatively, if access to the top plate to r nailing of the clips is impossible_ additional bloclung may be added betweenthe _joists that is flush with the near s u r t a ( ~ e of the double ten 'Jlates. Th('n Hat metal plates can be nailed across the 10intbetween the blocking and the top plates to proVIde sheClr transfer.'Jhe doubJe top plates also fulfill another function. If you recall, earlier we discussed how diaphragms can be thoughtof as deep beams. As a beam is loaded and bends, the edge away from the load is stretched and put in tension. Onhorizontal diaphragms such as floors this tension force must be resisted by the top plates of the wall below I f there isa continuous rim joist instead of a series of short rirn blocks, the joist may also resist this tension force. Wooo is verystrong ill tension; however at the splices between sections of the plates and rim, there is no resistance to tension forces.Therefore, it is important for splices in the double top plates to be properly lapped, and for the laps to be well nailedI f the splice of the double top plate was not properly built--or 1f there is only one. discontinuous top plate--a long metalstrap should be nailed across the splice to provide the necessary continuity. Alternately. i f he jomt between sections otthe rinl joist is exposed. a pair of straps can be added across the end loint to provide continuity.SILL PLATESAt the bottom of a shean'll all, the anachment of the sill plate and the floor decking to the floor framing below transfersshear forces from the higher elements to the lower. This attachment is normally made using nails. Each nail shouldbe sufficiently long to penetrate through the sill plate and deeking. and into the floor framing below at least the mininIumdistance required by the code. If the wall framing is exposed above the tloor--as in new framing that has not yet hadplastel or wallboard attached-the nails can be mstalled hom above. However, II I some retrofit situations, the wallframing above is not-or C3IDlot be--exposed. In this case it may be possible to add sheet-metal bracket,> (clips) such asSimpson A-35's or A-34's at the intersection of the underside of the floor and the rim blocks or rim joist. Short joisthanger naili; can be usI:Xl to attach the clips to the rim" and longer nails driven up through the flooring into the sill plates.The nails used shoukl be, at a mininlum, those required by the building code. The {'BC and CABO codes require 16dcommon or box nails spaced 16 inches apart. If sinkers are used, the nail spacing should be decreased slightly to 14

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inches to account for the lower load capacity of the sinkers.light weight concrete or poured gypsum (gypcretc) is sometimes applied over the floor deck to provide dampen soundtrammigsioll between the upper and lower floors. The gypcrete is normally installed after the wall framing was erected,and, i f the framers were planning ahead, a Ix or 2x spacer (or screed) was inserted below the sill. This raises the sillabove level of the gypcrete so the sill can provide support for the bottom of the wallboard. However, the extra 3/4"or 1-1/2" thickness means that longer sill nails must be used in order to develop the code-required penetration into thefloor rim joist or blocking. In these cases 20d, 30d, or perhaps 40d nails will be required.Anchor BoltsConnections at the bottom of a wall are perhaps the most important cOIUlections in a building, since shear loads fromthe roof and fiO


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nailing will be required between the joists under the edges of the floor decking to transfer shear from the diaphragm intothe floor fram

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