National Practice Guidelines for the Preparation of Structural Engineering Reports for Buildings RECEIVED CASE HAY 0 52005 Council of American Structural Engi Teena ie LARSON ENGINEERING OF ILLINOIS i Maa joven! |! | lee oy ene an =the Thro - a C1 oo] an] BSR || Elica F eto oo}! 6 oe ss ira E aoe 7 a be nd fd pe oo Gg] P 7 yO Miieed [oo ol rod fry ang reg foo ron Beak (Hi eHe 2 i AH 7 ie h o re oto ' 7 af] t 2 PG aercg 4 An bo a, ee ee | This publication is endorsed by: S+E*ReMC snetuatrgineus sk anager coonRevised November 1995 Reprinted January 1994 October 1992 National Practice Guidelines for the Preparation of Structural Engineering Reports for Buildings® Prepared by Case National Guidelines Committee James M, Delabay, Chairman Ronald R. White Ned M. Cleland Acknowledgement Douglas F. Suess ‘Thomas D. Wosser, SERMC Representative CASE wishes to acknowledge and Christopher Marx, National Officer dunk i Amare Soc eh Engineer for permit ec ote Aopen nt pbiae SC 11-90 in the CASE publication, This publication is endorsed by: ational Bracice Guidlinstorthe | SE « R ¢ M © C srucasaEngows Rk aaa Cove ing Reports for Buildings. Council Of American Structural Engineers A Part of the g Als AMERICAN CONSULTING ENGINEERS COUNCILPURPOSE AND GOALS eesssnssneseueninensesasve LE ON’ PAGE SERVICES WHICH MAY BE PROVIDED L 1. DEFINITIONS ersssresen Introduction ... A. General B. Report Types C. Report Scope Basic Services wen A. Definition Phase B. Investigation Phase C. Report Phase Additional Services A. Special Services B. Extra Services Obligations of the Client PLEASE NOTE: ANY CAPITALIZED WORDS OR TERMS APPEAR IN THE DEFINITIONS SECTION APPENDICES Appendix A Report Outlines . Appendix B Example Disclaimer Statements Aq] tha A-7 A. Construction Observation Report B, Walk Through Report C. Condition Survey Report D. Structural Fire Damage Report E, Load Capacity Report F. Structural Failure Report G. Structural Expert Investigation Report H., Structural Construction Document Review Report B-1 tha B.2NATIONAL PRACTICE GUIDELINES FOR THE PREPARATION OF STRUCTURAL ENGINEERING REPORTS FOR BUILDINGS PURPOSE AND GOALS ‘The purpose of these Guidelines is to give firms and their employees conducting condition surveys, Code reviews, plan reviews, special purpose Investigations and related engineering Reports for Buildings, ‘8 guide for not only preparing Reports, but also describing the services being provided which will furnish a basis for dealing with their Clients. In addition, it is intended that these Guidelines be used to promote and enhance the Quality of ‘engineering Reports being written. Clearly written Reports describing in a factual manner the Enginect’s finding will not only serve the Client better, but will benefit the engineering profession through enhance- ment ofits image. In conducting these Investigations, surveys, reviews, and preparing Reports, the Structural En; ‘eer often will Contract directly with a Building owner, property manager, or insurance company as his Client. This arrangement differs from the Structural Engineer's (SE) normal participation as a consultant on the project team. The SE should negotiate and have a written Contract with the Client that clearly defines the scope of services to be provided. ‘These Guidelines are divided into several sections which discuss the activities of the SE. They are intended primarily for use in the preparation of Reports for Buildings. A section of the Guidelines deals specifically with outlines for various Report types. It is not the intent of these Guidelines to establish a specific format for Reports: however, itis believed that certain minimal information should be contained in ‘a Report and the outline is intended as a guide for that information. Appendix B is provided with Disclaimer language which identifies statements one might consider 10 classify the depth of responsibility accepted by the Report writer. Disclaimers define the limits of the Investigation, thus avoiding misinterpretations. PagetSERVICES WHICH MAY BE PROVIDED iL INTRODUCTION A GENERAL ‘The purpose of this section is to describe the range and natute of services to be considered for inclusion in the SE’s Scope Of Work so that a clear understanding is reached as to which services are included and not included in the Contract. ‘These Guidelines contain many services which may be provided by the SE in preparing a Report; however, not every Report will require all listed services. Many times, a Report will ‘encompass other areas which may require additional expertise. These Guidelines cover only the structural aspects. : Reports must be truthful, factual and should be as unbiased as possible. Remember that any report prepared, regardless of the original purpose, could ultimately be used in future litigation. Normally, the assigning of liability should be left to the Arbitrators, Judges, Juries or Clients. Report writers should be aware of the Codes and standards of care in existence at the time of original design. The original design may not comply with present day Codes and Standards of Care. Sometimes, an analysis relating to current Codes or Standards of Care may be necessary.Normally, a report is prepared for an owner, a prospective owner, or perhaps potential unnamed owners, Since the conclusions in the report could ultimately affect a sale with consider- able financial implications, careful wording is extremely important. A carefully worded disclaimer is always appropriate, Report writers must be qualified to write about their subject based upon education, training and experience. Care should be exercised to report on what was observed, tested or analyzed and to speculate as little as possible about unknowns, Many times a Disclaimer statement about un- knowns, i.e, areas not accessible for observation, etc., should be included in a Report. Examples of some Disclaimer statements are included in Appendix B. Most Reports should be written in language which can be clearly understood by the Client. ‘The length of a Report is not necessarily related to its importance or Quality; therefore, redun- dancy of data should be avoided. ‘The SE should attempt to limit his liability by having the Client indemnify and hold harmless the SE from negligent acts or omissions of others and to allocate risks such that the SE is not exposed to a greater liability than the fee justifies. These items are covered in most standard CASE or ACEC Contracts. B, REPORT TYPES Reports may vary from a letter stating observations and/or opinions to a lengthy document. ‘The following list are some of the Reports commonly provided by a SE. This list should not be considered exhaustive Page 2u. A construction observation Report. A walk through Report. A condition survey Report. A structural fire damage Report. A load capacity Report. A structural failure Report, A structural Expert Investigation Report. A structural construction document review Report (peer review Report), SA awsene C. REPORT SCOPE ‘The scope of the Report and the amount of effort required of the SE depends upon ‘many factors. Some of these factors are the purpose of the Report, the desires and/or needs of the Client, the available data and the available funds. Ifthe desired end result does not justify the Fequested effort, the Client should be informed as soon as itis apparent to the SE. ‘The use of appropriate and carefully worded disclaimers is important to limit the SEs liabil- ity to the specific intent of the report. Similarly, certain disclaimers should be included in the Contract and, if appropriate, in the scope of services. There will always be unknowns after the investigation of an existing structure or following a design review. In the stated purpose of the repor, the SE should outline the degree of depth of analysis, For example, state whether every member is to be checked or in other ways identify the extent of the review. The description of the extent of review should be part of the scope of services in the contract as well as part of the body of the report BASIC SERVICES ‘The Basic Services of the SE ordinarily consist of the collection of data and/or materials; review of existing Drawings, Specifications and Reports; on-site observation; managing of testing: analysi reparation of a Report. Services beyond those outlined under Basic Services are considered ional Services which are categorized as Special Services or Extra Services in Sections IIIA. and ‘The Basic Services are listed in sequential order as they would typically appear in a Report effort. Each phase contains items pertinent to that phase; however, certain activities may take place out of sequence or may occur in a phase other than shown. This is considered normal practice because required services are tailored to each Report effort. A. DEFINITION PHASE 1. Determine who the involved parties are to avoid a conflict of interest for the SE. If appropriate, notify other design professionals who were involved, Define the purpose of the Report, Determine the Scope Of Work required by the Client, Establish that funds are available. Assist in the development of the Report schedule with milestone dates when appropriate. Negotiate fees and payment schedule Execute a Contract for Report services. PageB. INVESTIGATION PHASE, Page 4 Gather data Obtain existing plans and Specifications, >. Obtain previous Reports and test data, i.e. OSHA Reports, fire department Reports, etc. ©. Obtain the names of past and present involved parties, 4. Determine the Building Code and Standard Of Care or usual practice at the time of original design if possible Make a site Investigation. a. Make sketches, write narratives, take measurements, identify pertinent structural ‘members and take photographs as needed to adequately describe observed conditions. b. Obtain samples if needed Establish testing requirements and review the extent of testing performed. Coordinate with the efforts of other professionals retained by your Client, Provide for the preservation of evidence. Make structural calculations as needed. Interview witnesses and involved parties or people knowledgeable of local or site conditions. REPORT PHASE - This phase covers the writing of the Report. Example outlines are . contained in Appendix A. These examples are not intended to exclude other formats, .. Although the Report format should be tailored to meet each specific situation, most Reports contain at least portions of the following information: Executive summary (Optional) 2. Background 3. Purpose 4. Damage- fire, wind, impact, earthquake Change of owner Change of occupancy Alterations or additions Code conformance ‘Adaptive reuse, rehabilitation or restoration Structural failure . Previous preliminary findings Description of structure a. General (1) Type of architecture Q) Type of structure (3) Materials Fe mpeeeP b. History (1) Dates of Contract Documents, construction, alteration and repair (2) Uses and occupancy - alterations, equipment, vibration, wear (3) Environmental conditions - weather, heat, cold, chemicals, food products (4) _ Site conditions (5) Unusual loadings‘Scope of Investigation a. Collected data (2) Available Drawings, Specifications, calculations, Reports 2) Insurance descriptions, tax map, deeds, Building permits (3) Alterations documentation (4) Photographs and tapes (3) Previous survey information (©) _ Interviews of people familiar with Building b. Survey (1) Corroboration with existing Drawings (2) Measurement of plan dimensions and structural members (3) Field observation of conditions (visual, probing, etc.) (4) Identification of problem areas (3) _ Records of observations (prints, photos, tapes) ‘¢. Methods and techniques (1) Visual - Including binoculars, spotting scope, and borescope (2) Photography, x-ray, infrared thermography (3) Tapes - oral, video (4) Drawings and sketches (S)_ Measurements a. Testing (1) Nondestructive tests (2) Destructive tests (3) Load tests . Meetings Discussion of findings a. Overview b. Ficld survey ) Materials (2) Real or inferred systems 3) Dimensions () _Deflections, distortions, deterioration (5) Identification of problem areas © Record of data (a) Sketches and Drawings (b) Notes (©) Photographs, x-rays, infrared scans (@) Tapes - ora, video c. Summary of test results 4d, Structural analysis, (1) Determine live, dead, wind, thermal, seismic and other appropriate toads (2) Structure geometry Code conformance (past and present) ‘Summary of input from other disciplines (if applicable) ‘Summary of structural findings Conclusions Page 510. Recommendations 11. Consequences of not following recommendations. 12, Disclaimers and qualifications 13, Appendices Survey information Record Drawings Photographs Test data and Reports, Reports from other disciplines Computations References mameaoee IL ADDITIONAL SERVICES Services beyond those outlined under Basic Services are frequently required. They are categorized as Special and Extra Services. These services may be provided by the SE under terms mutually agreed upon by the Client and the SE. A. SPECIAL SERVICES - These are services which may or may not be foreseen at the. beginning of the Report effort and are not normally included as Basic Services. Examples include, but are not limited to: ‘Meetings to explain the Report. Preparation of Contract Documents for repairs. Depositions or Expert testimony. Reporting on non-structural aspects such as plumbing failures, geotechnical data or hydraulics, Application for and obtaining of Building permits for reconstruction. Periodic reconstruction observation, Continual and/or detailed inspections of reconstruction. Beye noe B. EXTRA SERVICES - These are services which arise as a result of unforeseen circumstances during the Report effort. Examples include, but are not limited to: 1. Changes in scope or magnitude as described and agreed to in the Contract due to directives by the Client, 2. Changes in scope or magnitude due to previously unknown conditions discovered during the investigative or analysis process. IV. OBLIGATIONS OF THE CLIENT In order to promote equity in their professional relationship and to allow the SE to perform in accordance with the foregoing Guidelines, the Client who has engaged the SE should adhere to certain obligations, Page 6A. OBLIGATIONS 1 2. 3. aoe 10, u ‘Verify that the contemplated Report will be financed adequately, including provisions for contingencies, to accomplish the stated and desired goals and commitments, Define the Report's intended usage, scope and needs in writing . Execute a written Contract with the SE prior to commencement of the services to be furnished. Authorize in writing any Additional Services that may be required beyond the scope of ‘the original Contract prior to the commencement of the services to be performed, Provide adequate compensation for the SE's agreed services. Render prompt payment for services performed according to the terms of the Contract. Establish a realistic and mutually agreed upon schedule for furnishing of professional services, allowing for unforeseen contingencies as a likely condition of the Report Process, Coordinate or arrange for the coordination of the services ofall other consultants in order that conflicts or misunderstandings are minimized or eliminated. Disclose fully and promptly any and all information that may affect the SE's performance, scheduling or payment for services. Such disclosures should include pending litigation, prior Investigations and Reports, etc. Maintain open lines of communication between all parties affected by the Report effort. Recognize that the Report and other documents prepared by the SE are for use in a specific situation. The SE shall be deemed the author of these documents and shall retain all common law, statutory and other reserved rights including the copyright. Page7DEFINITIONS Addenda: Written or graphic instruments issued prior to the opening of bids which clarify, correct, or change the Contract Documents. Additional Services: The services that are not ordinarily included as “Basic Services” and are further separated into “Special Services” and “Ex- tra Services”, Agreement: See definition of “Contract”. Basic Services: The Services necessary to perform the Investigation data collection, calculations, Drawings and testing for use in writing the Build- ing Report. Building: Any structure used or intended for sup- porting or sheltering any use or occupancy. (Change Order: Any change in the Contract Docu- ‘ments resulting in a change in the scope, price or time of completion of the construction Contract. Clarification Drawings: Drawings prepared and issued by the SER as if they were part of the origi- nal construction documents for the sole purpose of “clarifying” - adding new information or chang- ing old information to assist the construction team. in their work without changing the intent of the information on the original construction docu- ments, No changes in scope, price or time for completion of the construction Contract occurs as a result of these Drawings. Pages Client: The individual, agency, corporation or other legally recognized entity which engages for hire the services of the structural engineering firm which is legally authorized to provide professional structural engineering services. Code: A body of rules set into law in an orderly systematic means for easy reference, Contract: The legally recognized document pro- viding definitions of service requirements, pay- ment terms, time of service and other items deemed appropriate by the Client and professional engineering firm. This is sometimes also called the “Agreement” . Contract Documents: The engineering and ar- chitectural Drawings and Specifications issued for construction purposes, plus the Clarification Drawings, Addenda and Change Orders issued and acknowledged. Disclaimer: A statement denying or disavowing legal responsibility for certain work tasks. Drawings: Drawings which descriptively illus- trate and show the requirements and intent for construction of the Building project. The struc- tural Drawings are only a part of the total docu- ments for the project. Expert: An individual who through training, edu- cation, experience and knowledge is recognized by his peers to possess specialized information on a given subject matter.Extra Services: Services which are required as a result of unforeseen circumstances during the pro- cess of preparing the Report and are not included in Basic Services. Guidelines: The principles for use in making a judgement or determining policy or course of ac- tion, Investigation: A detailed examination or search ina formal manner to uncover and determine the ‘cause or causes for conditions which by their na- ture are not readily apparent. ‘Quality: A level of performance; that which dis- tinguishes a thing. Record Drawings: A set of drawings that indi- cate by clear notation and dating the changes and modifications that have been documented to have taken place since the preparation of the original Drawing for the particular project. Report: A formal, organized presentation of facts that provides a record of an investigation or re- view. Scope of Work: A detailed description and list of tusks that are required to provide the structural engineering on a given project. ‘Special Services: Services which may or may not be foreseen at the beginning of the Report prepa- ration and are not necessary for a Report on the structural Building elements or element under the usual Basic Services requirements ‘Specifications: A written description of the ma- terial and construction requirements for items in- cluded in a Building project, Standard of Care: That level of skill and compe- tence ordinarily and contemporaneously demon- strated by professionals of the same discipline practicing in the same locale and faced with the ‘same or similar facts and circumstances. Structural Engineer: An engineer with special- ized knowledge, training and experience in the sciences and mathematics relating to analyzing and designing of force resisting systems for Buildings, Page 9APPENDIX A. REPORT OUTLINES‘A. CONSTRUCTION OBSERVATION REPORT 1. INTRODUCTION a. Project name and number b. Date and time ¢. Purpose of report (who requested site vi 4. Weather €. Persons contacted at site OBSERVATIONS ‘Status of construction activity b. Degree of completion of various components ©. Specific structural items observed 4. Notation of deficiencies SUMMARY a. Corrective measures required b. Corrective actions taken ©. General recommendations 4. Follow-up visit (if required) PageA-1B, WALK THROUGH REPORT Page A-2 1. 2. BACKGROUND PURPOSE a. Change of owner b. Change of occupancy ©. Alterations or additions DESCRIPTION OF STRUCTURE SCOPE OF INVESTIGATION a. Collected data 109) Available drawings, specifications (2) Photographs and tapes b. Field survey oy) Field observation of conditions (visual, probing, etc.) (2) Identification of problem areas ©. Methods and techniques a Visual (2) Photography (3) Tapes - oral, video (4) Drawings and sketches (3) Measurement DISCUSSION OF FINDINGS a. Field survey (1) Materials (2) Real or inferred systems (3) Deflections, distortions, deterioration (4) Identification of problem areas RECOMMENDATIONS DISCLAIMERS AND QUALIFICATIONS APPENDICES, a. Record drawings b. Photographs c. ReferencesC. CONDITION SURVEY REPORT 1, EXECUTIVE SUMMARY (OPTIONAL) 2. BACKGROUND 3, PURPOSE Damage- fire, wind, impact, earthquake ‘Change of owner Change of occupancy Alterations or additions Code conformance ‘Adaptive reuse, rehabilitation or restoration ‘Structural failure Previous preliminary findings Froepoese 4, DESCRIPTION OF STRUCTURE a. General (1) Type of architecture (2) Type of structure @) Materials b. History (1) Dates of Contract Documents, construction, alteration and repair (2) Uses and occupancy - alterations, equipment, vibration, wear @) Environmental conditions - weather, heat, cold, chemicals, food products ) Site conditions (5) Unusual loadings 5. SCOPE OF INVESTIGATION a. Collected data (Q) Available Drawings, Specifications, calculations, Reports (2) Insurance descriptions, tax map, deeds, Building permits @G) Alterations documentation (4) Photographs and tapes (5) Previous survey information (©) Interviews of people familiar with Building b Survey (1) Corroboration with existing Drawings (2) Measurement of plan dimensions and structural members G) Field observation of conditions (visual, probing, etc.) (4) Wdentification of problem areas (5) __ Records of observations (prints, photos, tapes) ¢. Methods and techniques (1) Visual - Including binoculars, spotting scope, and borescope @) Photography, x-ray. infrared thermography G) Tapes - oral, video (@) Drawings and sketches (5) Measurements Page A-3d. Testing qa) Nondestructive tests 2) Destructive tests QB) Load tests © Meetings 6. DISCUSSION OF FINDINGS a. Overview b. Field survey Q) Materials Q) “Real or inferred systems @) Dimensions (4) Deflections, distortions, deterioration (3) Identification of problem areas (6) Record of data (a) Sketches and Drawings (b) Notes (©) Photographs, x-rays, infrared scans (@) Tapes - oral, video c. Summary of test results 4, Structural analysis () Determine live, dead, wind, thermal, seismic and other appropriate loads (2) Structure geometry €. Code conformance (past and present) 7, SUMMARY OF INPUT FROM OTHER DISCIPLINES (IF APPLICABLE) 8 SUMMARY OF STRUCTURAL FINDINGS 9. CONCLUSIONS 10. RECOMMENDATIONS 11, DISCLAIMERS AND QUALIFICATIONS 12. APPENDICES Survey information Record Drawings Photographs ‘Test data and Reports Reports from other disciplines Computations References mrepengp Page A-4STRUCTURAL FIRE DAMAGE REPORT (SEE BODY OF CONDITION SURVEY REPORT) LOAD CAPACITY REPORT (SEE BODY OF CONDITION SURVEY REPORT) STRUCTURAL FAILURE REPORT (SEE BODY OF CONDITION SURVEY REPORT) STRUCTURAL EXPERT INVESTIGATION REPORT (SEE BODY OF CONDITION SURVEY REPORT) Page A-5H, STRUCTURAL CONSTRUCTION DOCUMENT REVIEW REPORT (PEER REVIEW REPORT) 1. EXECUTIVE SUMMARY (OPTIONAL) 2. BACKGROUND 3. PURPOSE 4. DESCRIPTION OF STRUCTURE a General (1) Type of architecture (2) ‘Type of structure G) Materials 5. SCOPE OF INVESTIGATION a, Description and inventory of available documents Q) Drawings @) Specifications (3) Addenda and Change Orders (4) Calculations () Reports b. Meetings 6. DISCUSSION OF FINDINGS a Overview b. Review of design concepts ©. Structural analysis Q) Applicable codes and standards (2) Determine live, dead, wind, seismic, thermal and other appropriate loads @) Structure geometry (4) Material parameters - allowable stresses (S) Methods and extent of analysis Lateral load resisting system Load paths Structural members and assemblies Connections Foundation elements Special requirements Specifications Code conformance rose oe pe 7. SUMMARY OF STRUCTURAL FINDINGS 8. CONCLUSIONS 9. DISCLAIMERS AND QUALIFICATIONS PageA-610. APPENDICES, Record Drawings Test data and Reports Computations References Page A-7APPENDIX B EXAMPLE DISCLAIMER STATEMENTSEXAMPLE DISCLAIMER STATEMENTS. ‘The following disclaimer statements have been used by various Structural Engineers. Careful consideration should be used in adapting these to a Report: UL m. Iv, MI. Vil. “This report does not express or imply any warranty of the structure but onlyaddresses the condi- tion of the portion which was readily accessible and observable at the time of inspection.” “Tt should be noted that the above report is based on visual observations and that there is no claim, either stated or implied, that all conditions were observed.” “The opinion and recommendations contained in this report are based on the information pro- vided by the Owner or by the other consultants hired by the Owner, on the field investigations performed as a part of this project, and on the design-check calculations which were performed based on the information gathered. This report does not address any other portions of the struc- {ure other than those areas mentioned, nor does it provide any warranty, either expressed or im- plied, for any portion of the existing structure.” “The opinions stated in this report are based! on limited visual observations only. No physical {esting was performed and no calculations have been made to determine the adequacy of the structural system or its compliance with accepted building code requirements, “The referenced building was visited for the purpose of observing the physical condition and state of repair of the major structural components to the extent reasonably ascertainable without disturbing the floor, wall or ceiling finishes.” "The visit to the referenced building does not constitute a design and the structural system for the building cannot be warranted. This report js limited to the observed conditions as much as site ‘observations will allow.” “The documents reviewed are judged 10 be in conformance with the current applicable State Building Code; however, our review does not constitute a design, nor js it all inclusive and the responsibility for the structural design remains with the Structural Engineer of Record (SER). “ Page B- 1vil. Ix, Page B-2 “The following services and responsibilities are specifically excluded from this report: 1. Discovery, testing, monitoring, clean-up or neutralization of pollutants and hazardous substances, 2. Determinations or advisement related to the existence or proportion of asbestos, ‘modification, installation, abatement or removal of a product, material or process containing asbestos. 3. The Engineer shall not be responsible for the means, methods, procedures, techniques or sequences of construction, nor for safety on the job site, nor shall the Engineer be Tesponsible for the Contractor's failure to carry out the work in accordance with the contract documents.” “The structural analysis was limited to structural elements judged to represent typical framing element conditions and capacities.” “The opinions and comments in this report are based on visual observation only. Architectural, mechanical, electrical, or plumbing conditions are not included and no warranty expressed or implied as to the condition of the structure, is intended.”