Earthquake Engineering and Structural Dynamics

Seismic retrofit schemes for RC

structures and local–global
consequences
G E Thermou1 and A S Elnashai2
1
Demokritus University of Thrace, Xanthi, Greece
2
University of Illinois at Urbana-Champaign, IL, USA

Summary
A review of repair schemes for reinforced repair methods on stiffness, strength and
concrete frame buildings is presented in this ductility, the three most important seismic
paper, within the context of global objectives of response parameters, to assist researchers and
the intervention process. Local as well as global practitioners in decision-making to satisfy their
intervention measures are discussed and their respective intervention objectives. The
technological application details outlined. The framework for the paper complies with the
effect of the reviewed repair schemes on requirements of consequence-based Engineering,
the member, sub-assemblage and system where the expected damage is addressed only
performance are qualitatively assessed. The when consequences are higher than acceptable
important role of the foundation system in the consequences, and a cyclical process of
rehabilitation process is outlined and measures assessment and re-assessment is undertaken until
that are consistent with the super-structure the community objectives are deemed to be
intervention methods are given. The paper satisfied.
concludes with a global assessment of the effect of

Key words: retrofit; repair/strengthening; rehabilitation; structural intervention; seismic upgrading

Prog. Struct. Engng Mater. 2006; 8:1–15

Published online 19 December 2005 in Wiley InterScience (www.interscience.wiley.com). DOI: 10.1002/pse.208

Introduction In this paper, the term ‘rehabilitation’ is used as a

comprehensive term to include all types of repair,
In recent years, devastating earthquakes worldwide retrofitting and strengthening that lead to reduced
confirmed the deficiencies of building structures. The earthquake vulnerability. The term ‘repair’ is defined
experience gained from field observations and back- as reinstatement of the original characteristics of a
analysis led to improvement of the level of knowledge damaged section or element and is confined to
and the evolution of seismic codes. dealing with the as-built system. The term
The interest of the research community is focused ‘strengthening’ is defined as intervention that lead to
on buildings that do not comply with current seismic enhancement of one or more seismic response
codes and exhibit deficiencies such as poor detailing, parameters (stiffness, strength, ductility, etc.),
discontinuous load paths and lack of capacity design depending on the desired performance.
provisions. Since such buildings comprise the
majority of existing building stock, retrofitting is a
rather critical issue. Rehabilitation schemes that will
provide cost-effective and structurally effective Framework of seismic rehabilitation
solutions are necessary. Many intervention methods
used in the past have been revised and developed in Performance objectives are set depending on the
the light of the new seismic code requirements and structural type, the importance of the building, its role
new methods often based on new materials (e.g. fiber- in post-earthquake emergencies, the economic
reinforced polymers FRPs) have been proposed. consequences of business interruption, its historical or

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2 EARTHQUAKE ENGINEERING AND STRUCTURAL DYNAMICS

cultural significance, the construction material and information for the as-built structure. The
socio-economic factors. They can be specified as limits configuration of the structural system, reinforcement
on one or more response parameter such as stresses, detailing, material strengths, foundation system and
strains, displacements, accelerations, etc. Clearly, the level of damage are recorded. In addition, data
different limit states have to be correlated to the level relevant to the non-structural elements (e.g. infill
of the seismic action, i.e. to the earthquake demand walls) which play a significant role and influence the
level. seismic response of structures are also compiled.
The selection of the rehabilitation scheme and the Sources for the above information can become visits to
level of intervention is a rather complex procedure, the site, construction drawings, engineering analyses
because many factors of different nature come into and interviews with the original contractor. The
play. A decision has to be taken on the level of rehabilitation objective is selected from various pairs
intervention. Some common strategies are the of performance targets and earthquake hazard levels
restriction or change of use of the building, partial (i.e. supply and demand, or response and input pairs).
demolition and/or mass reduction, addition of new The performance target is set according to an
lateral load resistance system, member replacement, acceptable damage level (performance target).
transformation of non-structural into structural Building performance can be described qualitatively
components and local or global modification in terms of the safety of occupants during and after
(stiffness, strength and ductility) of elements and the event, the cost and feasibility of restoring the
system. In addition, methods such as base isolation, building to pre-earthquake condition, the length of
provision of supplemental damping and time the building is removed from service to effect
incorporation of passive and active vibration control repairs, and the economic, architectural or historic
devices may apply. The alternatives of ‘no impacts on the larger community. Variations in actual
intervention’ or ‘demolition’ are more likely the performance could be associated with unknown
outcomes of the evaluation if the seismic retrofit of geometry and member sizes in existing buildings,
buildings is quite expensive and disruptive. deterioration of materials, incomplete site data, and
Socio-economic issues have to be considered in the variation of ground motion that can occur within a
decision of the level and type of intervention. small area and incomplete knowledge and
Surprisingly, there are documented cases where simplifications related to modeling and analysis. In
aesthetic and psychological issues dictate the the next phase, the rehabilitation method is selected
rehabilitation strategies. For example, in the Mexico starting with the selection of an analysis procedure.
City earthquake of 19 September 1985, where external The development of a preliminary rehabilitation
bracing was popular, because it instilled a feeling of scheme follows (using one or more rehabilitation
confidence in the occupants that significant and strategies) the analysis of the building (including
visible changes have been made to the structure to rehabilitation measures), and the evaluation of the
make it safer[1]. Cost vs importance of the structure is analysis results. Further, the performance and
a significant factor, especially in the case that the verification of the rehabilitation design are conducted.
building is of cultural and/or historical interest. The The rehabilitation design is verified to meet the
available workmanship and the level of quality requirements through an analysis of the building,
control define the feasibility of the proposed including rehabilitation measures. A separate
intervention approach. The duration of work/ analytical evaluation is performed for each
disruption of use and the disruption to occupants combination of building performance and seismic
should also be considered. The functionality and hazard specified in the selected rehabilitation
aesthetical compatibility of the intervention scheme objective. If the rehabilitation design fails to comply
with the existing building is an additional with the acceptance criteria for the selected objective,
engagement. Even the reversibility of the scheme in the interventions must be redesigned or an alternative
case it is not accepted on a long-term basis should be strategy considered.
taken into account.
From a technical point of view the selection of the
type and level of intervention have to be based on
compatibility with the existing structural system and Rehabilitation options
the repair materials and technology available.
Controlled damage to non-structural components and LOCAL INTERVENTION METHODS
sufficient capacity of the foundation system are The local modification of isolated components of the
essential factors that are often overlooked. Issues such structural and non-structural system aims to increase
as irregularities of stiffness, strength and ductility the deformation capacity of deficient components so
have to be considered in detail. that they will not reach their limit state as the building
A convenient way to discuss the engineering issues responds at the required level. Local intervention
of evaluation and retrofit is to break down the process techniques are applied to a group of members that
into steps. The first step involves the collection of suffer from structural deficiencies and a combination

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 SEISMIC RETROFIT SCHEMES 3

of these techniques may be used in order to obtain the unsightly appearance of wide cracks, but also restores
desired behavior for a seismically designed structure. the flexural strength and stiffness of the damaged
member[2,3]. Push-off tests (both static and dynamic)
further indicate that concrete-to-concrete joints can
Injection of cracks regain their shear strength after being repaired by
Crack injection is a versatile and economical method epoxy resin injection.
of repairing reinforced concrete (RC) structures. The
effectiveness of the repair process depends on the Shotcrete (Gunite)
ability of the adhesive material (usually epoxies) to Shotcrete is used as a repair method for RC and
penetrate, under appropriate pressure, into the fine masonry structures. There are two distinct types of
cracks of the damaged concrete. Flexural cracks and shotcrete; dry-mix and wet-mix. Shotcrete can be
shear cracks are mainly continuous and therefore applied to almost any surface; it can also be used in
provide unobstructed passages for the epoxy. On the combination with other retrofit schemes (e.g. RC
other hand, longitudinal cracks, which develop along jacket). Because of its generally low water–cement
reinforcing bars as a result of bond failure, are usually ratio and high-velocity impact, it achieves excellent
discontinuous and narrow. Difficulties may occur in bond to most competent surfaces. Deficiencies in
repairing the steel-to-concrete bond by epoxy shotcrete applicability usually fall into one of the
injection. following five categories[4]: (i) failure to bond to the
This repair method can be used in minor receiving surface, (ii) de-lamination at construction
(50.1 mm), medium (53 mm) size cracks, and large joints or interfaces of various application layers, (iii)
crack widths (up to 5–6 mm). In case of larger cracks, incomplete filling of the material behind the
up to 20 mm wide, cement grout, as opposed to epoxy reinforcing steel, (iv) slough due to excess mixing
compounds, is the appropriate material for injection water (which can generate voids) and (v) weak
(Fig. 1). In the first step of the application process, interface between the concrete and steel. The impact
loose material is removed. For the more usual case of velocity of the material to the application surface is
epoxy injection, the surface trace of cracks is fully dependent upon both the exit velocity and the
sealed with epoxy paste, leaving only surface- distance of the nozzle from the surface. Where bond is
mounted plastic nozzles for injection. The spacing of important, equipment must be at the proper impact
nozzles along the crack should be dictated by the angle of about 908 and reasonably close to the
distance epoxy can travel prior to hardening (this application surface. Further, the surface must be clean,
distance depends on crack width and on the viscosity sound and damp. When the shotcrete strikes the
of the epoxy at the application temperature). In application surface (or other hard objects such as
members with dimensions larger than hardening reinforcing steel), some of the larger and harder
distance, ports at both surfaces should be provided aggregate particles tend to ricochet. These particles
along penetrating cracks. Injection is deemed are referred to as rebound and are composed
complete for a portion of the crack when epoxy is primarily of the larger aggregate particles, although
expelled from the next higher nozzle. Once the repair some cement and water are included. Because of the
epoxy has set, the nozzles are bent and tied firmly. nature of its composition, rebound is not capable of
They can be cut flush and sealed with an epoxy- obtaining significant strength and should not be
patching compound prior to rendering of the affected allowed in the final work. Many factors affect the
member. amount of rebound such as: (i) orientation of the
Flexural tests on RC beams and beam–column joints receiving surface, (ii) shotcrete mix design,
show that the repair process not only eliminates the (iii) amount of reinforcing steel embedment,

Fig. 1 Application of the: (a) epoxy resin; (b) cement grout injection in beam–column joints

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4 EARTHQUAKE ENGINEERING AND STRUCTURAL DYNAMICS

(iv) thickness of the cross-section, (v) impact velocity, The corrugated steel jacketing technique can be
and (vi) spraying technique. applied for the rehabilitation of columns and beam–
column joints[12]. Deficient connections are encased by
the steel jacket and the gap between the concrete and
Steel plate adhesion
the steel jacket is filled with non-shrink grout. A gap
Steel plate adhesion is mainly used in the case of
is provided between the beam jacket and the column
beams. Both shear and flexural strength enhancement
face to minimize flexural strength enhancement of the
can be achieved. When thick steel plates are needed, it
beam; which may cause excessive forces to develop in
is advisable to use several thin layers instead, to
the joint and column.
minimize interfacial shear stresses. A sound
understanding of both the short- and long-term
Externally bonded FRPs
behavior of the adhesive used is required. In addition,
The ease of application of FRP composites renders
reliable information concerning the adhesion to
them attractive for use in structural applications;
concrete and steel is required. The execution of the
especially in cases where dead weight, space or time
bonding work is also of great importance to achieve a
restrictions exist. Although FRP composites can have
composite action between the adherents. Prevention
strength levels significantly higher than those of steel
of premature de-bonding or peeling of externally
and can be formed of constituents such as carbon
bonded plates is a most critical aspect of design[5–7].
(CFRP), glass (GFRP), and aramid (AFRP) fibers, it is
important to note that its use is often dictated by
Steel jacketing strain limitations[13] (Fig. 3a). They are very sensitive
The steel jacketing option involves the total to transverse actions (i.e. corner or discontinuity
encasement of the column with thin steel plates effects) and unable to transfer local shear (i.e.
placed at a small distance from the column surface, interfacial failure). Clearly, they carry no compressive
with the ensuing gap filled with non-shrink grout[8,9]. forces. Choosing the type of fibers, their orientation,
An alternative to a complete jacket (exemplified in their thickness and the number of plies, results in a
Fig. 2b,c) is the steel cage alternative[10,11]. Steel angles great flexibility in selecting the appropriate retrofit
are placed at the corners of the existing cross-section scheme that allows to target the strength hierarchy at
and either transversal straps or continuous steel plates both local (i.e. upgrade of single elements) and global
are welded on them. In practice, the straps are often (i.e. achievement of a desired global mechanism)
laterally stressed either by special wrenches or by levels. In general, FRP composites behave in a linear
preheating to temperatures of about 200–4008C, prior elastic fashion to failure without any significant
to welding. Any spaces between the steel cage and the yielding or plastic deformation. Additionally, it
existing concrete are usually filled with non-shrink should be noted that unlike reinforcing steel, some
grout. When corrosion or fire protection is required, a fibers (such as carbon fibers) are anisotropic. This
grout concrete or shotcrete cover may be provided. anisotropy is also reflected in the coefficient of

h h h

A A A A A A

(a) (b) (c)

Fig. 2 (a) Steel jacketing; (b) steel cage technique using steel straps or (c) steel plates

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 SEISMIC RETROFIT SCHEMES 5

σ (GPa)
6
GFRP

CFRP
4 AFRP

Mild steel

0.02 0.04
ε
(a) (b) (c)

Fig. 3 (a) Material properties[14]; application modes of (b) prefabricated shells; (c) FRP sheets

thermal expansion in the longitudinal and transverse hinges at column ends which, in turn, need to be
directions. The large differences in strength retrofitted for the desired confinement levels.
(transverse strength 5 longitudinal strength) and Furthermore, lap splice regions need not only to be
coefficients of thermal expansion can result in bond checked for the required clamping force to develop
deterioration and splitting of concrete. Moreover, the capacity of the longitudinal column
these can cause lateral stresses and low cycle fatigue reinforcement, but also for confinement and ductility
under repeated thermal cycling[15]. of flexural plastic hinge[17]. Shear and flexural
The effectiveness of strengthening depends on the strengthening of beams can be achieved by the
bond conditions, the available anchorage length and/ application of either epoxy-bonded laminates or
or the type of attachment at the FRP ends, the fabrics extending in the compression zone or epoxy-
thickness of the laminates, among other less bonded FRP fabric wrapped around the beam[19–22]. In
important factors. According to experimental data, the case of beam–column joints, the jacket is designed
failure of the FRP reinforcement may occur either by to replace missing transverse reinforcement in the
peeling off (de-bonding) through the concrete near the beam–column joint[23–28]. The FRP technique can be
concrete–FRP interface or by tensile fracture at a stress also used for strengthening walls[29].
which may be lower than the tensile strength of the
composite material, because of strength Selective intervention methods
concentrations (e.g. at rounded corners or at de- Where system-optimal performances dictate
bonded areas). In many cases, the actual failure selectively modifying specific response parameters to
mechanism is a combination of FRP de-bonding at pre-defined levels, procedures for affecting single
certain areas and fracture at others. The choice of parameters with no effect on others are called for. The
constituents and details of the process used to initial development of ‘selective intervention’
fabricate the composite significantly affect techniques, proposed by Elnashai[30] was first applied
environmental durability. Exposure to a variety of to structural walls under static loading[31]. Further
environmental conditions can dramatically change studies applied the techniques to shaking table-tested
failure modes of the composites, even in cases where walls[32], and culminated with application to a full-
performance levels remain unchanged. In other cases, scale four story RC building[33]. The fundamental
exposures can result in the weakening of the interface parameters governing structural responses to
between FRP composites and concrete, causing a transverse actions in the inelastic range are: stiffness,
change in failure mechanism and sometimes a strength and ductility. Consequently, selective
dramatic change in performance. intervention techniques are referred to as stiffness-,
In the case of columns, shear failure, confinement strength-, and ductility-only.
failure of the flexural plastic hinge region and lap Stiffness-only intervention approaches may be used
splice de-bonding can be accommodated by the use of in order to accommodate problems related to irregular
FRPs[16–18]. At this juncture it is important to stress distribution of stiffness or to significant reduction of
that none of these failure modes and associated stiffness due to cracking of concrete members. In the
retrofits should be viewed separately, since latter case, if concrete crushing and buckling of
retrofitting for one deficiency may only shift the reinforcement bars do not occur the flexural strength
problem to another location and/or failure mode of the members will not necessarily be adversely
without necessarily improving the overall affected.
performance. For example, a shear-critical column, Altering the sequence of plastic hinge formation to
strengthened over the column center region with achieve a predetermined failure mode becomes an
carbon wraps, is expected to develop flexural plastic essential objective for seismic safety. This requires an

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6 EARTHQUAKE ENGINEERING AND STRUCTURAL DYNAMICS

increase in strength of strategically located members. stops at the floor level then RC jacketing is considered
Only a selective strength-only intervention can be as a member intervention technique. The main
effective in addressing such deficiency. advantage of the RC jacketing technique is the fact
Problems with lack of ductility supply may be that the lateral load capacity is uniformly distributed
confronted by the application of ductility-only throughout the structure of the building thereby
intervention methods. Lot of effort has been put avoiding concentrations of lateral load resistance,
together towards the investigation of alternative which occur when only a few shear walls are
ductility-only retrofit schemes. Aboutaha et al.[34] added[38]. A disadvantage of the method is the
investigated the effectiveness of rectangular steel presence of beams which may require most of the new
jackets for improving the ductility and strength of longitudinal bars in the jacket to be bundled into the
columns with inadequate lap splice in the corners of the jacket. Because of the presence of the
longitudinal reinforcement. Several types of steel existing column, it is difficult to provide cross ties for
jackets were investigated, including rectangular solid the new longitudinal bars, which are not at the
steel jackets with and without adhesive anchor bolts. corners of the jacket.
A similar set of experiments was conducted by Aviles To date, apart from qualitative guidelines provided
et al.[35]. The models were deficient in the level of in some Codes, no specific design rules exist for
concrete confinement at foundation level and thus dimensioning and detailing of the jackets to reach a
retrofitted with steel plate wrapping combined with predefined performance target. The uncertainty with
anchor bolts. Saadatmanesh et al.[36] carried out regard to bond between the jacket and the original
experimental work on the application of high-strength member is another disadvantage. Of the many factors
FRP composite straps to retrofit bridge columns. influencing jacket performance, slip and shear-stress
Ghobarah et al.[37] investigated the effectiveness of transfer at the interface between the outside jacket
corrugated steel jacketing for the seismic upgrading of layer and the original member that serves as the core
RC columns. of the upgraded element are overriding
considerations[39].
The effectiveness of the method has been studied by
GLOBAL INTERVENTION TECHNIQUES
many researchers and supported by experimental
In case of systems with high flexibility or when no
work[38,40–42]. In cases where building are in close
uninterrupted transverse load path is available then
proximity to one another, the method is modified and
global intervention techniques are considered. The
one-, two- or three-sided jacketing applies[43,44].
most well known global retrofit schemes are
presented hereafter.
Addition of walls
Addition of new RC walls is one of the most common
RC jacketing methods used for strengthening of existing structures.
RC jacketing is one of the most commonly applied This method is efficient in controlling global lateral
methods for the rehabilitation of concrete members. drift, thus reducing damage in frame members.
Jacketing is considered to be a global intervention During the design process, attention must be paid to
method if the longitudinal reinforcement placed in the the distribution of the walls in plan and elevation (to
jacket passes through holes drilled in the slab and achieve a regular building configuration), transfer of
new concrete is placed in the beam–column joint inertial forces to the walls through floor diaphragms,
(Fig. 4). However, if the longitudinal reinforcement struts and collectors, integration and connection of the

Fig. 4 Reinforced concrete jacketing technique

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 SEISMIC RETROFIT SCHEMES 7

wall into the existing frame buildings and transfer of External buttresses
loads to the foundations. Added walls are typically To reduce or eliminate the disruption to the use of a
designed and detailed as in new structures. To this building, external buttresses may be constructed to
end, in the plastic hinge zone at the base they are increase the lateral resistance of the structure as a
provided with boundary elements, well-confined and whole. Such an intervention scheme, in common with
detailed for flexural ductility. They are also capacity- the construction of RC walls, requires a new
designed in shear throughout their height and over- foundation system. The foundation scheme would
designed in flexure above the plastic hinge region possibly be eccentric footings (eccentric with respect
(with respect to the flexural strength in the plastic to the axis of the buttress to avoid excavation under
hinge zone, not the shear strength anywhere), to the building). The two most intricate problems in
ensure that inelasticity or pre-emptive failure will not strengthening by building a set of external buttresses
take place elsewhere in the wall before plastic hinging are: (i) the buttress stability may be critical since it is
at the base and that the new wall will remain elastic not actually loaded vertically downwards in the same
above the plastic hinge zone. way that the structure is. The vertical action on the
The most convenient way to introduce new shear buttress is only its own weight. This increases the
walls is by partial or full infilling of strategically possibility of uplifting of the foundations and may
selected bays of the existing frame[45]. If the wall takes even cause over-turning, (ii) the connections between
up the full width of a bay, then it incorporates the the buttresses on the one hand and the building on the
beams and the two columns, the latter acting as its other is far from straightforward. To insure full
boundary elements (Fig. 5). In case only the web of the interaction and load sharing when the structure is
new wall needs to be added, sometimes by subjected to lateral actions, the buttress should be
shotcreting against a light formwork or a partition connected to the floors and columns at all levels. The
wall is performed. In the latter case, shotcrete is connection area will be subjected to unusual levels of
normally used for increased adhesion between stresses that require special attention.
the existing and the added material. An alternative
to the cast-in-place infill wall technique is the addition Steel bracing
of pre-cast panels. The pre-case infill wall system Steel bracing can be a very effective method for global
should be designed to behave monolithically, and the strengthening of buildings. Some of the advantages
infill wall should be designed with sufficient shear are the ability to accommodate openings, the minimal
strength to develop flexural yielding at the base of the added weight to the structure and in the case of
wall[46]. external steel systems minimum disruption to the
A major drawback of the addition of walls is the function of the building and its occupants.
need for strengthening the foundations to resist the Alternative configurations of bracing systems may
increased overturning moment and the need for be used in selected bays of a RC frame to provide a
integrating the wall with the rest of the structure. significant increase in horizontal capacity of the
Foundation intervention is usually costly and quite structure. Concentric steel bracing systems have been
disruptive, thus rendering the application of this investigated for the rehabilitation of non-ductile
technique unsuitable for buildings without an existing buildings by many researchers[47–50]. Using the
adequate foundation system. eccentric steel bracing in the rehabilitation of RC

Fig. 5 Cast-in-place infill walls

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8 EARTHQUAKE ENGINEERING AND STRUCTURAL DYNAMICS

structures has lagged behind concentric steel bracing Effect of retrofit on global response
applications due to the lack of sufficient research and
information about the design, modeling and behavior Development of a complete strategy guiding the
of the combined concrete and steel system. Further retrofit solution through established objectives or
research is needed in several areas such as testing of criteria is an ongoing effort of the earthquake
the RC beam–steel link connection details and design engineering research community. In general, seismic
as well as the development and implementation of rehabilitation may aim to either recover or upgrade
link elements models in analysis software[51]. Post- the original performance or reduce the seismic
tensioned steel bracing can be used for the seismic response[56]. In the first case, the retrofit schemes that
upgrading of infilled non-ductile buildings limited will be chosen have to reinstate the structural
to low-rise and squat medium-rise buildings[52]. characteristics at member level and have negligible
The method was successfully used by impact on the global response. The crack injection
Miranda & Bertero[53] to effectively upgrade (epoxy resin injection or grout injection) technique
the response of low-rise school buildings in and the member replacement (substitute part of the
Mexico. damaged member) may apply.
When the seismic demand is to be reduced, this can
be achieved by adopting base isolation techniques or
by providing the structure with supplemental
Base isolation dissipation devices. Reducing the masses at each story
Seismic isolation is mostly adopted for rehabilitation level accommodating irregularities in the mass
of critical or essential facilities, buildings with distribution along the height of the building is an
expensive and valuable contents and structures effective way of reducing seismic demand. In many
where performance well above performance levels is cases (in areas of rapid economic and industrial
required. Seismic isolation system significantly development) the functionality of residential
reduces the seismic impact on the building buildings is changed and they are used for either
structure and assemblies. Generally, the isolation storage or installation of heavy industrial equipment.
devices are inserted at the bottom or at the top of Due to the discontinuity in mass distribution the
the first floor columns. Retrofitting mostly requires particular floors are susceptible to failure. Moreover,
traditional intervention; in the first case the the total or partial demolition of the top stories of
addition of a floor in order to connect all the columns structures can result in the reduction of the period so
above the isolators while in the second case the as to comply with the seismic demand.
strengthening of the first floor columns (enlarging of In the case of the seismic upgrading, the aim of the
the cross-sections, addition of reinforcing bars or retrofit strategy as an operational framework is to
construction of new resistant elements). Nevertheless, balance supply and demand. The supply refers to the
inserting an isolator within an existing column is not capacity of the structural system, which has to be
so simple because of the necessity of cutting the assessed in detail before selecting the intervention
element, temporarily supporting the weight of the scheme. The demand is expressed by either a code
above structure, putting in place the isolators and design spectrum or a site-specific set of records as a
then giving back the load to the column, without function of period and shape of vibration
causing damages to persons and to structural and characteristics of the upgraded system. By modifying
non-structural elements. strength, stiffness or ductility of the system alternative
Recently, efforts have been made to extend this retrofit options are obtained, as shown in Fig. 6.
valuable earthquake resistant strategy to inexpensive Ductility enhancement applies to systems with poor
housing and public buildings[54]. The results of a joint detailing (sparse shear reinforcement, insufficient lap
research program conducted by the International splicing), stiffness and strength enhancement to
Rubber Research and the Development Board systems with inherently low deformation capacity (so
(IRRDB) of United Kingdom show that the method as to reduce displacement demand), whereas stiffness,
can be both cost effective and functional for the strength and ductility enhancement apply to systems
protection of small buildings in high seismicity with low capacity or where seismic demand is high[57].
regions. A comparative study conducted by Bruno & An effective retrofit scheme for dealing with
Valente[55] on conventional and innovative seismic ductility deficiencies of the structural system is FRP
protection strategies concluded that base isolation jacketing. Assuming that the as-built system has been
provides higher degrees of safety than energy designed according to the strong-column weak-beam
dissipation does, regardless of the type of devices mechanism approach, FRP jacketing of the vertical
employed. Moreover the comparison between elements provides additional confinement of the
conventional and innovative devices showed that existing columns. The effectiveness of the method
shape memory alloys-based devices are far more depends on reassuring that slip of longitudinal bars of
effective than rubber isolators in reducing seismic the existing column will not occur and to the bond
vibrations. conditions between the existing member and the new

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 SEISMIC RETROFIT SCHEMES 9

material. The behavior of the retrofitted structure is (#10/0.050 m). The first jacket configuration ( J1)
represented herein, for demonstration purposes, by increases the strength level (maximum base shear) by
the behavior of the retrofitted 2-story, 2-bay RC frame 55%, while the second ( J2) by 89% (Fig. 7b). In both
shown in Fig. 7a. The span length of the frame is 5 m, cases the ductility level is increased dramatically.
while the story height is 2.7 m. The columns have The response modification of the existing structural
dimensions 0.40
0.40 m, longitudinal reinforcement system may be achieved by adopting a combination of
ratio rl ¼ 0:77% and confinement reinforcement the pre-described local and global intervention
volumetric ratio rsw ¼ 0:22% (#6/0.15 m). The techniques. The strategic use of the retrofit schemes
material strengths of the existing structure are C16 can accommodate all deficiencies observed at local
and S300. Using FRP jacketing in order to increase the and/or global level and result in a cost- and time-
confinement factor to a value of, K ¼ 2, and by effective solution.
performing pushover analysis by ZEUS-NL[58] the top
displacement at ultimate is increased by 122%. If the
seismic upgrading targets the modification of SYSTEM-LEVEL DEFICIENCIES
stiffness, strength and ductility levels, RC jacketing System-level deficiencies such as eccentricities of
can be chosen as a retrofit solution. The response of stiffness (or strength) and mass in both plan and
the retrofitted structure depends on the characteristics elevation are common in existing structures. This class
of the jacket such as longitudinal reinforcement, of deficiency is a consequence of old construction
confinement reinforcement and material strengths. In practices (poor level of confinement details, negligible
this case the effectiveness of the solution scheme material-property control). Due to lack of specific
depends on the continuity between the existing and guidelines most retrofit strategies adopted in practice
the new material and the effectiveness of anchorage of are based mainly on experience and in few cases on
the additional reinforcement of the jacket. The simple analysis (with the exception of major
response of the retrofitted frame is shown in Fig. 7b structures in high seismicity regions, such as
for two alternative jacket configurations J1 and J2, California and parts of Japan). Recent earthquakes
respectively. In both cases the jacket dimensions are have demonstrated that the rehabilitation measures
0.50
0.50 m, the material strength characteristics C20 taken in the past failed to meet the retrofit
and S400, but in the first case ( J1) the total longitudinal performance objectives. In many cases, misuse of the
reinforcement ratio of the jacketed cross-section is rlj retrofit solution schemes was observed. A major issue
¼ 0:85% and confinement reinforcement volumetric seems to be the difficulty in understanding the
ratio rswj ¼ 0:93% (#10/0.075 m), while in the second interaction between the retrofit scheme and the
(J2) the total longitudinal reinforcement ratio of the existing structural system. A sound understanding of
jacketed cross-section is rlj ¼ 1:31% and confinement the response of the existing structural system and a
reinforcement volumetric ratio rswj ¼ 1:40% clear definition of the performance objectives of the

Ductility Stiffness & strength Stiffness, strength &

Base enhancement Base enhancement Base ductility enhancement
Shear Shear Shear
rehabilitated
structure rehabilitated ∆V rehabilitated ∆V
structure structure
existing existing existing
∆u ∆u
structure structure structure

(a) Roof Displacement (b) Roof Displacement (c) Roof Displacement

Fig. 6 Alternative retrofit strategies for seismic upgrading[57]

250 500
Base shear (kN)
Base shear (kN)

200 400

150 300

100 200
Original-Frame
Original-Frame Retrofitted-J1
50 100
Retrofitted-FRPs Retrofitted-J2
0 0
0 100 200 300 400 500 0 100 200 300 400 500
(a) Top Displacement (mm) (b) Top Displacement (mm)

Fig. 7 (a) Ductility enhancement}FRP jackets; (b) stiffness, strength and ductility enhancement}RC jackets

Copyright & 2005 John Wiley & Sons, Ltd. Prog. Struct. Engng Mater. 2006; 8:1–15
10 EARTHQUAKE ENGINEERING AND STRUCTURAL DYNAMICS

retrofit strategy are necessary before embarking on ROLE OF FOUNDATION SYSTEM

the design of the retrofit solution. Seismic upgrading of the super-structure has a direct
Vertical irregularities (irregularities along the effect on the demand imposed on the existing
vertical axis) are due to either irregular distribution of foundation system. Structural requirements may
mass or stiffness along the height of the building. As dictate considerable strength enhancement in
mentioned above, buildings may be used for a locations that are connected directly to the
different purpose from their original intended foundations. Capacity design principles immediately
function. The concentration of mass at a particular dictate that foundation strengthening is needed.
story attracts higher seismic forces and results in the Moreover, parameters such as soil conditions
creation of a soft story. and soil–structure interaction play an important
Vertical irregularities may also be due to irregular role in foundation-strengthening
stiffness distribution. A special case is the soft-story projects.
mechanism. A common structural configuration Old buildings mainly supported by isolated
(typical of the construction practice in Southern footings and in fewer cases by combined footings are
Europe) susceptible to a soft-story failure mechanism weak or flexible compared to the current seismic
is the pilotis frame. The ground story used for design philosophy. In the majority of cases, the
commercial facilities is an open frame (bare frame), foundation system along with the rest of the structure
while the stories above are infilled. Under lateral are representative of construction practices adopted in
loading, the ground-story columns have to resist the the past and may be susceptible to a number of
large base shear which leads to large story drift different modes of brittle failure.
concentrated in the first story. The large demand Retrofit strategies may aim at either strengthening
increases progressively due to second-order effects, the existing foundation system and/or adding
often leading to the collapse of the structure in a soft- supplemental foundation elements (footings or piles).
story mechanism. Larger spread footings can distribute the load and
Observation of practical application has shown that additional reinforcement can increase their shear and
there is lack of clarity with regard to the way soft- bending resistance. The incorporation of existing
story mechanism is treated. Increasing the stiffness of footings into grade beams or mats, which can spread
the ground level only to reach the stiffness of the load over a larger soil area and activate the gravity
infilled floor above is not the correct approach, since loads in other columns in the resistance of the
the stiffness of the floor above depends on the overturning moments and uplift forces, is another
strength of the masonry infills. In a future earthquake, option. Projects involving the addition of grade beams
as soon as the masonry infills start cracking, or even or increased size of spread footings usually require
shed out-of-plane, the localization of damage is excavation under difficult circumstances and there are
transferred to the story above. The retrofit strategy difficulties in pinning or attaching the existing
should aim to develop a uniform distribution of footings to the new elements[59]. Moreover, piles may
stiffness along the height of the building. RC jacketing be added to improve the overturning resistance.
and the addition of RC walls can be effective retrofit Adding piles along the perimeter of the building can
solutions provided they are applied to achieve a target be an easier task from an economical and
displaced shape. constructional point of view compared to the case
Horizontal irregularities (irregularities in the plan where piles are added under the interior of
of the structure) are due to the eccentricity between the buildings.
the centers of mass and stiffness. The uneven The selection of the RC jacketing as the retrofit
distribution of stiffness may be the result of solution for the super-structure results in a uniform
architectural (e.g. L-shaped buildings) or functional distribution of stiffness. The retrofit of the foundation
(e.g. facade of commercial buildings) features. The system can be relatively easily accommodated by
position of the elevator shaft walls plays an important extending the jacketing to the foundation level
role in the distribution of stiffness in plan. Walls and (Fig. 8). On the other hand, the addition of new
columns have to be placed in strategic positions in elements (e.g. RC walls, external bracings) may add
order to accommodate irregularities. The retrofit strength and stiffness to the building at critical
strategy should aim to balance the stiffness or locations. In these cases, greater demands on the
mass irregularities in plan. The addition of new foundation system are placed. The shear transmitted
elements (e.g. RC walls, external buttresses) between the soil and the strengthened structure may
may be used to advantage in addressing plan be higher because of the increased strength and
irregularities. stiffness of the structure[59]. Stiff structural
The effect of the various intervention schemes at components generate large bending moments at the
local and global level and some useful comments with base. Large overturning movements may cause large
regard to the effectiveness of the method and dynamic axial forces to develop in the columns
parameters that should be taken into account in the of braced frames or at the boundary elements of
design phase are presented in the appendix (Table A1). shear walls.

Copyright & 2005 John Wiley & Sons, Ltd. Prog. Struct. Engng Mater. 2006; 8:1–15
 SEISMIC RETROFIT SCHEMES 11

Fig. 8 Strengthening of footings}RC jacketing

A foundation system that allows the development their interaction at local and global level is explored.
of hinges in the super-structure is vital for the stability The main system-level deficiencies (vertical and
of structural and non-structural components. Seismic horizontal irregularities) are presented and related
upgrading of foundations is usually a disruptive modeling issues are clarified. The impact of
process. The cost varies depending on the type and strengthening of the super-structure on the
the level of intervention. In cases where piles have to foundation system and the alternative retrofit options
be installed in the existing system the cost may for the foundation system are discussed. The paper
dominate the total seismic retrofit project. concludes with a table summary of the retrofit
options, motivation for use, local and global effects,
technological and design requirements, intended to
Conclusions provide a quicklook guide to potential users.

Numerous retrofit schemes adopted in practice for the

seismic upgrading of old and substandard reinforced
concrete buildings are presented. A multiplicity of Appendix A
factors influence the selection of the retrofit solution
and therefore no general rules apply. To aid in the The summary of the effect of retrofit on local and
selection, the effectiveness of the retrofit schemes and global response is shown in Table A1.

Copyright & 2005 John Wiley & Sons, Ltd. Prog. Struct. Engng Mater. 2006; 8:1–15
 12

Table A1 Summary of the effect of retrofit on local and global response

Method Deficiency type Local effect Global effect Technology considerations Design considerations
.............................................................................................................................................................................................................................
Injection of cracks Shear or shear-flexural Flexural strength and stiffness Repair method}no modification The quality and the environ- Reduction factors for concrete
cracks restoration. Shear strength is of the response of the mental durability of the strength may be used to take
regained in concrete-to- original structure materials used into account any uncertainty
concrete joints play an important role. The regarding the effectiveness of
adhesive material should the method and quality of mate-
penetrate into the fine cracks of rials
the damaged concrete and infill
all the voids
Shotcrete (Gunite) Extensive crack patterns Reinstatement of the original Minimum effect when applied Judicious attention to surface The applied layer of concrete

Copyright & 2005 John Wiley & Sons, Ltd.

at concrete members or characteristics of the element as a repair method if layer cleanliness. Mix design is provides adequate strength. It is
masonry; converting for repair; increase in force is very think and with wire critical. Experienced personnel used often in combination with
non-structural to structural demand if applied as a mesh only. Complete change are necessary other retrofit schemes (e.g. RC
walls retrofitting option of response when applied jacketing). Amount of reinforce-
otherwise ment and thickness of layer
dictates local and global effects
Steel jacketing}plate Insufficient shear strength Jacketing: Deformation Deformation capacity is The effectiveness of the Before deciding for steel jacket-
adhesion and ductility due to old type capacity is increased enhanced. Strength capacity method is related to the ing premature failure due to
of detailing (sparse Plate adhesion: Shear and may be increased or remain type of grouts used for other mechanisms (e.g. pull-out
confinement reinforcement, flexural strength enhancement the same depending on the infilling the gap between of the longitudinal reinforcement
insufficient lap splicing) effect of the retrofit scheme the steel jacket and the of the existing member) should
at local level existing member. The bonding be prevailed. Steel jacket should
work is of great importance be considered as additional con-
to achieve a composite action finement reinforcement, while
between the adherents steel plates adhered at the bot-
tom flange of beams as additional
bottom reinforcement
FRP jacketing Insufficient shear strength Columns: Deformation capacity Ductility and shear strength Exposure to a variety of The effectiveness depends on
and ductility due to old type is enhanced at structural level are environmental conditions can the anchorage conditions of the
of detailing (sparse Beams: Shear and flexural improved dramatically change failure longitudinal reinforcement of the
confinement reinforcement, strengthening modes of the composites, existing member. Limitations due
insufficient lap splicing) Beam–column joints: Shear failure even in cases where to stress concentrations should
is eliminated in connections performance levels remain be considered in the design
unchanged. High quality phase. FRP layers are equivalent
control is required. The to additional confinement
bonding work is very important
Selective intervention The damage pattern varies Increase of stiffness, Structural response can be Experienced personnel are Refined modeling is required in
methods depending on the deficient strength or ductility tuned to meet the required in the execution phase order to take into account the
parameter performance objectives increase of the specific para-
meter. Specialized design expres-
sions necessary
RC jacketing Insufficient lateral strength, If the jacket is applied at floor If the jacket continues The uncertainty with regard The response is modified to
insufficient deformation level, both axial and shear between successive floors, to bond between the jacket strong-column weak-beam
EARTHQUAKE ENGINEERING AND STRUCTURAL DYNAMICS

Prog. Struct. Engng Mater. 2006; 8:1–15

 capacity and stiffness strength of the column stiffness, strength and and the original member is mechanism with distinct plastic
discontinuity between are improved, while ductility are enhanced accommodated by the use of hinge regions. The seismic de-
successive floors flexural strength and strength monolithic factors for the mand is increased due to shift of
of the beam–column joints estimation of the deformation the period. Uniform distribution
remain the same and strength capacity of the of strength and deformation
composite member capacity is attained. Extension
of jacketing to foundation level
may be necessary
Addition of Insufficient lateral stiffness Deformation demand at Global lateral drifts are In the case of infill walls, the A critical aspect in the design
walls or external and strength, torsionally member level is decreased, controlled. Considerable interface between the existing phase is to insure full interaction
buttresses unbalanced structures while strength demand strength and stiffness are and the new element should and load sharing between the
may be increased. High demand added to the existing be checked. A new existing structural system and
at connection between structural system. Resulting foundation system is the new one (infill, external walls
existing structure and system is totally different necessary if walls (usually or buttresses). Connectors

Copyright & 2005 John Wiley & Sons, Ltd.

walls or buttresses is generated from the original structure G-shaped in the perimeter should be placed at floor level
requiring full reassessment of the building) or buttresses and behave elastically for the
are added. In any case, the design earthquake. Strengthening
existing foundation system of existing horizontal members
needs to be strengthened to may be required. Response mod-
resist the increased ification of the system from
overturning moment and the shear to cantilever type is at-
larger weight of the structure tained with a shift in period.
Strategic distribution of walls
may accommodate any system-
level deficiencies
Steel bracing Insufficient lateral stiffness High levels of force may be Lateral stiffness and strength Installation of post-tensioned The lateral strength of the exist-
and strength introduced at brace ends and of the existing structure bars can significantly modify ing members may be adversely
connections between brace are increased. Additional the distribution of internal affected by the level of axial
members and existing structure energy dissipation is provided forces of existing RC forces induced by the steel
members. Bracing members braces. Strengthening of col-
should be designed to behave umns, beams and beam–column
in a ductile manner joints of braced bays needed for
the adequate performance of the
bracing system. Foundation sys-
SEISMIC RETROFIT SCHEMES

tem should withstand the in-

creased strength and stiffness
effects
Base isolation Rehabilitation of critical or The seismic impact on The seismic energy is absorbed Specialized engineering There is no need for retrofitting
essential facilities structural and non-structural by isolation devices inserted at expertise is necessary the upper part of the structure.
components is reduced the bottom or at the top of the The equipment should be pro-
first floor columns vided with capabilities to with-
stand the expected large
horizontal displacement between
the foundation and the super-
structure
.............................................................................................................................................................................................................................
13

Prog. Struct. Engng Mater. 2006; 8:1–15

14 EARTHQUAKE ENGINEERING AND STRUCTURAL DYNAMICS

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G E Thermou
Civil Engineer, Reinforced Concrete Laboratory,
Department of Civil Engineering,
Demokritus University of Thrace,
Xanthi 67100, Greece
E-mail: [email protected]

A S Elnashai
Willett Professor of Engineering,
Director, Mid-America Earthquake Center,
Department of Civil and Environmental Engineering,
University of Illinois at Urbana-Champaign,
2129e Newmark Civil Engineering Laboratory, MC-250,
205 North Mathews Avenue,
Urbana, IL 61801, USA
E-mail: [email protected]

Copyright & 2005 John Wiley & Sons, Ltd. Prog. Struct. Engng Mater. 2006; 8:1–15