Earthquakes and Structures, Vol. 22, No.

5 (2022) 487-502
https://doi.org/10.12989/eas.2022.22.5.487 487

Performance-based seismic evaluation and practical retrofit

techniques for buildings in China
Hao Wang1,2a, Baitao Sun1,2b and Hongfu Chen1,2
1
Key Laboratory of Earthquake Engineering and Engineering Vibration, Institute of Engineering Mechanics,
China Earthquake Administration, Harbin 150080, China
2
Key Laboratory of Earthquake Disaster Mitigation, Ministry of Emergency Management, Harbin 150080, China

(Received August 25, 2021, Revised February 28, 2022, Accepted April 25, 2022)

Abstract. China is prone to earthquake disasters, and the higher seismic performance is required by many existing civil
buildings. And seismic evaluation and retrofit are effective measures to mitigate seismic hazards. With the development of
performance-based seismic design and diverse retrofit technology for buildings, advanced evaluation methods and retrofit
strategies are in need. In this paper, we introduced the evolution of seismic performance objectives in China combined with
performance-based seismic design. Accordingly, multi-phase evaluation methods and comprehensive seismic capacity
assessment are introduced. For buildings with seismic deficiency or higher performance requirements, the retrofit technologies
are categorized into three types: component strengthening, system optimization, and passive control. Both engineering property
and social property for the retrofit methods are discussed. The traditional seismic retrofit methods usually are costly and
disturbing, and for example in Beijing, seismic strengthening costs approx. 1000 RMB/m2 (for 160 USD/m2), for hospital
building even more expensive as 5000 RMB/m2 (for 790 USD/m2). So cost-efficient and little disturbance methods are
promising techniques. In the end, some opinions about the retrofit strategy and schemes category are shared and wish to discuss
the situation and future of seismic retrofit in China.
Keywords: advanced retrofit strategy; code evolution; existing building; performance-based seismic evaluation;
practical retrofit techniques

1. Introduction alterations may weaken the seismic performance of the

building. And with the update of the seismic zonation map,
China faces a high risk of earthquakes, and how to the seismic capacity of existing buildings in some areas is
effectively improve the capacity for disaster prevention and also unable to meet the seismic evaluation objective.
mitigation in Chinese urban and rural areas has become an Regarding durability, building materials will show
important research topic. To improve this capacity, it is deterioration as time goes by due to environmental erosion.
necessary not only to focus on the design and construction As for building functions, with the improvement of
of new civil buildings but also to improve the seismic household demand, the requirements for building functions
performance of existing buildings by the way of seismic are also complicated and need to be met by rehabilitation.
evaluation and retrofit. The seismic evaluation can diagnose Finally, because of economic and cultural reasons, the cost
the seismic capacity of existing buildings by carrying out of in-situ reconstruction for a building is generally higher
compliance inspection and check, which is the prerequisite than the cost of seismic retrofit, and some buildings with
for seismic retrofit. And seismic retrofit is a process to historical preservation issues should not be demolished.
ensure the structural reliability of buildings that do not meet Based on those reasons, seismic performance objectives
the seismic evaluation objectives. Several seismic hazard have a distinct historical character affected by seismic
investigations have shown that seismic evaluation and theory and economic development.
retrofit are effective means of mitigating seismic hazards. Chinese scholars divided the historical period of seismic
There are various reasons why existing buildings need evaluation and retrofit works in China into three
to be retrofitted. From the viewpoint of safety, wrong or development stages, namely, the Pilot Start Stage, the
unreasonable design, construction deviations, and improper Flourishing Development Stage, and the Comprehensive
Application Stage. During these historic periods in China,
the seismic evaluation project was gradually promoted
nationwide from the beginning of the pilot project in the
Corresponding author, Ph.D., Associate Professor Beijing-Tianjin-Hebei region. Meanwhile, the related
E-mail: [email protected] retrofit theoretical and technological research of China
a
Ph.D. Student gradually reached an advanced level worldwide,
E-mail: [email protected] accompanied by the constant development of engineering
b
Ph.D., Professor practice and seismic codes. And since the Wenchuan
E-mail: [email protected] earthquake in 2008, the Chinese seismic evaluation and
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488 Hao Wang, Baitao Sun and Hongfu Chen

retrofit works have come to the Enhanced Performance should achieve the economical and safe realization of the
Stage, and the main features include performance-based objective function under the constraint conditions.
evaluation and retrofit, diversification of strengthening
methods, and integration of energy-saving and upgrading 2.1 Constraint conditions evolution: multiple hazard
(Cheng 2018). levels and seismic action reduction
Following the Wenchuan earthquake, China launched a
School Safety Projects, the national primary and secondary As the constraint conditions of structural performance
school building safety retrofit project since the Wenchuan objectives, seismic hazard levels and corresponding seismic
earthquake, evaluating 1.45 billion square meters of action are important aspects of the seismic design and
primary and secondary school buildings, and retrofitting evaluation of buildings. And especially for existing
nearly 350 million square meters of school buildings with a buildings, the seismic action for evaluation is used to be
potential safety hazards. Meanwhile, there were also low than that of seismic design, because those buildings
launching Dilapidated Housing Rehabilitation Projects in have already been placed in service for many years and it is
both rural and urban areas extensively. However, the no need to keep the same seismic hazard levels considering
proportion of structures that have been strengthened is still economic and actual demand. The evolution of seismic
relatively low, and buildings in rural areas are still mostly hazard levels and seismic action reduction during the
constructed without seismic design or at a low seismic level. evaluation process are the basic part of the performance-
So a series of major projects have been proposed since 2018 based seismic evaluation.
in China, including housing rehabilitation projects in In the beginning, seismic design and evaluation of
earthquake-prone areas of China, to improve the seismic structures were performed according to a single basic
capacity of existing buildings. intensity which is based on seismic zoning. In 1965, the
Seismic evaluation, seismic damage prediction, and first edition of the Seismic Intensity Zoning Map in China
seismic retrofit works have formed Chinese characteristics provided the seismic intensity of 350 sites nationwide
after many years of practice. With the popularity of according to fundamental assumptions of historical
performance-based seismic design and evaluation recurrence and geological tectonics extrapolation, which
worldwide, there have been significant improvements in was a kind of deterministic method. However, there were no
seismic performance objectives and seismic evaluation sound seismic intensity zoning results all over China to
methods. With innovations in seismic strengthening guide seismic design when the first draft of the seismic
mechanisms, repair and strengthening technology had also design code was prepared in the 1960s. And this draft
taken on new characteristics. However, facing a large seismic design code has also not been officially launched to
number of existing buildings, seismic evaluation and retrofit the public.
works are time-critical and demanding. For retrofit strategy, In the late 1960s and after the Xingtai and Tonghai
it is important to consider not only the engineering earthquakes, Chinese earthquake engineers carried out in-
properties of retrofit technology but also the social depth seismic hazards investigation serval times and firstly
properties. proposed the performance objective for building to be
This paper presents the evolution of seismic perfect subjected to minor earthquakes and no collapse
performance objectives and evaluation methods and subjected to an unexpected major earthquake, which was
summarizes the applicability and effectiveness of different reflected in the Seismic Appraisal Standard for Old
retrofit techniques. Finally, consider the future direction of Buildings in Beijing (1968). As a result, the concept of
retrofit technology from the viewpoint of social property. multiple seismic hazard levels was born in China.
The review aims to share and discuss issues related to Further, seismic hazard levels measure required a
seismic evaluation and retrofit, and to promote the scientific and stable baseline. The second edition of the
development of seismic retrofit practices and technologies. Seismic Intensity Zoning Map in China (1977) gave the
basic intensity based on seismic tendency analysis. And
based on the zoning result combined building importance
2. Seismic performance objective and performance- category, the first Chinese seismic design pilot code
based seismic design promulgated in 1974 further gave the design intensity as the
reference for seismic design. And the concept of evaluation
Clarifying the objective is the most important for intensity for seismic evaluation was also proposed in the
seismic evaluation and retrofit of existing buildings. The Seismic Appraisal Standards for Industrial and Civil
seismic performance objective is a comprehensive index of Construction in Beijing and Tianjin Areas (1975). Table 1
earthquake hazard levels and the seismic capacity of shows the relationships of three kinds of intensity
buildings. And the performance of a newly designed or mentioned above and their evolution after the Tangshan
retrofitted building that should achieve the objective Earthquake, which had a great influence on Chinese
requirements. Specifically, for the building in the certain earthquake engineering.
site condition and building importance category, the seismic As Chinese scholars had learned more about seismic
performance objective would limit damage and loss of the hazards, it has been found that the single seismic hazard
building under corresponding seismic hazard levels. The level for seismic design is imperfect. The seismic hazards
performance-based seismic design was embodied in the investigation of the Haicheng (1975) and Tangshan (1976)
evolution of the seismic performance objective which earthquakes demonstrated the uncertainty of using basic
 Performance-based seismic evaluation and practical retrofit techniques for buildings in China 489

Table 1 The relationship between three kinds of intensity and their evolution after the Tangshan Earthquake
intensity Seismic design code Seismic evaluation code Design / Evaluation intensity
⚫ Very important building: equal to
basic intensity +1
Code for Seismic Design of Seismic Appraisal Standards for Industrial ⚫ Important building: equal to the
Before Tangshan
Industrial and Civil Construction and Civil Construction in Beijing and Tianjin basic intensity
Earthquake (1976) ⚫ General buildings: equal to basic
(Pilot, 1974) Areas (Pilot, 1975)
intensity －1 (unless basic
intensity is Ⅶ)
◆ Important building: equal to
basic intensity +1
Code for Seismic Design of ◆ General buildings: equal to the
After Tangshan Standard for Seismic Appraisal of Industrial basic intensity
Industrial and Civil Construction
Earthquake (1976) and Civil Construction (1977) ◆ Secondary buildings: equal to
(1978)
basic intensity －1 (unless basic
intensity is Ⅶ)

intensity as the reference for seismic design, and the seismic 1995 edition of the Standard for Seismic Appraisal of
evaluation and retrofit were performed only according to Buildings (GB 50023-1995) proposed two kinds of check
the basic intensity would bring great risks. So it was methods for seismic capacity, namely the comprehensive
recommended the seismic evaluation should perform under seismic capacity index method and component seismic
different intensities based on seismic hazard analysis. bearing capacity check method. For masonry structures, the
Similar to this concept, the seismic damage prediction to comprehensive seismic capacity index method introduced
single buildings was developed and refined in China in the an intensity impact coefficient (𝜆) to reduce the seismic
1980s, which contributed to the development of research on action. And for reinforced concrete frame structures with
the assessment of the building seismic capacity under more than ten stories or irregularities, the bearing capacity
multiple hazard levels (Sun et al. 2008). adjustment coefficient 𝛾𝑅𝑎 in Eq. (1) multiplied by 0.85
During the same period, many countries introduced based on the coefficient 𝛾𝑅𝐸 in the seismic design code.
multiple hazard levels into the building seismic codes. In
1978, the report ATC 3-06 of the United States quantified 𝑆 ≤ 𝑅 ⁄𝛾𝑅𝑎 (1)
the risk for seismic design of buildings into three levels and Where S is design values for the internal forces
gave the minimum performance requirements for each level combination of structural components, R is design values
respectively. Those risks were according to the zonation for structural component bearing capacity, and 𝛾𝑅𝑎 is the
map calibrated by ground motion parameters. Similarly, the bearing capacity adjustment coefficient in the evaluation
Japanese Building Standard Law (1981 edition) also code.
introduced two-level seismic performance objectives. In Continuing seismic service life was one of the most
1989, the Chinese Code for Seismic Design of Buildings important research since the promulgation of GB 50023-
(GBJ11-89) formally proposed the three-level seismic 1995, and could be a new bridge between multiple seismic
performance objective. The objective aimed to make the hazard levels and seismic action reduction. The
building to be perfect subjected to minor earthquakes, promulgation of the Code for Seismic Design of Buildings
repairable subjected to moderate earthquakes, and no (GB 50011-2001) and the fourth edition zoning map of
collapse subjected to severe earthquakes. And in this code, Seismic Ground Motion Parameters Zonation Map of China
the design intensity was equal to the intensity of a moderate (GB 18306-2001) marked the formal introduction of
earthquake, and the Seismic Intensity Zoning Map of China seismic ground motion parameters into the earthquake
(the third edition, 1990) defined the intensity magnitude for resistant code system in China. Ground motion parameters
the moderate earthquake. This edition of the map was based quantified the seismic hazard levels and gave new meaning
on the probability analysis of seismic hazards and urban to minor, moderate and severe earthquakes. In 2009, the
disaster prevention planning. And the moderate earthquake Standard for Seismic Appraisal of Buildings (GB 50023-
is about 1 magnitude lesser than that of a severe earthquake 2009) was revised and promulgated. The existing building
and about 1.55 magnitude greater than a minor earthquake. began to adopt differential evaluation provisions according
The seismic performance objectives for existing to the continuing seismic service life.
buildings differ from those for new buildings and the To ensure that all evaluated buildings would meet the
seismic action and detailing requirements in the evaluation seismic performance objectives in the same exceeding
code should be reduced compared with the design code. At probability for a new building, Cheng et al. (2019)
the beginning of seismic evaluation work in China, not all proposed the equal exceeding probability principle and
buildings that did not meet the evaluation requirements modification factors of seismic action. Calculation of
needed to be strengthened. Experts introduced the ground vibration parameters at different levels for different
redundancy built into the procedure of seismic strength continuing seismic service life is necessary. Eq. (2) can
check based on engineering experience. Afterward, the calculate the equal exceeded probability 𝑃𝑖⁄𝑇 of hazard
490 Hao Wang, Baitao Sun and Hongfu Chen

Table 2 Equal exceeded probability and modification factors of ground motion parameters for different continuing seismic
service life in different hazard levels
Continuing seismic service life Seismic hazard levels Equal exceeded probability
Modification factors
(T, in years) (i) (𝑃𝑖⁄𝑇 , %)
minor earthquake 81.1 0.75
30 moderate earthquake 16.1 0.82
severe earthquake 3.3~4.9 0.86
minor earthquake 71.3 0.88
40 moderate earthquake 12.3 0.92
severe earthquake 2.5~3.7 0.94
minor earthquake 63.2 1
50 moderate earthquake 10 1
severe earthquake 2~3 1

level i in T continuing service year based on exceeding The performance-based seismic design theory was
probability 𝑃𝑖⁄𝑇(50) of the new building. Then the seismic developed earlier in the United States. Some basic concepts
and framework of performance-based design, five
ground motion parameters 𝐴𝑖⁄𝑇 of different continuing
performance levels with transient and permanent drift
seismic service life can be calculated, and modification
limitation, and three performance objectives (Basic
factors 𝜇 𝑇 obtained from Eq. (3). The equal exceeding
Objective, Essential Hazardous Objective and Safety
probability and modification factors of seismic ground
Critical Objective) were firstly given in SEAOC Vision
motion parameters under different continuing seismic
2000 in 1995. After the 1994 Northridge earthquake, faced
service life are shown in Table 2.
with the need to repair or rehabilitate many hundreds of
50⁄𝑇 earthquake-damaged buildings and existing buildings, the
𝑃𝑖⁄𝑇(50) = 1 − (1 − 𝑃𝑖⁄𝑇 ) (2)
United States has published the first generation of
𝐴𝑖⁄𝑇 performance-based seismic evaluation and rehabilitation
𝜇𝑇 = (3) design, represented by FEMA 273 and FEMA 310. And the
𝐴𝑖⁄50
second generation of performance-based seismic
The further combination of continuing seismic service rehabilitation design is represented by FEMA 356. These
life and three-level seismic hazards can meet the more research reports became the basis for the preparation of the
refined performance-based seismic evaluation demand. U.S. standards of Seismic Evaluation and Retrofit of
Prospectively, the fifth edition zoning map of Seismic Existing Buildings. FEMA 273 (promulgated in 1997), for
Ground Motion Parameters Zonation Map of China (GB example, classified structural performance into four levels
18306-2015) promulgated in 2015 further introduced the based on roof drift ratio: Fully Operational, Immediate
ground motion parameters of the extremely rare earthquake. Occupancy, Life Safe, and Collapse Prevention. By
With the fourth seismic hazard level, the multiple seismic combining the earthquake hazard levels, three dynamic
hazard levels will be put in application diversely in the performance objectives were further proposed: Basic Safety
future. Objectives, Enhanced Rehabilitation Objectives and
Limited Rehabilitation Objectives. The American seismic
2.2 Objective function evolution: multiple performance evaluation and retrofit research and code system are shown
levels in Fig. 1.
Since then, the performance-based seismic design theory
The seismic performance level is the objective function has also been introduced to Japan and European country,
in the seismic performance objective and sets the building changing the traditional seismic design theory there. Japan
performance demand under different seismic hazard levels. announced the introduction of performance-based seismic
The earliest structure performance demands of China were design in 1996 and began revising the Building Standard
to ensure life safety and prevent the collapse of buildings. Law in 1998, with the Building Research Institute of the
Later, with economic development and earthquake loss Ministry of Construction recommending that the limit state
increment greatly, the demands were further extended to the be verified for three performance levels: Safety Limit State,
post-earthquake architecture function, casualties, economic Soundness Limit State and Serviceability Limit State. For
losses, and the convenience of repairing earthquake- example, the Soundness Limit State focused on the owner's
damaged buildings. And non-structure damages and economic loss under the action of once-in-a-lifetime events
performance-based structural response parameters are and estimated the damage from the component response,
focused on. In this process, displacement-based and cumulative hysteretic energy, permanent deformation, and
ductility-based seismic performance assessment methods other design limiting values. Most important, the owner has
were rapidly developed and became the guiding methods in the right to choose the performance. In the same year, the
the codes. Euro-International Committee for Concrete (CEB)
 Performance-based seismic evaluation and practical retrofit techniques for buildings in China 491

Fig. 1 Flow chart of research reports and technical codes related to seismic evaluation and retrofit in the United States

published the report Seismic Design of Reinforced Concrete the retrofit code, and the 2010 edition of the Code for
Structures for Controlled Inelastic Response: Recent Seismic Design of Buildings began to introduce the
Advances in Design Concepts and Codes, including the provisions in the principle of performance-based design. Up
implementation of displacement-based seismic evaluation to now, the primary standards and codes of earthquake
methods to assess the seismic performance of existing resistance systems of China and their relationships are
structures and to design for seismic rehabilitation. In 2001, shown in Fig. 2.
the Japan Society of Civil Engineers issued a new edition of
the Standard Specifications for Concrete Structures with
more refined requirements, and required performance 3. Seismic evaluation method evolution: multi-phase
including Safety, Serviceability, Maintainability, and comprehensive
Constructability, Environment Ability, and Cost
Effectiveness, giving owners more choices of performance Seismic evaluation methods can assess the structural
objectives. And in 2003, CEB issued the report seismic performance and identify seismic weaknesses in
Displacement-based Seismic Design of Reinforced Concrete existing buildings. As the seismic performance objectives
Buildings, which incorporated the capacity spectrum evolute, the corresponding evaluation methods and
method. procedures need to be improved to meet the new demands
At present, the codes for seismic evaluation and retrofit and requirements. The general scope of seismic evaluation
in China have not yet fully introduced the performance- includes constructional detail inspection and the seismic
based design, but the latest edition of the code for seismic strength and deformation check. With the widespread
design, evaluation and retrofit shows the active exploration application of seismic isolation and energy dissipation
of performance-based design that has been carried out in retrofitting techniques, assessing the reduction effects of
China. In 2004, the association standard, General Rule for seismic action for those techniques is also important. The
Performance-based Seismic Design of Buildings, was multi-phase and comprehensive seismic evaluation method
promulgated in China, which classified buildings into four is an advanced and promising solution for building
categories according to their functions and defined the performance assessment in China.
minimum seismic performance requirements for each The early seismic evaluation scope in China was limited
category of buildings under different earthquake hazard to the structural components, with simple deficiency
levels. After the Wenchuan earthquake in 2008, the China screening of the constructional details and check of the
Academy of Building Research and other organizations component bearing capacity. The 1966 Xingtai earthquake
r ev ised the Techn ica l Sp ecifica tion fo r Seismic in China proved the effectiveness of taking simple
Strengthening of Buildings (JGJ 116-2009), formally temporary emergency rehabilitation measures. After the
introducing the concept of continuing seismic service life to Tangshan earthquake in 1976, the Standard for Seismic
492 Hao Wang, Baitao Sun and Hongfu Chen

Fig. 2 Flow chart of Chinese primary standards and codes for earthquake resistant system of buildings

Appraisal of Industrial and Civil Construction kept the In 1983 the National Science Foundation (NSF) of the
same design method as the seismic design code. The USA began funding the ATC-14 project, Evaluating the
proposed evaluation method analyzed the seismic bearing Seismic Resistance of Existing Buildings. This report gave
capacity of the components and construction deficiency typical failure modes and weak positions of structures based
independently. This kind of method resulted in the local on seismic hazards investigation and pointed out that
strengthening of individual components or positions and structural weak positions should retain certain ductility.
lost sight of another, even causing the new seismic Later ATC-14 was further amended and FEMA-178 was
weaknesses. published in 1992, highlighting the concept of the
The ductility-based plastic deformation capacity is comprehensive evaluation of the structure seismic capacity,
important to structural seismic performance. In the 1980s, and the analysis assumption changed from the component-
an international consensus exists on the comprehensive based to systematic assessment, which considers the effects
design and assessment of structural bearing capacity and of individual components' impact on the whole structure.
ductility using multi-phase procedures. In Japan, the Based on the yield shear strength ratio of the story and
Building Standard Law (1981) introduced the concept of the realistic need to prevent collapse, the plastic
two-phase seismic design. In this design method, the deformation control method for the weak story was
primary seismic design included the check of allowable proposed by the China Academy of Building Research in
stresses, and the secondary seismic design considered 1988. This method focused on the effect of weak floors on
plastic parameters such as structural ductility. During this structural bearing capacity after yield and checking whether
period, Japanese scholar Okada et al. (1980) proposed a the maximum story displacement of the building exceeds
basic seismic index for RC frame structures that reflect both the limit. And this evaluation method was later introduced
structural bearing capacity and ductility. Along the lines of into the two-phase evaluation method of the Standard for
the basic seismic index, the China Academy of Building Seismic Appraisal of Buildings (GB 50023-95). This
Research further proposed the basic index of reserve evaluation code adopted the comprehensive seismic
seismic capacity combined with earthquake experience and capacity index method to determine if retrofitting is
seismic intensity application in China. The proposed basic required (Cheng et al. 2013). RC frame structure as an
index of reserve seismic capacity 𝐸0𝑖 is estimated by Eqs. example, the index 𝛽 can be estimated by Eq. (6).
(4)-(5). 𝛽 = 𝜉𝑖 × 𝜓1 × 𝜓2 (6)
𝐸0𝑖 = 𝜉𝑖 × 𝐹𝑖 (4) Where 𝜓1 is the systematic impact factor related to
𝜉𝑖 = 𝑄𝑦𝑖 ⁄𝑄𝑒𝑖 (5) construction details, and 𝜓2 is the local impact factor
related to connection characteristics.
Where 𝜉𝑖 is the yield shear strength ratio of story i, 𝑄𝑦𝑖 Combined with the research on the continuing seismic
is the yield shear strength of story i, 𝑄𝑒𝑖 is the elastic shear service life of existing buildings, the performance-based
strength of story i under certain seismic intensity, and 𝐹𝑖 is seismic evaluation procedure with Chinese characteristics
the ductility coefficient related to construction details and was proposed in the Seismic Appraisal Standards of
practice. The higher the value of 𝐸0𝑖 , the higher the seismic Buildings (GB 50023-2009), as shown in Fig. 3. In
performance of the RC frame structure. summary, the seismic evaluation method continuously
 Performance-based seismic evaluation and practical retrofit techniques for buildings in China 493

Fig. 3 The seismic evaluation procedure of the 2009 edition Chinese of Standard for Seismic Appraisal Standards of Buildings

adapts to the development of the earthquake-resistant theory And the bonded steel measure is a typical representative of
and ensures the realization of the seismic performance external reinforcement measures, and this technology was
objectives. And the seismic capacity evaluation of existing born in the 1960s and introduced into China in the 1970s.
buildings pays more attention to the judgment of the As for the method of attaching the ring beam and
structural system and reasonably uses the ductility to constructional columns, in the early 1960s, India began
achieve energy dissipation, which is conducive to the research on this strengthening technique. After the
further application of seismic isolation and energy Tangshan earthquake of China in 1969, it was found that
dissipation rehabilitation methods. masonry structures with RC tie columns and ring beams did
not collapse completely, and this method was officially in
widespread application in China. Typical engineering
4. Practical repair and strengthening techniques and practices of such technologies for different structures in
retrofit engineering practice China are shown in Table 3.
In general, those methods do not significantly alter the
For the building that does not meet the evaluation overall structural stiffness and mass distribution. This is
requirements, repair and strengthening techniques can help because repair and strengthening materials or members
the poor structure enhance the seismic capacity or reduce attached to existing components usually cannot bear lateral
the seismic performance demands. The general mechanism forces alone and need to work together with the existing
of earthquake defense include seismic resistance, isolation, components. So the connection and anchorage details of the
and damping. And for seismic resistance, either enhancing strengthening method are the research priority, as the
the performance of existing components or adding new effectiveness of the strengthening is closely related to the
lateral force-resistance components can achieve the coordinating deformation of the surface and the elements.
strengthening. In this chapter, the practical repair and For the connection and anchorage details with the common
strengthening techniques worldwide are introduced with surface treatment methods see Fig.4 and Fig.5. The tie bar
different strengthening mechanism. The effectiveness and and anchor bolting in the figures increase the constrain to
applicability of those techniques were discussed and typical the wall, while the necessary insertion (U-hoop and anchor
engineering practices with different retrofit schemes in bolting in Fig 4) and invasion (concrete shear pin in Fig.5)
China are listed and commented on. between the components enhance the structural integrity
and optimize the lateral force transmission. So through the
4.1 Techniques for seismic performance improvement reliable connection, the strengthening of the individual
of existing individual component components ultimately improves the global seismic
performance.
Retrofit methods based on individual component However, to assure the effectiveness of retrofitting the
performance are the most traditional and widely accepted structural seismic weaknesses or repairing seismic damage,
type, and most methods have a long history worldwide and the strengthening mechanism must match the failure
in China. For example, ferrocement is a common and early mechanism. Take RC beam-column joints as an example,
strengthening method belonging to surface treatment. As there are generally two failure mechanisms, namely shear
early as 1966, after the earthquakes in Ashgabat and failure without beam yielding and shear failure following
Tashkent, the rehabilitation technique of ferrocement was beam yielding (Verderame et al. 2018). The differences in
widely used in the Soviet Union for masonry structures. failure mechanisms are mainly due to constructional
494 Hao Wang, Baitao Sun and Hongfu Chen

Table 3 Typical engineering practices using techniques for seismic performance improvement of existing individual
components in China
Project Name Structural Type Strengthening Schemes Technological Comment
Reinforced External steel jacking for RC column; Jacking increases the cross-sectional dimensions and
Art Gallery of China in
concrete frame High strength wire cable mesh and improves the bearing capacity, stiffness, and stability
Beijing
structure polymer mortar jacking for RC beam. of the existing component.
Reinforced External prestressing for RC beam; The local pressure increased by prestressing can
Beijing Workers’ Stadium concrete frame Applying FRP and external steel improve the local strength of the material and
structure jacking. restrain the development of cracks.
High strength cable and polymer mortar with high
High strength wire cable mesh and permeability provide a great constraint on the
Zheng Chenggong Masonry structure
polymer mortar jacking for masonry surface, improving the ductility and energy
Memorial in Xiamen with concrete floor
wall, RC beam and floor; Re-pointing. dissipation capacity of the existing component,
restraining aged material degradation.
Ferrocement for wall; Tying Improving the integrity and ductility of the structure.
A teaching building of the connection between roof and wall with When the masonry cracks the tie columns can
Brick masonry
primary school in Jiaozuo, shaped steel; External attached effectively restrain the wall, the cracked bricks will
structure
Henan reinforced tie columns for connection not push out laterally and the uncracked blocks will
between walls. continue to resist the lateral forces.
Adding RC ring beam and buttress; To ensure the reinforcement effect on the surface, the
A residence in Yihe Road Brick-wood Ferrocement for wall; Adding wood ferrocement is made of micro-expansion concrete;
of Nanjing structure keel overlapped with existing wood Steel reinforcement can greatly improve the
beam and fixed with external steel. mechanical behavior of timber beams.
As sheet and fabric materials, FRP's high strength
FRP reinforcement for timber bottom
An auditorium in a village Timber roof truss and corrosion resistance properties allow it to
chord; Ferrocement for stone masonry
of Xiamen structure enhance the bearing capacity, ductility, and
wall.
durability of the existing buildings.
In the case of steel structures, the pre-stressing
Steel moment External prestressing strengthening for
A hospital hall in Nanjing causes an inverted arch effect on the structure and
frame structure steel beam.
reduces the local deformation of the components.
Supports, columns, and beams all show a significant
Welding strengthening for the corner
Tianjin International Super high-rise reduction in the stress ratio after strengthening, and
column and flange of the beam with
Trade Center steel structure this method has a significant strengthening effect in
shaped steel; Welding repair for joint.
the service phase of the building.
RC jacketing for existing RC beam Increasing the size and the resistance moment of the
Reinforced
and external wall; Boned steel plate cross-section; the increase of its bearing capacity and
Port Building in Shanghai concrete frame-
for RC internal wall; Embedded ductility exceeds the increase of the seismic effect
core wall
reinforced bar for the floor. due to the stiffness change.

features, such as the type of reinforcement. For to achieve the strong-column-weak-beam failure
strengthening existing deficiency joints, Pohoryles et al. mechanism.
(2019) summarize five situations in which strengthening is For repairing seismic damage joints, earthquake
required for the deficient RC beam-column joints, including intensity and damage degree of the joint are even more
joint shear strengthening, column flexural strengthening, important for the choice of repair and strengthening
column shear strengthening et al. methods. Generally, when the RC beam-column joints
There are a lot of RC beam-column strengthening suffer minor or moderate damage after an earthquake, crack
methods with different materials, such as steel haunch repairment techniques like epoxy pressure injection or re-
(Ahmad, 2021), ferrocement(Bansal et al. 2016), FRP et al. pointing are used to patch up defects, which is necessary for
But considering the high strength-to-weight ratio of retrofit the next step to strengthening. Epoxy pressure injection is
materials and low effect on the initial stiffness (Teresa et al. effective in increasing the strength, stiffness, and energy
2020), FRP jacking is a flexible and versatile method to dissipation capacity of a damaged joint even greater than
strengthening the RC beam-column joints. FRP jacking can the original one (Tsonos, 2002). But usually, this repairment
retrofit different deficient situations in various forms. Due method is applied together with strengthening techniques
to the high tensile strength of FRP, placing FRP rope at the such as FRP jacking, as shown in Fig. 8 (Karayannis and
joint along the principal tensile stress directions can Golias, 2018) to the minor or moderate damaged joints.
effectively restrain the shear failure, as shown in Fig. 6 However, for the severely damaged joint with concrete
(Karayannis and Golias, 2021). On the other hand, there is falling off and even exposed reinforcement, more
also the deficient column with inadequate lap splices innovation and high-performance strengthening methods
(Kalogeropoulos and Tsonos, 2020). Considering the effect are in need. Tsonos (2014) proposed a new jacking
of the full FRP wrapping on concrete mechanics behavior, strengthening method based on steel fiber high-strength
as shown in Fig 7 (Smyrou, 2015), using the CFRP- concrete which is proved more efficient and cheaper than
wrapping method to strengthen the deficiency column help the traditional jacking method (see Fig. 9).
 Performance-based seismic evaluation and practical retrofit techniques for buildings in China 495

(a) High strength wire cable mesh and polymer

mortar jacking strengthens the connection at the (b) Ferrocement strengthens the connection of the bearing wall
floor
Fig. 4 Connection construction details of common surface treatment measures

(a) L-shaped connection of bearing walls (b) T-shaped connection of bearing wall
Fig. 5 Connection construction details of attaching ring beam and tie column

Table 4 Typical engineering application using measures for seismic configuration optimization of the overall system in China
Project Name Structural Type Strengthening Schemes Technological Comment
Reinforced
Art gallery of China in
concrete frame Attaching RC seismic wall.
Beijing
structure
Newly attached seismic walls can absorb great earthquake
The Auditorium of the
Masonry-concrete Attaching RC seismic wall energy due to their greater lateral stiffness, thus reducing
Chinese People’s Political
structure between RC columns. the damage to the existing components.
Consultative Conference
A scientific and research Brick masonry Attaching masonry seismic
building of four-story structure wall
Attaching seismic wall and
For masonry buildings in which the bearing crosswalk
earthquake-resistant
spacing does not meet the seismic requirements, just
South building of Nanjing Brick masonry columns on the first and
enhancing the seismic performance of the existing
Military Hospital structure second floor; Attaching
components cannot solve the problem, and adding newly
seismic frames on the third
lateral force-resisting components is feasible.
and fourth floor.
Attaching supports will change the structural system and
A six-story building in Steel moment force transmission paths, redistribute the internal forces,
Attaching diagonal strut
Langfang, Hebei frame and improve the lateral stiffness of the structure to facilitate
the control of story stiffness.
496 Hao Wang, Baitao Sun and Hongfu Chen

Fig. 7 The effect of the full FRP wrapping on concrete

Fig. 6 External CFRP ropes strengthening
mechanics behavior

Fig. 9 Steel fiber high-strength concrete jacking retrofit the

Fig. 8 CFRP sheet jacking retrofit the beam-column joint
beam-column joint

installation of seismic walls in existing buildings is also the

4.2 Techniques for structural configuration optimization connection construction between the new wall and the
of the overall system existing frame. The comparison is made between the
different connection details in China and Japan.
Repair and strengthening of individual components The general connection constructions of attaching
improperly may lead to asymmetric stiffness of the structure seismic wing walls in Chinese School Safety Projects are
and decrease the seismic performance. Meanwhile, those shown in Fig.10. The connection between the wall and the
kinds of methods generally have the stress hysteresis effect, shear key is achieved by U-shaped hoops in a welding way,
resulting in the poor efficiency of the strengthening. The while the shear key is inserted along the full height of the
overall system-orientated strengthening techniques are wall to ensure the connection performance.
introduced in this part. This kind of strengthening method In Japan, the common connection construction is the
dedicates to optimizing the structural configuration and implantation of reinforcement in existing frame beams and
stiffness distribution by adding lateral resistance columns (Qu and Zhang 2013). To prevent local cracking at
components. Typical engineering practices of such the connection, spiral hoops are also usually placed along
technologies for different kinds of structures are shown in with the connection, see Fig.11. Attaching the steel brace is
Table 4. another strengthening method, and compared to seismic
As shown in Table 4, such strengthening methods walls, steel bracing is mainly subjected to axial forces.
mainly include attaching shear walls, seismic columns, and Therefore, the axial force of the steel brace will have a large
seismic braces that can independently withstand lateral concentrated effect on the surrounding concrete components,
and an indirect connection method is used in Japan:
force as components or su bstructures. Attaching
implanting reinforcement to the existing beam and column
components generally require foundations or reliable
and connecting to the steel frame outside the steel brace.
anchorage with existing components due to heavyweight
The construction details are shown in Fig. 12.
and force transmission needs. The key technical issue in the
 Performance-based seismic evaluation and practical retrofit techniques for buildings in China 497

(a) L-shaped connection (b) T-shaped connection

Fig. 10 Attaching the wing wall to the RC frame

Fig. 11 Attaching the shear wall to the RC frame

Fig. 12 Attaching the steel brace to the RC frame

4.3 Techniques for seismic action reduction by seismic damper. Meanwhile, changing the damping and stiffness of
isolation and damping the structure to change the natural frequency and adjust the
structural dynamic response characteristics. Typical
The above-mentioned strengthening mechanisms are engineering practices of these technologies for different
based on seismic resistance, which makes it difficult to kinds of structures are shown in Table 5.
control structural performance and expensive to repair. The The history of seismic isolation and damping retrofitting
seismic isolation and damping retrofit technology reduce techniques is relatively short. In 1988, the Salt Lake City
the seismic energy input to the main structure by consuming Building in the United States used lead rubber bearing
a large amount of seismic energy through isolation and isolation for retrofitting, which was the first attempt to
498 Hao Wang, Baitao Sun and Hongfu Chen

Table 5 Typical engineering application using measures for seismic action reduction of passive control technology in China
Project Name Structural Type Strengthening Schemes Technological Comment
Natural rubber bearings Low damping and high elasticity of the bearing
Primary and secondary Reinforced concrete
isolation placed in the make the overall superstructure move horizontally
school building in Xinzhou, and brick masonry
masonry wall and RC and combined with the dampers, energy
Shanxi structure
columns. dissipation in the seismic isolation floor.
Higher damping and more efficient energy
Lead rubber bearing dissipation than natural rubber, and lower
An office building in Reinforced concrete
isolation placed in RC horizontal displacement of the isolation layer,
Kunming, Yunnan structure
columns. improving the initial stiffness of the
superstructure.
Cast-in-situ Natural rubber bearings
Customs Comprehensive reinforced concrete isolation, sliding bearing When the earthquake causes the bearing to slide,
Business Building in Suqian frame-shear wall isolation and viscous the isolation layer stiffness is extremely small and
structure damper. the self-oscillation period of the superstructure is
Sliding bearing isolation and extremely large, so the resonant frequency can be
A Commercial Port Building lead rubber bearing isolation effectively avoided, while the frictional movement
Masonry structure
in Jinan were placed in the masonry will also dissipate energy.
wall
A Government Building in Reinforced concrete
Friction damper
northeast China structure
Displacement-related type, where seismic energy
Brick masonry
is dissipated by the friction of elements in the
An administrative office structure with light
Friction damper damper that can slide relative to each other.
building in Wuhan steel structure floor-
adding
Cast-in-situ frame-
4# building in Merchants
supported shear wall Metal damper Displacement-related, which uses the process of
Plaza of Xi’an
structure plastic deformation of a metal (soft steel) after
A residential building in yielding to consume seismic energy.
Steel structure Metal damper
Keelung, Taiwan
Displacement and velocity-dependent, which the
damper consists of a steel plate laminated with a
Xinghe Building in Reinforced concrete
Viscoelastic damper viscoelastic material, which consumes seismic
Chaoshan, Guangdong structure
energy through the hysteresis deformation of the
viscoelastic material.
Velocity-dependent, when the damper is disturbed
Reinforced concrete and the fluid in it flows through the throttle orifice
Beijing Hotel Viscous damper
structure creating viscous damping while consuming
seismic energy.

apply seismic isolation technology to building retrofit one hand, this technique takes advantage of the difference
projects. The Northridge and Hanshin earthquakes in 1994 in stiffness between the frame and the rocking wall to
tested the effectiveness of seismic isolation retrofitting and gather a large amount of seismic energy. And on the other
greatly promoted the application of isolation retrofitting. hand, the dampers connected to the rocking wall efficiently
Due to the limited function of rubber bearings in improving consume this energy, which greatly reduces the damage to
the natural vibration period of high-rise buildings and the the original frame structure by the earthquake, and can
problem of anti-overturning stability of friction sliding better predict the damage mechanism and seismic
bearings, the concept of hybrid seismic isolation is performance of the structure (Wada et al. 2009). It has been
gradually developed. The laminated rubber bearing successfully applied in the G3 teaching building of the
provides resilience and works with friction sliding bearings Tokyo Institute of Technology.
to improve the natural vibration period of the structure. It is
the exploration of seismic isolation retrofit high-rise
buildings. Since the Wenchuan earthquake in China, seismic 5. The future characteristics of retrofit technology for
isolation and damping retrofitting technology has developed the civil buildings
rapidly, and typical construction details of the isolation and
damping retrofitting method for RC frame structure are Facing an existing building, the first question is “Does
shown in Fig.13 and Fig.14. As shown in the figures, the this building need to be retrofitted?”. The seismic evaluation
design of the isolation and damping retrofitting is delicate, can answer. And in Chapter 4, the engineering property of
both of which consist of a limit device and a movement different repair and strengthening methods are summarized
device. In this way, the earthquake energy can be dissipated and discussed, involving the effectiveness and applicability
effectively. of those methods. But the decision-making of retrofit
A relatively newer concept is the Rocking Walls. On the schemes is not only associated with engineering property
 Performance-based seismic evaluation and practical retrofit techniques for buildings in China 499

Fig. 13 Typical construction of damping retrofitting Fig. 14 Typical construction of seismic isolation retrofitting

Fig. 15 Two properties with retrofit strategy and decision-making

Fig. 17 Shake table tests for single-story masonry building

Fig. 16 PP bands surface treatment details
retrofit with PP band. Extracted from (Mayorca et al. 2006)

but also focuses on social properties. As shown in Fig. 15., masonry walls with low mortar strength in villages and
this chapter, by introducing two popular strengthening towns.
technologies in China in recent years, the author wants to Bhattacharya et al. (2014) have concluded the general
discuss the necessary characteristics of retrofit technology social property of PP band strengthening method. For
for civil buildings in the future, focused on the social economics, JICA (Japanese International Cooperation
property of economic, buildability, and sustainability. Agency) estimated the cost of this method to be about 5%
total cost of the house and even more cheap if retrofit is
5.1 Economical and easy to obtain rehabilitation implemented by rural masons. For sustainability, due to the
materials large number of consumer items covered by these packing
strips, re-use or recycling is a promising option. For
In the pursuit of cost-effectiveness, the choice of retrofit buildability, the retrofit construction is simple enough for
materials is more extensive. Retrofit material innovation is local craftsmen and homeowners to apply without a prior
understanding of earthquake engineering.
a breakthrough in technology development. A typical
Based on these advantages in terms of social properties,
exploration of this idea is the poly-propylene band (PP band)
shake table tests have been carried out internationally to test
surface treatment technique. This strengthening method was the effectiveness of this retrofitting method. Paola Mayorca
proposed by Mayorca and Meguro (2003), University of et al. (2006) carried out shake table tests on four single-
Tokyo, Japan. PP bands are fabricated in mesh and story masonry models (two of which were retrofitted). The
embedded in cement mortar (Fig. 16), suitable for brick result showed that PP band effectively helped to increase
500 Hao Wang, Baitao Sun and Hongfu Chen

(a) The plane and section plan of house type 1

(b) The plane and section plan of house type 2

(c) The plane and section plan of house type 3

Fig. 18 Retrofitted model of single-story concrete-brick houses with three different structural layouts

the ductility of the wall after it cracked and was able to applied in concrete block structure housing in Dangxiong,
prevent the wall from collapsing (Fig. 17). Sun et al. (2018) Tibet.
conducted tests on seven 1:3 masonry-wood models with
different structural configurations and different retrofit 5.2 Little disturbance during construction
conditions (Fig. 18). The results showed that the PP band
significantly improved the integrity of the walls and Traditional seismic repair and strengthening methods
reduced the seismic damage. often disturb the normal operation of the building during the
This technology is considered a cost -effective retrofit and even cause considerable economic losses.
strengthening method with good buildability, due to the Innovation in construction will help to shorten the
material advantages of cheapness, ease of obtaining, high downtime, reduce noise and dust, and even transfer
tensile stress, nice durability, and ease of transportation and construction work to the exterior of the building, and
handling. This strengthening method has been successfully eventually minimize the impact on building function during
 Performance-based seismic evaluation and practical retrofit techniques for buildings in China 501

tendons that dissipate seismic energy during the movement

process and protect the main structure. Similarly, the
attaching diagonal prestressed frame method is also
effective and has little disturbance, and has already been
used in practice (Fig. 20).
Attaching substructure technology has also been
introduced in China in recent years, for example, the China
Academy of Building Research used attaching V-shaped
steel braced frame to a variable section 5-story RC frame
test, and the technology was successfully applied to projects
such as the Shicheng Building in Beijing Hospital of
Traditional Chinese Medicine.

Fig. 19 BRB with glass curtain wall reinforcement

retrofit facade. Extracted from (Tanaka et al. 2005) 6. Conclusions

Improving the seismic performance of existing buildings

is an important and effective measure to mitigate seismic
damage and loss in urban and rural areas. A great deal of
seismic evaluation work has been carried out in China in the
earthquake-prone area. In Beijing, for example, during the
12th Five-Year Plan period, Beijing completed the
comprehensive retrofit of 65.62 million square meters of
old districts, involving 13,700 buildings and 819,000
households.
In this paper, the evolution of seismic performance
objective and evaluation method is reviewed and the
engineering properties of different repairs and strengthening
methods are discussed. Focused on two promising
strengthening methods in China which have advantages in
Fig. 20 Oblique prestressed frame reinforcement retrofit social property are introduced. The main findings of the
elevation. Extracted from (Tanaka et al. 2005) review can be summarized as follows:
• Performance-based seismic design and evaluation
are adapting to engineering requirements and advanced
the retrofit. Meanwhile, little disturbance does not mean a repair and strengthening techniques.
compromise on retrofit effectiveness. • In terms of engineering properties, the
The retrofitting method of the attaching substructure strengthening mechanism should match the failure
was widely researched and successfully applied to mechanism of the structure or component to ensure
engineering in Japan earlier. In 2006, Takeuchi et al. (2006) strengthening effectiveness.
proposed Integrated Building Facade Engineering (IBFE) • For existing buildings with different
with attaching high-performance members. In addition to deficiency/damage levels and mechanisms, different
the improvement of the seismic performance of the strategies and scales of retrofit schemes should be clear.
structure, more importantly, this technology has low
• The future retrofit strategy also needs to focus on
disturbance because the construction plane is located
social property, including economic and ease of obtaining
outside the building, and with the combination of
rehabilitation materials and little disturbance during the
architectural design can achieve a beautiful and unique
retrofit process.
architectural effect. Externally attaching steel bracing and
To better serve retrofit strategy in the future, a
damper bracing is one of the typical techniques. A retrofit
recommended retrofit schemes category is given below. The
test of a V-shaped steel frame attaching to a three-story RC
concept of “repair”, “retrofitting” and “rehabilitation” is
frame structure school building was carried out on the E-
distinct here (Ganesh and Murthy, 2019).
Defense shaking table in Japan (Kabeyasawa et al. 2008). in
• Minor rehabilitation: for the non-earthquake
the same year, a retrofit project of BRB with glass curtain
minor damage to existing structure (such as minor cracking,
wall attaching to the exterior of Midorigaoka No.1 Building
deflection), taking rehabilitation measures.
of Tokyo Institute of Technology (Fig. 19). The PitaColumn
method connects the concrete planar structure with built-in • Medium repair: for the structural defects or weak
steel plates to the original structure through anchor bolts, position of the existing structure, or minor damage of the
while the KTB-PCaPC external frame method (Kurosawa et earthquake damage structure, taking repair measures.
al. 2012) connects the prestressed external frame to the • Major retrofitting: for existing structures and
original structure through anchor bolts and new floor slabs. earthquake-damaged buildings, taking integral and
And through its unique KTB-PC pressure joint technology, structural retrofitting measures.
the beam-column joints are provided with prestressing This paper discusses the important evolution and
502 Hao Wang, Baitao Sun and Hongfu Chen

characteristics of seismic evaluation and promising retrofit joints with minor to moderate seismic damage repaired using C-
technology for future practice. It is inevitable that there is FRP sheets”, Earthq. Struct., 15(6), 617–627.
an omission or a fallacy in the comments and is for peer https://doi.org/10.12989/eas.2018.15.6.617.
scholars to discuss together. Karayannis, C.G. and Golias, E. (2021), “Strengthening of
deficient RC joints with diagonally placed external C-FRP
ropes”, Earthq. Struct., 20(1), 123–132.
https://doi.org/10.12989/eas.2021.20.1.123.
Acknowledgments Kurosawa, R., Fujiwara, T. and Tanabe, K. (2012), “Case study of
seismic reinforcement of apartment buildings by PCaPC
The research described in this paper was financially external frame seismic reinforcement method”, Concrete J.,
supported by the National Key Research and Development 50(6), 540–540. https://doi.org/10.3151/coj.50.540.
Program of China (Grant No. 2019YFC1509301), the Mayorca, P. and Meguro, K. (2003), “Proposal of a new economic
Scientific Research Fund of Institute of Engineering retrofitting method for masonry structures”, JSCE J. Earthq.
Mechanics, China Earthquake Administration (Grant No. Eng., 27, 123. https://doi.org/10.11532/proee2003.27.123.
Mayorca, P., Sathiparan, N., Guragain, R. and Meguro, K. (2006),
2019EEEV0103), and the Special Fund for China Earthquake “Comparison of the Seismic Performance of Different Strength
Research (Construction of technical support system for houses Masonry Structures Retrofitted with PP-band Meshes”,
& facilities rehabilitation project in earthquake-prone areas). Proceedings of the 5th International Symposium on New
Technologies for Urban Safety of Mega Cities in Asia, Phuket,
Thailand, November.
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