Earthquake Prone Buildings

– Guidance and Approaches

Auckland Council Guide

Find out more:

visit aucklandcouncil.govt.nz or call 09 301 0101
This guide is written for building owners, tenants and building managers
who have been issued a council notice regarding the Potential Earthquake
Prone status of their building. In addition, those who are interested in the
earthquake assessment and retrofit process may also find this guide useful.

2 Earthquake Prone Buildings – Guidance And Approaches

Foreword
Waitematā Local Board’s vision is to create the world’s most liveable New Zealand’s recent earthquake history has focused attention on the
city at the local level. The protection and promotion of our heritage value of seismic resilience in protecting our heritage. Between 2011 and
and preserving historic character is vital to achieving that. 2017 around 2000 potentially earthquake-prone buildings were identified
in Auckland.
The Waitematā area is home to some of Auckland’s most historic
buildings. While many of those buildings are in the city centre, there Council’s approach to identification now follows legislation introduced in
are others around our area that it is critical we also protect, such as 2017. We are committed to the survival of our built heritage by ensuring it
in New Zealand’s first suburb, Parnell, and one of the world’s largest is structurally-sound, but we do not want seismic strengthening work to
collections of Victorian-era wooden buildings in Ponsonby/Grey Lynn. adversely affect the value of a building, nor should it compel an owner to
Age catches up with us all and heritage buildings are no different. resort to demolition for fear that strengthening work will be uneconomic.
The materials and construction methods used in days gone by mean
that there are risks associated with those buildings. The likelihood of That commitment has led to this overview of earthquake assessment
a damaging earthquake in Auckland is low but it cannot be ignored. processes. It outlines seismic strengthening requirements and common
Waitematā has heritage buildings that fall short of seismic performance vulnerabilities for historic buildings, the retrofit process, and potential
standards and are consequently considered earthquake-prone. costs. We have aimed to make it as easy to read as possible while
retaining the necessary technical detail.
Retrofitting to strengthen and protect structures can be confusing
and costly, even causing some owners to consider demolition. But
our community has told us that protecting, promoting and preserving Vernon Tava Board Member
heritage buildings to ensure their enjoyment now and in the future Waitematā Local Board
is important.

Earthquake Prone Buildings – Guidance And Approaches 3

Purpose of this document
The purpose of this document is to provide a high-level overview of the Acknowledgements
earthquake assessment process, the common earthquake vulnerabilities
of historical buildings, common approaches to earthquake retrofit and This report was prepared by officers of Auckland Council in collaboration
the potential costs associated with those approaches. In the wake of with EQ STRUC Group for Auckland Council, with funding and project
devastating earthquakes in Canterbury and the risk of further earthquakes oversight provided by the Waitemata Local Board.
in other parts of New Zealand, the Government has made substantial
changes to the seismic strengthening requirements in the Building Act.
This guide has been prepared to help property owners in Auckland better Contact list
understand their risks, and assist them with finding an appropriate way to
For further information on managing earthquake prone buildings under
both improve public safety and comply with new regulations that affect
the current legislation or for technical advice on Historic Heritage and
their properties.
Character properties, contact the Council at 09 301 0101.
This document has focused on a particular type of building that can be
earthquake prone: a two storey unreinforced clay brick masonry (URM)
Disclaimer
building. Previous earthquakes have demonstrated the vulnerabilities of
URM construction. And many URM buildings have not been strengthened This document is issued for information only, the legislative frameworks
to resist earthquake forces and may be vulnerable in future earthquakes. (Sections 112, 113, 115, and 133AA to 133AY). Every effort has been made
Two storey URM buildings are a common sight in Auckland’s urban to ensure that the information set out in this document is accurate.
environment. They are usually older buildings, and often have historic However, this document is provided as a guide only and no information in
heritage and character value that is appreciated by the wider community. this document shall be used as a substitute for business, tax, accounting,
legal or any other professional advice. Please also note that any references
Although the focus in this document is on two storey URM buildings, the to rates or costs are subject to change. Auckland Council and EQStruc
building characteristics, construction and retrofit techniques are often do not accept any liability for any damage or loss that may result, either
applicable to other historical building typologies. directly or indirectly, from the use of or any action taken as a result of any
information contained in this document.

4 Earthquake Prone Buildings – Guidance And Approaches

Contents
1.0 Auckland Seismology.......................................................... 4 4.0 Earthquake Building Performance...............................20

2.0 Earthquake Prone Building Legislation.........................7 4.1 Typical Construction................................................................... 20

2.1 Introduction...................................................................................... 7 4.2 Evaluation of Earthquake Performance.............................. 20

2.2 Building Owner’s Obligations.................................................... 7 4.3 Gravity Load-resisting System............................................... 23

2.3 NBS Explained..................................................................................8 4.4 Lateral Load-resisting System (Earthquake).................... 23

2.4 Failure to Comply............................................................................8 5.0 Earthquake Retrofit Solutions ...................................... 27

3.0 Earthquake Assessment Process.....................................9 5.1 Seismic retrofit hierarchy..........................................................27

3.1 Identification..................................................................................10 5.2 Other retrofit techniques......................................................... 30

3.2 Assessment.....................................................................................10 5.2.1 Fibre Reinforced Polymer (FRP)

Retrofit of Walls................................................................. 30
3.2.1 Independent Initial Seismic Assessment (ISA)
Commissioned by the Building Owner.........................10 5.2.2 Overlay with Engineered Cementitious
Composite (ECC)............................................................... 30
3.2.2 Detailed Seismic Assessment (DSA)..............................11
5.2.3 Securing of the URM Layers in a Cavity Wall............. 31
3.3 Other Factors That Can Influence the %NBS Rating ...........13
5.2.4 Fibre Reinforced Polymer (FRP)
3.3.1 Building Importance Level...............................................14 Retrofit of URM Chimneys...............................................32
3.3.2 Site Soil Class....................................................................... 15 5.2.5 Roof Diaphragm Retrofit with Tension Braces...........32
3.4 Implementation of the Seismic Retrofit..............................15 5.3 Earthquake Retrofit Costs........................................................34
3.5 Professional Services Cost........................................................17 5.3.1 Example.................................................................................35
3.5.1 Example.................................................................................18 6.0 Glossary of Terms............................................................... 37

Earthquake Prone Buildings – Guidance And Approaches 5

1.0 Auckland Seismology
New Zealand is situated across the margin sedimentary and volcanic rocks that overlay
between the Australasian and Pacific Plates, an older layer of Greywacke of Triassic to Early
which are moving relative to each other by Cretaceous age (Edbrooke, 2011). Those faults
approximately 40mm/yr. In the North Island, that have been mapped in Auckland appear to
the plates converge with each other and the be ancient and inactive, and many are thought
Pacific Plate is driven under the Australasian to have originated when major geological
Plate (i.e. subduction). In the lower South Island, changes occurred when New Zealand separated
the opposite occurs and it is the Australasian from Gondwana 80 million years ago (Kenny,
Plate that is being sub-ducted. In the upper Lindsay & Howe, 2011).
South Island and Cook Strait area, the two
plates slide past each other in what is termed There are only a handful of active faults
a ‘strike-slip’ relationship (see Figure 1). identified as potentially affecting the Auckland
region. The closest being the Wairoa North Fault
As the plates move against each other, and the Kerepehi Fault (see Figure 2). Both of
excessive stress in the earth crust gradually these faults are located in the southern part
builds up before eventually being released as of the region and are thought to be capable
earthquakes. Imperceptible seismic activity of producing characteristic earthquakes of
occurs across New Zealand (and the rest of magnitudes greater than 6. However, the effects
the world) every day, but in the areas where tend to be offset by the long return period of
movement is greatest along the major faults, earthquakes generated by these faults (about
larger earthquakes occur from time to time, every 12,600 to 20,000 years respectively).
such as the 1931 Hawke’s Bay and the 2010-
FIGURE 1: Plate movements and major fault systems 2011 Canterbury earthquakes. From 2004 to 2014, 582 earthquakes exceeding
(Image Courtesy of GNS Science). magnitude 2 were detected in the Auckland
The Auckland region sits on the Australasian and Northland region. Most earthquakes were
Plate approximately 300-500 km northwest less than magnitude 3 and were not felt, but
of the active plate boundary running along the one magnitude 4.5 earthquake, which occurred
length of New Zealand. The landscape is made on 21 February 2007, was felt widely across the
up predominantly of Cretaceous to Holocene Auckland region. It was located in the Hauraki

6 Earthquake Prone Buildings – Guidance And Approaches

Gulf, 6 km east of Orewa. This earthquake was conjunction with GNS and other organisations, Region Peak ground Relative earthquake
part of a swarm of ten separate earthquakes and the data obtained are used as indicators to acceleration demand requirement
that occurred within a 24-hour period. It caused help determine Auckland’s earthquake risk. with all other
conditions being equal
Since the 1970s the New Zealand Building Code Auckland 0.13g 1.0x (basis of
has placed strong emphasis on earthquake design comparison)
of buildings by requiring buildings to be designed Hamilton 0.16g 1.2x
with earthquake resilience levels corresponding Tauranga 0.20g 1.5x
to the building use or importance. Most New 0.18g 1.4x
modern buildings are designed to withstand the Plymouth
regionalised peak ground accelerations generated
Napier 0.38g 2.9x
by at least the 1 in 500 year return period
earthquake. Fundamentally, the peak ground Wellington 0.40g 3.1x
acceleration is used by engineers to establish the Masterton 0.42g 3.2x
design earthquake forces on a structure in any Greymouth 0.37g 2.8x
given region of New Zealand. The regionalised Christchurch 0.30g 2.3x
ground acceleration value is modified during
Dunedin 0.13g 1.0x
the design process to account for amplification
caused by the local geology and the dynamic Invercargill 0.17g 1.3x
responses of the building.
TABLE 1: Peak acceleration values for different cities
As a recognition of Auckland’s relatively low within New Zealand.
seismic activity, the peak acceleration for the 1
FIGURE 2: Relative locations of the Wairoa North and
Kerepehi Faults (Image Courtesy of GNS Science) in 500 year return period earthquake Auckland
is 0.13g and is significantly lower than other
regions of New Zealand where the level of
minor damage to houses (particularly brick seismic activity is higher. Refer to Table 1 for a
chimneys and walls) and their contents. A total comparison of Auckland design seismicity with
insurance pay-out of $1.5 million was made, other regions in New Zealand. In simple terms, a
with 495 damage claims reported, primarily building in Wellington would be designed to resist
from residential properties in the former Rodney an earthquake that is at least 3 times stronger
District and North Shore City. Auckland Council than a similar building built on similar geology
monitors these events and other factors in and subsoil conditions in Auckland.
1
G-force stands for the force of gravity acting on a body. It is measured in g’s, where 1g is equal to the force of gravity at the Earth’s surface, which is 9.8 metres per second per second.

Earthquake Prone Buildings – Guidance And Approaches 7

2.0 Earthquake Prone Building Legislation
2.1 Introduction The definition of an earthquake-prone building 2.2 Building Owner’s Obligations
takes into account a range of factors, including
As of 1 July 2017 New Zealand has a national different levels of seismic risk around New Once a building has been confirmed by
system for managing earthquake-prone Zealand. This means that the same non- Auckland Council as being earthquake prone,
buildings that has superseded all previous earthquake prone building (i.e. 34%NBS or that building or parts thereof identified as
EPB policies held by Territorial Authorities. more) in Auckland where the seismic risk is earthquake prone will be required to be
This system is consistent across the country lower may be considered as earthquake prone retrofitted to no less than 34% of the new
and focuses on the most vulnerable buildings if the building was located in Wellington where building standard (34%NBS). Building owners
in terms of people’s safety. It categorises there is relatively high seismic risk. are encouraged to retrofit buildings to a higher
New Zealand into three seismic risk areas %NBS earthquake rating where practical.
and sets time frames for identifying and
taking action to strengthen or remove Further information on the national Auckland Council recognises the varying
earthquake-prone buildings. system can be found on the MBIE website: financial and practical implications building
www.building.govt.nz/managing-buildings/ owners will face. Note, however, that a
The Building Act 2004 defines an earthquake managing-earthquake-prone-buildings/ higher %NBS rating may be required rather
prone building as one that would be likely to than encouraged by Auckland Council if
completely or in part collapse in a ‘moderate other provisions of the Building Act 2004
earthquake’ causing injury or death or damage are triggered, such as a change of use or
to other property. The term ‘moderate substantial alterations.
earthquake’ is defined in regulations under the
Act as one that would generate shaking, at the Under the current earthquake prone building
site of the building, that is of the same duration, legislation owners of buildings in Auckland will
but one-third as strong as what a new building have 35 years to strengthen their buildings
at the same site would be designed for. from the time that the earthquake prone
status is confirmed with the issue of an
In practice, an earthquake-prone building is earthquake prone building notice (EPB notice)
defined as one that is less than 34% of the under Section 133AL of the Building Act.
new building standard, or NBS. Further explanation of the earthquake prone
building identification process can be found in
Section 3.0.

8 Earthquake Prone Buildings – Guidance And Approaches

2.3 NBS explained If seismic retrofit of an earthquake prone
building has not occurred within the 35
Percent of New Building Standard, or NBS, is a percentage which describes the seismic capacity of years set for earthquake prone buildings in
the building relative to New Building Standards for a not less than 50 year design life, i.e. Auckland, council can restrict approach to the
building under the authority granted to it by
Section 133AR of the Building Act 2004. The
Assessed capacity of the building approach restriction will likely take the form
×100% = %NBS of hoardings and may also include warning
Design earthquake demand determined using the current building standard signs and/or temporary restriction of the
requirement for occupants of any type to
vacate the building until such a time as work is
carried out to address the hazard. In addition,
The assessed capacity of the building and the 2.4 Failure to comply Section 133AU may apply, where an owner
design earthquake demands are based on the
Building owners are encouraged to plan and who fails to comply can incur a maximum fine
Ultimate Limit State (ULS). The functional
retrofit their earthquake prone buildings prior of $200,000, plus $20,000 for each day that
requirements of ULS are focused on preventing
to the expiration of the 35 year timeframe. the offence continues.
structural collapse and ensuring safe egress
out of the building following an earthquake. The benefits of early planning and retrofitting
include: The public and the building occupants While the responsibility for dealing with
Buildings are inherently complex and the receive the benefits of the improved building earthquake prone buildings rests with
seismic capacity of the various portions of a safety. The ability to plan the seismic retrofit owners of the affected buildings, Auckland
building may vary, resulting in different %NBS with any refurbishment of the building. Financial Council may undertake improvement work
values for different building portions. incentives from the building not being in accordance with Section 133AS (where the
earthquake-prone. owner fails to do so), and seek to recover the
The overall %NBS of a building is dictated by costs from owners. It should also be noted
the lowest-rated building portion or building At any point after a building is deemed that the choice to demolish an earthquake-
component. earthquake-prone, Auckland Council may elect prone building does not take precedence over
to restrict access and approaches to a building other regulatory requirements, and cannot
in accordance with Section 133AR of the be used to add weight to an argument for a
Building Act 2004. resource consent.

The status quo of minimum 34% of the new building standard (NBS) will not change and building owner(s) n Auckland will have 35 years to
strengthen their building under the legislation

Earthquake Prone Buildings – Guidance And Approaches 9

3.0 Seismic Performance
The identification, assessment and retrofit Auckland Council has previously undertaken Under the current methodology, the owner
of an earthquake prone building is a multi- Initial Seismic Assessments (ISA) many of all pre- of any building identified as potentially
staged process, involving inputs from Auckland 1976 commercial and multi-dwelling buildings. earthquake-prone are sent a letter informing
Council, building owner(s) and building Developed by the New Zealand Society of them as such. This letter gives an owner the
professionals. The flow chart on the following Earthquake Engineering (NZSEE), the Initial option of accepting the designation or opting
page is intended to provide a high level Seismic Assessment process utilizes the Initial to undertake their own assessment. Buildings
overview of the whole process. Evaluation Procedure (IEP) as a coarse screening may be deemed potentially earthquake-prone
tool, where the aim is to provide an indication due to existing seismic assessments held by
3.1 Identification on the seismic performance of the building in Auckland Council, or if the Council has other
terms of a potential %NBS rating. It is important reason to suspect the building may have a low
Under the new national system, the classes of to note that financial decisions relating to the performance rating (i.e. If a class of building
building that Auckland Council will continue building should not be made solely on the basis becomes of concern to central government).
to require assessments for are those built of the ISA outcome. ISAs are largely based on
of unreinforced masonry and those of pre- visual observations of the building’s exterior and Where an owner opts to accept an earthquake-
1976 construction that are also three or more prone building rating or fails to respond to
storeys high or 12 metres or greater in height. the letter within one month of it being posted,
Especially in Auckland, buildings designed or It is important to note that the ISA is they are issued with an EPB notice that is to be
strengthened to the code implemented after a coarse screening process and it is placed on the building in a prominent location
1976 (NZS 4203:1976 and subsequent codes) encouraged that financial decisions relating legible from the exterior. A record of the
are not required to have assessments, unless to the building should not be made solely building and its rating is also uploaded
they have a critical structural weakness that the on the basis of the ISA outcome. to the national EPB Register for earthquake-
council is made aware of. The reason for this prone buildings on the MBIE website. From
is because, from 1976 onwards, various other the date of issue of that notice, an owner of a
factors have been introduced to take account reviews of original construction documentation building in Auckland has 35 years in which to
of the performance of modern structural forms that may be found in council records. Key upgrade the building to at least 34% NBS or
that use varied materials with improved detailing parameters in an ISA assessment are: year of otherwise address the risk. Until it is no longer
standards. Therefore, all buildings designed to the building’s construction, structural makeup a risk, the notice and the MBIE website record
NZS 4203:1976 and later will not be required is of the building, structural configuration and remain in place.
to undergo an assessment and potential upgrade geometric characteristics, and proximity to
under the earthquake prone building legislation neighbouring structures.

10 Earthquake Prone Buildings – Guidance And Approaches

 Building identified as potentially
earthquake-prone based on...

MBIE profile Special information indicating Pre-2017 Council

categories potential vulnerabilities Assessment

Notification sent to owners Notification sent to owners

requesting seismic assessment granting choice of two
within 1 year options, (a) or (b)

Response on selected option required within 1 month of

notification, otherwise existing assessment automatically accepted.

(b) (a)

Undertake Seismic No action taken Accept existing

Assessment assessment

If required, a 1 year This can be an

extension of time Initial Seismic
can be applied for if Assessment or a
engineering resources Detailed Seismic
are not available Assessment, as long
to complete the as it adheres to
assessment in time. MBIE’s methodology.

Submit to Seismic
council for Performance rating
evaluation less than 34% NBS
FIGURE 3: Flow chart illustrating the identification, assessment and retrofit process of earthquake prone buildings

Notice must be displayed

Seismic Performance rating Formal s133 Notice physically on the building. 35 years
in Auckland for buildings to have
greater than 33% NBS issued on the building strengthening works completed.

Details uploaded to
the publicly accessible
National EPB Register

Report placed on property file

Earthquake Prone Buildings – Guidance And Approaches

and seismic grade reflected on

11

LIM reports.
If an owner chooses to engage their own obtain a copy on behalf of the building and it is possible to conduct a DSA without
engineer to conduct a new seismic performance owner. The Engineer should then complete completing an ISA. The DSA is intended to
assessment (ISA or DSA), they must do so a careful review of the information within provide an in-depth understanding of how the
within 12 months of the letter. Once a report is the property file relating to the building constituent elements of a building will perform
received, council staff will ensure it meets the structure, such as legacy consent plans and during an earthquake, identifying in particular
prescribed methodology before making any consented structural modifications. any critical structural weaknesses that may
changes to a building’s seismic performance rating. need to be addressed.
• The Engineer should complete a visual
Information on the national system can be inspection of the building’s exterior and As part of the DSA process, the Engineer
found on the MBIE website www.building. interior. Particular attention should be given will make use of appropriate standards,
govt.nz/managing-buildings/managing- by the engineer to identify and inspect any assessment guidelines, New Zealand and/or
earthquake-prone-buildings/ structural modifications and visible critical international research and non-invasive and
structural weaknesses. invasive techniques to obtain information on
the as-built arrangement of the building and to
3.2 Assessment • A written report should be provided by the complete the assessment. The outcome of the
engineer accompanying the ISA calculations. DSA is significantly dependent upon the access
3.2.1 Independent Initial Seismic Assessment
The report should outline observations from to detailed information on the construction
(ISA) Commissioned by the Building Owner
the assessment and from the review of the of the building, such as plans, specifications
An independent initial seismic assessment property file. In addition, the report should and design information, and information on
commissioned by the building owner highlight the potential critical structural modifications that had been carried out since
needs to be completed by a Chartered weaknesses, aspects that can affect the the building’s construction. The information
Professional Engineer (CPEng) and adhere earthquake performance of the building, is generally available from Auckland Council,
to the methodology set by MBIE for these and recommendations for further review however additional information may be
assessments. The differences in outcome if required. available from other sources. The method of
between ISAs are commonly due to revisions assessment is dependent on the quality of
of the ISA procedure, Council having limited • A summary of the engineering assessment information available and the complexity of the
information on the building at the time of the must be provided to the council in the format building. For example, simpler forms of analysis
assessment, and limited access to the building prescribed by the ‘Engineering Assessment procedure may suffice for a low rise structurally
to complete the visual inspection of the building. Guidelines’. regular building and more sophisticated analysis
procedures may be necessary to increase the
The following points are an outline of the key 3.2.2 Detailed Seismic Assessment (DSA) confidence level of the assessment for a for
aspects that an ISA should include: complex and irregular building, see Figure 4
Detailed seismic assessments (DSA) are often illustrating the relationships.
the subsequent step following an ISA. But the
• The Engineer should ask the building owner
two forms of assessments are independent
to provide a copy of the Property File or
12 Earthquake Prone Buildings – Guidance And Approaches
It is up to the Engineer to determine the most
appropriate form of analysis. As a general
guide, a good DSA should incorporate the

Complexity of the structural analysis

following aspects:

Time required/cost of the assessment

• Desktop review of the relevant plans,
“Assessment
calculations, specifications and previous
consents on the building. Review of previous Curve”
heritage assessments and conservation plan
and other useful reports on the building
provided by the client or obtained from
other sources;

Initial seismic
• Detailed inspection of the primary and
assessment
secondary building structure, connections
and services;

• Where structural information is lacking,

conduct non-invasive and invasive
investigations to help establish the as-built
Confidence of the assessment
arrangement of the building and mechanical
properties of the constituent materials;
No information Information on the building Complete information,
drawings, actual material
• Quantitative analysis of the building to properties etc.
determine %NBS for various building
portions and identify any critical structural FIGURE 4: Graph illustrating the relationship between the confidence of the assessment, time/cost and
weaknesses that could affect the earthquake complexity of the analysis
performance of the building;

• Assessment of secondary structural and non- • Report outlining the findings from the investigations, analysis outcome, conclusion and
structural features within the building where recommendation. The recommendations should outline the scope of seismic retrofit identified
failure during an earthquake could pose risks during the DSA process and outline any uncertainties encountered during the assessment that is
to human safety and affect the safe egress worth further investigation.
from the building;

Earthquake Prone Buildings – Guidance And Approaches 13

The following table is a brief comparison of the key differences between the ISA and DSA:

Initial Seismic Assessment (ISA) Detailed Seismic Assessment (DSA)

Assessment Qualitative assessment. ISA is intended to provide a potential Quantitative assessment. Various building components that contribute to the
methodology %NBS rating. seismic performance of the building are analysed and given a %NBS rating.
Knowledge of Assessment can be completed based on visual inspection of Accurate and detailed information of the building is critical to the
the building the building and without detailed information on the building assessment. DSA cannot be completed based solely on visual inspection
required to structure. of the building. The engineer must have a comprehensive understanding
complete the
assessment
of the building structure and aspects of the building that can affect the
earthquake performance of the building.
Assessment A single %NBS number representing the potential seismic Seismic ratings are provided for various portions of the building that
outcome rating of the ENTIRE building. contribute to the earthquake performance of the building. The final %NBS
rating is based on the lowest-rated portion of the building.
Advantages • The assessment is relatively quick and cost effective to • Aspects of the building directly affecting the earthquake rating
complete. are clearly identified, such as quantifying the effects of the critical
structural weaknesses.
• The assessment is a reasonable tool for the identification
of buildings that warrant further assessment. • The assessment outcome could be used by the building owner with the
assistance of their engineer to understand the financial implications of
• Identification of obvious critical structural weaknesses. the seismic retrofit.
• The assessment outcome and report will be useful to any future seismic
retrofit of the building.
Disadvantages • Low level of confidence on the assessment outcomes. • DSA requires significantly more effort and time to complete. This is
Provides a single rating for the building. I.e. it is difficult directly reflected in the cost and time required to complete a DSA.
to determine from the results if the rating applies to the
• DSA are not a suitable tool when there is a large number of buildings to
whole building or only a portion of the building.
assess, as is the case for Auckland Council.
• The assessment has limited value for building owners who
wish to undergo the seismic retrofit process.

TABLE 2: Comparison of the ISA and DSA process.

14 Earthquake Prone Buildings – Guidance And Approaches

3.3 Other factors that can influence The Importance level will affect the return period
the %NBS rating of the design earthquake event for the building Where applicable, reducing the Building
amongst other things. A higher Importance Importance Level through the Change
The direct factors that can influence the Level increases the return period of the design of Use process can result in significant
earthquake rating of a building include variables earthquake and the design requirement on reductions in the earthquake demand.
such as the reinforcement in the structural the building. Vice versa, a lower importance This will have a positive effect on the
elements, the configuration of the building level reduces the return period of the design building’s %NBS rating without any
walls, depth and size of the foundations, etc. earthquake and the design requirement. For seismic retrofit.
However, there are other indirect factors not example, a building was originally designed and
related to the construction of the building that used as a theatre and assessed as an Importance
can influence the %NBS rating, such as the use Level 3 building with regards to its earthquake have a positive effect on the building’s %NBS
of the building, the type of soil on which the performance. However after some consideration, rating without doing any seismic retrofit.
building is founded and the configuration of any the building owner feel that the original use is
neighbouring structures. no longer viable and decides to redevelop the Presented in Table 3 is a summary of the
building into general retail and offices through Importance Level definitions and the earthquake
In certain cases, building owners may benefit a change of use that is into an Importance Level design requirement with respect to the 1 in 500
from investigating these factors in order to 2 building. The change will result in a 30% year earthquake event.
improve the %NBS rating of the building reduction in the earthquake demand, which will
without seismic retrofit works. The subsequent
sections provide brief explanations on
how these other factors can influence the Importance Examples Relative design requirements
%NBS rating. level based on return periods
1 Fences, masts, in ground swimming pools, farm 1 in100 year event or
3.3.1 Building Importance Level buildings, small scale structures with total floor 50% of the 1 in 500 year event
areas of less than 30m2
Most buildings in New Zealand are designed 2 Family homes, car park buildings, most low-rise 1 in 500 year event
based on a 50 year service life for the 1 in 500 commercial buildings
year return period earthquake. However, in
3 Structures that may contain people in crowds such 1 in 1000 year event or
recognition of the different building uses, service
as shopping malls, theatres, assembly buildings, 130% of the 1 in 500 year event
life, and the value a building may have in the
apartments, large commercial buildings, schools
community, different Importance Levels can
be assigned during design to take these factors
4 Structures with post disaster functions such as 1 in 2500 year event or
hospitals, fire stations, police stations 180% of the 1 in 500 year event
into consideration.
5 Special structures such as dams, power plants etc Site specific considerations are required
TABLE 3: Building Importance Levels and adjustment factors

Earthquake Prone Buildings – Guidance And Approaches 15

3.3.2 Site Soil Class Generally, site specific geotechnical studies are 3.4.1 Row Buildings
the only method to identify the site soil class
The ‘fundamental’ earthquake acceleration for which a building is founded on and it is often General principles of structural performance
Auckland is 0.13g. Coupled with various other beneficial that such a study be included as along with observations made of damage
factors, the earthquake acceleration is used by part of the DSA and earthquake retrofit design. to structures in the Canterbury Earthquake
engineers to estimate the earthquake demand The information can be used to eliminate the sequence mean that buildings must be
on new buildings and the earthquake demand assumptions made on soil class and ground considered in their entirety when undertaking
on existing buildings for assessment purposes. conditions, which could significantly improve seismic upgrades. Choosing to upgrade only
the outcome from the assessment and/or help one unit within a larger building is unlikely to
One of the other factors that can influence the reduce the scope of the earthquake retrofit. achieve the desired performance increase, and
earthquake demand is the geology which the may even cause greater damage to the building
building is founded on. Currently there are five as a whole.
3.4 Implementation of the seismic
general classes of soils with different influences
on the earthquake demand and the soil classes retrofit In the case of buildings that have been
range from hard rock to very soft soils. Rock The implementation phase involves the detailed subdivided along firewall separations especially,
type soils generally represent more favourable design of the seismic retrofit, obtaining consents this means that different building owners
soil conditions for earthquake forces whereas from Auckland Council, and construction of will need to cooperate to achieve a workable
softer soils are less favourable in terms of the retrofit. A Detailed Seismic Assessment outcome. Auckland Council will treat any
earthquake demand on buildings. is normally completed prior to the detailed building as a single structure unless a clear
design of the seismic retrofit stage. However, seismic separation can be proven, and the
As an example, the earthquake demand for building owners who wish to streamline the retrofit of individual units will not increase the
soft soil is 12% to 87% higher than rock type process could combine the DSA and earthquake overall seismic performance rating for that
soils, which means that the same building retrofit design and potentially save both building until the weakest element is brought
constructed on softer soils is likely to receive time and cost compared to carrying out both up to the sufficient standard.
a lower %NBS than the same building activities in sequence. The flow chart in Figure
constructed on rock. 5 is a brief illustration of the implementation
process starting with the detailed design of the
earthquake retrofit. Figure 5 also illustrates
Rock type soils generally represent the inputs from various parties that are often
more favourable soil conditions for involved in the process.
earthquake forces whereas softer soils
are less favourable in terms of earthquake
demand on buildings.

16 Earthquake Prone Buildings – Guidance And Approaches

 Input: previous building
and site investigations,
detailed seismic
assessment (DSA)

Decision by
building owner(s)
to proceed

Engage
professional
engineer

Building Fut ge Heritage

ure rita
owner(s) cos buildi
t, d n n o f he ter
c
isru g valu atio chara
ptio e, serv d
n Pre ric an
b
Preliminary seismic fa
Building Business disruption, Building fire, lighting, Auckland
tenant building functionality
retrofit design and ventilation and egress Council
, scope of works Op
po
ility st
tab ada rtunit
ie
s t ruc uild co ptiv
e re s for
Con me, b

Project feasibility
use
Quantity efra s
surveyor tim Architect

Scheduled historic
heritage places and
historic character

FIGURE 5: Flow chart of the earthquake retrofit process and inputs from the various stakeholders.
buildings Detailed retrofit
plans, scope and
specification
Other drivers

Bank and
Obtain Tenant insurance
Obtain
resource consent building consent

Building
e nt owner(s)
Paym

Tendering and Inspection, project

management Engineer
construction
Insp
ectio
n
Auckland
Council

Completion,
code compliance
certificate,
new %NBS rating
Earthquake Prone Buildings – Guidance And Approaches
17
3.5 Professional Services Cost required during DSA and the retrofit design Number of storeys
regardless of the intended %NBS. Area per
The cost of acquiring professionals to take a storey
1 2 3 4
building through the assessment, design and
Number of storeys Assessment 100m2 $90 $65 $65 $60
implementation processes is highly variable
and is generally established on a case by case Area per 200m 2
$70 $45 $35 $30
1 2 3 4
storey
basis. The costs are typically dependent on the 300m2 $60 $40 $30 $25
complexity of the building, any changes to the Assessment 100m 2
$90 $65 $65 $60 400m2 $50 $35 $25 $20
configuration of the building, and other market 200m 2
$70 $45 $35 $30 500m2 $45 $30 $25 $20
drivers at the time. 300m2 $60 $40 $30 $25
Design and 100m2 $140 $110 $90 $90
400m2 $50 $35 $25 $20 Consent
As an indicative guide, Table 4 presents 200m 2
$100 $70 $65 $60
500m2 $45 $30 $25 $20
professional services fees (excluding taxes) 300m2 $80 $60 $50 $45
based on the floor area per storey and the Design and 100m2 $140 $110 $90 $90
Consent 400m 2
$70 $50 $40 $35
number of storeys for the DSA and the seismic 200m2 $100 $70 $65 $60
500m 2
$60 $45 $35 $30
retrofit design. The indicative fees are gross 300m2 $80 $60 $50 $45
approximations of the engineering, architectural
400m2 $70 $50 $40 $35 The indicative rate for a DSA is $40/m2
and sub-consultant fees up to the Building
Consent stage. Additional consultant fees 500m2 $60 $45 $35 $30 The indicative rate for the detailed design up to
are likely to be incurred during construction, the consent stage is $60/m2
TABLE 4: Indicative professional service fee for DSA
especially if a project manager is employed to and seismic retrofit design ($/m2).
look after the construction. Step 2
– Calculate the indicative DSA and retrofit
3.5.1 Example design costs using the indicative rates
The indicative rates do not include other costs
such as Auckland Council Building Consent Estimate the Detailed Seismic Assessment and from Step 1:
charges, additional design fees associated with retrofit design costs for a 2 storey building with
building improvements and additional fees an average area of 300m2 per floor level.
associated with an independent heritage impact DSA
assessment. The indicative rates in Table 4 Step 1 2 storeys × 300m2 per storey × $40/m2
do not distinguish between the 34%NBS and – Determine the indicative $/m2 from Table 4 = $24,000
67%NBS levels as similar efforts are often based on the average floor area per storey:
Detailed Retrofit Design
2 storeys × 300m2 per storey × $60/m2
= $36,000
2 The indicative rates are based on 2014 sources and are subject to future revisions as more data becomes available.

18 Earthquake Prone Buildings – Guidance And Approaches

4.0 Earthquake Building Performance
In New Zealand, unreinforced clay brick and appreciation of the need to design 4.2 Evaluation of earthquake
masonry (URM) was the most popular form of buildings to withstand earthquakes. As performance
commercial construction between the 1880s technologies and knowledge of New Zealand’s
and 1930s and many URM buildings still exist seismicity improved, so did the earthquake The response and stability of early structures
today. A high proportion of the remaining design requirements of buildings. when subjected to lateral earthquake forces is
URM buildings have not been retrofit to a complex subject. However, in simple terms,
resist earthquake forces and make up a large The earlier buildings are typically very robust the earthquake performance (and rating) of
portion of the earthquake prone buildings at resisting gravity forces (i.e. vertical weights), a building is generally evaluated based on a
in the Auckland region. For this reason, the however are often vulnerable when subjected hierarchy of risk. At the top of the hierarchy
typical construction, earthquake performance to earthquake-induced lateral forces. Figure are structural weaknesses that pose the
and retrofit of historical URM buildings are 6 is an illustration of an exemplar two storey biggest concerns to human safety during an
discussed herein. URM building. Such building typology is earthquake and at the bottom of the hierarchy
common among many of Auckland’s developed are structural weaknesses that pose the
4.1 Typical construction suburban hubs. Although many other least concern.
typologies and types of construction exist,
The earlier buildings in New Zealand such as single storey and multiple storey URM Examples of structural weakness at the top
were designed and constructed without buildings, reinforced concrete buildings with of the hierarchy are elements of the building
significant understanding and consideration URM in-filled walls and the like, there are many that could potentially fall and collapse during a
of earthquakes and it was not until the 1931 structural characteristics which are common small to moderate earthquake, causing injury to
Hawke’s Bay earthquake that engineers and across all typologies. people and damage to other properties.
architects started to gain an understanding
One of the common issues associated with
these elements is the lack of connections and
restraints into other building elements, such as
unrestrained parapets, decorative ornaments,
and chimneys which are prone to toppling
during an earthquake.

Earthquake Prone Buildings – Guidance And Approaches 19

 Roof bearers and Decorative parapet Metallic roof Unrestrained Timber framed Internal URM Decorative First floor joist Solid multi-wythe
rafters generally with overhanging cladding on URM Chimney internal loadbearing wall, ornaments, parapet pocketed into URM loadbearing
pocketed into cornice timber rafters above the roof partition walls generally less and overhanging the internal load wall. Internal walls
the loadbearing line perforated with cornice bearing wall are typically
URM walls openings than the without mechanical 2 wythe thick
without perimeter URM walls connections
mechanical
connections

Ceilings
commonly
lined with
ornate
timber
sarking

First floor
walls are
commonly
1 Wythe
thinner than
the ground
floor walls

First floor joists are Floor joists Commonly Shallow strip Frequent openings Canopy stays First floor Reinforced concrete lintel
commonly supported are commonly constructed using foundations along the building anchored into URM wall beam across the large ground
on the resulting edge pocketed into timber flooring beneath the facades with relatively the façade supported floor openings. The lintel
created by the reduction the load bearing over suspended URM walls slender URM ‘piers’ URM wall by the lintel beam is commonly supported
in wall thickness URM walls floor joists between the openings beam directly on the URM walls

FIGURE 6: Typical construction of a two storey historical URM structure.

20 Earthquake Prone Buildings – Guidance And Approaches

At the other end of the hierarchy are building 4.3 Gravity load-resisting system • The load bearing URM walls tend to be
elements that do not pose an immediate thicker in the lower levels, which inherently
threat to human safety and egress from the Gravity load resisting elements are structural provide more stability at the base and more
building during an earthquake. An example features responsible for sustaining vertical capacity to resist gravity forces
may be the lack of lateral capacity in a URM weights above. Examples of such features are:
wall. During an earthquake, the URM wall loadbearing walls, floor joists, lintel beams, • Unreinforced masonry is very strong in
may sustain significant damage and crack, but etc. The main gravity load resisting system compression and ideally suited to resisting
retain its ability to sustain gravity loads and of a typical URM building are the perimeter gravity loads. However, it is poor in tension,
not result in the collapse of elements that the and internal loadbearing walls and the floor which is a characteristic with similarities
wall is supporting. and roof systems. The floor and roof systems to concrete.
are generally constructed using timber and
Therefore, a hierarchical approach should are lightweight in comparison to the URM
loadbearing walls.
4.4 Lateral load-resisting system
be taken when it comes to improving the
(earthquake)
earthquake performance of a building and
priorities should be given to addressing Other internal partition walls are commonly The lateral load resisting (i.e. bracing) elements
structural weakness at the top of the hierarchy. constructed using timber or single leaf URM and of historical URM buildings are generally reliant
are generally non-load bearing. However, the on the loadbearing URM walls, and to account
top floor internal partition walls are commonly for the unpredictability of earthquakes, the
used to support the internal ceiling, but it is building needs to have sufficient lateral strength
A hierarchical approach should be rare for the roof rafters and roof bearers to be
taken when it comes to improving the in both orthogonal directions (i.e. across
supported directly on the internal partition and along).
earthquake performance of a building walls. This type of construction is robust at
and priorities should be given to resisting gravity forces for the following reasons:
addressing structural weakness at the top Geometry dictates that URM walls are much
of the hierarchy. stronger and more stable when the direction of
• Generally squat building profile (large plan lateral force is parallel to the horizontal span of
area relative to building height) and simple the wall (commonly referred to as the in-plane
load path for gravity loads direction by engineers). When the direction of
force is perpendicular to the wall (commonly
• Gravity forces are mostly resisted by URM referred to as the out-of-plane direction by
walls which are constructed using multiple engineers), the stability of the wall is greatly
wythes of URM, instead of a comparatively diminished. These principles are illustrated
slender column and beam type arrangement in Figure 7.
as in a more modern building

Earthquake Prone Buildings – Guidance And Approaches 21

 As illustrated in Figure 6, the floor and roof
structures generally rest upon the loadbearing Preventing the out-of-plane collapse of
URM walls without mechanical connections. loadbearing URM walls, parapets and
In addition, parapets, chimneys and other chimneys is regarded as a priority on
decorative ornaments frequently featured above the hierarchy of structural weaknesses.
the roof line of historical URM structures are Wall collapse could have other
rarely restrained. This form of construction implications such as collapse of the roof
causes the loadbearing URM walls, parapets and and floor structures.
chimneys to be particularly prone to toppling
(i.e. out-of-plane failures) when there are
components of the earthquake forces that are Other common earthquake vulnerabilities
oriented perpendicular to the wall. borne out of the characteristics of historical
(a) Schematic of a wall responding out-of-plane. URM buildings include the poor geometric
This type of failure was the most common and distribution and the lack of lateral load resisting
one of the most damaging failure modes of walls, lack of stiffness in the floor and roof
URM structures during the recent Canterbury diaphragms and the general lack of connectivity
earthquakes and in previous New Zealand and between the various structural elements. These
international earthquakes. Preventing the common vulnerabilities are explained in the
out-of-plane collapse of loadbearing URM walls, following Table.
parapets and chimneys is regarded as a priority
on the hierarchy of structural weaknesses. Wall
collapse could have other implications such as
collapse of the roof and floor structures due to
the loss of gravity support.

(b) Schematic of a wall responding in-plane

FIGURE 7: Illustrations of URM walls when subjected

to in-plane and out-of-plane lateral forces.

22 Earthquake Prone Buildings – Guidance And Approaches

 Other common vulnerabilities Explanation Figures 8 and Figure 9 are illustrations of the
Poor geometric distribution of As illustrated in Figure 6, URM buildings frequently feature large ground exemplar two storey URM building with the
lateral load resisting walls floor street-facing entrances, open plan interior, facades with regular inherent structural weaknesses discussed in
window openings and relatively unperforated internal loadbearing URM this section. The illustrations represent the
partition walls between the tenancies. commonly observed failure modes of historical
URM buildings with respect to the idealised
Based on this configuration, the majority of the lateral load resisting unidirectional earthquakes. In addition,
URM walls are positioned across the building and the building is photographic evidence from the previous
laterally stronger in the cross direction. Consequently, the earthquake earthquakes are also presented in conjunction
performance of the building is likely to be much better if all the with the illustrations.
earthquake forces are aligned and are acting across the building.
Lack of floor and roof During an earthquake, the floors and roofs of the building essentially act
stiffness, poor connectivity as ‘lids to the building’ by providing out-of-plane restraints to the URM
between structural elements walls and transferring the inertia forces into the in-plane URM walls.

Often, due to the construction, age and condition of the flooring, ceiling
and framing, the floor and roof structures are poorly connected to the
walls and lack the sufficient stiffness required to function as the load
transferring diaphragm during an earthquake. Therefore, stiffening and
improving the connections of the floors and roof is often required.
TABLE 5: Other common structural weaknesses in URM buildings.

Earthquake Prone Buildings – Guidance And Approaches 23

 Example: Collapse of the loadbearing Collapse of the Collapse of roof The lateral capacity
perimeter walls during an URM chimney and floor structure of the URM wall is
earthquake, resulting in collapse of above the due to premature diminished by the Example: Diagonal shear failure of the
the roof and floor structure roof line toppling failure of the window openings URM piers during an earthquake
loadbearing URM wall

earthquake
Collapse of the perimeter Direction of
load bearing wall, resulting
in collapse of the floor Lack to lateral load
Collapse of decorative
structure and falling resisting elements in the Example: Lack of lateral load resisting
ornaments, resulting in
hazards to the public ground, resulting in ‘soft’ elements in the ground floor,
falling hazards
ground floor storey resulting in soft storey failure during
an earthquake

FIGURE 8: Earthquake forces acting along the building

24 Earthquake Prone Buildings – Guidance And Approaches

 Example: Collapse of the building façade during
an earthquake, significant safety hazard to the
public and building occupants
Partial collapse of the ceiling
structure
of
Di arth
re qu
e
ct ak
ion e

Collapse of the façade wall, resulting Collapse of the canopy Collapse of decorative
in significant safety hazard to the due to façade wall failure ornaments on to the
building occupants and the public surrounding area

FIGURE 9: Earthquake forces acting along the building

Earthquake Prone Buildings – Guidance And Approaches 25

5.0 Earthquake Retrofit Solutions
5.1 Seismic retrofit hierarchy 1. Protection against potential fall hazard during an earthquake. For example, securing
parapets, decorative ornaments, chimneys, gable walls and other building elements
Examples from the Canterbury earthquakes that are located at height.
and international earthquakes have shown
that it is possible to retrofit and improve the 2. Improve the stability of walls during an earthquake against toppling type failures.

Retrofit hierarchy
performance of existing buildings against the This can be achieved by adding reinforcing materials to the walls and/or by installing
effects of strong earthquake ground motions. mechanical connections between the walls and the roof and floor structures.
There are a range of options available and
the eventual solution or combination of 3. Ensure there are adequate connections between all the structural elements so
solutions is a balance between the level of the building responds as a cohesive unit instead of as individual parts during an
acceptable risk, financial constraints and earthquake. For example, this can be achieved by stiffening diaphragms, installing
preservation of heritage. additional connections between structural elements and at building junctions.

In a constrained environment, a hierarchical 4. Improve the building configuration issues such as poor distribution and/or lack of
approach should be adopted for seismic lateral load resisting elements. For example, this can be achieved by installing new
retrofits. Priorities should be given to structural frames and walls to supplement the existing structure at areas where the
retrofitting building elements that have building is lacking lateral strength.
the highest risk to human safety during
an earthquake: Presented in Figures 10 and Figure 11 are one combination of the available solutions to improve the
earthquake performance of the exemplar building against the possible failure modes illustrated in
Figure 8 and Figure 9. Building retrofits belonging to the categories in the hierarchy listed above are
also annotated in Figure 10 and Figure 11.

26 Earthquake Prone Buildings – Guidance And Approaches

 Brace the decorative ornaments Secure the façade wall Perimeter plywood sheathing over New nogs and through bolt
Retrofit hierarchy: 1 into the strengthened the ceiling to provide diaphragm connections to fix the floor diaphragms
roof diaphragm continuity Retrofit hierarchy: 3 into the internal URM walls Retrofit
Retrofit hierarchy: 1 hierarchy: 3
Regular fixings
Regular mechanical Regular bracing to secure between the new
anchors between the the façade wall moment resisting
roof diaphragm and frames and the
the perimeter walls surrounding URM wall
Retrofit hierarchy: 2 Retrofit hierarchy: 4

Stiffen the roof

diaphragm using
plywood sheathing or
cross bracing
Retrofit hierarchy: 3

Regular anchors
between the floor
diaphragm and the
perimeter walls
Retrofit hierarchy: 2

New foundations beneath the New fire New timber nogs Plywood sheathing to stiffen
Moment resting frames to improve moment resisting frames along the rated ceiling for the plywood the first floor diaphragm
the lateral strength of the building building frontage. between floors sheathing Retrofit hierarchy: 3
Retrofit hierarchy: 4 Retrofit hierarchy: 4 (if required)

FIGURE 10: Earthquake retrofit of the exemplar two storey URM building.

Earthquake Prone Buildings – Guidance And Approaches 27

 Brace the decorative Parapet bracing and strengthening of the Brace chimneys and strengthen the roof
building ornaments roof structure at the brace anchorages structure at the brace anchorages
Retrofit hierarchy: 1 Retrofit hierarchy: 1 Retrofit hierarchy: 1

FIGURE 11: Earthquake retrofit of the exemplar two storey URM building.

28 Earthquake Prone Buildings – Guidance And Approaches

5.2 Other retrofit techniques FRP strips embedded Ends of the FRP
retrofits. The technique involves preparing the
into the masonry anchored into the RC wall surface and overlaying the surface of the
The following sections and illustrations are on the internal and bond beams at the URM wall with a thin layer of ECC. The ECC is
examples of other retrofit techniques which external faces floor levels generally applied to the internal face of the wall
may be applicable to certain building features. It as wall preparation will require stripping of the
is important to evaluate each retrofit technique decorative features. The method of application
against the building feature and remember has similarities to the application of shotcrete.
that not all the techniques are applicable in
every situation.

5.2.1 Fibre Reinforced Polymer (FRP) Prepare wall by removing Ceiling and roof
the internal wall linings and structure omitted
Retrofit of Walls sand blasting and grinding the for clarity
masonry surface
This technique is commonly used to improve
the tensile strength of URM walls and to
improve the performance of URM walls in the
out-of-plane direction. This generally involves
embedding FRP strips into thin cuts made
in the masonry with the FRP strips acting as
‘reinforcing’ strands within the wall. For thicker
walls, the FRP strips are embedded on both the Floor joists supported by FRP strips
inside and outside faces of the wall and it is also the perimeter masonry continuous into
walls, flooring and ceiling the floor below
important that the ends of the FRP strips are not shown for clarity (If required)
well anchored, such as being embedded into the
concrete bond beams at the floor levels. FIGURE 12: Example of FRP retrofit of URM walls.

5.2.2 Overlay with Engineered

ECC overlay applied directly
Cementitious Composite (ECC) over the URM surface
The technique is commonly used to improve FIGURE 13: Example of ECC retrofit of URM wall.
the lateral and out-of-plane performances of
URM walls when used in conjunction with other

Earthquake Prone Buildings – Guidance And Approaches 29

5.2.3 Securing of the URM Layers in a Vertical FRP strips Thin horizontal bands of URM Chimneys
Cavity Wall embedded into to prevent chimney
the masonry from splitting during an FRP strips can be embedded into thin cuts made
Cavity wall construction is commonly earthquake in the URM chimney to improve its stability
encountered in URM buildings and buildings during an earthquake. This is an alternative
Plywood Timber braces
featuring URM in-filled walls. Cavity wall option to external bracing and is less visually
sheathing around the
construction was used to provide heat and around the sheathed invasive. Once the FRP strips are embedded, the
moisture insulation but it was observed in chimney inside chimney inside decorative plaster can be reinstated or the brick
the Canterbury earthquakes that this type of the ceiling the ceiling cavity dust can be collected during the cutting process
construction performed significantly worse in cavity and used to patch over and conceal the cut.
comparison to solid URM wall construction.
5.2.5 Roof Diaphragm Retrofit with
There are a number of proprietary solutions Tension Braces
designed to replace the original cavity ties
within the URM wall. The technique generally Stiffening of the diaphragms using steel tension
involves drilling in new corrosion resistant cavity braces is an alternative option to the plywood
ties at regular centres between the URM layers. overlay option shown in Figure 10 and
Figure 11. The design typically utilises the
5.2.4 Fibre Reinforced Polymer (FRP) Retrofit existing roof system and involves the addition
of supplementary members and connections to
Original cavity create a load path between the various lateral
ties, generally load resisting walls within a building.
infrequently Vertical FRP extended Plywood overlay
spaced and into the plywood to strengthen the
often corroded sheathing inside the roof diaphragm
ceiling cavity (if required)

FIGURE 15: Example of FRP retrofit of URM chimneys.

New cavity ties at regularly Air void

spaced centres, generally between
drilled into the masonry URM wythe

FIGURE 14: Example of cavity tie installation.

30 Earthquake Prone Buildings – Guidance And Approaches

 New tension cross New tension braces 5.3 Earthquake retrofit costs Number of storeys
bracing at the ceiling designed to secure the top Area per
level between the of the URM gable end wall The construction of earthquake retrofits is storey
1 2 3 4
existing roof trusses highly variable between different buildings and
100m2 $800 $1000 $1050 $1250
the cost is dependent on a range of factors,
including the configuration of the building, 200m 2
$600 $700 $700 $750
New chord height of the building, interior fit-out and use of 300m2 $500 $700 $600 $550
designed as heritage-sensitive alternatives. 400m2 $500 $700 $550 $500
part of the
roof bracing
500m2 $400 $600 $550 $450
Presented in Table 6 and Table 7 are indicative
system
square metre rates of earthquake retrofit TABLE 6: Indicative m2 rate for retrofitting to 67%NBS.
construction costs. Costs associated with Based on 2014 statistics.
New reinstatement of the affected areas and
framing
designed to
meeting building compliances have been Number of storeys
secure the incorporated into the rates. However, additional Area per
URM gable costs associated with significant building 1 2 3 4
storey
end walls improvement and upgrade (such as sprinkler 100m2 $800 $700 $700 $600
systems, additional egress points, new lifts,
200m 2
$500 $500 $450 $450
interior fitout) are not accounted for.
Existing
300m2 $400 $450 $400 $400
roof purlins The total indicative construction cost is 400m2 $400 $400 $400 $350
New tension braces Existing calculated by multiplying the rates in the tables 500m2 $300 $350 $350 $350
designed to secure the top roof truss
against the number of storeys and the square
of the URM gable end wall
metre floor area per storey. TABLE 7: Indicative m2 rate for retrofitting to 34%NBS.
Based on 2014 statistics.
FIGURE 16: Example of roof diaphragm retrofit with
tension braces. The increases in cost of seismic retrofit are
generally not proportionate to increases in
the target %NBS. This is due to the fixed
cost component of construction such as
mobilisation and reinstatement of the
affected areas. As shown in the example, the
difference in construction cost is approximately
$100,000 between the 34%NBS and the
67%NBS estimates.

Earthquake Prone Buildings – Guidance And Approaches 31

Other factors that could influence the indicative rates include the following: Step 1 – Determine the indicative square metre
rate from Table 4:
Adjustment Factors
Less than Greater than 34%NBS:
$250k - $500k
$250k $500k
Poor building condition e.g. large areas of mortar repointing, Number of storeys
concrete repairs and timber replacement
+30% +25% +25%
Storey area 1 2 3 4
Difficult access to site such as building without side access 100m 2
$800 $700 $700 $600
along a main road
+5% +8% +8%
200m2 $500 $500 $450 $450
Building features cavity URM wall construction where there
is an air cavity between the inner and outer URM leaves
+12% +15% +15% 300m2 $400 $450 $400 $400
Tall parapets (greater than 1.5m), gable end walls and 400m2 $400 $400 $400 $350
multiple chimneys above the roof line
+7% +5% +4%
500m2 $300 $350 $350 $350
Reinforced concrete floor diaphragms with perimeter beams
cast into the loadbearing walls
-15% -20% -25%
Number of storeys

5.3.1 Example Storey area 1 2 3 4

100m 2
$800 $700 $700 $600
As a comparison, estimate the 34%NBS and 67%NBS earthquake retrofit cost of a two storey 200m2 $500 $500 $450 $450
URM building where the average area is 250m2 per storey. The building features cavity URM wall
300m2 $400 $450 $400 $400
construction and the floors are constructed using reinforced concrete with perimeter beams at each
floor level of the building. 400m2 $400 $400 $400 $350
500m2 $300 $350 $350 $350

Indicative costs based on 2014 statistics.

32 Earthquake Prone Buildings – Guidance And Approaches

67%NBS: Step 2 – Calculate the indicative retrofit cost 67%NBS:
using the indicative rate from Step 1:
Number of storeys
Storey area 1 2 3 4
Adjustment factor for cavity walls:
34%NBS: $350,000 × 15% = $52,500
100m2 $800 $1000 $1050 $1250
200m 2
$600 $700 $700 $750 2 storeys × 250 m2 per storey Adjustment factor for reinforced
300m2 $500 $700 $600 $550 × $475/m2 = $237,500 concrete floor slabs:
400m2 $500 $700 $550 $500 $350,000 × -20% = -$70,000
500m2 $400 $600 $550 $450
67%NBS:

Number of storeys 2 storeys × 250 m2 per storey × $700/m2 Step 4 – Calculated the total indicative
Storey area 1 2 3 4 = $350,000 retrofit cost:
100m2 $800 $1000 $1050 $1250
200m 2
$600 $700 $700 $750 34%NBS:
300m2 $500 $700 $600 $550
Step 3 – Apply adjustment factors based on the
400m2 $500 $700 $550 $500 $237,500 + $28,500 - $35,625
% in Table 6:
500m2 $400 $600 $550 $450 = $230,375

34%NBS:
67%NBS:
Adjustment factor for cavity walls:
$237,500 × 12% = $28,500 $350,000 + $52,500 - $70,000
= $332,500
Adjustment factor for reinforced
concrete floor slabs:
$237,500 × -15% = -$35,625

Indicative costs based on 2014 statistics.

Earthquake Prone Buildings – Guidance And Approaches 33

6.0 Glossary of Terms
Cavity wall – a wall constructed with two Earthquake-prone building – a building is Moderate earthquake – an earthquake
separate thicknesses, with an air void in earthquake-prone if, due to its condition, the that would generate shaking at the site of a
between, and tied together with metal wall ground on which it is built, and the way it was building that is of the same duration as, but
ties. Many older buildings with cavity walls constructed, it could be structurally undermined that is one-third as strong as, the earthquake
have irregular spaced wall ties that are in a moderate earthquake and would likely shaking (determined by normal measures of
often corroded. collapse causing injury or death to people in the acceleration, velocity and displacement) that
building or on nearby property or cause damage would be used to design a new building at
Chord – a top or bottom member of a wall, to any other property. This is commonly the same site if it were designed on 1 July 2017.
beam or roof truss that the vertical wall or understood as the building meeting less than
horizontal floor bracing members are attached 34 per cent of the New Building Standard Moment frame – frame structure that features
to. In a seismically retrofitted building, the (NBS) requirements. special connections between the beams and
chords could be in timber or steel. columns designed to provide lateral bracing
Gable end – the triangular area of brickwork, to the building.
Diaphragm – commonly the floors and roof masonry, timber and weatherboards or sheet
within the building. Diaphragms are “horizontal material forming the outside wall between % New Building Standard (%NBS)
beams” that help to distribute earthquake and the sides of the end of a roof and the line of – the ratio of the ultimate capacity of a building
wind forces between the lateral load resisting the eaves. as a whole or of an individual member/element
elements within a building. and the ultimate limit state shaking demand
In-plane – when a brick, masonry or concrete for a similar new building on the same site,
wall is subjected to forces acting parallel to the expressed as a percentage.
direction of the wall.
Out-of-plane – when a brick, masonry or
concrete wall is subjected to forces acting on
the face of a wall and normally at right angles.

34 Earthquake Prone Buildings – Guidance And Approaches

Parapets – the parts of an external wall that
extend above the eaves’ gutter line. They are
functional as well as decorative. They provide
fire-protection to the adjoining building and
they form part of an internal guttering system.

Shear wall – a structural wall which, because

of its position and shape, makes a contribution
to the lateral strength of a building. There can
be more than one shear wall in the design
of a building.

URM – an acronym for unreinforced brick

masonry, which is a term used to describe bricks
secured by mortar and/or concrete used in the
construction of a building without any form
of steel reinforcement, timber or cane. This
type of construction is not permitted under
modern building codes which typically require
reinforcement of building elements. URM was
a construction method mainly used in the
early 20th century. Buildings constructed with
unreinforced masonry are generally earthquake-
prone and usually need to be retrofitted.

Wythe – a continuous vertical section of

masonry one unit in thickness. A wythe may
be independent of, or interlocked with, the
adjoining wythe(s).

Earthquake Prone Buildings – Guidance And Approaches 35

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