NEW TECHNOLOGIES TO PROTECT HISTORIC BUILDINGS FROM SEISMIC RISK

PROF. ENG. GIORGIO CROCI1, DR. ENG. ALBERTO VISKOVIC2

1
Prof. – Univ. of Rome “La Sapienza”, Fac. of Engineerinig, via Eudossiana, 18, Rome, Italy
2
Eng. – Univ. of Chieti “G. D’Annunzio”, Fac. of Architecture, viale Pindaro, Pescara, Italy

Summary
This paper deals with new techniques, technologies and strategies to preserve and strengthen
historic buildings, as carbon and aramidic fibres, shock transmitters, shape memory alloys,
prestressed cables, polyuretanic foam, high deformable anchorage, etc. Their use in the
restoration of St Francis Basilica in Assisi and their possibilities in more general situations are
presented.

1. Introduction
The collapse of two vaults and the tympanum of the Basilica of St Francis of Assisi during the
earthquake of September 1997, has outlined such problems and difficulties, for the repairing
and strengthening of cracked and deformed structures, that it has been necessary to find out
new solutions and new materials. This dramatic event has become an occasion for opening new
strategies of interventions on historic buildings in seismic area, using many innovative
materials, technologies and techniques.
These innovative technologies, which have allowed to save and strength the Basilica of St
Francis at Assisi, will be presented in the following pages.

2. Short history of the Basilica of St Francis in Assisi and description of the damaged
accursed during the 1997 earthquake
In its history many earthquakes have hit the Basilica of St Francis (Fig. 1), which was built in
the 13th century. Important earthquakes occurred in 1279, 1328, 1703, 1747, 1781, 1799, 1832,
1859, 1917, 1979, and yet none produced damage as great as that which hit central Italy during
the night of September 26, 1997, as well as the second that struck the Basilica at 11,42 a.m. The
result was the destruction of the vaults close to the façade, of those close to the transept, of a
portion of the left transept tympanum and the production of large cracks and permanent
deformation all over the vaults of the Basilica, leaving them in a very precarious and dangerous
condition.
Besides the differing impact that the earthquakes of different characteristics, which followed
each other during the centuries, may have produced on the Basilica, other factors have
increased the vulnerability with respect to the past.
As regards the tympanum, constructed of a cavity wall with two faces and an inner fill, the
cause of the partial collapse was the decay of the mortar, which connects the stones of the
external face with the inner fill.
 Fig. 1

The reduced cohesion and bonding could not prevent single stone blocks from progressively
detaching each from the other and falling.
As regards the vaults, the collapse was produced by a large volume of fill which was mainly
broken tiles and other loose materials accumulated over centuries of roof repairs in the
springier zones. During seismic activity, this fill, without any cohesion, alternatively acts only
on one side, whilst on the other side the fill is detached. What is more, the lose fill follows the
movement of the vaults, opposing their recovery and facilitating increasing permanent
deformations and accumulation of damages. When the quake of September 26 hit the Basilica,
it is very likely that permanent deformation, reducing the curvature and therefore the bearing
capacity, was already present, having been progressively produced and increased during the
previous earthquakes.

3. The urgent works and the firsts interventions on the St. Francis Basilica

3.1 The vaults

Urgent measures were required immediately after the earthquake so as to prevent the total
collapse of the vaults; already in this first phase of the intervention some new criteria and
technologies were pointed out and applied.
The surviving vaults were all affected by large cracks, distributed both on the intrados and the
extrados, and curvature, as already said, was lost in several areas.
The danger that the vaults might collapse, and the consequent risk to human life, precluded the
possibility to build provisional supports from the ground level.
Thus it was decided to intervene from the extrados with a very new approach to masonry vaults
problems:
• a platform was suspended from the roof above the vaults with the double function of
inspecting and providing a base for working over the vaults (Fig. 2).

Fig. 2 Fig. 3

The urgent intervention included, besides the removal of the huge load represented by the fill
over the vaults, the following operations:
• to fill the cracks a special salt free mortar (to limit possible damage to the frescoes)
specifically studied for this work in such a way to be very fluid with limited quantities of
water, colourless, with a “pozzolanic” chemical behaviour and with high mechanical
properties in front of other mortars generally used for grouting; however it was taken the
precaution of inserting a strip of polyurethane in the intrados of the larger cracks to prevent
the mortar from flowing out on the frescoes;
• composite bands of synthetic fibre fabrics applied over and across the cracks on the extrados
(Fig. 3), to recreate certain continuity;
 Fig. 4 Fig. 5

Fig. 6 Fig. 7

• suspension of the more deformed portions of the vaults from the roof with a system of tie
bars, having first inserted springs to maintain the force at the design value, independent of
thermal effects and minor vibrations (Fig. 4); also the more damaged ribs were suspended
 from the roof with a system similar to the previous one, after having placed a kind of steel
cradle filled with soft rubber underneath in order not to damage the frescoes.

3.2 The southern tympanum

The tympanum was close to collapse and if so it would have destroyed the roof of the chapel
below, causing the loss of frescoes and art masterpieces of inestimable value. After long
reflections, it was decided to use a huge crane, 50 m tall, to lift up a trussed steel structure, in
the shape of the tympanum, to fix the tympanum itself. But such a crane could not get through
the narrow gate into the inner yard. Using two cranes, one first outside the Basilica complex
lifted the second one over the roof of the building and deposited it in the inner courtyard (fig. 5)
solved this problem. Organising this operation involved anchoring two trussed steel cantilever
on the two walls of the transept to support the 4,5 tons trussed steel frame structure in the shape
of the tympanum, a triangle 8-m high and 17 m at the base (fig. 6).
In the period of time between the 10th and the 14th of October all of the operations were
completed.
The urgent intervention therefore included:
• the use of huge cranes to lift up a steel safeguard structure, that is a steel net interposed
between the masonry structure and the steel trussed one;
• the use of polyurethane foam to fill the empty spaces and the larger holes in the tympanum
wall and provisionally stabilise the masonry (Fig. 7).

4. The strengthening of the St. Francis Basilica

4.1 The vaults

The choice about the intervention philosophy was, in this case, a very delicate matter: the
deformations in the vaulting could not be corrected without damaging their frescoed surfaces,
yet without being restored to its proper curvature the vaulting could not support loads
independently. The idea of building a reinforced concrete slabs or ribs was excluded because
they would have been too intrusive: they would not be in respect of the original nature of the
structure and would be difficult to remove. Steel ribs were also excluded because they would be
difficult to mould to the complex and deformed shape of the vaults, thus making it difficult to
build a continuous link with the masonry.
Therefore the following measures were decided:
• to give new bearing capacity to the vaults applying on the extrados ribs made with an inner
timber nucleus, reinforced on the surface with composite materials (aramidic fibres) (Fig.
8);
• to anchor the vaults to the roof with tendons, having inserted some springs to control the
vaults deformation due to thermal effects and to cut out the higher frequencies vibration
transmission in case of earthquakes, maintaining the forces at a fix value (Fig. 8).
It was decided to use composite materials (aramide fibre, fibreglass and marine mahogany
plywood) to build a series of very thin ribs on the extrados of the vaulting, following a typical
Gothic design and leaving the original structure clearly visible. The ribs were fashioned in situ
so they could be shaped adjusting their height in relation to the deformation of the underlying
vaulting. This way the extrados of the new ribs could follow a regular curve.

Fig. 8
The ribs were formed out of fabric made of quadri-axial aramidic fibres (0°, ± 45°, 90°)
weighting 230/360 g/m2, and bonded with the epoxy resins around a wooden core (mahogany
marine plywood), with longitudinal strips of aramidic fibres on the intrados (subjected to
tensile stress) and glass fibres on the extrados (subjected to compression stress). Very resistant
ribs may be created with this method; at the same time they are very light and less stiff than
steel in such a way to be more compatible with the masonry stiffness. The aramidic fibre
fabrics completely cover the wooden core and then extend 10-15cm out onto the extrados of the
vaulting and are bonded to it. For the transverse masonry arches position (the weaker ones) two
adjoining ribs are planned, 22cm high and 10cm wide, equipped with transversal reinforcement
to help to improve the stiffness of a substantial portion of the vault. A single rib 30cm high and
12cm wide of the same type as the one described above will reinforce the diagonal ribbing. One
or two intermediate ribs 18÷20x5cm will radiate out from the pilasters over each vault between
the arches. All the ribs are connected to each other at the crown of the vaults as well as at the
springing of the arches.
In determining the size of the various sub-elements that form the ribs, the fact that assembly is
done manually in situ has to be taken into account and a failure/yield safety coefficients of
2.5÷3.5 must be adopted. Tests performed on rib prototypes confirmed similar safety
coefficients for the ribbing as a whole. The tests also revealed the rib prototypes’ remarkable
capacity for retaining resistance after surpassing the elastic limit and the yield point, with good
ductile performance even after several loading cycles.

The use of aramidic composite ribs allows to stiffen and to reinforce the vaults avoiding too
high stress concentration and without altering too much the natural structural behaviour of the
gothic vaulting; but it can allow too large deformations for the stability of the intrados frescos,
in case of exceptional seismic actions. Thus, in order to control the larger deformations of the
vaults, the composite ribs system is connected to the roof structure by a system of suspension
steel bars with helicoidal springs not preloaded (Fig. 8).

4.2 The Basilica’s nave

Two distinct Basilicas, the Upper and the Lower one on the top of the other, build up the St.
Francis Basilica.
Vertical cracks are located near the centre of each bay of the sidewalls of the Upper Basilica.
Those cracks, opened and enlarged many times by past earthquakes, were reopened by the last
seismic event of 26 September 1997. Each crack starts from pavement level up to the level of
the tall window base, often cracking the window frame itself, and is visible both on the internal
and on the external side. Considering that the top of the windows reach the roof level and, at
the same time, in each bay of the Lower Basilica there is a large and tall opening for the access
to the lateral chapels, the nave structure of the Basilica as a whole results divided into vertical
portions weakly connected each other in the middle of each bay.
It has appeared necessary, in order to prevent large cracks in the walls with the Giotto’s
frescoes and to strength the nave, to implement the following measures:

Fig. 9

• shock transmitters, also named STU, to connect steel reinforcement beams to the ancient
masonry walls, in such a way to improve the strength without modify the global behaviour
in static conditions;
• stainless steel strips to reinforce and stiffen the roof pitches, in such a way to improve the
link among the nave portions and to improve its transversal stiffness and ductility;
• stainless steel belts and prestressed ties to improve the stability of the masonry tympanum-
arches springs of the roof structure.
A “dry” and almost completely reversible intervention composed by a chain of steel trussed
beams, placed over the internal cornice which is located at an intermediate height, was adopted.
Each beam increases the transversal stiffness of one bay of the side wall between two external
buttresses and is connected to the beams in the adjacent bays through “Shock Transmission
Units”, or STUs, in such a way to contemporary guarantee the global horizontal connection.
The steel girder is made by a horizontal plate with an above trussed ribbing. It is placed on the
cornice located at 7m from the pavement (just over the Giotto’s frescos and under the windows)
all along the Basilica from the façade to the apse, passing through the narrow chinks behind the
pillars (Fig. 9). The section profile of this beam is shaped in order not to be seen by people
standing in the nave. The beam is locally fixed in many points all along the walls, in connection
with the pillars and in the transept corners. These links to the wall are carried out through
suitable fixing plates on which the girder is leaned with the interposition of PTFE elements and
horizontally fixed by pins. These pins do not allow any horizontal movements in the transept
and in the apse area, while all along the nave, where the considerable length could cause
movements due to thermal variations, such links allow longitudinal displacements. Thus in the
nave the steel beam is divided in portions corresponding to the bays connected each other,
behind the pillars, by a couple of STUs to guarantee a global stiff linking during seismic events
(Fig. 10).
Because of the particular position of the installation, stainless steel is used both for the beam
and for the STU. Moreover, to avoid the danger of percolation on the Giotto’s frescos as well as
to reduce maintenance, the fluid used inside the STUs is not low viscosity oil (often used for
bridge applications), but a high viscosity silicon putty.

The upper portion of the nave walls has a low transversal stiffness weakly improved by the
cylindrical abutments and by the roof structure. In addiction, the roof, rebuild in the sixties, has
a low ductility respect to horizontal shear actions. A stainless steel truss structure made by flat
strips 12mm thick, placed just over the roof pitch structure and under the rainproofing,
was

Fig. 10 Fig. 11

adopted. Those strips are placed in correspondence and are connected to the structural elements
supporting the roof pitches (Fig. 11): the reinforced concrete main beams (built in the sixties),
the side walls, the transversal and the diagonal masonry tympanum-arches (built in the XV
century). The connections between the stainless strips and the supporting structures is provided
by stainless steel bars vertically and deeply inserted in the supporting structures themselves.
The removing of the vaults loose filling allowed us to verify the structural characteristics of the
springing of the masonry tympanum-arches that support the roof. Those springs rest directly on
the extrados of the vaults structural filling. The springing basement are eccentric respect to the
pillars below; that is the spans of the upper renaissance masonry arches are shorter then those
of the corresponding gothic arches of the nave. Moreover, inspections revealed the presence of
voids and cavities inside the structural fill also. Finally, the vaults collapse allowed us to notice
a reduce linking between the main pillars and the sidewalls. Stainless steel belts and prestressed
ties to link the tympanum-arches springs to the cylindrical abutments, were adopted (Fig. 12).
The anchorage to the abutments is reinforced and shared out through a circular stainless
steel

Fig. 12 Fig. 13
beam placed in the inside void of each abutment (Fig.13). The circular beam is fixed to each
abutment by radial stainless steel bars shared out all along the circumferential length of the
beam itself.

4.3 The Basilica’s transept tympana

To improve the dynamic behaviour of the tympanum it was decided to replace the stiff
continuity with the roof with a more ductile one realised as follows:
• “shape memory alloys devices”, also named SMAD, to realise a connection between
masonry structures and, at the same time, to allow partial dissipation of energy.
The SMAD characteristics seem to be particularly advantageous in this case. In fact traditional
connections by steel bars between the Basilica’s roof and the tympanum appear to be too stiff
and dangerous for the tympanum itself.
In order to modify the roof-tympanum interaction, the roof structure was disconnected from the
tympanum wall and a new concrete truss was built to support the roof beams and to bring the
roof vertical loads directly on the transept lateral walls. At the same time it was rebuild the
collapsed portion of the left tympanum (using stones from the original quarry) and removed the
deformation that both the transept tympana suffered. Than the new concrete truss was
connected to the tympana walls by SMADs spaced 50cm apart, in such a way to better
distribute the exchanged forces. Three different groups of devices were designed and installed,
in order to take into account the different properties required as the distance from the transept
lateral walls increases up to the rooftop. The different force-displacement behaviour of these
groups can be perceived by their different length (Fig. 14).

Fig. 14
5. The new materials and technologies

5.1 The “Fibre Reinforced Plastics” or FRP Materials

Fibre-reinforced plastic is widely used in the aeronautic industry, shipbuilding and mechanics,
wherever strength has to be combined with lightweight and durability. The new generation of
FRP is composed of high strength continuous fibres of carbon or aramidic or glass, in polymer
matrices.
From a technological standpoint, the advantages of using FRP for reinforcement, renovation,
restoration, or retrofitting masonry buildings for earthquake-proofing, spring from its high
mechanical strength, resistance to chemical agents, impermeability to water and good
reversibility.
FRP made with aramidic fibres and epoxy resins (aramidic fibres are impregnated with epoxy
resin, in an average ratio of 50% fibre to 50% epoxy resin) achieved the best results in studies
carried out on the choice of fibre for reinforcing masonry with FRP. Aramide fibres have a
lower modulus of elasticity than steel or carbon fibres, but have appreciably higher final
strength. The lower value of modulus of elasticity is far from being a limitation because it is
much closer to the modulus of elasticity of the material to be reinforced, i.e. the masonry. FRP
with aramide fibres also has excellent resistance to alkaline agents, unlike FRP made with
fibreglass.
 Table 1 – Composite materials compared to metal materials
Reinforced plastic / E(GPa) σr (MPa)
Materials Density Elastic modulus Tensile strength
Carbon fibre composites 1.5 195 1125
Fibreglass materials 2.0 34 1300
Aramide fibre composites 1.4 77 1750
Steel 7.8 200 – 210 500 – 2000
Aluminium 2.8 75 500
Titanium 4.5 110 1200

Aramide fibre reinforced plastic is manufactured in cylindrical bars and rectangular fabric
sheets. The bars are generally used to make reinforcements to be inserted into masonry walls,
then securely sealed by injecting grout. These elements can be treated with quartz powder to
facilitate bonding. The sheets are used for plating vaults and arches and for making binders and
wrappings for partition walls. They are very easy to shape and mould difficult contours.
Studies show that multi-axial fabrics make the ideal reinforcement for this type of FRP.
Lab tests have proven that multi-axial fabrics perform better because their fibres are not woven
but spun in several directions. These one-directional fibres are arranged in layers at different
angles, (0°, 90°, +45°, -45°) and with varying weights, in a tricot or chain pattern with a very
thin polyester thread. In this way the fibres are not strained by knots, as they are in woven
fabrics, so their strength remains unchanged. When a load is transmitted along knotted fibres in
woven fabric, the resin and the knots automatically cause a concentration of stresses, so the
cyclical application of loads will cause a rapid disintegration of the final laminate. The quadri-
axial tissue has almost an isotropic nature and the non-woven fabric allows it to perform better
in every direction, increasing both mechanical strength and resiliency.
Table 1 shows comparisons of various types of FRP and metal. The table refers to one-
directional fabrics. Using a multi-axial fabric improves result by 30%.

5.2 The stiff polyurethane foam

As the polyurethane foam is sprayed, it may fill all the cavities and the open joints between the
bricks or the stones of a damaged masonry structure. Thus the function of the foam is to fix
together those elements and to reduce the vibration transmitted to the elements themselves in
case of seismic actions. In such a way further damages (also further cracks in the stone
elements) and the falling of stone fragments are avoided.
In the end, when the emergency phase is finished, the foam may be easily removed, from the
stone surfaces, with simple mechanical actions.

5.3 The “Shock Transmission Units” or STUs

Shock transmission units are structural devices, used to connect structural elements, whose
behaviour depends on the velocity of the relative movement. In effect, they allow low velocity
movements, such as those due to thermal variations or other slow phenomena reacting with very
low forces. Conversely, under high velocity excitations (e.g. earthquakes, strong winds, etc.),
they are very stiff, preventing the structural elements they connect from significant relative
movements, and transmitting them the design force. Thus, shock transmission units act as
temporary restraints. Since many years they have been used in new structures, mainly in bridges
and viaducts to connect deck to piers or abutments, as well as in buildings. However, their
behaviour is also useful for the seismic protection of historical and monumental structures, to
provide the stiffness needed to withstand the earthquake without inducing undesired forces
under service conditions. STUs are devices comprising a cylinder-piston system with two
chambers filled with a special fluid and connected through a hydraulic circuit. When they are
used in historical structures, a special care should be taken in the selection of materials. The
connections of the devices should be designed to allow an easy replacement, respecting the
criterion of reversibility of interventions.

5.3 The “Shape Memory Alloy Devices” or SMADs

SMAs are metals endowed with very unusual thermo-mechanical properties, comprising the
superelastic behaviour, that is, the ability to recover from large deformations (greater than 10
times that of conventional metals) during loading-unloading cycles. In the loading phase, the
stress-strain curve shows a "plateau" (i.e.: a section where stress remains nearly constant with
increasing strain), similar with the one seen by yielding but instead due to the stress-induced
reversible and non damaging phase transformation from Austenite to Martensite (Fig.15).
Loading and unloading paths generate a hysteresis loop and thus energy dissipation.

Fig. 15

The SMA superelastic behaviour makes them particularly suitable to create force-limiting
devices. SMA Devices (SMADs) have been developed to overcome some drawbacks of
traditional very stiff steel ties, used to connect masonry walls with floors and/or roof and thus
reduce the risk of out-of-plane collapse of peripheral walls. In effect, SMADs work as far more
flexible ties, capable of allowing controlled displacements, and limiting forces under a pre-
established value.
The SMADs use SMAs in the form of wires, suitably connected to work always under tension
and giving the device a symmetric behaviour regardless of the direction of the displacement.
They are designed to have different response for different intensity of external action:
a) For low horizontal action (wind, small intensity earthquakes) the device is stiff, as a
traditional steel connection, and no significant displacements are allowed.
b) For higher horizontal actions the stiffness of the device reduces thanks to the “superelastic
plateau”, and “controlled displacements” are allowed. The latter should allow the masonry
to dissipate part of the energy transmitted by the earthquake mainly thanks to micro-cracks
in the masonry structure, taking care to avoid dangerous macro cracks. Furthermore,
SMADs transmit to the structure smaller forces than steel ties do.
c) For extraordinary horizontal actions (i.e. higher than the design earthquake) the stiffness
of the device grows up in order to prevent from excessive displacements and instability.

Shaking table experimental tests carried out on mock-ups of masonry façade walls connected to
the structure by different devices showed that there is significant improvement in seismic
response by using SMA devices instead of steel bars to tie walls. Not only are the out-of-plane
collapse of the wall partly below the tying level prevented but that of the wall partly above it
(representing the tympanum of a church façade) as well.
The SMA with the best performance is Ni-Ti, an alloy that also has very high resistance to
corrosion.

6. Conclusions

The operations carried out, firstly to save and then to consolidate and restore the Basilica of St
Francis of Assisi, have all followed the same philosophy: to place the most up-to-date
techniques and technologies at the service of culture, in order to respect the historic value of the
ancient building and to obtain adequate safety levels, whilst changing as little as possible the
original structural conception.
Some of these technologies, never applied before in the field of restoration, have been studied
specifically for this occasion, offering new and interesting possibilities for the safeguarding of
the World architectural heritage.

7. Acknowledgements

The restoration project of St. Francis Basilica in Assisi has been made by Prof. Eng. G. Croci
and Prof. Arch. P. Rocchi, with the participation of Eng. G. Carluccio and Eng. A. Viskovic,
under the supervision of Dr. A. Paolucci, the artistic co-ordinator of the Ministry of Cultural
Heritage, Arch. C. Centroni, Superintendent of Umbria, the Government Commissary Dr. M.
Serio and the Vice-commissary Eng. L. Marchetti. The installation of the STUs and the SMADs
was carried out by FIP Industriale S.p.A., under the supervision of Engg. M.G. Castellano, G.
Carluccio, A. Martelli and A. Viskovic. Sacen Srl. carried out the building of the composite
elements and ribs under the supervision of Dr. U. Battista, G. Carluccio and A. Viskovic; the
mathematical models and the analyses of these interventions have been done by Engg. A.
Bonci, M. Losappio and A. Viskovic. The experimental laboratory tests on SMADs were
carried out by FIP Industriale and by ENEA (shaking table tests on mock-ups with SMADs)
under the supervision of Engg. M. Indirli, M.G. Castellano, A. Bonci and A. Viskovic, within
the “ISTECH” Research Project partially funded by the European Commission (Contract No.
ENV4-CT95-0106, 4th Framework Programme). Edil-Test Srl under the supervision of Eng. A.
Balsamo and A. Viskovic carried out the experimental laboratory tests on composite elements.