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Mid-America Earthquake Center, Department of Civil and Environmental Engineering, University of Illinois at Urbana-Champaign, 205 North
Mathews, Urbana, IL 61801, USA
b
Department of Civil Engineering, University of Notre Dame, 159 Fitzpatrick Hall of Engineering, University of Notre Dame, Notre Dame, IN
46556, USA
c
Los Alamos National Laboratory, P.O. Box 1663, MS C926, LANL ESA-WR, Los Alamos, NM 87545, USA
Received 9 February 2001; received in revised form 3 October 2001; accepted 29 October 2001
Abstract
Described herein is a technique of multivariate statistical analysis applied to the post-processing of dynamic response data. The
data may represent the linear or nonlinear response of structures, and may be obtained from computed simulations or from the
measured response of instrumented structures. When applied to displacement response data, an ordered set of orthonormal mode
shapes is obtained. The principal components analysis (PCA) mode shapes coincide with or are related to the elastic mode shapes
for linear elastic systems, and depart from these shapes as nonlinear response becomes more prominent. The PCA modes provide
an unambiguous and simple description of the predominant mode of structures responding to earthquake ground motions, and
thus improve the theoretical basis of nonlinear static procedures that use equivalent single-degree-of-freedom (SDOF) systems
for representing the response of structures subjected to damaging earthquake ground motions (e.g. the capacity spectrum and displacement coefficient methods). Where greater fidelity is desired, the most efficient representations are obtained by including as
few PCA modes as are needed for the degree of precision desired. This paper presents the theory of PCA and illustrates its
application to a 12-story frame building responding linearly and nonlinearly to earthquake ground motions. Equivalent SDOF
models of the structure are developed based on the PCA mode shapes, and these are applied to estimate the computed displacement
histories. 2002 Elsevier Science Ltd. All rights reserved.
Keywords: Dynamic response; Mode shapes; Nonlinear static procedures; Principal components analysis; Equivalent single-degree-of-freedom systems; Seismic design
1. Introduction
Linear and nonlinear dynamic response can generate
large amounts of time series data that may be difficult
to interpret, particularly when structures respond nonlinearly. Although various measures such as displacement
ductility and dissipated hysteretic energy are useful indicators of inelastic demand, only qualitative descriptions
of the displacement response have been available.
Researchers have referred to the predominant mode of
response of a nonlinear system [15], but have been
0141-0296/02/$ - see front matter 2002 Elsevier Science Ltd. All rights reserved.
PII: S 0 1 4 1 - 0 2 9 6 ( 0 2 ) 0 0 0 3 6 - 6
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relationships that are described herein. The empiricallydetermined mode shapes may deviate from those
obtained for elastic response as response becomes nonlinear, and depend (indirectly) on properties of both the
structure and the excitation. The PCA mode shapes are
eigenvectors computed from the response data; the corresponding eigenvalues provide a quantitative measure
of the degree to which the response of the structure is
represented by each PCA mode shape. Thus, it is possible to identify the first mode of a structure responding
nonlinearly and to quantify the degree to which response
is represented by this mode. Explicit knowledge of the
properties of the structure (e.g. the mass and stiffness
matrices) is not needed for determination of the PCA
mode shapes; these properties are reflected in the displacement response history.
Since the PCA mode shapes are determined to maximize variances, they are natural choices to be used in
establishing parsimonious representations of the
response. Representations of the response that use the
first or first two PCA modal responses are preferable to
approximations in which responses based on the elastic
mode shapes are superposed, because a larger number
of elastic mode shapes may be necessary to represent
the displacement profile exhibited by systems
responding nonlinearly. The PCA mode shapes may be
useful for developing equivalentsingle-degree-of-freedom (SDOF) representations of the response of multidegree-of-freedom (MDOF) systems. The computed
PCA mode shapes portray the behavior of structures
being designed to resist earthquakes; thus, it is possible
in design to modify member strengths and stiffnesses
iteratively until the PCA mode shapes indicate that undesirable mechanisms do not develop in the structure. PCA
also is useful when modeling the response of instrumented structures, because model properties may be
constrained by requiring that PCA mode shapes obtained
from the computed data approximately match those
obtained from the recorded data. Examples of this application are given by Wissawapaisal and Aschheim [21]
and Inel [13], who studied the seismic response of instrumented bridges. Independently, Gutie rrez and Zaldivar
[10] recently applied PCA to data collected in pseudodynamic and shake table tests.
The idea of PCA originates in work by Pearson [18]
and was developed independently by Hotelling [11].
PCA finds modern use in statistical treatments of empirical data [16,17,20]. This paper presents the theoretical
basis for the technique using the nomenclature of structural engineering and applies the technique to the linear
and nonlinear responses of a 12-story moment-resistant
frame building. The effectiveness of the PCA representations of lateral forces and lateral displacements is compared, and equivalent SDOF (ESDOF) systems based
on the predominant PCA mode are used to estimate the
roof displacement history.
2. Theory of PCA
Consider a vector of displacement response data v representing the displacement relative to the ground at n
discrete locations of a MDOF system at an instant of
time. There are t observations of the n1 vector v over
time. It is obvious that the displacement response, v, at
any instant of time represents a linear combination of
the unit basis vectors that provide an orthonormal basis
for the n-dimensional space that contains v. The deviation of v from its mean over t observations,v, may be
expressed in terms of a new orthonormal basis, B:
vv Bu
(1)
(2)
cov(vi,vj)
1
(v v )(v v )
t k 1 i,k i j,k j
(3)
(4)
(5)
a2i li li.
(10)
(11)
where
u T(vv ).
(12)
var(a v) a Cva.
T
var(aTv) var(fTi v)
a a.
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(7)
fiui v .
(13)
Cv BCuB .
T
(8)
a2i li.
(9)
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a value less than n, and the number of nonzero eigenvalues will be reduced correspondingly. Meaningful characterization of dynamic response ordinarily will require t
to be substantially larger than n, so the first case usually
is not encountered. In the second case, a reduced basis
consisting of the eigenvectors associated with the nonzero eigenvalues will be sufficient to represent the
response using Eq. (12). In the third case, the eigenvectors associated with the repeated roots are not unique,
yet remain orthogonal to the other eigenvectors. Thus,
they may be chosen arbitrarily to be orthonormal to
themselves and will be orthonormal to the other eigenvectors.
All data presented in this paper are of the same type
(i.e. displacements, forces or accelerations). When mixed
data types are present (e.g. rotations and displacements),
either the data should be scaled to be of similar numeric
value, or formulations based on correlations may be
preferable to the present covariance formulation.
(14)
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Fig. 3. Mode shapes obtained from modal and PCAs coincide for
large data sets, for structures responding elastically with uniform
mass distributions.
Table 1
Modal response data for elastic response to El Centro
Mode Viscous
Natural Spectral
Proportion Cumulative
damping period displacement of variance proportion
(percent of (s)
(m)
(%)
of variance
critical
damping)
1
2
3
5.00
2.77
2.82
2.168
0.798
0.470
0.1081
0.0483
0.0295
96.85
2.87
0.26
96.85
99.72
99.98
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Fig. 5. The proportion of variance and cumulative proportion of variance in the displacement response represented by the first three principal components, obtained in a moving window analysis of elastic
response data.
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Table 2
Efficiency of modal representations of various quantities (elastic
response)
Quantity
Fig. 7. Principal components of the lateral forces required to statically equilibrate the story shears computed by dynamic analysis,
obtained in a moving window analysis of elastic response data.
Lateral forces
Story shears
Lateral
displacements
Proportion of variance
(%)
Cumulative proportion
of variance (%)
1st
mode
2nd
mode
3rd
mode
1st
mode
2nd
mode
3rd
mode
37.27
80.80
96.85
28.20
14.62
2.87
22.88
3.87
0.26
37.27
80.80
96.85
65.47
95.42
99.72
88.35
99.29
99.98
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Fig. 10. The elastic (solid line) and PCA mode shapes (dashed line
with circles) are nearly the same even for intermittent inelastic
response of the beam-hinging frame, when computed over the 80-s
duration of response data.
Table 3
Response data for the beam-hinging frame
Mode
Spectral
displacement (m)
Cumulative proportion
of variance (%)
1
2
3
5.00
2.77
2.82
0.4323
0.1930
0.1181
0.4207
0.1930
0.1181
96.75
99.58
99.96
2.168
0.798
0.470
96.75
2.84
0.37
Fig. 13. Capacity curve obtained by applying lateral forces proportional to the product of the elastic modal amplitude and mass at
each floor in a nonlinear static analysis.
2p 2xy
T1 g
(15)
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Fig. 15.
1100
Fig. 16. PCA mode shapes computed over the 80-s response clearly
indicate weak story behavior.
Table 4
Response data for the weak-story frame
PCA mode
1
2
3
Proportion of
variance (%)
96.57
2.75
0.56
Cumulative proportion of
variance
96.57
99.33
99.89
Fig. 18. The first three PCA mode shapes, obtained in a moving window analysis of the weak-story frame displacement response data.
Weak story behavior is clearly evident for 5-s intervals that begin in
the first 12 s of response.
Fig. 19.
3 s.
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Fig. 21. Estimated roof displacement history using the PCA mode
shape in conjunction with an analogous SDOF oscillator, and the
response computed by nonlinear dynamic analysis of the MDOF system.
4. Conclusions
The theory of PCA was presented using the nomenclature of structural engineering. Examples illustrated the
application of the theory for a 12-story moment-resistant
frame building having uniformly-distributed lumped
masses, subjected to earthquake excitations. Linear
response and nonlinear responses characterized by
beam-hinging or weak-story mechanisms were considered. Displacement estimates were made using equivalent SDOF models, based on the principal components identified in the response data. The following
conclusions can be made.
1. The displacement response of MDOF structures subjected to base excitation may be characterized by a
predominant mode. The precise mode shape and the
1102
2.
3.
4.
5.
6.
Acknowledgments
The development of this paper involved a number of
people. Early applications of the method were by graduate students Andrew Jackson, Chatdanai Wissawapaisal,
and Mehmet Inel. Keith Hjelmstad and Ping Gu provided helpful comments to an early manuscript. The
careful review and comments provided by anonymous
reviewers are greatly appreciated. The support of the
National Science Foundation via a CAREER award
(CMS-9984830) to the first author is gratefully acknowledged. This work was supported in part by the Earthquake Engineering Research Centers Program of the
National Science Foundation under Award No. EEC9701785.
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