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STRUCTURAL CONTROL AND HEALTH MONITORING

Struct. Control Health Monit. 2006; 13: 849867


Published online 4 April 2005 in Wiley InterScience (www.interscience.wiley.com). DOI: 10.1002/stc.84

An adaptive extended Kalman lter for structural


damage identication

Jann N. Yang1,*,y, Silian Lin1,z, Hongwei Huang1,} and Li Zhou2


1
Department of Civil and Environmental Engineering, University of California, Irvine, CA 92697, U.S.A.
2
College of Aerospace Engineering, Nanjing University of Aeronautics and Astronautics, Nanjing, China

SUMMARY
The identication of structural damage is an important objective of health monitoring for civil
infrastructures. System identication and damage detection based on measured vibration data have
received intensive studies recently. Frequently, damage to a structure may be reected by a change of some
system parameters, such as a degradation of the stiness. In this paper, we propose an adaptive tracking
technique, based on the extended Kalman lter approach, to identify the structural parameters and their
changes when vibration data involve damage events. The proposed technique is capable of tracking the
changes of system parameters from which the event and severity of structural damage may be detected on-
line. Our adaptive ltering technique is based on the current measured data to determine the parametric
variation so that the residual error of the estimated parameters is contributed only by noise. This technique
is applicable to linear and nonlinear structures. Simulation results for tracking the parametric changes of
nonlinear elastic, hysteretic and linear benchmark structures are presented to demonstrate the application
and eectiveness of the proposed technique in detecting structural damage, using measured vibration data.
Copyright # 2005 John Wiley & Sons, Ltd.

KEY WORDS: extended Kalman lter; adaptive tracking; system identication; damage detection;
nonlinear hysteretic structure; benchmark problem

INTRODUCTION

The identication of the structural damage, when it occurs, is an important task of health
monitoring for civil infrastructures. Recently, system identication and damage detection, based
on measured vibration data, have been studied intensively, [13]. In order to facilitate a
comparison of available system identication and damage detection techniques on a common

*Correspondence to: Professor Jann N. Yang, Department of Civil and Environmental Engineering, University of
California, Irvine, CA 92697, U.S.A.
y
E-mail: jnyang@uci.edu
z
E-mail: silian1@uci.edu
}
E-mail: hongweih@uci.edu

Grant sponsor: US National Science Foundation; grant number: NSF-CMS-0140710


Grant sponsor: National Natural Science Foundation of China; grant number: 50478037

Received 7 August 2004


Revised 8 February 2005
Copyright # 2005 John Wiley & Sons, Ltd. Accepted 15 February 2005
850 J. N. YANG ET AL.

basis, a benchmark problem for structural health monitoring has been established recently, and
various data analysis techniques, including frequencytime decomposition methods, have been
studied [35]. For damage identication problems, vibration data prior to and after a severe
event, respectively, may be available [3], so that system identication techniques can be used to
identify the structural parameters prior to and after the event. Then, the damage is determined
by a comparison of the identied structural parameters.
When vibration data contain damage events and our goal is to identify and track the
structural damage on-line, time domain analysis may be used, including the methods of least-
squares estimation (LSE) [612] and the lter approaches, such as the extended Kalman lter
(EKF) [1320], H1 lter [21], Monte Carlo lter [22], etc. The classical LSE and EKF methods
above can be used to identify constant parameters; however, they cannot track time-varying
system parameters well. To identify time-varying parameters, dierent techniques based on the
LSE approach have been proposed in the literature. A commonly used technique is the
application of a constant forgetting factor in LSE [7,8,12,23]. The drawback of this approach is
that if the constant forgetting factor used is small, it has a better capability of tracking the
parametric variation, but it is very sensitive to measurement noise. On the other hand, if the
constant forgetting factor used is large (approaches 1.0), its tracking capability is compromised
although it is less sensitive to noise. The variable forgetting factor approach [24] replaces the
constant forgetting factor by a time-dependent forgetting factor to achieve a better tracking
capability. However, this approach can recognize only the time instant of parametric variation
without knowing which parameter (or parameters) varies (or vary). Consequently, when a
parameter varies, the predicted results for all parameters exhibit signicant oscillations. A
variable trace technique [6] is to empirically adjust the diagonal elements of the adaptation gain
matrix in the LSE method based on an empirical criterion. Hence, this approach works well for
some cases, but not for other cases, in particular when the stiness of the structure has an abrupt
change.
Recently, an adaptive tracking technique based on the LSE approach [911] was shown to be
capable of tracking the abrupt changes of structural parameters due to damages. For the
extended Kalman lter (EKF) approach, the constant forgetting factor has been used [19,20];
however, its disadvantage is the same as that described previously for the LSE approach. To
date, the detection of the changes of structural parameters on-line during a severe event, such as
an earthquake, is still a challenging problem.
Based on the extended Kalman lter (EKF) approach, an adaptive tracking technique is
presented in this paper to track the changes of structural parameters on-line when vibration data
involve damage events. In particular, this technique is capable of tracking the abrupt changes of
system parameters from which the event and the severity of the structural damage may be
detected. The tracking algorithm is based on the adaptation of the current measured data to
determine the parameter variations, so that the residual error is contributed only by noise. Such
an adaptive tracking technique reduces to the constant or variable (fading) forgetting factor
approach [24] as a special case, in which all parameters vary at the same time instance. A
criterion is presented to determine an optimal solution for tracking the changes of structural
parameters, using constrained optimization procedures. The technique is applied to linear
structures, including the Phase I ASCE structural health monitoring benchmark building,
nonlinear elastic, and hysteretic structures to illustrate its eectiveness. One advantage of the
proposed technique based on EKF over that based on LSE [11] is the possibility for on-line
tracking of structural damage.

Copyright # 2005 John Wiley & Sons, Ltd. Struct. Control Health Monit. 2006; 13:849867
STRUCTURAL DAMAGE IDENTIFICATION 851

EXTENDED KALMAN FILTER WITH ADAPTIVE TRACKING

The equation of motion of a m-DOF structure can be expressed as


. Fc xt
Mxt Fs xt gft 1
T
in which M m  m mass matrix; xt x1 ; x2 ; . . . ; xm  m-displacement vector;

Fc xt m-dissipating force vector; Fs xt m-stiness force vector; ft excitation vector;
and g excitation inuence matrix. In what follows, the bold face letter represents either a
vector or a matrix.
Introducing an extended state vector with a dimension of 2m+n,
Zt fxT ; x T ; hT gT 2
in which hT y1 ; y2 ; . . . ; yn T is an n-unknown parametric vector with yi (i 1; 2; . . . ; n) being
the ith unknown parameter of the structure, including damping, stiness, nonlinear and
hysteretic parameters. Considering y i 0 (i 1; 2; . . . ; n), i.e. the unknown parameters are
constants, one can transform Equation (1) into a nonlinear state equation, i.e.
dZt
gZ; f; t wt 3
dt
in which wt model noise (uncertainty) with zero mean and a covariance matrix Qt: A
nonlinear discrete equation for an observation vector (measured output) can be expressed as
follows,
Yk1 hZk1 ; f k1 ; k 1 vk1 4
in which Yk1 is a l-dimensional observation (measured) vector at t k 1Dt (sampling time
step Dt), i.e. Yk1 Yt k 1Dt; Zk1 Zt k 1Dt; and f k1 ft k 1Dt: In
Equation (4), vk1 is a measurement noise vector assumed to be a Gaussian white noise vector
with zero mean and a covariance matrix Evk vTj  Rk dkj where dkj is the Kronecker delta.
For the classical extended Kalman lter (EKF) approach [25,26] in which the parametric
vector h is constant, i.e. h 0; Equations (3) and (4) are linearized, i.e.
gZ; f; t  gZ # kjk
# kjk ; f; t Gkjk Z  Z 5

# k1jk ; f k1 ; k 1 Hk1jk Zk1  Z


hZk1 ; f k1 ; k 1  hk1 hZ # k1jk 6
in which Z # kjk is the estimate of Zk at t kDt; i.e. given the observations (Y1 ; Y2 ; . . . ; Yk ), Z
# k1jk
is the estimate of Zk1 given the observations (Y1 ; Y2 ; . . . ; Yk ), hk1 is the linearized theoretical
observation of hZk1 ; f k1 ; k 1; and
 
Gkjk GZ # kjk ; f; t @gZ; f; t=@Z # kjk 7
ZZ

 
# k1jk ; f k1 ; k 1 @hZk1 ; f k1 ; k 1=@Zk1
Hk1jk HZ # k1jk 8
Zk1 Z

# k1jk1 be the estimate of Zk1 at t k 1Dt; i.e. Z


Let Z # k1jk1 EfZk1 jY1 ; Y2 ; . . . ; Yk1 g:
Pk1
Minimizing the sum square error J k1 i1 Yi  hi T Yi  hi subject to the
1

linearized constraints of Equation (3), one obtains the recursive solution for Z # k1jk1

Copyright # 2005 John Wiley & Sons, Ltd. Struct. Control Health Monit. 2006; 13:849867
852 J. N. YANG ET AL.

as follows [25,27]
Z # k1jk Kk1 Yk1  hZ
# k1jk1 Z # k1jk ; f k1 ; k 1 9
# k1jk is the estimated state of Zk 1Dt at t kDt; i.e.
in which Z
Z k1Dt
Z # kjk
# k1jk EfZk1 jY1 ; Y2 ; . . . ; Yk g Z # tjk ; f; t dt
gZ 10
kDt

where EfAjBg is the expected value of A given B, Z # tjk is the solution of Equation (3) in
#
kDt4t4k 1Dt with the initial condition Zkjk and w 0: In Equation (9), Kk1 is the Kalman
gain matrix given by
Kk1 Pk1jk HTk1jk Hk1jk Pk1jk HTk1jk Rk1 1 11
in which Hk1jk and hZ # k1jk ; f k1 ; k 1 are given by Equations (8) and (6), respectively, and
Pk1jk is the error covariance matrix of Z # k1jk ;
Pk1jk EfZk1  Z # k1jk Zk1  Z # k1jk T g Uk1;k Pkjk UT
k1;k Qk 12
In Equation (12), Uk1;k is the state transition matrix of the linearized system in Equations (3)
and (5), i.e.
Uk1;k  I2mn Dt  Gkjk 13
# kjk ;
where Ij is the unit matrix of dimension j, and Pkjk is the error covariance matrix of Z
Pkjk EfZk  Z # kjk Zk  Z
# kjk T g

I2mn  Kk Hkjk1 Pkjk1 I2mn  Kk Hkjk1 T Kk Rk KTk 14


The extended Kalman lter in Equations (914) [25] can be used to identify the constant
parameter vector h: However, it cannot track time-varying system parameters well. To identify
time-varying parameters, a commonly used approach is the EKF with a forgetting factor [20]. In
this approach, a constant forgetting factor is used to modify the error covariance matrix Pk1jk
so that the Kalman gain matrix Kk1 is amplied by the inverse of the forgetting factor. The
disadvantage of this approach is that if the forgetting factor is small, it has a better tracking
capability, but is very sensitive to noise pollution. On the other hand, if the forgetting factor is
large, it is more robust to noise, but has less tracking capability. Hence, dierent modications
of the EKF method have been proposed with limited success [19,20].
In this paper, we propose an adaptive tracking technique to identify time-varying parameters
of linear and nonlinear structures. In particular, the proposed method has an excellent
capability to identify the abrupt changes of system parameters due to structural damages. To
track the variation of each extended state variable, say the jth element Zj k 1 of Zk1 at tk1 ;
the estimation error [Zj k 1  Z # j k 1jk] is proposed to be expressed by lj k 1
# j k 1jk; where lj k 1 will be determined, so that the covariance of the
Zj k 1  Z
estimation error will be contributed only by measurement noises. Since the estimation error is
reected in the adaptation gain matrix Pk1jk as shown by Equation (12), Pk1jk in Equation (12)
is proposed to be replaced by the following [28],
Pk1jk Kk1 Uk1;k Pkjk UTk1;k KTk1 Qk1 15
in which Kk1 is a 2m n  2m n diagonal matrix, referred to as the adaptive factor
matrix. The rst 2m diagonal elements of Kk1 ; corresponding to x and x are set to be 1.0,

Copyright # 2005 John Wiley & Sons, Ltd. Struct. Control Health Monit. 2006; 13:849867
STRUCTURAL DAMAGE IDENTIFICATION 853

whereas the last n diagonal elements, corresponding to unknown parameters h; are denoted by
l1 k 1; l2 k 1; . . . ; ln k 1; i.e. Kk1 diag1; 1; . . . ; 1; l1 k 1; l2 k 1; . . . ; ln k 1:
lj k 1 is referred to as the adaptive factor for the unknown parameter yj k 1
at tk1 k 1Dt: Thus, our proposed adaptive EKF approach is summarized in the
following.
Z k1Dt
Z# k1jk Z
# kjk # tjk ; f; t dt
gZ 16
kDt

# k1jk1 Z
Z # k1jk Kk1 Yk1  hZ
# k1jk ; f k1 ; k 1 17

Kk1 Pk1jk HTk1 Hk1jk Pk1jk HTk1jk Rk1 1 18


where Pk1jk is given by Equation (15), and
# kjk Zk  Z
Pkjk EfZk  Z # kjk T g

I2mn  Kk Hkjk1 Pkjk1 I2mn  Kk Hkjk1 T Kk Rk KTk 19

DETERMINATION OF ADAPTIVE FACTOR MATRIX

The adaptive factor matrix Kk1 in Equation (15) is proposed to be determined by


adapting the input data Yk1 at tk1 as follows. Let hZ # k1jk1 ; f k1 ; k 1 be the linearized
theoretical observation hZk1 ; f k1 ; k 1 evaluated at k 1Dt; i.e. Zk1 Z # k1jk1 in
Equation (6),
hZ# k1jk1 ; f k1 ; k 1 hZ
# k1jk ; f k1 ; k 1 Hk1jk Z # k1jk1  Z# k1jk 20
and hZ # k1jk ; f k1 ; k 1 be the linearized theoretical observation of hZk1 ; f k1 ; k 1
evaluated at kDt; i.e. Zk1 Z # k1jk : The residual error vector and predicted output error
vector are given by
c% Yk1  hZ # k1jk1 ; f k1 ; k 1 21
k1

# k1jk ; f k1 ; k 1
ck1 Yk1  hZ 22
in which c% k1 l  residual error vector, ck1 l  predicted output error vector. Substituting
Equations (20) and (17) into Equation (21), using Equation (22), and taking expectation values,
one obtains
Efc% k1 c% Tk1 g Il  Hk1jk Kk1 Efck1 cTk1 gIl  Hk1jk Kk1 T 23
Note that the covariance matrix of the predicted output error on the right hand side of
Equation (23) can be computed, i.e. Vk1 Efck1 cTk1 g; and it follows from Equations (4) and
(21) that
Efc% k1 c% Tk1 g Efvk1 vTk1 g Rk1 24

Copyright # 2005 John Wiley & Sons, Ltd. Struct. Control Health Monit. 2006; 13:849867
854 J. N. YANG ET AL.

where Rk1 is the variance matrix of the measurement noises at t k 1Dt: Using
Equation (18), one obtains Il  Hk1jk Kk1 Rk1 Hk1jk Pk1jk HTk1jk Rk1 1 : Substitution
of this relation into Equation (23) leads to the following
Vk1 Hk1jk Pk1jk HTk1jk Rk1 R1 T
k1 Hk1jk Pk1jk Hk1jk Rk1
T
25

In Equation (25), Pk1jk is given in Equation (15) that involves Kk1 : Hence, Equation (25)
provides the condition for determining the adaptive factor matrix Kk1 :
Since Equation (25) is an (l  l) symmetric matrix equation, it involves l 2 l=2 independent
nonlinear equations with n unknown parameters lj k for j 1; 2; . . . ; n: These nonlinear
equations are dicult to solve. Here, we propose to obtain a solution by minimizing the
following objective function,
 
n # 
#
X yj k 1jk 1  y# j kjk
Jhk1jk1 Kk1    26
j1
 y# j kjk 

in which y# j k 1jk 1 is the jth element of h# k1jk1 : The objective function Jh# k1jk1 Kk1  in
Equation (26) is the summation of the variations of all parameters from h# kjk to h# k1jk1 : The idea
is that an optimal solution h# k1jk1 should follow the path with a minimum variation (or the
most direct path). Thus, the search for an optimal solution Kk1 in Equation (25) is converted to
a constrained optimization problem as follows: minimizing the objective function in Equation
(26) subject to the constraint of the norm in Equation (25), i.e.
kVk1  Hk1jk Pk1jk HTk1jk Rk1 R1 T T
k1 Hk1jk Pk1jk Hk1jk Rk1 k4d 27
in which k  k is the Frobenius norm of a matrix and d is a small positive constant. In this
connection, the function CONSTR in MATLAB can be used conveniently to search for an
optimal solution of the adaptive factor matrix Kk1 [911].

Special cases and variable forgetting factor


In the constrained optimization process above, we need an initial estimate of Kk1 with a
reasonable accuracy. To accomplish this, we consider a special case in which all the
diagonal elements in the adaptive factor matrix Kk1 are identical, i.e. Kk1 l% k1 I2mn ; or
1=2

l1 k 1 l2 k 1    l% k1 ; then Equation (15) can be expressed as


1=2

Pk1jk l% k1 Uk1;k Pkjk UTk1;k Qk1 28


This special case is identical to the EKF with variable forgetting factor approach [12, 29], and
l% 1
k1 is referred to as the variable forgetting factor. In this paper, we propose an analytical
and simple approximate solution for the variable forgetting factor l% 1 k1 as follows. With
Kk1 l% I; Equation (25) becomes
1=2
k1
Vk1 l% k1 T1 T2 R1 %
k1 lk1 T1 T2
T
29
in which
T1 Hk1jk Uk1;k Pkjk UTk1;k HTk1jk T2 Hk1jk Qk1 HTk1jk Rk1 30
Taking the trace on both sides of Equation (29), one obtains
trfVk1 g l% 2k1 trfT1 R1 T % 1 T 1 T 1 T
k1 T1 g lk1 trfT1 Rk1 T2 T2 Rk1 T1 g trfT2 Rk1 T2 g 31

Copyright # 2005 John Wiley & Sons, Ltd. Struct. Control Health Monit. 2006; 13:849867
STRUCTURAL DAMAGE IDENTIFICATION 855

From Equation (31), l% k1 is obtained as


q
l% k1 Tb T2b  4Ta Tc =2Ta l% k1 51 32

in which
Ta trfT1 R1 T
k1 T1 g Tb trfT1 R1 T 1 T
k1 T2 T2 Rk1 T1 g Tc trfT2 R1 T
k1 T2 g  trfVk1 g 33

When only one observation (measurement) is available, i.e. l 1 in Equation (4), T1 ; T2 ; Rk1
and Vk1 are scalars, denoted respectively by T1 ; T2 ; Rk1 and Vk1 : In this case, the
approximate solution l% k1 in Equation (32) is the exact solution of Equation (29), and it follows
from Equation (29) that
p
l% k1 Vk1 Rk1  T2 =T1 l% k1 51 34

The variable forgetting factor approach presented above is a special case of our proposed
adaptive tracking technique. In the variable forgetting factor approach, all parameters vary at
the same time. In reality, however, only a few parameters will change when damage occurs.
Consequently, the variable forgetting factor approach results in unnecessary oscillations for
those parameters that do not vary when damage occurs.

IMPLEMENTATION OF ADAPTIVE TRACKING TECHNIQUE

As described previously, the adaptive factor matrix Kk1 is a diagonal matrix in which the rst
2m diagonal elements are unity (i.e. known quantities equal to 1.0), corresponding to the state
variables x and x: The last n diagonal elements of Kk1 are unknown adaptive factors, i.e.
l1 k 1; l2 k 1; . . . ; ln k 1; corresponding to unknown parameters h; to be determined
from the constrained optimization in Equations (26) and (27). To obtain the solution Kk1 based
on the constrained optimization, the initial estimates of [l1 k 1; l2 k 1; . . . ; ln k 1] are
respectively assumed to be l% k1 ; where l% k1 is computed from either Equation (32) or (34).
1=2 1=2

%
However, if the computed lk1 is smaller than 1.0, it is set to be 1.0, and Kk1 is set to be I2mn .
In this case, the constrained optimization process needs not be executed, since all the parameters
do not vary at tk1 :
In computing the adaptive factor matrix Kk1 ; the covariance matrix of the predicted output
error Vk1 Eck1 cTk1  should be evaluated. In this connection, the following temporal
average is used for approximating the ensemble average Vk1 ;
1Xk1
Vk1 c cT 35
k i1 i i
in which ci is computed from Equation (21). Equation (35) holds when all the parameters are
constants. If any parameter varies, Vk1 will increase and a weighting (or fading) factor should
be used in Equation (35) to reect the change of Vk1 by considering the importance of the
current measured data in the following [29],
" # " #
Xk X
k
T T
Vk1 ck1 ck1 ri;k1 ci ci = 1 ri;k1 36
i1 i1

Copyright # 2005 John Wiley & Sons, Ltd. Struct. Control Health Monit. 2006; 13:849867
856 J. N. YANG ET AL.

in which ri;k1 is the weighting (fading) factor indicating the importance of the measured data
near t k 1Dt: The proposed weighting (fading) factor [29] is modied as follows

Y
k
ri;k1 nk1i l% 1
i 37
ji

in which l% 1
j 51 is the variable forgetting factor obtained from Equation (32) and 05n41:
Here, we propose n 0:95 for all examples to be presented later.
It follows from Equations (36) and (37) that a recursive estimation for Vk1 can be
implemented easily as follows

Vk1 G1;k1 =G2;k1 38

in which

G1;k1 ck1 cTk1 nG1;k =l% k G2;k1 1 nG2;k =l% k 39

In Equations (38) and (39), we suggest to use zero initial conditions G1;0 0 and G2;0 0; and
hence G1;1 c1 cT1 and G2;1 1: This suggestion will be used in all examples to be presented
later.

NUMERICAL EXAMPLES

SDOF hysteretic structure


Let us consider a SDOF nonlinear hysteretic structure subject to an earthquake acceleration
x. 0 t;

. cxt
mxt kzt mx. 0 t 40

in which z zt is the hysteretic component [6,7,10],

z x  bjxjjzj
a1 z  gxjzj
a 41

In Equation (40), x. 0 t is the El Centro earthquake with the peak ground acceleration (PGA)
being scaled to 5g, m 125:53 kg; c 0:175 kN s=m and k 24:5 kN=m: The natural frequency
of the elastic structure is o 2:22 Hz and the damping ratio is z 0:05: The hysteretic
parameters are b 2; g 1 and a 2: Only the absolute acceleration response x. a t
. x. 0 t and the earthquake excitation x. 0 t are measured. To simulate the measurements of
xt
x. 0 t and x. a t; the theoretically computed x. a t and the given x. 0 t are superimposed,
respectively, by a corresponding 2% RMS noise process. The RMS of a particular signal, say
x. a t; is computed from the temporal average over 20 s. Since the measured quantities x. a t and
x. 0 t; are very small in the time interval between 0 and 0.5 s, no noise is superimposed in this
segment. The sampling frequency is 200 Hz for all measured responses.
Unknown parameters to be identied are c, k, b and g, and the extended state vector is
dened as Z x; x; z; c; k; b; gT : The state equation of motion and the measured quantity in

Copyright # 2005 John Wiley & Sons, Ltd. Struct. Control Health Monit. 2006; 13:849867
STRUCTURAL DAMAGE IDENTIFICATION 857

Equations (3) and (4) are given as follows


8 9 8 9
>
> x > > x
> >
> >
> >
>
>
>
>
>
> > > >
>
>
>
x. > > x. 0  cx kz=m >
> >
> >
>
>
> >
> >
> >
>
>
> >
> >
> >
a>
>
> >
>
z >
> > >
> x  bjxjjzj
a1

z  gxjzj >
>
>
< = < =

Z c 0 42
>
> >
> > > >
>
> k >
> > > > >
>
>
> >
> >
> 0 >
>
>
> >
> >
> >
>
>
> >
> >
> >
>
>
> b>> >
> 0 >
>
>
> >
> >
> >
>
> ;
: > : ;
g 0

y x. a x. x. 0 v cx kz=m v 43

For the rst damage case, suppose a damage occurs at t 10 s; at which time the equivalent
stiness k is reduced abruptly from 24.5 to 20 kN/m. The initial guesses for c, k, b and g are:
c0 =0.1 kN s/m, k0 10 kN=m; b0 0; and g0 0: The initial values for state variables are
chosen to be zero, i.e. x0 0; x 0 0 and z0 0; and the initial covariance matrix of the
extended state vector is P0j0 diagf1; 1; 1; 105 ; 105 ; 105 ; 105 g: The covariance matrices of the
measurement noise vector v(t) and the system noise vector wt are chosen to be: R 1 and
Q 107 I7 ; respectively. Based on the proposed tracking technique with d 104 ; Equation
(27), the identied parameters are presented in Figure 1 as solid curves, whereas the theoretical
results are shown by dashed curves. As observed from Figure 1, the proposed method tracks the
parameter values very well. It should be mentioned that the results based on the constant
forgetting factor are not satisfactory.
The second case considered is that the damage occurs at t 10 s; at which time the equivalent
stiness reduces abruptly from k 24:5 to k 20 kN=m; and the damping coecient reduces
from c 0:07 to c 0:04 kN s=m linearly between t 10 s and t 12 s: With the same initial
guesses in the previous case, the identied results are presented in Figure 2 as solid curves, and

0.1 30

0.05 20
k
c

0 10
0 5 10 15 20 0 5 10 15 20
4 2

2 1

0 0
0 5 10 15 20 0 5 10 15 20
Time (sec) Time (sec)
Figure 1. Identied parameters for a SDOF hysteretic structure with 2% noise-to-signal ratio; k in kN/m
and c in kN s/m.

Copyright # 2005 John Wiley & Sons, Ltd. Struct. Control Health Monit. 2006; 13:849867
858 J. N. YANG ET AL.

0.1 30

0.05 20

k
0 10
0 5 10 15 20 0 5 10 15 20
4 2

2 1


0 0
0 5 10 15 20 0 5 10 15 20
Time (sec) Time (sec)
Figure 2. Identied parameters for a SDOF hysteretic structure with abrupt change of k and slow change
of c; k in kN/m and c in kN s/m.

Figure 3. Identied parameters for a SDOF hysteretic structure with 5% noise-to-signal


ratio; k in kN/m, c in kN s/m.

the theoretical values are shown by dashed curves. As observed from Figure 2, the tracking
capability of the proposed technique for the stiness reduction is excellent, however, there is a
small time delay in tracking the slow reduction for the damping coecient.
The results presented above are based on a 2% noise-to-signal ratio for both the measured
structural acceleration x. a and the measured earthquake ground acceleration x. 0 ; as used in most
of the literature [614]. It is well known that the capability of all system identication techniques
depends on the level of noise to signal ratio. To examine the sensitivity of the proposed adaptive
tracking technique with respective to the level of noise-to-signal ratio, we consider two higher
levels with 5 and 10%, respectively, for the rst damage case. The results for tracking the system
parameters are presented as solid curves in Figures 3 and 4, respectively, for 5 and 10% noise-to-
signal ratios. The dashed curves in Figures 3 and 4 are the theoretical results. Comparison of
Figures 1, 3 and 4 indicates that for 2 and 5% noise-to-signal ratios, our tracking capability is
excellent. However, the tracking performance degrades when the noise-to-signal ratio reaches
10%, as shown in Figure 4. This conclusion is true for the second damage case and for the next
two examples for nonlinear structures.

Copyright # 2005 John Wiley & Sons, Ltd. Struct. Control Health Monit. 2006; 13:849867
STRUCTURAL DAMAGE IDENTIFICATION 859

Figure 4. Identied parameters for a SDOF hysteretic structure with 10% noise-to-signal
ratio; k in kN/m, c in kN s/m.

Two-storey nonlinear elastic structure


Let us consider a two-storey nonlinear elastic shear-beam building subject to an earthquake
excitation. The equations of motion are given by

m1 x. 1 x. 0  c1 x 1 c2 x 2  x 1  k11 x1  k13 x31 k21 x2  x1 k23 x2  x1 3


m2 x. 2 x. 0  c2 x 2  x 1  k21 x2  x1  k23 x2  x1 3 44

in which m1 m2 1000 kg; c1 c2 0:6 kN s=m; k11 120 kN=m; k21 60 kN=m;
k13 200 kN=m3 ; and k23 50 kN=m3 : In Equation (44), xi is the relative displacement of
the ith oor with respect to the base. The El Centro earthquake x. 0 t with a PGA of 2g is applied
to the structure. As observed from the parametric values above, the stiness of the rst storey is
strain hardening whereas that of the second storey is strain softening. For the elastic structure
with k13 k23 0; the natural frequencies are o1 0:94 and o2 2:28 Hz with the
corresponding damping ratios z1 2:2 and z2 5:4%; respectively. The absolute accelerations
of both oors and the earthquake excitation x. 0 t are measured. As before, all the measured
quantities are superimposed by the corresponding stationary white noise with a 2% RMS. The
sampling frequency is 200 Hz for all measured responses. Unknown parameters to be identied
are c1, c2, k11, k21, k13, and k23.
Suppose a damage in the rst storey occurs at t 10 s at which time the stiness k11 is
reduced abruptly from 120 to 100 kN/m. The initial guesses for c1, c2, k11, k21, k13, and k23 are:
c1;0 c2;0 0:2 kN s=m; k11;0 20 kN=m; k21;0 20 kN=m; k13;0 0 kN=m3 ; and k23;0 0
kN=m3 : The initial values for the state variables are zero, and the initial error covariance
matrix of the extended state vector is P0j0 diagf1; 1; 1; 1; 105 ; 105 ; 105 ; 105 ; 105 ; 105 g: The
covariance matrices of both the measurement noise vector vt and the system noise vector wt
are chosen to be R 0:5I2 and Q 107 I10 ; respectively. Based on the proposed tracking
technique with d 102 ; the identied parameters are presented in Figure 5 as solid curves,
whereas the dashed curves are the theoretical results. Figure 5 indicates that the proposed
technique is capable of tracking the system parameters and their changes for nonlinear elastic
structures.

Copyright # 2005 John Wiley & Sons, Ltd. Struct. Control Health Monit. 2006; 13:849867
860 J. N. YANG ET AL.

1 1

c2
c1
0.5 0.5

0 0
0 5 10 15 20 0 5 10 15 20
150 100
k11

k21
100 50

50 0
0 5 10 15 20 0 5 10 15 20
400 0

k23
k13

200 -50

0 -100
0 5 10 15 20 0 5 10 15 20
Time (sec) Time (sec)
Figure 5. Identied parameters for two-storey nonlinear elastic shear-beam building; c in kN s/m, k11 and
k21 in kN/m, and k13 and k23 in kN/m3.

Two-storey hysteretic structure


Let us consider a two-storey nonlinear hysteretic shear-beam building structure subject to an
earthquake acceleration x. 0 t [19]. The equations of motion are given by
" #( ) " #( ) " #( ) ( )
m1 0 x. 1 t c1 c2 x 1 t k1 k2 z1 t m1
 x. 0 t 45
m2 m2 x. 2 t 0 c2 x 2 t 0 k2 z2 t m2

z i x i  bi jx i jjzi ja1 zi  gi x i jzi ja i 1; 2 46


in which m1 m2 125:53 kg; c1 c2 0:07 kN s=m; k1 k2 24:5 kN=m; b1 b2 2;
g1 g2 1; and a 2: In Equations (45) and (46), xi t and zi t are the interstorey drift and
hysteretic component of the ith storey unit, respectively. The El Centro earthquake x. 0 t with a
peak ground acceleration PGA=5g is used. For vibration with small amplitude (linear), the rst
natural frequency o1 and damping ratio z1 are, respectively, o1 2:22 Hz and z1 2%: The
absolute accelerations of both oors x. a;1 t and x. a;2 t and the earthquake ground acceleration
x. 0 t are measured, and a white noise process with 2% RMS is superimposed to each
corresponding quantity. The sampling frequency is 200 Hz for all measured signals.
The unknown parameters to be identied are ci ; ki ; bi and gi (i 1; 2), and the extended state
vector is Z x1 ; x2 ; x 1 ; x 2 ; z1 ; z2 ; c1 ; c2 ; k1 ; k2 ; b1 ; b2 ; g1 ; g2 T : Suppose the damage occurs at
t 10 s; at which time the equivalent stiness k1 is reduced abruptly from 24.5 to 20 kN/m. The
initial guesses for ci ; ki ; bi and gi are ci;0 0:1 kN s=m; ki;0 10 kN=m; bi;0 0; and gi;0 0
(i 1; 2), respectively. The initial values for state variables are chosen to be zero, and the initial

Copyright # 2005 John Wiley & Sons, Ltd. Struct. Control Health Monit. 2006; 13:849867
STRUCTURAL DAMAGE IDENTIFICATION 861

0.1 30

c1

k1
0.05 20

0 10
0 5 10 15 20 0 5 10 15 20
4 2
1

2 1

1
0 0
0 5 10 15 20 0 5 10 15 20
0.1 30
c2

k2
0.05 20

0 10
0 5 10 15 20 0 5 10 15 20
4 2
2

2
2 1

0 0
0 5 10 15 20 0 5 10 15 20
Time (sec) Time (sec)
Figure 6. Identied parameters for a two-storey hysteretic shear-beam building with an abrupt change of
k1 ; ki in kN/m, and ci in kN s/m.

covariance matrix of the extended state vector P0j0 is a diagonal matrix where the rst six
diagonal elements are 1.0 and the last eight diagonal elements are 105. The covariance matrices
of the measurement noise vector vt and the system noise vector wt are chosen to be R I2
and Q 107 I14 ; respectively. Based on the proposed method with d 104 ; the identied
parameters are presented in Figure 6 as solid curves, whereas the theoretical results are shown
by dashed curves for comparison. Again, the tracking capability of the proposed technique is
plausible.

Five-storey linear structure


Consider a ve-storey linear shear-beam type building subject to an earthquake excitation with
the following properties: mi 125:53 kg; ci 0:175 kN s=m; ki 24:49 kN=m for i 1; 2; . . . ; 5
[20]. The El Centro earthquake x. 0 t with PGA=2.5g is applied to the structure. The absolute
accelerations of all oors and the earthquake excitation x. 0 t are measured. All the measured
quantities are simulated and superimposed with the corresponding stationary white noise with a
2% RMS. The sampling frequency is 200 Hz for all measured signals. Unknown parameters to
be identied are ci and ki (i 1; 2; . . . ; 5).
Suppose damage in the fourth storey unit occurs at t 6 s at which time the stiness k4 is
reduced abruptly from 24.49 to 20 kN/m and the damping c4 is reduced abruptly from 0.175 to

Copyright # 2005 John Wiley & Sons, Ltd. Struct. Control Health Monit. 2006; 13:849867
862 J. N. YANG ET AL.

30 0.4

k1
20

c1
0.2

10 0
0 2 4 6 8 10 12 0 2 4 6 8 10 12
30 0.4
k2

20

c2
0.2

10 0
0 2 4 6 8 10 12 0 2 4 6 8 10 12
30 0.4
k3

20

c3
0.2

10 0
0 2 4 6 8 10 12 0 2 4 6 8 10 12
30 0.4
k4

20
c4

0.2

10 0
0 2 4 6 8 10 12 0 2 4 6 8 10 12
30 0.4
c5

20
k5

0.2

10 0
0 2 4 6 8 10 12 0 2 4 6 8 10 12
Time (sec) Time (sec)
Figure 7. Identied parameters for a ve-storey linear shear-beam building; ki in kN/m, and ci in kN s/m.

0.1 kN s/m. The initial guesses for ci and ki (i 1; 2; . . . ; 5) are ci;0 0:1 kN s=m and
ki;0 5 kN=m; respectively. The initial values for the state variables are zero, and the initial
covariance matrix of the extended state vector P0j0 is a (20  20) diagonal matrix with the rst 10
diagonal elements being 1.0 and the last 10 diagonal elements being 105. The covariance
matrices of the measurement noise vector vt and the system noise vector wt are chosen to be
R 0:1I5 and Q 107 I20 ; respectively. Based on the proposed adaptive tracking technique
with d 102 ; the identied parameters are presented in Figure 7 as solid curves. Also shown in
Figure 7 as dashed curves are the theoretical results for comparison. As shown in Figure 7, the
proposed technique tracks the system parameters well.

ASCE Phase I benchmark structure


Recently, an ASCE benchmark building for structural health monitoring and damage detection
has been established [4] in order to compare the ecacy of various system identication and

Copyright # 2005 John Wiley & Sons, Ltd. Struct. Control Health Monit. 2006; 13:849867
STRUCTURAL DAMAGE IDENTIFICATION 863

damage detection techniques. This four-storey steel frame benchmark building was
modeled by a shear-beam model and various nite-element models. Dierent cases and damage
patterns were considered [4]. The excitations (external loads) are assumed to be uncorrelated
white noises to simulate the ambient vibration response of the building, and normal modes are
assumed to exist. For simplicity of demonstration, we only consider the case in which the
external loading (white noise) is applied only to the fourth oor in the weak direction (y-
direction). Due to symmetry, the structure is reduced to a 4 DOF shear-beam model similar to
Case 1 in Johnson et al. [4]. A proportional damping is assumed where the damping matrix C is
proportional to the stiness matrix K, i.e. C aK with a 104 s: Thus, the stiness and
damping coecients in each storey unit are as follows: k1 k2 k3 k4 67:90 MN=m; c1
c2 c3 c4 6:79 kN s=m: The mass of each oor is m1 3:4524 ton; m2 m3 2:6524 ton;
and m4 1:8099 ton: The frequencies oi and the corresponding damping ratios zi are:
o1 9:41 Hz; o2 25:54 Hz; o3 38:66 Hz; o4 48:01 Hz; z1 0:3%; z2 0:8%; z3 1:2%
and z4 1:5%:
Two damage patterns [4] will be considered. For damage pattern 1, all braces in the rst
storey unit are removed at t 6 s; i.e. k1 reduces from 67.90 to 19.68 MN/m, and c1 reduces
from 6.79 to 1.968 kN s/m. For damage pattern 2, all braces in the rst and third storeys are
removed at t 6 s; i.e. both k1 and k3 reduce from 67.90 to 19.68 MN/m, and c1 and c3 reduce
from 6.79 to 1.968 kN s/m. The absolute accelerations of all oors and the (white noise)
excitation on the fourth oor are measured. All the measured quantities are simulated and
superimposed with the corresponding stationary white noise with a 2% RMS. The sampling
frequency is 1 kHz for all measured data [4]. Unknown parameters to be identied are ci and ki
(i 1; 2; 3; 4).

80 20
k1

c1

40 10
0 0
0 2 4 6 8 10 0 2 4 6 8 10
80 20
k2

c2

40 10
0 0
0 2 4 6 8 10 0 2 4 6 8 10
80 20
c3
k3

40 10
0 0
0 2 4 6 8 10 0 2 4 6 8 10
80 20
k4

c4

40 10
0 0
0 2 4 6 8 10 0 2 4 6 8 10
Time (sec) Time (sec)
Figure 8. Identied parameters for damage pattern 1 of benchmark structure; ki in MN/m, and ci in kN s/m.

Copyright # 2005 John Wiley & Sons, Ltd. Struct. Control Health Monit. 2006; 13:849867
864 J. N. YANG ET AL.

80 20

k1

c1
40 10
0 0
0 2 4 6 8 10 0 2 4 6 8 10
80 20
k2

c2
40 10
0 0
0 2 4 6 8 10 0 2 4 6 8 10
80 20
k3

c3
40 10
0 0
0 2 4 6 8 10 0 2 4 6 8 10
80 20
k4

c4
40 10
0 0
0 2 4 6 8 10 0 2 4 6 8 10
Time (Sec) Time (Sec)
Figure 9. Identied parameters for damage pattern 2 of benchmark structure; ki in MN/m, and ci in kN s/m.

The initial values for the state variables are zero and the initial guesses for ci and ki
(i 1; 2; 3; 4) are c1;0 c2;0 c3;0 c4;0 4:00 kN s=m; and k1;0 k2;0 k3;0 k4;0 40:00
MN=m; respectively. The initial error covariance matrix of the extended state vector is
P0j0 diagf1; 1; 1; 1; 1; 1; 1; 1; 105 ; 105 ; 105 ; 105 ; 105 ; 105 ; 105 ; 105 g: The covariance matrices of
both the measurement noise vector vt and the system noise vector wt are chosen to be
R 0:1I4 and Q 107 I16 ; respectively. Based on the proposed tracking technique with d
102 ; (Equation 27), the identied parameters are presented in Figures 8 and 9 as solid
curves, respectively, for damage patterns 1 and 2. Also shown in Figures 8 and 9 as dashed
curves are the theoretical values. It should be mentioned that the values of damping
coecients are very small compared with the coecients of stiness. Hence, in the computation
for the estimated extended state vector Z # k1jk1 ; (Equation 17), numerical instability may occur.
In this case, appropriate transformations (or scaling) for the damping coecients and the
velocity responses should be made so that the order of magnitude of elements in the Pk1jk
matrix will not dier too much, resulting in a numerical instability. Figures 8 and 9 indicate
that the proposed technique is capable of tracking the system parameters and their changes
quite well.
Finally, we consider the damage pattern 1 (Figure 8) but with 5 and 10% noise-to-signal
ratios. The tracking results are presented in Figures 10 and 11, respectively, as solid curves,
whereas the dashed curves are the theoretical results for comparison. It is observed from Figures
8, 10 and 11 that the performance of the proposed adaptive tracking technique is almost
identical for 2 and 5% noise-to-signal ratios. However, the performance degrades slightly as the
noise-to-signal ratio increases to 10%.

Copyright # 2005 John Wiley & Sons, Ltd. Struct. Control Health Monit. 2006; 13:849867
STRUCTURAL DAMAGE IDENTIFICATION 865

Figure 10. Identied parameters of a benchmark building (damage pattern 1) with 5% noise-to-signal
ratio; ki in kN/m, ci in kN s/m.

Figure 11. Identied parameters of a benchmark building (damage pattern 1) with 10% noise-to-signal
ratio; ki in kN/m, ci in kN s/m.

Copyright # 2005 John Wiley & Sons, Ltd. Struct. Control Health Monit. 2006; 13:849867
866 J. N. YANG ET AL.

CONCLUSION AND DISCUSSION

Based on the extended Kalman lter (EKF) approach, an adaptive tracking technique has been
proposed to identify the structural parameters and their variations. The adaptive tracking
condition to identify the changes of system parameters has been derived for the EKF approach
and a solution has been proposed using the constrained optimization algorithm. The advantages
of the proposed technique have been demonstrated using the simulation results for linear and
nonlinear structures. Simulation results indicate that the proposed approach is particularly
suitable for tracking the abrupt changes of the system parameters from which the structural
damage may be evaluated.
In comparison with the LSE approach with the adaptive tracking proposed in [11], the
advantage of the EKF approach with the adaptive tracking presented in this paper is that the
EKF approach requires only the measurements of the acceleration responses, whereas the LSE
approach requires numerical integrations (or measurements) to obtain the velocity and
displacement responses, which may result in errors. The displacement responses obtained
through double numerical integrations involve signicant drifts, which should be removed by a
special approach referred to as the EMD method [30,31]. Further, the EKF approach provides a
better possibility for the on-line damage tracking of structures. On the other hand, the
advantage of the LSE approach is that the numerical recursive solution is always stable and
convergent, whereas care should be taken for the EKF approach in order to guarantee the
stability and convergence of the numerical solution. Likewise, in the EKF approach, the velocity
and displacement responses are treated as unknown quantities to be estimated, so that the
computational eort is much heavier than that of the LSE approach.

ACKNOWLEDGEMENT

This research is supported by US National Science Foundation Grant No. NSF-CMS-0140710, and
National Natural Science Foundation of China Grant No. 50478037.

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