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Engineering Structures 29 (2007) 1375–1397

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Interstory drift estimates for low-rise flexible diaphragm structures


Ho Jung Lee a,∗ , Mark A. Aschheim b , Daniel Kuchma a
a Department of Civil and Environmental Engineering, University of Illinois, Urbana, IL 61801, United States
b Department of Civil Engineering, Santa Clara University, Santa Clara, CA 95053, United States

Received 10 November 2005; received in revised form 18 August 2006; accepted 21 August 2006
Available online 12 October 2006

Abstract

Current seismic codes allow regular structures to be designed using an equivalent lateral force procedure if the interstory drifts calculated
on the basis of the design lateral forces are less than the specified allowable story drifts. While this approach assures that structures have some
minimum lateral stiffness, calculated interstory drifts may be significantly less than actual peak interstory drifts particularly for structures with
flexible diaphragms. Consequently, the gravity framing systems in such structures may be exposed to interstory drift demands several times greater
than would be expected on the basis of design calculations, calling into question their perceived safety. In this paper, a simple method to more
accurately estimate peak interstory drifts that accounts for higher mode effects is described for low-rise perimeter shear wall structures having
flexible diaphragms or even for stiff diaphragms. The proposed method is based on the principal modes obtained from a principal components
analysis (PCA) of computed dynamic response data. The method, applicable to both elastic and inelastic response, considers the shape of the
design response spectrum and gives interstory drift estimates for use for preliminary design of the structure as well as for use with the approaches
proposed in the companion paper for determining the required diaphragm shear and flexural strengths.
c 2006 Elsevier Ltd. All rights reserved.

Keywords: Seismic codes; Flexible diaphragms; Higher mode effects; Low-rise; Shear wall; Principal components analysis

1. Introduction estimate peak interstory drifts that accounts for higher mode
effects in a simplified way.
The 1994 Northridge earthquake caused the collapse of Until recently it has been difficult to characterize the
several structures for which the failure of the gravity load- results generated from inelastic dynamic analysis because
resisting system was attributed, in part, to the large lateral mode shapes necessarily change as inelasticity develops in
displacements that developed in structures having flexible the structure. While the initial elastic mode shapes are still
diaphragms (Iverson and Hawkins [7]). The long spans between useful for explaining the behaviour of structures during
perimeter shear walls and the flexible joints between the inelastic response, the elastic mode shapes are inefficient for
horizontal-span precast elements of these structures led to representing the complicated seismic behaviour of flexible
large interstory drifts in response to the seismic excitation.
diaphragm structures, which may have closely spaced modes.
While it is recognized that diaphragm flexibility may cause
The efficient accounting of higher mode effects in the
greater participation of higher modes in dynamic response
method proposed in this study is based on the results of
(Zheng [15]), building codes do not yet account for the
principal components analysis (PCA), which can provide
higher mode contribution associated with diaphragm flexibility,
an efficient representation of the dynamic displacement and
resulting in unconservative estimates of interstory drifts. This
paper investigates diaphragm displacement and interstory drift interstory responses. When applied to displacement response
demands and then puts forth a method to more accurately data, PCA determines predominant modes for structures that
may be undergoing elastic or inelastic response and the
degree to which each PCA mode contributes to the overall
∗ Corresponding address: SC Solutions, Inc., 1261 Oakmead Parkway,
response. PCA has been used in statistical treatments of
Sunnywale, CA 94085, United States. Tel.: +1 408 617 4552; fax: +1 408 617
4521. empirical data (Mardia et al. [11]). In earthquake engineering,
E-mail address: hlee@scsolutions.com (H.J. Lee). Gutiérrez and Zaldivar [5] used principal components analysis

c 2006 Elsevier Ltd. All rights reserved.


0141-0296/$ - see front matter
doi:10.1016/j.engstruct.2006.08.021
1376 H.J. Lee et al. / Engineering Structures 29 (2007) 1375–1397

to decompose the non-linear response of a structure determined unconservative estimates of interstory drift may have severe and
in shake table tests into its modal components. Wissawapaisal tragic consequences because the calculated interstory drifts can
and Aschheim [14] used PCA to study the seismic response affect the detailing and hence the deformation capacity of the
of instrumented bridges, and Aschheim, et al. [2] reported on gravity-load-carrying system.
the application of PCA to displacement, interstory drift, and Several design changes were made to the 1997 UBC as a
lateral force quantities associated with the response of a 12- result of the observed damage to precast concrete diaphragms
story moment-resistant frame. in the 1994 Northridge earthquake. For structures having
precast concrete gravity-load-carrying systems, the integrity of
2. Current code provisions for estimating interstory drift the diaphragm at the total lateral displacement calculated for
the design-basis earthquake was to be ensured by requiring
The equivalent lateral force procedure described in many partially restrained beam-to-column connections throughout
current code provisions aims to prevent excessive interstory the gravity-load-resisting system. In addition, the span-to-
drifts under seismic excitation by requiring that interstory drifts depth ratio of diaphragms in buildings that contain precast
of the lateral force resisting system determined under the gravity systems was limited to no more than 3:1 with the
design forces not exceed specified allowable story drifts. The intent of preventing excessive diaphragm story drift. However,
deflections determined using the design forces for the elastic these changes are not sufficient because higher mode effects
model are amplified in an effort to account for inelastic dynamic associated with diaphragm flexibility are not considered well in
response of the lateral force resisting system in a building. the code provisions.
While the 1997 UBC [13] requires that the inelastic
behaviour of shear walls be considered in interstory drift 3. Modal correlation of flexible diaphragm structures
estimates, it does not state clearly whether the diaphragm
deflections should be amplified to account for inelastic As illustrated in the companion paper [9], for an N -story
behaviour of the lateral force resisting system (Nakaki [12]). stiff-wall and flexible-diaphragm structure, there are (N − 1)
The stiffness criteria specified in the 1997 UBC can be closely spaced modes involving deformation primarily of the
expressed as: diaphragms. The 2nd through the N th elastic modes have
closely spaced periods and negligible wall deformation. As
0.7R∆wall + ∆diaphragm ≤ ∆ M (1) shown in the following, the closely spaced modes are highly
correlated to one another in time, with the consequence that
where R = the response modification factor (typically 4.5 to
square root of the sum of squares (SRSS) combinations of
5.5), ∆wall = calculated shear wall drift based on elastic model
elastic modal response quantities are inaccurate (Chopra [3]).
under the design force, ∆diaphragm = calculated diaphragm drift
The correlation of the elastic modes of the flexible
based on elastic model under the design force, and ∆ M = 2%
diaphragm structures described in the companion paper is
for T ≥ 0.7 s and 2.5% for T ≤ 0.7 s.
described in this section (see Fig. 1). The structure was
Similarly, the 2000 IBC [6] specifies that the design story
designed according to the 2000 IBC for Seismic Design
drift shall not exceed the allowable story drift specified in the
Category D, with spectral amplitudes SDS = 1.0 and SD1 =
code. The design story drift is determined in accordance with
0.636, where SDS is the design spectral response acceleration
the following equation:
value at short periods and SD1 = the design spectral response
Cd δxe acceleration value at a period of one second. The two 6.1 m long
δx = ≤ ∆a (2) by 0.3 m thick cantilever walls located at the perimeter provide
Ip
lateral force resistance in the transverse direction. Story heights
where δx = the amplified deflections of the lateral force are 3.2 m on centre. The width of the diaphragm is 18.3 m
resisting system at level x, Cd = the deflection amplification while its span ranges from 36.6 to 64 m (resulting in aspect
factor specified in the code, δxe = the deflections of the ratios ranging from 2 to 3.5). Inertial mass corresponding to a
lateral force resisting system determined by an elastic analysis, diaphragm weight of w px = 6.3 kN/m2 is used in the analysis.
I p = the occupancy importance factor, and ∆a = the allowable The effective stiffness factor kcr of diaphragms is defined
story drift specified in the code. as the ratio of estimated stiffness accounting for diaphragm
The code design forces used in the equivalent lateral force connectors to gross diaphragm stiffness. The effective stiffness
procedures of many current codes are in effect a quasi- factor (kcr ) is used as a convenient way to explicitly consider
first mode distribution that is modified to better represent the flexibility of diaphragms. In this study, it is assumed that kcr
the story shears associated with elastic response but which is the same for both shear and flexure. The analysis is performed
fails to account for effects of higher modes on other for loading in the transverse direction of the diaphragm using
response quantities. Interstory drifts in structures having ABAQUS [1].
flexible diaphragms are particularly sensitive to out-of-phase Displacement response {X (t)} of a multi-degree-of-freedom
motions of the diaphragms, which can amplify interstory system can be represented using modal coordinate by the
drifts well beyond those computed had the diaphragms been following transformation:
rigid. Thus, the flexible diaphragm structures with stiff shear
walls can have different patterns of interstory drifts relative {X (t)} = [Φ]{q} where [Φ] is a mode shape matrix and {q}
to those determined using routine design calculations. The is modal coordinates.
H.J. Lee et al. / Engineering Structures 29 (2007) 1375–1397 1377

(a) Entire structural configuration selected for the analysis. (b) Distributed mass model for diaphragms.

(c) Lumped mass model for diaphragms.

Fig. 1. Structural models selected for dynamic analysis.

Z t1 Z t2
E[qk ql ] = Γk Γl h k (t1 − τ1 )h l (t2 − τ2 )π So δ(τ1 − τ2 )dτ1 dτ2
0 0
Z t2
= π So Γk Γl h k (t1 − τ2 )h l (t2 − τ2 )dτ2
0
 q   q 
Z t2 e−ξk wk (t1 − τ2 ) sin wk 1 − ξk2 (t2 − τ2 ) e−ξl wl (t2 −τ2 ) sin wl 1 − ξl2 (t2 − τ2 )
= π So Γk Γl q q dτ2
0 wk 1 − ξk2 wl 1 − ξl2

Box I.

Displacement response {X (t)} to white-noise excitation a multi-degree-of-freedom system to white-noise excitation is


(stationary, with zero mean) has a zero mean value as time given in Box I, where Γk = the kth modal participation factor,
(t) increases infinitely. Its variance and covariance are equal to h k (t) = the impulse response function related to the kth mode,
E[X T X ] = [Φ]T E[q T q][Φ] if t  0. The solution procedure So = the intensity of white-nose excitation, δ = Dirac Delta
of a general system under random excitation is available function, and ξk , wk = the damping ratio and angular frequency
(Lin [10]) and in this problem, a modal coordinate solution of of the kth mode, respectively. Let ξk = ξl = ξ , t1 = t2 = t, and
1378 H.J. Lee et al. / Engineering Structures 29 (2007) 1375–1397

Fig. 2. Correlation coefficients rkl for responses to white-noise excitation (damping ratio ξ = ξk = ξl ).

Fig. 3. Correlation coefficients rkl for the responses of rigid diaphragm structures to white-noise excitation (damping ratio = ξ = ξk = ξl = 0.03).

t → ∞, then the equation given in Box I reduces to where Hk (w) is the kth frequency response function and
SŸ Ÿ (w) is the power density function of ground acceleration.
ξ If the condition ξk = ξl = ξ is applied to Eq. (4), then Eq. (4)
E[qk ql ] = 2π So Γk Γl . (3)
(wk + wl )((wk −wl )2 + 4wk wl ξ 2 ) reduces to Eq. (3). It is useful to introduce coefficients rkl to
represent correlation coefficients between qk (t) and ql (t) which
For a case with ξk 6= ξl , DerKiureghian [8] derived the
is defined as
solution of the equation given in Box I using the residue
theorem of integration in frequency domain. The solution is E(qk ql )
rkl = √ . (5)
Z ∞ E(qk qk )E(ql ql )
E[qk ql ] = π So Γk Γl Hk (w)Hl∗ (w)SŸ Ÿ (w)dw
0 The variations of correlation coefficients rkl for response to
= 2π So Γk Γl
ξk wk + ξl wl
(4) white-noise excitation with the modal frequency ratio (wk /wl )
((wk2 −wl2 )2 + 4ξk ξl wk wl (wk2 + wl2 ) + 4(ξk2 + ξl2 )wk2 wl2 ) and damping ratio are shown in Fig. 2. The correlation
H.J. Lee et al. / Engineering Structures 29 (2007) 1375–1397 1379

Fig. 4. Correlation coefficients rkl for the responses of flexible diaphragm structures to white-noise excitation (3-level structures, damping ratio = ξ = ξk = ξl =
0.03).

coefficients rapidly diminish as the two frequencies depart, the elastic mode shapes are the eigenvectors of the covariance
particularly at small damping. Thus, cross-modal terms are matrix, E[X T X ] = [Φ]T E[q T q][Φ] and E[q T q] is diagonal.
only significant for modes with closely spaced frequencies. Model structures described in Fig. 1 including rigid
Therefore, if modes are independent and damping is small, then diaphragm structures, are analyzed in this section. The analysis
1380 H.J. Lee et al. / Engineering Structures 29 (2007) 1375–1397

Fig. 5. Correlation coefficients rkl for the responses of flexible diaphragm structures to white-noise excitation (6-level structures, damping ratio = ξ = ξk =
ξl = 0.03).

is based on the lumped mass model for diaphragms and assumes small, cross-terms in modal correlation coefficients are small.
that the response is linear elastic. The correlation coefficients Therefore, for rigid diaphragm structures, modal correlation is
for the responses of rigid diaphragm structures to white-noise negligible.
excitation are shown in Fig. 3. Since the natural frequencies of The correlation coefficients for the responses of flexible
rigid diaphragm structures are well separated and damping is diaphragm structures to white-noise excitation are shown
H.J. Lee et al. / Engineering Structures 29 (2007) 1375–1397 1381

in Figs. 4 and 5. For 3-story structures, modal correlation If the orthonormal basis B is selected to be a set of
coefficients between closely spaced modes reach unity and eigenvectors of Cv , then Cu is is a diagonal matrix, with each
modal correlation coefficients between the first mode and the term on the diagonal equal to the eigenvalue that corresponds to
other modes are significantly large if diaphragms are very an eigenvector in Cv . The eigenvectors of Cv are the principal
flexible (aspect ratio = 3.5, effective stiffness factor kcr = 0.1). components of the displacement response v. The variance in
For 6-story structures, modal correlation coefficients between the displacement response represented by each eigenvector is
closely-spaced modes reach unity if diaphragms are very proportional to its eigenvalue associated with the principal
flexible (aspect ratio = 3.5, kcr = 0.1) and modal correlation component.
coefficients between the first mode and the other modes are The most efficient representations of v using m eigenvectors
negligible. In this study, “diaphragm flexibility” means a will be obtained by selecting the first m eigenvectors:
combination of aspect ratio and the effective stiffness factor.
m m
As the diaphragm flexibility decreases, modal correlation X X
v(t) ≈ ϕi qi (t) = ϕi ϕiT v(t) (9)
coefficients between the second mode and the other modes
i=1 i=1
significantly decrease. Due to the severe modal correlation, the
estimates of peak responses using a square root to the sum of where ϕi is the ith eigenvector and the coefficients qi (t) are
squares (SRSS) combination method based on elastic modes determined by the simple dot product qi (t) = ϕiT v(t). The
are inaccurate for flexible diaphragm structures with closely- number of eigenvectors to be used, m, depends on the desired
spaced elastic modes. level of precision. In this study, the first two PCA modes (m =
In order to understand the dynamic behaviour of structures 2) are adequate to represent the displacement and interstory
with flexible diaphragms it is necessary to understand the drift responses of low-rise perimeter shear wall structures with
contributions of higher modes. Principal components analysis flexible diaphragms with sufficient accuracy.
easily reveals the relative contributions of each mode, and may The PCA mode shapes obtained for structures responding
be applied to response data obtained under elastic or inelastic elastically either coincide with or are algebraically related to
behaviour. Before applying principal components analysis to the elastic mode shapes if the elastic modes are well separated
computed dynamic response data, the theory of principal and elastic response data of sufficient duration are used. If the
components analysis is briefly presented. mass matrix, M, is diagonal with uniform masses, the PCA
mode shapes will coincide with the elastic mode shapes after
4. Theory of principal components analysis normalization. If M is diagonal with entries m i and M is
transformed to M = LLT by a Cholesky factorization, where
Principal component analysis (PCA) is a method to extract the entries of L, L i j , are zero for i > j, the PCA mode shapes
the principal components of response from recorded or obtained on LT v will coincide with the transformed elastic
computed response data. The theoretical basis as applied to mode shapes given by LT Φ el , where Φ el contains the elastic
dynamic response data is excerpted from Aschheim et al. [2] mode shapes.
as follows. Consider a vector of displacements v at n degrees Regular flexible diaphragm structures with stiff perimeter
of freedom at an instant of time. There are t observations of the shear walls have closely-spaced mode shapes, associated with
n × 1 vector v over time. The displacement response, v, at any the responses of the diaphragms. In these cases, the PCA mode
instant of time represents a linear combination of the unit basis shapes show deviations from elastic mode shapes even if the
vectors that provide an orthonormal basis for the n-dimensional PCA technique is applied to the linear elastic response data. The
space. The deviation of v from its mean over t observations, v̄, PCA modes combine the effects of higher modes and represent
can be expressed in terms of a new orthonormal basis B: efficiently the dynamic response with a reduced number of
v − v̄ = Bu (6) modes.

where u represents the displacements relative to their means


5. Displacement and interstory drift response
in terms of the basis vectors contained in B. Since B
is orthonormal, BT B = I, and therefore, BT = B−1 .
Premultiplying Eq. (6) by BT gives Diaphragm displacement and interstory drift responses
determined in inelastic dynamic analyses of the model
u = BT (v − v̄) (7) structures described in the companion paper (see Fig. 1),
with the mean of u being the n × 1 vector 0. are discussed in this section. The results described in this
Let the covariance of the n × 1 vector v be represented by section were obtained using the distributed mass model for
the n × n covariance matrix Cv . The (i, j) element of Cv is the the diaphragms. The influence of diaphragm aspect ratio and
covariance between the displacements at the ith and jth degrees wall overstrength on displacements and interstory drifts is
of freedom, vi and v j , over the t observations. By operating discussed below, while the contribution of higher modes to
with standard identities on Eq. (7), the covariance of u, Cu , can response is investigated using principal components analysis in
be expressed in terms of Cv : the following section.
The peak floor displacement and interstory drift profiles of
Cu = BT Cv B. (8) flexible-diaphragm structures as a function of an aspect ratio
1382 H.J. Lee et al. / Engineering Structures 29 (2007) 1375–1397

Fig. 6. Average of maximum diaphragm disp5lacement and interstory drift under 6 ground motions according to the diaphragm aspect ratio.

and the number of stories are shown in Fig. 6. The “diaphragm companion paper, each scaled to a peak ground acceleration of
displacement” referred to in this study is the maximum 0.4g. Fig. 6 indicates that as the number of stories increases, the
overall displacement of a floor including wall deformations. overall diaphragm peak displacements tend to increase, while
The response values reported are averages of peak (absolute) the diaphragm interstory drifts are not sensitive to the number
values determined for the 6 ground motions described in the of stories.
H.J. Lee et al. / Engineering Structures 29 (2007) 1375–1397 1383

Fig. 7. Effect of wall overstrength on the displacement and interstory drift responses (5-level structure, kcr = 0.2, average over six ground motions).

In contrast, diaphragm flexibility (represented by aspect larger interstory drift demands, particularly at the lowest floor
ratio and effective stiffness factor kcr ) has a significant due to correlation among the higher mode responses. This
influence on both peak displacements and interstory drifts. behaviour of flexible diaphragm structures should be accounted
Diaphragms with long spans or lower kcr values tend to develop for in the design of the diaphragms and the gravity load
1384 H.J. Lee et al. / Engineering Structures 29 (2007) 1375–1397

Fig. 8. Peak displacements and interstory drifts vs peak ductility demands for the walls and the diaphragms (5-level structure, kcr = 0.2, average over six ground
motions, diaphragm post-yield stiffness = 10%).

framing, which must be capable of withstanding the diaphragm The effects of the shear wall overstrength factor on the mean
displacements. The large displacements and interstory drifts peak displacement and interstory drift responses for elastic
at the lowest floor are understood by means of principal diaphragm models are shown in Fig. 7. The displacement and
components analysis in the next section. interstory drift responses at the upper floors are influenced
H.J. Lee et al. / Engineering Structures 29 (2007) 1375–1397 1385

Fig. 9. Comparison of interstory drifts obtained with the 2000 IBC and results from dynamic analysis (3-level structure).

by wall overstrength. The companion paper also showed that drifts at the top floor decrease. For the case of near-elastic
wall overstrength has a greater influence on the diaphragm responses, large wall overstrength can significantly increase
strength required for elastic response at the upper floors than peak displacements and interstory drifts at the top floor,
at the lower floors. It would appear that careful control of wall while large diaphragm strengths decrease interstory drifts at
strength and limits on wall overstrength may be important for the top floor. Displacements and interstory drifts are more
the seismic performance of these structures. Design of such sensitive to diaphragm flexibility and thus these response
structures on the basis of a rigid diaphragm or gross section amplitudes may be limited by providing sufficient diaphragm
stiffness assumption leads to lower fundamental periods and stiffness.
hence larger base shear forces in typical designs, which can Interstory drifts obtained using the 2000 IBC design forces
lead to unnecessarily high wall overstrength factors, thereby are compared with the results from dynamic analysis in
impacting the required strength of the diaphragms at the upper Figs. 9 and 10. In these figures, the caption “rigid diaphragm”
floors as well as the displacement and interstory drift responses indicates that diaphragm deformation was neglected and
at the upper floors. wall deformations were amplified by 0.7R in Eq. (1).
Inelastic diaphragm responses were also investigated; “Flexible diaphragm” indicates that diaphragm deformation
results are shown in Fig. 8. As wall overstrength increases, was considered using an effective stiffness factors (kcr ). One
wall ductility demands decrease, and in most cases, peak may observe that the “rigid diaphragm” assumption in the
displacements and interstory drifts at the top floor increase. 2000 IBC significantly underestimates the interstory drifts
Whether peak displacements and interstory drifts increase of 3-level structures for all cases studied, but reasonably
or decrease depends on diaphragm flexibility, diaphragm estimates interstory drifts at the upper floors for 6-level
strength, and wall overstrength. For the relatively stiff structure structures except a quite flexible system (aspect ratio = 3.5
(aspect ratio = 2), as diaphragm strengths increase, diaphragm and kcr = 0.1). “Flexible diaphragm” assumption in the 2000
ductility demands decrease, and peak displacements and IBC underestimates the interstory drifts of 3-level structures
interstory drifts at the top floor decrease. For the relatively except the upper floors of a very flexible system (aspect
flexible structure (aspect ratio = 3), if diaphragm ductility ratio = 3.5, kcr = 0.1). The “flexible diaphragm” calculation
demands are larger than 5, peak displacements and interstory in the 2000 IBC overestimates interstory drifts at the upper
1386 H.J. Lee et al. / Engineering Structures 29 (2007) 1375–1397

Fig. 10. Comparison of interstory drifts obtained with the 2000 IBC and results from dynamic analysis (6-level structure).

floors and underestimates interstory drifts at the lowest floor associated with the first two PCA modes is computed as
for 6-level structures. As shown in Figs. 9 and 10, the 2000
∆ j (t) ≈ γ j,1 q1 (t) + γ j,2 q2 (t) (10)
IBC clearly underestimates interstory drifts at the lowest floor
for all cases studied because the interstory drifts are estimated where the contribution of the ith mode to interstory drift in the
using a procedure that does not account for higher mode effects jth story is determined from the PCA displacement mode shape
associated with diaphragm deformation. A method to consider as γ j,i = φ j,i − φ j−1,i .
the large interstory drifts at the lowest floor is introduced later The second approach, designated “Approach 2”, is based
in this paper. on the PCA modes of the interstory drift response data.
The interstory drifts ∆int (t) are determined, where ∆int (t)
6. Application of PCA to displacements and interstory is composed of differences in the displacements of adjacent
drifts levels, and then the principal components of the interstory drift
response are computed. The interstory drift of the jth story may
Principal components analysis is applied to computed be approximated using two PCA modes as
displacement and interstory drift responses in this section. In
applying principal components analysis to the displacement j,1 q1 int (t) + φ j,2 q2 int (t)
∆ j (t) ≈ φ int int
(11)
response, the displacement response u(t) is composed of the
T
displacements of shear walls and diaphragm midspan at each where qi int (t) = φiint ∆int (t).
level. The displacement of the jth story may be approximated PCA displacement modes determined for the 5-level
using two PCA modes (φ) as u j (t) ≈ φ j,1 q1 (t) + φ j,2 q2 (t), structure with a large aspect ratio (equal to 3.5) are compared
where qi (t) = φiT u(t). The response data u(t) used in these with elastic mode shapes in Fig. 11. In this figure, “wall” means
analyses has a duration of 16 s at 0.02 s intervals. displacements over the height of a wall, and “diaphragm”
There are two primary ways to characterize interstory drifts means displacements at the midpoint of the diaphragm
using the principal components of responses (Cuesta and (including wall deformation). “Elastic wall” represents the
Aschheim [4]). The first approach, designated “Approach 1”, elastic wall cases (wall overstrength factor, equal to infinity).
determines the interstory drifts associated with each PCA For this case study, diaphragm behaviour was assumed to be
mode, where the PCA mode shapes are determined for elastic. The Century City ground motion (CENT) recorded in
displacement response data. Interstory drift for the jth story the 1994 Northridge earthquake was used as the excitation.
H.J. Lee et al. / Engineering Structures 29 (2007) 1375–1397 1387

Fig. 11. Comparison between PCA displacement modes and elastic modes for the 5-level structure with a large aspect ratio of 3.5 (earthquake = CENT).

The first PCA mode shape is similar to the first elastic mode diaphragms, tend to be synchronized with the motion of the
(computed from mass and stiffness), in all cases considered, lowest diaphragm, while losing synchronization at the higher
except for a small deviation due to wall deformation associated levels. This synchronization, which is apparent for elastic
with yielding. For the rigid diaphragm structure, having well- response, is maintained even as the wall develops inelastic
separated modes, all PCA mode shapes are similar to elastic response.
mode shapes. However, unlike structures with well-separated PCA interstory drift mode shapes are determined using the
modes, the second PCA mode shapes of the flexible diaphragm two approaches described above for 16 s of response data
structures having a large aspect ratio differ significantly at 0.02 s intervals. They are compared with interstory drift
from the second elastic mode shapes. For structures having mode shapes associated with the elastic modes for the 5-
a large aspect ratio, the second PCA mode shape clearly level structure with a large aspect ratio of 3.5 in Fig. 12.
shows a larger diaphragm displacement at the bottom of The elastic interstory drift mode shapes were obtained by
the structure in comparison with the second elastic mode calculating differences in the modal amplitudes of elastic mode
shape. This indicates that the closely spaced higher elastic shapes at adjacent floors. The first PCA interstory drift mode
modes, which involve various patterns of deformation of the shape obtained using Approach 1 is similar to the first elastic
1388 H.J. Lee et al. / Engineering Structures 29 (2007) 1375–1397

Fig. 12. Comparison between PCA interstory drift modes and elastic interstory drift modes for the 5-level structure with a large aspect ratio of 3.5
(earthquake = CENT).

interstory drift mode shape for all cases considered. The first The contribution of the first and second PCA modes to
PCA interstory drift mode shape obtained using Approach 2 the displacement response for all cases studied is shown
for the flexible diaphragm structure having an aspect ratio in Fig. 13. Generally, for a given number of stories, the
of 3.5 clearly shows larger drifts at the bottom floor than first mode contribution is large for structures with a smaller
those represented by the elastic modes. The second PCA aspect ratio and a large kcr value. The cumulative variance
interstory drift mode shapes obtained from both approaches of displacement represented by the first two PCA modes is
show deviation from the second elastic interstory drift mode more than 95% in most cases studied. Diaphragm flexibility
shape. For rigid diaphragm systems, the PCA interstory drift associated with the aspect ratio and effective stiffness factor
mode shapes follow the trend of the elastic interstory drift mode increases the contribution of the second PCA mode to the
shapes. Subsequent investigation of interstory drift responses displacement response, while the flexibility (elongation in
using PCA is based on Approach 2 because Approach 2 directly period) associated with the number of stories does not increase
uses the interstory drift response history data and shows clearly the contribution of the second PCA mode to the displacement
large interstory drifts at the lowest floor. response.
H.J. Lee et al. / Engineering Structures 29 (2007) 1375–1397 1389

Fig. 13. Variance (%) of displacement responses represented by the first and second PCA modes.

The contribution of the first and second PCA modes to the actual insterstory drift response onto the PCA interstory
the interstory drift response for all cases studied is shown in drift mode shapes determined by Approach 2. Then, the peak
Fig. 14. The variance of interstory drift response is calculated, interstory drift values associated with each PCA mode are used
based on PCA modes obtained by Approach 2. The second in the SRSS combination. The calculated error is the average of
mode contribution to interstory drifts is significant except for the errors of each estimate relative to the peak absolute response
the 5- and 6-level structures with stiff diaphragms. For the history value of interstory drift for each ground motion. The
structures considered, the first two PCA modes are necessary SRSS combination is observed to estimate peak interstory drift
to represent 90% of the variance in interstory drift responses values with reasonable accuracy.
of flexible diaphragm structures. For rigid diaphragm systems,
the contribution of the second PCA mode to the interstory drift 7. Method to estimate interstory drifts
response is negligible. While a single interstory drift mode is
sufficient for representing most of the interstory drift response, The gravity load-carrying system and the diaphragms must
two modes are often necessary to represent interstory drifts, be designed so that the gravity system can withstand the
particularly as the flexibility of the diaphragms increases. lateral displacements developed in the dynamic response of
As shown in Fig. 15, the onset of nonlinearity in the shear the structure. A method to estimate peak interstory drifts
walls generally increases the contribution of the second PCA is described in this section. The method is based on the
mode to both displacement and interstory drift responses for observation that (1) two PCA modes are needed to represent
flexible diaphragm structures. The greater the inelastic response interstory drift and (2) the SRSS combination of interstory
(lower wall overstrength), the greater the contribution of the drift using two PCA modes provides a good estimate of the
second mode to the displacement and interstory drift responses peak interstory drifts of flexible diaphragm structures. The
for the cases studied. The effects are more pronounced as the lumped mass model for diaphragms is used in the interstory
flexibility of the diaphragm (or aspect ratio) increases. drift estimation method due to its simplicity.
The error of the SRSS combination of peak interstory drift The elastic mode shapes and PCA mode shapes for an
values associated with the first two PCA modes is shown in elastic 6-level structure having very flexible diaphragms (aspect
Fig. 16. The interstory drift response history associated with ratio = 3.5, kcr = 0.1) are compared in Fig. 17. The modal
each PCA mode is derived on the basis of a projection of periods of the elastic structure are 1.117, 0.753, 0.746, 0.7452,
1390 H.J. Lee et al. / Engineering Structures 29 (2007) 1375–1397

Fig. 14. Variance of interstory drifts represented by the first and second PCA modes.

0.745, and 0.7449 s, in sequence beginning with the first mode. based upon the number of stories, diaphragm flexibility, and the
The PCA modes are computed for response to the Century overstrength of shear walls, for simplicity the same values are
City ground motion record. The first PCA mode shape is used in all cases selected in this study.
nearly identical to the first elastic mode shape. The second Interstory drift associated with each mode is evaluated
PCA mode shape represents in effect, the dominant “combined” independently based on the elastic modal periods. The first
mode shape of the closely-spaced elastic modes. The second elastic modal period is used for the first mode spectral
PCA mode varies with the number of stories, the selected acceleration value, while any or an average of the closely
ground motion, and diaphragm flexibility. The average of the spaced modal periods can be used for the spectral acceleration
cumulative proportion of variance represented by the first two value associated with the second PCA mode. While the first
PCA mode shapes was 98.63% for the six ground motions used mode shape is determined by an eigenvalue analysis of the
in the analysis. lump mass model, the second mode shape is a predetermined
Based on this observation, the interstory drift is evaluated PCA mode shape explained previously. The interstory drifts
with the two mode shapes shown in Fig. 18. The first mode associated with each “modal” response then are combined
shape used to estimate the interstory drift is the same as following the SRSS combination rule. Because only a single
the first elastic mode shape and considers diaphragm and mode shape is used in place of the closely spaced higher modes,
wall flexibilities. The second mode shape used to estimate the SRSS combination is able to produce reasonably good
the interstory drift is a PCA mode shape composed of linear results (unlike the case when an SRSS combination of closely
segments with modal amplitudes specified at the top and bottom spaced elastic modes is used). The selected values are shown to
floors. A modal amplitude of 1.0 is assigned to the bottom floor lead to slightly conservative estimates of interstory drifts for the
and a modal amplitude of −0.4 is assigned to the top floor. structures studied in this investigation if the wall overstrength
This second mode shape is considered to represent the effects factor is not greater than 1.5.
of closely spaced higher modes related to diaphragm response. While the preceding observations were made for cases
Although these modal amplitude values could be further refined in which the diaphragms and walls respond elastically,
H.J. Lee et al. / Engineering Structures 29 (2007) 1375–1397 1391

(a) Displacement response.

(b) Interstory drift response.

Fig. 15. Effect of wall overstrength on the variance of displacement and interstory drift responses (5-story structure, kcr = 0.2, average over 6 ground motions).

Fig. 16. Error (%) of SRSS combination using the first two PCA modes in interstory drift response (average over 6 ground motions).

differences in interstory drift demands occur as a function web reinforcement in evaluating the flexural strength of the
of the distribution of diaphragm strength over the height of shear walls to ensure that the overstrength factor of the
a structure, in part because diaphragm strength influences walls is less than 1.5.
diaphragm stiffness. Consequently, a method for estimating (2) Step 2: Obtain the first elastic mode shape by performing
interstory drifts for the case of uniform strength diaphragms is an eigenvalue analysis of the simple lumped mass model.
given below, and subsequently a modification is introduced for Determine modal participation factors for the first elastic
different distributions of diaphragm strength: mode shape and for the second mode shape previously
described in Fig. 18.
(1) Step 1: Evaluate wall and diaphragm stiffness in order to (3) Step 3: Determine design spectral pseudo-acceleration
construct a simple lumped mass model. Consider the wall values according to the design spectrum (or using a
1392 H.J. Lee et al. / Engineering Structures 29 (2007) 1375–1397

Fig. 17. Comparison between elastic mode shapes and PCA mode shapes (6-level, aspect ratio = 3.5, kcr = 0.1, earthquake = CENT, wall overstrength
factor = 1.5).

Fig. 18. Two mode shapes selected for the interstory drift estimation.

response spectrum for evaluating interstory drifts for a (5) Step 5: Estimate interstory drift ∆ j in the jth story by
specific ground motion). Use the first elastic modal period combining modal interstory drifts using the SRSS method.
for the first mode spectral acceleration value and any or an q
dynamic 2 dynamic 2
average of the closely spaced modal periods for the spectral ∆ j = (∆ j1 ) + (∆ j2 ) . (14)
acceleration value associated with the second PCA mode.
(4) Step 4: Calculate modal interstory drift associated with each This method can be used in the Elastic Design Approach
mode 1 introduced in the companion paper for the structures with
dynamic
constant diaphragm strength and stiffness over the height of a
∆ jn = ∆stjn An (12) structure (see Fig. 19).
where ∆ jn
dynamic
= interstory drift in the jth story related to If Elastic Design Approach 2 or Inelastic Design Approach
the nth mode is used for the design of diaphragms and diaphragm stiffness
is in proportion to diaphragm strength, a modification in the
diaphragm diaphragm
∆stjn = (Γn /wn2 )(φ jn − φ j−1,n ) (13) proposed method for Elastic Design Approach 1 is needed and
Γn = the nth modal participation factor, wn = the angular described as follows:
frequency of the nth mode,
• Elastic Design Approach 2
φ jn = modal amplitude value in the jth degree of freedom
related to the nth mode, and (1) Steps 1–5: Perform steps 1–5 as previously described.
An = design spectral acceleration value related to the nth (2) Step 6: If the interstory drift from the second floor to
mode evaluated in Step 3. midstory is less than that of the bottom floor, then the
H.J. Lee et al. / Engineering Structures 29 (2007) 1375–1397 1393

Fig. 19. Examples of three different diaphragm design approaches proposed in this study.

Table 1
Error (%) in peak interstory drifts estimates by the proposed method

Earthquake Diaphragm design approach 3-level 4-level 5-level 6-level


Elastic Design Approach 1 27.9 33.8 22.5 9.0
ELCN Elastic Design Approach 2 24.9 23.4 30.3 7.2
Inelastic Design Approach 27.8 19.6 26.0 13.9
Elastic Design Approach 1 13.8 23.0 26.5 19.2
NWHL Elastic Design Approach 2 19.1 11.7 27.8 16.3
Inelastic Design Approach 22.8 19.6 11.8 19.7
Elastic Design Approach 1 11.6 14.0 15.5 19.5
CENT Elastic Design Approach 2 19.6 16.0 21.9 14.6
Inelastic Design Approach 25.2 16.7 11.4 19.3

interstory drift of the bottom floor is assigned to that of Design Approach 2, as well as the Inelastic Design Approach,
the second floor to midstory. successfully limited interstory drifts for the examples selected
• Inelastic Design Approach in this study. These analyses used a fixed base model without
(1) Step 1: For 4-level structures, assign the diaphragm consideration of soil-structure interaction. These observations
stiffness of the bottom floor to that of all other floors. may change for models that are partially restrained at their
(2) Steps 2–5: Perform steps 2–5 as previously described. base.
The modification for the Elastic Design Approach 2 is based on Interstory drifts obtained with the proposed method are
the observation from dynamic analysis that the interstory drifts compared with results from dynamic analysis in Figs. 20–22.
of the middle floors are larger than that of the bottom floor. In these figures, “Elastic wall” represents dynamic analysis
A modification for the Inelastic Design Approach is required results obtained for elastic wall cases, while for the other
for 4-level structures because the original proposed method dynamic analyses the wall overstrength factor was 1.5. The kcr
overestimates the interstory drifts of the middle floors in some values shown in the figures indicate the diaphragm effective
cases. stiffness factor at the top floor. The estimates using the
Interstory drifts of the structures designed using either proposed method are suitable for preliminary design if the
Elastic Design Approach 2 or the Inelastic Design Approach wall overstrength factor is less than 1.5. For the elastic wall
could not be predicted with a simple method; rather, nonlinear case (infinite wall overstrength), interstory drift is somewhat
dynamic response history analyses were required to determine larger than estimated by the proposed method. The error (%) in
the interstory drifts. The modifications introduced in Elastic interstory drift estimates using the proposed method is shown
1394 H.J. Lee et al. / Engineering Structures 29 (2007) 1375–1397

Fig. 20. Comparison of interstory drifts obtained with the proposed method and results from dynamic analysis (Elastic Design Approach 1, earthquake = CENT,
6-level).

in Table 1 and has a mean of 21% (ranging between 7% 8. Conclusions


and 34%) depending on the ground motion and the number
of stories. Each reported error is the averaged value of eight Analytical estimates of the peak displacement and interstory
comparisons of a peak absolute interstory drift value shown in drift responses of 3–6 level flexible diaphragm structures
Figs. 20–22. The proposed method requires only an eigenvalue responding inelastically to six ground motion records were
analysis of a lumped mass model and the application of made using conventional approaches and using the mode shapes
modal superposition, and would be easily implemented in a determined using principal components analysis. The main
preliminary design. findings and conclusions are as follows:
H.J. Lee et al. / Engineering Structures 29 (2007) 1375–1397 1395

Fig. 21. Comparison of interstory drifts obtained with the proposed method and results from dynamic analysis (Elastic Design Approach 2, earthquake = CENT,
6-level).

1. For flexible diaphragm structures, there exists significant wall structures having stiff diaphragms, the higher mode
modal correlation due to closely spaced diaphragm contributions for flexible diaphragm structures to interstory
deformation modes. Thus, the estimate of peak response drifts are more substantial and render the equivalent lateral
values using a square root of the sum of squares (SRSS) force method ineffective for estimating peak interstory drifts
combination method based on elastic modes is not accurate for such structures. Neglecting higher mode contributions
for flexible diaphragm structures. to interstory drifts in the design of flexible diaphragm
2. While the equivalent lateral force method can be expected structures can result in diaphragms having inadequate lateral
to provide reasonable estimates of interstory drifts for shear stiffness, especially at the lowest above-grade level.
1396 H.J. Lee et al. / Engineering Structures 29 (2007) 1375–1397

Fig. 22. Comparison of interstory drifts obtained with the proposed method and results from dynamic analysis (Inelastic Design Approach, earthquake = CENT,
6-level).

3. The diaphragm aspect ratio and effective stiffness have diaphragms become more flexible, interstory drift demands
an important influence on diaphragm interstory drifts. tend to be largest at the lowest level above grade. This
For structures with uniform diaphragm properties, as the is attributed to an increase in higher mode contributions
H.J. Lee et al. / Engineering Structures 29 (2007) 1375–1397 1397

in systems having more flexible diaphragms. The closely The careful review and comments provided by anonymous
spaced higher elastic modes tend to be synchronized with reviewers are greatly appreciated.
the motion of the lowest diaphragm.
4. Wall overstrength due to assuming a stiff diaphragm, relative References
to the strength required for flexible diaphragm, results in
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Acknowledgments
Earthquake Engineering Research Institute; 2000.
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Research funding was provided by the Precast/Prestressed 1997.
Concrete Institute (PCI) Daniel P. Jenny Fellowship and [14] Wissawapaisal C, Aschheim MA. Modeling the transverse response of
through a General Partnership between PCI and the Mid- short bridges subjected to earthquakes. CD Release 00-05. Urbana: MAE
America Earthquake Centre and the Department of Civil and Center, University of Illinois; 2000.
[15] Zheng W. Analytical method for assessment of seismic shear
Environmental Engineering at the University of Illinois at capacity demand for untopped precast double-tee diaphragms joined by
Urbana-Champaign. The authors appreciate guidance provided mechanical connectors. Ph.D. thesis. University of Wisconsin–Madison;
by Prof. Bill Spencer on the modal correlation study. 2001.

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