CEE490b

Chapter 4 - Modal Analysis

Modal analysis is a general method for analyzing the response of linear multi-
degree-of-freedom systems. It is particularly suitable for systems whose properties
are frequency independent. The method describes the response in terms of the
modes of free vibration whose orthogonality facilitates the solution. Therefore, the
analysis of the free vibration (the solution of the eigenvalue problem) must be
completed prior to the calculation of the response to external excitation.

The equations of motion can be written in the general form as:

[m]{u&&} + [c ]{u&} + [k ]{u} = {P } (4-1)

in which [m ] , [c ] and [k ] are mass, damping and stiffness matrices respectively;

{u} = the displacement vector and {P} = the vector of excitation.

The solution to equation (4-1) describing the response is sought in the form of a sum
of responses in individual modes of free vibration, Φ ij ,

n
u i (t ) = ∑ Φ ij η j (t ), i = 1,2 … n (4-2)
j =1

in which:
• Φ ij are modal coordinates of the jth mode. These modal coordinates are
independent of time and can be chosen to an arbitrary scale. [In systems with
distributed mass, ui(t) is replaced by u(x,t) and Φ ij by Φ j (x ) ];
• η j (t ) are new variables associated with mode j and depending on time. They
are called generalized coordinates.

To summarize:

The total response at node “i”

Is equal to:

the sum over all modes of:

{the shape function for node “i” and mode “j” x a modal scaling factor (the
generalized coordinate of mode “j”)}

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Equation (4-2) can be interpreted as Fig. 4.1 indicates.

j=1 2 3
Fig. 4.1 Response in terms of modes.

Equation (4-2) represents a coordinate transformation through which one set of n

coordinates can be replaced by another set of n independent coordinates. equation
(4-2) can be rewritten in matrix form to include all nodes, i = 1, 2..., n:

{u} = [Φ ]{η}, {u&} = [Φ ]{η&}, {u&&} = [Φ ]{η&&} (4-3)

where

⎡ Φ 11 Φ 12 Φ 13 ⎤
[Φ ] = ⎢⎢Φ 21 Φ 22 Φ 23 ⎥⎥ (4-4)
⎢⎣Φ 31 Φ 32 Φ 33 ⎥⎦
j=1 2 3

Each column in equation (4-4) represents one mode of free vibrations.

Substitute equation (4-3) into equation (4-1) and premultipiy by the transpose of [Φ ]
which is [Φ ] ; (this is a matrix in which modes are presented in rows)
T

a square matrix
64748
[1
Φ4]2
[m4
T
][3
Φ ]{η&&} + [Φ ] [c ][Φ ]{η&} + [1
T
Φ4]T2
[k4
][3
Φ ]{η} = [Φ ] {P (t )}
T
(4-5)
[M * ] [K * ]

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Equation (4-5) considerably simplifies due to the generalized orthogonality

conditions, discussed previously, according to which

[Φ]T [m][Φ] = [M *] (4-6a)

[Φ]T [k ][Φ] = [K *] = [ω ]2 [M *] (4-6b)

Hence, the two triple products result in two diagonal matrices which is very
advantageous because [M *]{η&&} and [K * ]{η }are column matrices. Therefore, each
equation (4-5), written in ordinary algebraic form, contains only one variable and its
second derivative, η&& j .

If it were not for the presence of damping, the equations would be uncoupled,
however, damping couples these equations. Clearly, it would be most desirable if the
triple matrix product:

[Φ ]T [c ][Φ ] (4-7)

containing the damping constants of the system, resulted in a diagonal matrix

because only then may each equation (line) contain only one derivative η& j . In such a
case, equation (4-5) represents a set of n independent equations for η j , j = 1,2...,n,
that are "uncoupled".

Since [Φ ] and [Φ ] , two multipliers, are the same in equation (4-7) and equation (4-
T

6), the triple matrix product, equation (4-7), can result in a diagonal matrix only when
the damping matrix, [c], is proportional to either the mass matrix [m] or the stiffness
matrix [k]. In the first case, [c] has to be diagonal and proportional to [m],

[c ] = 2α [m] (4-8a)

While the second case occurs if

[c ] = β [k ] (4-8b)

The factor 2 in equation (4-8a), is used for convenience, α , β = constants. (Recall

that in one degree of freedom the viscous damping constant c = 2α m and
α = Dω o ). equation (4-8a) substituted into equation (4-7), yields with respect to
equation (4-6a)

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CEE490b

[Φ ]T [c ][Φ ] = [Φ ]T 2α [m][Φ ] = 2α [M *] (4-9a)

And equation (4-8b) gives

[Φ]T [c ][Φ ] = [Φ]T β [k ][Φ ] = β [Φ]T [ω 2j ][m][Φ] = β [ω 2j ][M *] (4-9b)

Equation (4-8a) implies that only absolute dampers, may be present, every
damping constant, ci, is proportional to the mass mi and, finally, the proportionality
constant α is the same for all dampers.

Equations (4-6a) and (4-9a) substituted into equation (4-5) give

[M *]{η&&} + 2α [M *]{η&} + [1
ω 2j ][M *]{η } = [Φ ] {P (t )}
424 3
T
(4-10)
[K * ]

This is a set of n independent (uncoupled) equations. Each of them has the form

M jη&&j + 2αM jη& j + ω 2j M jη j = {Φ j } {P (t )}

T
(4-1 1)

or

p j (t )
η&&j (t ) + 2αη& j (t ) + ω 2j η j (t ) = , j = 1 ,2,3 … n (4-1 2)
Mj

This is identical to the single degree of freedom equation, in which

p j (t ) = {Φ j } {P (t )} = ∑ Φ ij Pi (t )
n
T
(4-13)
i =1

is the generalized force linked to generalized coordinate η j (i.e the Generalized

Force in mode j). Equation (4-12) are independent and each of them is exactly
equal to the equation of a single degree of freedom system and, therefore, can
easily be solved. Thus, whenever one degree of freedom can be solved, many
degrees of freedom can be solved too; η j are obtained from equation (4-12) and
substituted into equation (4-2), which was an expression for the motion at mass “i”:

n
u i (t ) = ∑ Φ ijη j (t ), i = 1,2 … n
j =1

The uncoupled generalized coordinates η j (t ) are also called normal coordinates.

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The damping constant α occurring in equation (4-12) is calculated for each mode as
α = D j ω j in analogy with one degree of freedom. The modal damping ratio, Dj,. can
be in some cases calculated, e.g. damping due to soil, fluids or air, in other cases
must be estimated.

With the damping matrix proportional to stiffness matrix (equation (4-8b)), uncoupled
equation (4-12) is again obtained with 2α replaced by βω 2j .

The decoupling of equations of motion can be interpreted as a result of the

external loads being in effect replaced by a system of fictitious (generalized)
loads such that each of them excites just one mode only.

Subscript i refers to a component of motion or to mass i; subscript j identifies the

mode.

The approach is general. With the number of masses ⇒ ∞ , a discrete system

changes into a distributed one. The only change in modal analysis is that n = ∞ and
summations in the equations for generalized mass and generalized force change to
integration:

l
M j = ∫ m( x )Φ 2j ( x )dx, the Generalized Mass in mode j,
0
l
p j = ∫ P ( x, t )Φ j ( x )dx, the Generalized Force in mode j,
0

Equations (4-12) and (4-2) remain unchanged.

Further solution depends only on the character of the external forces. The principal
types of excitation are discussed below.

If the damping is not proportional to either [k] or [m], the equations of motion can be
uncoupled using complex vibration modes. (see Novak, M. and El Hifnawy, L.,
"Effect of soil-structure interaction on damping of structures," J. of Earthquake Eng.
and Structural Dynamics, Vol. 11, 1983, pp. 595-621.)

4.1 HARMONIC EXCITATION

Assume harmonic excitation with frequency was in the case of unbalanced masses
of machines, vortex shedding etc. Such forces can be described as:

Pi (t ) = Pi cos ωt , or {P (t )} = {P }cos ωt (4-14)

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CEE490b

Where

{P} = [P1 P2 ... Pi ... Pn ]

T

The generalized forces for mode j, are from equation (4-13)

n
p j (t ) = cos ωt ∑ Φ ij Pi (4-15)
i =1
or

n
p j (t ) = L j cos ωt , L j = ∑ Φ ij Pi , (4-16)
i =1

the Force Participation Factor in mode j

The generalized equation of motion, equation (4-12), is

p j (t ) Lj
η&&j (t ) + 2αη& j (t ) + ω 2j η j (t ) = = cos ωt (4-1 7)
Mj Mj

This is an equation formally identical with that of single degree of freedom systems
whose mass is M j and which is subjected to harmonic excitation with amplitude L j .
This is called the Force Participation Factor because its magnitude is a measure of
the degree to which the excitation forces participate in the excitation of mode j.

The solution of equation (4-17) follows from the SDOF solution found previously,

η j (t ) = η j cos(ωt + φ j ) + η oj e −αt cos(ω j t + φ jo ) (4-18)

1442443 144424443
Steady State Transient

in which, the first term describes the most important steady state part of the motion
(the particular solution). Its amplitude is

Lj 1 Lj
ηj = = εj (4-19)
M jω 2j ⎡ ⎛ 2 ⎤2 2 M j ω 2j
⎞ ⎛ ⎞ 2
⎢1 − ⎜ ω ⎟ ⎥ + 4⎜ ω ⎟ Dj
⎢ ⎜⎝ ω j ⎟ ⎥
⎠ ⎦
⎜ω j
⎝
⎟
⎠
⎣

where ε j = the dynamic magnification factor in one degree of freedom whose natural
frequency is ω j . and damping D j . and M j ω 2j = K j = generalized stiffness. The phase
shift of the steady state component

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CEE490b

ω
2D j
ωj
φ j = − arctan 2
(4-20)
⎛ω ⎞
1− ⎜ ⎟
⎜ω ⎟
⎝ j ⎠

The transient part of equation (4-18) dies out due to damping; constants η oj and φ jo , if
needed, are given by initial conditions.

The real steady motion is from equation (4-2)

n n
u i (t ) = ∑ Φ ijη j = ∑ u ij cos(ωt + φ j ) (4-21)
j =1 j =1

where the amplitude in mode j is

L j Φ ij 1 L j Φ ij
u ij = = ε j = Φ ijη j (4-21a)
M jω 2
⎡ ⎛ω 2
2
⎤ 2 M j ω 2j
j
⎞ ⎛ ⎞ 2
⎢1 − ⎜ ⎟ ⎥ + 4⎜ ω ⎟ Dj
⎢ ⎜⎝ ω j ⎟
⎠ ⎥ ⎜ω
⎝ j
⎟
⎠
⎣ ⎦

Thus, the response in each displacement coordinate i consists of harmonic

components that have the same frequency ω but different amplitudes and phase
shifts. At resonance with mode r, ω = ω j = ω r , ε j = 1/ 2Dr ; the resonant amplitude of
the resonating mode and its phase shift are

L j Φ ir
1
u ir = , φ r = −π / 2 (4-22)
M r ω 2Dr 2
r

With small damping, the resonant amplitude is usually much larger than the non-
resonant amplitudes of the other modes and equation (4-22) is sufficient to estimate
the resonant amplitudes of the system.

With large damping the contribution from all modes may be more significant. At
resonance with the first natural frequency, i.e. for ω = ω1 , the phase shifts,
evaluated from equation (4-20), take on the values φ1 =-90° and φ 2,3,..... ≅ 0 .
Consequently, the first resonance amplitude u i = u i (ω1 ) becomes approximately

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CEE490b

2
⎛ n ⎞
u i = u + ⎜⎜ ∑ u ij ⎟⎟ , the total response at mass “i”, when ω = ω1
2
i1
⎝ j =2 ⎠

Similar approximate expressions can be written for the other resonances, r,

realizing that φ1 ≅ −180° , φ r ≅ −90° and φ i ≅ 0° for i > r (see Fig 4.2).

The superposition of the responses in individual modes is shown in Fig.4.2. Because

of the phase differences of the modal components, the resultant amplitude:
u i ≤ u i 1 + u i 2 + u i 3 + ........

Fiq. 4.2 Superposition of responses in individual modes.

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CEE490b

When using the modal analysis, the coordinates of the modes (eigenvectors) can be
chosen to an arbitrary scale. This can be seen from equation (4-21a) and from the
application of this formula to one degree of freedom.

In one degree of freedom

ω 2j = k / m, Lr = ΦP, M r = mΦ 2 , Φ ir = Φ

and the resonant amplitude from equation (4-22).

Lr Φ ir 1 Φ PΦ m P 1 1
u= ⋅ = = = u st
M r ω r 2Dr mΦ k 2D k 2D
2 2
2D

as found previously.

Before the modal analysis is started, the modes are sometimes normalized in such a
way that Φ nj = 1or M *j = 1 for each mode. In the latter case, the modes so
normalized are called orthonormal modes. Their coordinates are

Φ ij
Φ ij =
M *j

and the generalized mass

n
M j = ∑ m i Φ ij2 = 1
*

i =1

This normalization is used by some writers but it does not offer any particular
advantage.

The modal coordinates generally have the dimensions of the displacements, i.e.
translations or rotations; if only translations are involved, they can be taken as
dimensionless in which case the generalized coordinates assume the dimension of
length and the generalized masses are in kg (or slugs).

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CEE490b

Problem 4.1: Consider the five storey shear building analyzed in the tutorial.

The elevator drive produces a harmonic force acting on the 4th floor,

P4 (t ) = P4 cos ωt
P4 = 1.5 kN
The frequency ω of the drive is variable.

a) Find the resonant amplitudes of the top (5th) floor at natural frequencies:
ω = ω1 , ω = ω2 , ω = ω3
and also amplitudes at the operating speed of the elevator motor
ω = 21 (ω 3 + ω 4 )
The Damping ratio for all modes is D j = 0.01 and recall that, α j = Dω j

b) Evaluate also the physiological effects using Fig. 4.3.

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CEE490b

Fig. 4.3 Human Susceptibility to Vibration (after Reiher & Meister)

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Static Loading

Static loading can also be conveniently solved by means of modal analysis as a

special case of harmonic excitation. The pertinent formulae follow from the
preceding paragraph with the frequency of excitation ω ⇒ 0 `and thus cos ω t = 1.
With ω = 0 , loads Pi(t) = Pi and φ = 0 . From equation (4-19), the generalized
coordinate of mode j is:

Lj
η i ,st = (4-23)
M j ω 2j

and from equation (4-21), the static displacement of mass mi due to static loads

n Lj
u i ,st = ∑ Φ ij (4-24)
j =1 M j ω j
2

This is an exact approach, suitable to examine the effect of static loads in statically
indeterminate structures if the free vibration modes are known already from previous
analysis.

This approach can also be used to find the response to

a suddenly applied static load or a rectangular pulse
whose duration TP is sufficiently longer than the natural
period of the structure T1. In these cases, the maximum
(peak) response ≤ 2 x the static response.

Fig. 4.4
Examples:

4.2 The two storey shear building is exposed to

static wind load in the horizontal direction
given as P1 = 30 kN , P2 = 20 kN. Compute
the displacements u1, u2 and the stresses in the
columns .
Fig. 4.5

4.3 The five storey shear building is being designed for the Toronto area. Its width
is W = 24 m (tributary width for one frame = 6 m ). Calculate the wind loads
and deflections of the building, the stresses in the lowest columns and
maximum acceleration for return period 30 years, exposures A and C, and
damping ratio 1%.

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4.2 RESPONSE TO GROUND MOTION

Differential equations of motion depend on the nature of damping. The more

important case is that of relative damping.

Relative damping. - From Newton's second

law, forces acting on mass, mi are

n
mi U&&i = − ∑ k ir (U r − u g ) − c i (U& i − u& g )
r =1

where the absolute displacement

U i = u g + u i and the relative displacement
u i = U i − u g . With the damping force at
mass mi described as

− c i (U& i − u& g ) = −2mi α (U& i − u& g )

= −2mi αu& i

Fig. 4.6

The differential equations of the motion in terms of relative coordinates u become –

n
mi u&&i + 2mi α u& i + ∑ k ir u r = −mi u&&g , i = 1,2,3, …. n (4-25)
r =1

This is formally equal to equation (4-1) in which the equivalent exciting forces

Pi (t ) = −mi u&&g , i = 1,2,3, …. n

The damping satisfies equation (4-8a) and, therefore, modal analysis leads to
decoupled equations for generalized coordinates η i . The generalized force (the sign
can be omitted) is:

p j (t ) = ∑ Pi (t )φ ij
i
or

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CEE490b

n
p j (t ) = u&&g ∑ mi Φ ij = u&&g L j
i =1
n
where the earthquake participation factor L j = ∑ mi Φ ij
i =1

In matrix form, equations (4-25) can be written as

[m] {u&&} + [c ] {u&} + [k ]{u} = −[m]{1}u&&g (4-25a)

in which [c ] = 2α [m ] and {1} = [1 1 1 ... 1]

T

Equation (4-25a) can also be derived directly realizing that the inertia forces stem
from the absolute displacements Ui but the stiffness and damping forces are due to
the relative displacements ui. Then,

[m] {U } + [c ] {u&} + [k ]{u} = {0}

Eliminating U, equation (4-25) is obtained.

The relative displacement of mass i is, by equation (4-2),

n
u i (t ) = ∑ Φ ij η j (4-25b)
j =1

in which the generalized coordinate is given by equation (4-12),

p j (t ) Lj
η&&j + 2αη& j + ω 2j η j = = u&&g (t ) (4-26)
Mj Mj

This is analogous to one degree of freedom in which the solution depends on the
type of ground motion.

Transient ground motion produces response whose solution in 1 DOF is given by

the Duhamel (convolution) integral:

t
1
y (t ) = ∫
mω o 0
P (τ ) e −Dω o ( t −τ ) sin ω o (t − τ )dτ

With P (τ ) = L j u&&g (τ ) , substitution gives for the generalized coordinate:

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CEE490b

t
1 Lj −D ω ( t −τ )
η j (t ) = ∫
ωj Mj 0
u&&g (τ ) e j j sin ω j (t − τ )dτ

1 Lj
= V j (t )
ωj Mj

where

t
−D j ω j ( t −τ )
V j (t ) = ∫ u&&g (τ ) e sin ω j (t − τ )dτ (4-27)
0

The complete response is the sum of responses in individual modes, i.e.,

n
1 Lj
u i (t ) = ∑ Φ ijV j (t ) (4-28)
j =1 ω j M j

Integral V j (t ) = f (u&&g ,ω j , D j ) is exactly the same as in one degree of freedom and can
be obtained by numerical integration. V(t) has the dimension of velocity, (i.e. m/s).
equation (4-28) can be interpreted as Fig. 4.7 indicates.

4.3 SPECTRAL APPROACH TO TRANSIENT MOTION

It is usually not necessary to find the complete time history of the response. The
maximum response is decisive in most applications and this is obtained by
substituting the maximum value of integral Vj(t) into equation (4-28) using the same
notation as in one degree of freedom.

Vmax = Sv = spectral velocity (pseudo velocity)

Vmax Sv Sa
Sd = = = = spectral displacement
ωj ωj ω 2j
Sa = ω j Sv = spectral acceleration.

Spectral velocities can be computed for any typical earthquake. In Fig. 4.7 , the
spectral velocity of El Centro earthquake is given. Smoothed or averaged spectra
should be used possibly depending on site conditions (Figs. 4.8 and 4.9). In terms of
spectral displacement, the maximum (peak) displacement in the jth mode is:

1 Lj Lj
uˆ ij = Φ ij SV ( j ) = Φ ij Sd ( j )
ωj Mj Mj

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Fig. 4.7 Smoothed El Centro spectra reduced to a maximum

acceleration of 20%g

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CEE490b

Fig. 4.8 Average acceleration spectra for different site conditions

Fig. 4.9 84 percentile acceleration spectra for different site conditions

(after Seed, Ugos and Lysmer, 1974)

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CEE490b

The effective acceleration for mode j is

⎛ 1 Lj ⎞ Lj
u&&ij = ω 2j uˆ ij = ω 2j ⎜ Φ ij Sv ( j ) ⎟ = Φ ij Sa( j )
⎜ω M ⎟ M
⎝ j j ⎠ j

The stresses can be computed with a static load equal to the maximum effective
earthquake force acting on mj in mode j defined as:

Lj
q ij = m i x (accel. Amplitude) = mi ω 2j uˆ ij = m i Φ ij Sa( j )
Mj

The total maximum base shear which is a measure of earthquake loading is, for
mode j:

n Lj n L2j
Q j = ∑ q ij = Sa ( j ) ∑ m i Φ ij = Sa( j )
i =1 Mj i =1 Mj

The total response is a sum of responses in individual vibration modes (Fig. 4.10).

Fig. 4.10

The peak in individual modes does not appear at the same time. Its accurate value
could be obtained from the resultant time history. Approximately, the maximum
response of mass mi is:

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CEE490b

uˆ i ,max ≅ uˆ i2,1 + uˆ i2,2 + uˆ i2,3 + ..... = ∑ uˆj

2
i, j

One can write similar expressions for all types of responses:

e.g. Base Shear: Qmax = ∑Q j

2
j

Stress at location “i” σ i ,max = ∑σ j

2
i, j

With harmonic motion of the ground:

u g (t ) = u g cos ωt , u&&g (t ) = −u g ω 2 cos ωt

and loads:

n n
Pi (t ) = −mi u&&g (t ) = m i ω 2 u g cos ωt ; p j (t ) = ∑ Pi (t )Φ ij = ω 2u g cos ωt ∑ mi Φ ij
i =1 i =1

n
Steady state response is from equations (4-19) and (4-21), denoting L j = ∑ mi Φ ij ,
i =1

n L jω 2 1
u i (t ) = u g ∑ Φ ij cos(ωt + φ j )
j =1 M jω 2
⎡ ⎛ω 2
⎤
2 2
j
⎞ ⎛ ⎞
⎢1 − ⎜ ⎟ ⎥ + 4⎜ ω ⎟ D 2j
⎢ ⎜⎝ ω j ⎟
⎠ ⎥ ⎜ω ⎟
⎝ j⎠
⎣ ⎦

The resonant amplitude in mode j is;

Lj 1
ui (r ) = ug Φ ij
Mj 2D j

4.4 MODAL EQUIVALENT MODEL

In earthquake engineering, the "modal equivalent model" is sometimes used to

represent the structure. This model comprises n single degree of freedom systems
whose damping and natural frequencies are identical to those of individual vibration
modes and the masses and their heights are so determined that identical base
moments and base shears are obtained from both mode j and the equivalent model
(Fig.4.11).

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CEE490b

mn
m j S a(j)
φ ij
mn mj

m2
q ij
Hj
m1 hi

Mode j Equivalent 1 DOF Model

Fig. 4.11 Structural response in mode j and its equivalent 1 DOF model

Thus, for the base shear:

L2j
Qj = Sa( j ) = m j Sa( j )
Mj

and from here the equivalent mass is:

L2j
mj =
Mj

The equality of base moments (overturning moments) requires:

∑q h
i =1
ij i = m j Sa( j ) H j

which yields

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CEE490b

n Lj
∑m
n

∑ q ij hi i =1
i
Mj
Φ ij Sa( j ) hi
Hj = i =1
2
Mj = Mj
L Sa( j )
j L2j Sa ( j )

After abbreviation the equivalent height is:

n

∑m Φ i ij hi
Hj = i =1

Lj

All the modes can be represented as Fig.4.12 indicates.

mj

Hj

Fig. 4.12 Representation of an n-degree of freedom structure by n 1 DOF systems

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Problem 4.4

a) Calculate the earthquake response, i.e. displacements, earthquake forces,

base shear and stresses in the lowest columns of the five storey shear
building due to the 20% El Centro. Consider all modes and damping ratio 2%.

b) Calculate the response of the top floor and the base shear of the same five
storey building considering the four average acceleration spectra for different
site conditions (Fig.4.8), maximum ground acceleration 20% g, damping 5%
and the first mode only.

Problem 4.5

Calculate the resonant amplitudes of the five storey shear building due to harmonic
horizontal ground motion u g (t ) , whose amplitude is 0.01 in and frequency ranges
from 0 to 1.2 ω 5 . Assume D j = 0.01.

Problem 4.6

Adjust the Duhamel integral for numerical integration by taking all factors containing
t in front of the integration sign and prepare a flow chart for the computation of the
complete time history ui (t) from equation (4-28).

Answers to Problem 4.4a: (for l 1 = 4.00m )

Amplitudes: u51 = 4.8x10-3 m f1 = 5.44 ω 1 = 34.16

u52 = l.6xl0-4 m f2 = 13.90
u53 = 2.2x10-5 m

Base shear: Q1 = 424.82 kN

Column stress: σ 1 = 36.45 MPa for outside column

(first mode) σ 1′ = 42.53 MPa for inside column

Page 4-22