Lecture Notes in Mechanical Engineering

Ravipudi Venkata Rao

Samir Khatir
Thanh Cuong-Le Editors

Recent Advances
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Health Monitoring
and Engineering
Structures
Select Proceedings of SHM and ES 2022
Lecture Notes in Mechanical Engineering

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Ravipudi Venkata Rao · Samir Khatir ·
Thanh Cuong-Le
Editors

Recent Advances
in Structural Health
Monitoring and Engineering
Structures
Select Proceedings of SHM and ES 2022
Editors
Ravipudi Venkata Rao Samir Khatir
Department of Mechanical Engineering Soete Laboratory, Faculty of Engineering
Sardar Vallabhbhai National Institute and Architecture
of Technology Ghent University
Surat, India Ghent, Belgium

Thanh Cuong-Le
Faculty of Civil Engineering
Ho Chi Minh City Open University
Ho Chi Minh City, Vietnam

ISSN 2195-4356 ISSN 2195-4364 (electronic)

Lecture Notes in Mechanical Engineering
ISBN 978-981-19-4834-3 ISBN 978-981-19-4835-0 (eBook)
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Contents

Weight Optimization of Truss Structures with Different

Constraints Using Rao Algorithms and Their Variants . . . . . . . . . . . . . . . . 1
Zinzuvadia Niketkumar Maheshkumar, Ravipudi Venkata Rao,
Samir Khatir, and Thanh Cuong-Le
Crack Identification in Pipe Using Improved Artificial Neural
Network . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
Meriem Seguini, Tawfiq Khatir, Samir Khatir, Djilali Boutchicha,
Nedjar Djamel, and Magd Abdel Wahab
Evaluating the Remaining Flexural Capacity of a CFRP Composite
Beam Having Cracked Cross-Section—A Comparison with ACI
440.2R (2017) for a Case Study . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
Tham Hong Duong
Reliability Analysis of a System of CFRP Structures on the Piled
Raft Foundation Subjected to Earthquakes . . . . . . . . . . . . . . . . . . . . . . . . . . 43
Tham Hong Duong and Phuoc Trong Nguyen
Research on Crack Extension Resistance and Remaining Strength
of High-Strength Concrete Using Nano-silica . . . . . . . . . . . . . . . . . . . . . . . . . 71
Thi Cam Nhung Nguyen, Van Thuc Ngo, Tien Thanh Bui,
and Viet Hung Tran
Evaluate the Safe Working Capacity of the Driven Pile Deviated
the Designed Position: A Case Study in Vietnam . . . . . . . . . . . . . . . . . . . . . . 83
Bac An Hoang
Notch Depth Identification in CFRP Composite Beams Based
on Modal Analysis Using Artificial Neural Network . . . . . . . . . . . . . . . . . . . 101
A. Zara, I. Belaidi, A. Oulad Brahim, S. Khatir, R. Capozucca,
and M. Abdel Wahab

v
vi Contents

Characteristics of Sea Surface Temperature Fronts Along

Vietnamese Coast . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 113
Tu Tran Anh, Cuong Nguyen Kim, Ha Tran Thu, and T. Vu-Huu
An Eaton Lens Design to Reduce of Earthquake Impact . . . . . . . . . . . . . . . 123
Sy Pham-Van, Q.-Hoan Pham, Thi-Le Le, and T. Vu-Huu
Regression Method-Based Structural Condition Assessment
for Bridge Health Monitoring . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 131
Tam Nguyen-Nhat, Nhi Ngo-Kieu, Toan Pham-Bao,
Luan Vuong-Cong, and Hung Nguyen-Quoc
An Optical Embedded MEMS-Based System for Real-Time
Structural Health Monitoring . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 145
Abdelhakim Latoui and Mohamed El Hossine Daachi
Friction Damper Performance on Stay Cable Bridges in Vietnam,
Solution Prediction, and In-Situ Testing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 155
Nguyen Phuong Duy and Tran Duc Lan
Numerical Study on Bending Resistance of Composite Beam
Containing Conventional Concrete and HPFRC . . . . . . . . . . . . . . . . . . . . . . 165
Duy-Liem Nguyen and H. T. Tai Nguyen
Multi-scale Modelling of the Ballistic Impact of One Single Kevlar
Yarn . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 175
Q. Hoan Pham, C. Ha-Minh, T. Long Chu, T. Kanit, and A. Imad
Defect Detection and Identification on an Embedded Beam Using
Modal Deformation Parameters and the Dempster–Shafer Data
Fusion Technique . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 183
Rachid Azzi and Farid Asma
Impact Resistance of Cement Material Partial Replaced by Silica
Fume Under the Charpy Test . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 195
Thac-Quang Nguyen, Duy-Liem Nguyen, Tri N. M. Nguyen,
and Tien Thanh Bui
Damage Detection of the Beam Under Moving Load by Using
a Variation of Power Spectrum Density . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 207
Vien Le-Ngoc, Luan Vuong-Cong, Toan Pham-Bao, and Nhi Ngo-Kieu
Gear Fault Detection, Identification and Classification Using MLP
Neural Network . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 221
Afia Adel, Ouelmokhtar Hand, Gougam Fawzi, Touzout Walid,
Rahmoune Chemseddine, and Benazzouz Djamel
Contents vii

Monitoring the Change in Vibration Characteristics for Reinforced

Concrete Frames Under Various Loadings . . . . . . . . . . . . . . . . . . . . . . . . . . . 235
Chi-Thien Nguyen, Manh-Hung Tran, Minh-Nhan Pham,
Huu-Phuong Nguyen, Tran-De-Nhat Truong, and Duc-Duy Ho
Development of Modal Strain Energy Method Combined
with Multi-phase Genetic Algorithm for Structural Damage
Detection in Plates . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 247
Thanh-Cao Le, Van-Sy Bach, Thanh-Son Vo, Ngoc-Lan Pham,
Thanh-Canh Huynh, and Duc-Duy Ho
Study on Determining the Length of the Cracked Zone
of Reinforced Concrete Beams Under Load Using Deformed Shape
Curvature Method . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 257
Tuan Minh Ha, Quang-Phu Nguyen, Phan-Nhat-Trung Nguyen,
Thanh-Duy Tran, Duc-Duy Ho, and Saiji Fukada
Seismic Response of a Reinforced Concrete Frame with Reduced
Stiffness . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 267
Huu Anh Tuan Nguyen, Trong Tinh Le, and Dinh Nhan Dao
Investigation of Potential Alkali–Silica Reaction of Different Types
of Aggregate in Mortar with and Without Fly Ash . . . . . . . . . . . . . . . . . . . . 279
Nguyen Thi Bich Thuy and Nguyen Trong Lam
A Novel Proposal in Applying Big Data for the Bridge Management
System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 287
Nhi Ngo-Kieu, Thao D. Nguyen, Lam Q. Tran, Canh M. Le,
Luan Vuong-Cong, Hung Nguyen-Quoc, and Toan Pham-Bao
Enhanced Vibration Serviceability of Multi-bay Floors Using
Tuned Mass Dampers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 299
Huu Anh Tuan Nguyen, Emad F. Gad, John L. Wilson,
and Nicholas Haritos
Investigation of the Collapse of the Steel Space Truss Roof Induced
by Wind Action . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 311
Tran-Hieu Nguyen, Quoc-Cuong Nguyen, Nhu-Hoang Nguyen,
Van-Cuong Nguyen, and Anh-Tuan Vu
Deep Learning Damage Detection Using Time–Frequency Image
Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 321
Dung Bui-Ngoc, Hoa Tran-Ngoc, Lan Nguyen-Ngoc,
Hieu Nguyen-Tran, and Thanh Bui-Tien
Effect of Span-to-Depth Ratio on Strength and Deflection
Reliability of Reinforced Concrete Beams . . . . . . . . . . . . . . . . . . . . . . . . . . . . 331
Huu Anh Tuan Nguyen
viii Contents

Estimation Displacement of Diaphragm Wall Using Hardening

Soil Versus Mohr–Coulomb Model . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 345
Thanh Sang-To, Minh Hoang-Le, Manh Vu-Tran, Magd Abdel Wahab,
and Thanh Cuong-Le
An Improved Particle Swarm Optimization Approach for Solving
the Engineering Problems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 353
Thi Thuy Linh-Nguyen, Hoang Le-Minh, and Thanh Cuong-Le
Application of Nonlinear Behaviour for Concrete Material
in Numerical Simulation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 361
Thi Thuy Linh-Nguyen, Hoang Le-Minh, T. Vu-Huu,
and Thanh Cuong-Le
Particle Swarm Optimization (PSO) Algorithm Design
of Feedforward Neural Networks (FFN) for Predicting the Single
Damage Severity in 3D Steel Frame Structure . . . . . . . . . . . . . . . . . . . . . . . . 375
Thanh Cuong-Le and Hoang Le-Minh
Predicting Damaged Truss Using Meta-Heuristic Optimization
Algorithm . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 385
Thanh Sang-To, Minh Hoang-Le, Magd Abdel Wahab,
and Thanh Cuong-Le
Forced Vibration of Delaminated Composite Beam with the Effect
of Interfacial Contact . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 393
Hadjila Bournine
Application of Slime Mould Optimization Algorithm on Structural
Damage Identification of Suspension Footbridge . . . . . . . . . . . . . . . . . . . . . . 405
Lan Ngoc-Nguyen, Samir Khatir, Huu-Quyet Nguyen,
Hieu Nguyen-Tran, Dung Bui-Ngoc, Magd Abdel Wahab,
and Thanh Bui-Tien
The Application of a Hybrid Autoregressive and Artificial Neural
Networks to Structural Damage Detection in Z24 Bridge . . . . . . . . . . . . . . 417
Hieu Nguyen-Tran, Dung Bui-Ngoc, Lan Ngoc-Nguyen, Hoa Tran,
Thanh Bui-Tien, Guido De Roeck, and Magd Abdel Wahab
About the Editors

Dr. Ravipudi Venkata Rao is currently working as Professor (Higher Administrative

Grade) in the Department of Mechanical Engineering, S. V. National Institute of Tech-
nology (SVNIT), Surat, India. He has more than 30 years of teaching and research
experience, having completed his [Link]. in 1988, [Link]. in 1991, Ph.D. in 2002,
and [Link]. in 2017. His research interests include advanced optimization algorithms
and their applications to design, thermal and manufacturing engineering. He has
more than 350 research papers to his credit, published in national and international
journals and conference proceedings, and has received national and international
awards for his research efforts. He is on the editorial boards of several international
journals. Apart from conducting a number of short-term training programs for faculty
members and professionals on advanced engineering optimization techniques, he has
handled numerous research projects including the bi-lateral projects with Austria,
Russia, and Slovenia. He has authored six books, and all these have been published
by Springer.

Dr. Samir Khatir is currently Doctor Researcher at Ghent University Belgium

Soete laboratory and Adjunct Doctor Assistant at Ho Chi Minh Open University
Vietnam. He received Ph.D. in Civil engineering from Ghent University and another
Ph.D. in Mechanical engineering from UMBB Algeria. He improved and created
many techniques for damage identification, created and improved a new optimi-
sation technique. He has authored and co-authored of over 100 ISI peer-reviewed
articles. His primary research interest is in the areas of civil and mechanical engi-
neering such as FEM, XFEM, Iso-geometric analysis (IGA), extended Iso-geometric
analysis (XIGA), dynamic, static, damage identification, fracture mechanics, opti-
mization, inverse problem, wear, friction, laminated composites, delamination, and
transmissibility.

ix
x About the Editors

Dr. Thanh Cuong-Le is Head of Department of Strength of Material and Engineering

Structures at the Faculty of Civil Engineering, Ho Chi Minh City Open University,
Vietnam. He received his Ph.D. from Ghent University of Belgium. His research
focuses on optimization and structural health monitoring, computational science and
engineering, structural stability, dynamic analysis, plates and shells. He published
papers in computer methods in applied mechanics and engineering, scientific reports,
composite structures, and thin-walled structures.
Weight Optimization of Truss Structures
with Different Constraints Using Rao
Algorithms and Their Variants

Zinzuvadia Niketkumar Maheshkumar, Ravipudi Venkata Rao,

Samir Khatir, and Thanh Cuong-Le

1 Introduction

In structural optimization, designers look for an optimal solution that creates a struc-
ture that sustains the loads while satisfying the constraints. Generally, the objec-
tive of the structural optimization problem is to optimize the weight and strength
while meeting the constraints of displacement at nodes, stress in the bars or natural
frequency of the structure. The size, shape and topology optimization are three divi-
sions of structural optimization. If the truss design is considered, then in size opti-
mization, the design variables are the cross-sectional areas of the truss members. In
the shape optimization problem, the location of the truss nodes is under study, and in
topology optimization, the connectivity of the truss members is under investigation.
In the present work, two weight optimization problems of ten bar truss structure are
considered. One problem is solved with the natural frequency constraints, and the
other is solved with the constraints related to the nodal displacement and the stress
in the truss members.
Truss structure optimization has received the interest of researchers because
it optimizes the size of the truss resulting in less manufacturing cost and yields
better dynamic behavior using natural frequency constraints. In a truss optimiza-
tion problem, the natural frequency is restricted in a certain range to avoid the
phenomenon of resonance. Along with the required dynamic response, engineering

Z. N. Maheshkumar · R. V. Rao (B)

Department of Mechanical Engineering, Sardar Vallabhbhai National Institute of Technology,
Surat, Gujarat, India
e-mail: ravipudirao@[Link]
S. Khatir
Soete Laboratory, Ghent University, Ghent, Belgium
T. Cuong-Le
Faculty of Civil Engineering, Ho Chi Minh City Open University, Ho Chi Minh City, Vietnam

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2023 1
R. V. Rao et al. (eds.), Recent Advances in Structural Health Monitoring
and Engineering Structures, Lecture Notes in Mechanical Engineering,
[Link]
2 Z. N. Maheshkumar et al.

structures should also be light in weight [1]. The designer can control the frequency
of the truss structure in the desired manner to improve the dynamic behavior. The size
optimization of truss is a complex problem and consideration of natural frequency
as constraints increase the complexity of the problem [2]. Similarly, the truss opti-
mization problem with constraints related to the nodal displacement and the stress
in the truss members minimizes the weight of the truss, and it also assures that the
truss performs satisfactorily in its application. Researchers have proposed different
methods in the past to address the complexity of the truss optimization problem.
Sedaghati et al. [3] solved the frame and truss structure optimization problem with
frequency constraints using combined finite element-based technique and sequential
quadratic programming. Gholizadeh et al. [4] used genetic algorithm and Salajegheh
et al. [5] solved structure optimization problems under multiple natural frequency
constraints with a neural network. Gomes [6] optimized the shape and size of the
truss structure using particle swarm optimization algorithm. Talatahari et al. [7] devel-
oped a material generation algorithm and implemented it for the optimum design of
engineering problems, including ten bar truss optimization problem. Yu et al. [8]
introduced interior point trust region method to solve the truss structural frequency
optimization problems. Lamberti and Pappalettere [9] solved truss structure weight
minimization problems using linearization error sequential linear programming.
Kaveh and Zolghadr [1] solved truss structures under frequency constraints using
the charged system search algorithm and its enhanced version. Eskandar et al.
[10] solved the ten bar truss weight optimization problem with displacement and
stress constraints using water cycle algorithm. Kaveh and Hassani [11] developed
the energy formulation of force method and simultaneously performed optimiza-
tion of truss structures. Rao et al. [12] solved the truss optimization problem by
applying the Rao algorithms, Quasi oppositional Rao algorithms and self-adaptive
multi-population Rao algorithms.
Turky and Abdullah [13] introduced a multi-population harmony search algo-
rithm to solve dynamic optimization problems (DOP). In the proposed algorithm,
the population of solutions was split into a number of sub-populations for better
exploration and exploitation. The proposed algorithm’s performance was examined
on the moving peak benchmark problems. Feng et al. [14] presented chaos opti-
mization algorithm. The chaotic sequences generated by sixteen chaotic maps were
analyzed. The proposed algorithm was applied to test functions to demonstrate its
high efficiency and convergence rate. Rao [15] introduced algorithm-specific param-
eter less Rao algorithms to solve the optimization problems related to different fields.
From the literature review, it is observed that the algorithm’s performance can be
improved by integrating concepts like multi-population, elitism and chaos theory
with the basic metaheuristic algorithm. So in the present paper, the self-adaptive
multi-population elitist (SAMPE) Rao algorithms and chaotic Rao algorithms are
utilized to solve the ten bar truss optimization problem.
The remainder of the paper has the following structure: Sect. 2 describes the Rao,
SAMPE Rao and chaotic Rao algorithms. Section 3 describes the two examples
of ten bar truss optimization problem. Section 4 discusses the results obtained after
Weight Optimization of Truss Structures with Different … 3

applying the proposed algorithms to the problems. Section 5 presents the conclusions
of the present paper.

2 Rao, SAMPE Rao and Chaotic Rao Algorithms

2.1 Rao Algorithms

Rao algorithms are recently developed algorithm-specific parameter less optimiza-

tion algorithms [15]. Rao algorithms use the best and the worst candidate solutions
of the population to find an optimal solution during the search process. Rao2 and
Rao3 algorithms also use the random interaction between the candidates during the
search process. In Rao algorithms, the random population is generated initially, and
the value of variables is updated using the following equations.
'
xvn,cn,in = xvn,cn,in + r1,vn,in (xvn,best,in − xvn,worst,in ) (1)

'
xvn,cn,in = xvn,cn,in + r1,vn,in (xvn,best,in − xvn,worst,in )
+ r2,vn,in (|xvn,c1,in or xvn,c2,in | − |xvn,c2,in or xvn,c1,in |) (2)

'
xvn,cn,in = xvn,cn,in + r1,vn,in (xvn,best,in − |xvn,worst,in |)
+ r2,vn,in (|xvn,c1,in or xvn,c2,in | − (xvn,c2,in orxvn,c1,in )) (3)

where xvn,cn,in represents the value of variable ‘vn’ for candidate number ‘cn’ for
'
iteration number ‘in’. xvn,cn,in is the updated value of xvn,cn,in . r 1,vn,in and r 2,vn,in are
the random numbers between 0 and 1. The random interaction is done between
candidate number ‘c1’ and ‘c2’

2.2 Self-Adaptive Multi Population Elitist (SAMPE) Rao

Algorithms

SAMPE Rao algorithms include the concept of multi-population and elitism to

improve the rate of exploration and exploitation of the search mechanism. In SAMPE
Rao algorithms, first the elite size (ES), number of variables and the population size
(m) are initialized. In SAMPE Rao algorithms, the sub-populations are formulated
from the whole population. The subgroups are formed according to the quality of
the solution. Then, the ‘ES’ number of worst solutions from the inferior group is
replaced with the best solutions of the superior group. Then, the equations of Rao
algorithms are used to modify the candidate solutions in each sub-population. Then,
4 Z. N. Maheshkumar et al.

Fig. 1 Flowchart of the SAMPE Rao algorithms

all the sub-populations are merged in a single population. If the current best solu-
tion is better than the previous best solution, then the number of sub-population is
increased by one for exploration; otherwise, it is decreased by one for exploitation.
Figure 1 shows the flowchart of SAMPE Rao algorithms.

2.3 Chaotic Rao Algorithms

The chaotic Rao algorithms integrate the Rao algorithms and the chaos theory. In
these algorithms, the random numbers used in the equations of Rao algorithms are
replaced with the chaotic numbers. The chaotic numbers are generated using the
Weight Optimization of Truss Structures with Different … 5

mathematical equation of the chaotic map. The researchers have developed different
chaotic maps in the past to generate chaotic numbers. Some of the chaotic maps are
logistic map, Kent map, Bernoulli shift map, sine map, circle map, Chebyshev map,
Gaussian map, etc. The chaotic Rao algorithms help to find a global optimal solution
without getting trapped at local optima. The performance of the algorithms is tested
using the chaotic numbers generated by different chaotic maps. The algorithms give
better results when the Chebyshev map is used to generate the chaotic numbers. The
Eq. (4) is used to generate chaotic number when the Chebyshev map is used. Figure 2
shows the flowchart of chaotic Rao algorithms

xi+1 = | cos(k cos−1 (xi ))|, xi ∈ [0, 1], k > 1 (4)

where xi+1 and xi are (i + 1)th and ith term of a chaotic sequence, respectively.

Fig. 2 Flowchart of chaotic Rao algorithms

6 Z. N. Maheshkumar et al.

3 Optimization Problem of Planar Ten Bar Truss

3.1 Ten Bar Truss Optimization Problem-1

The weight minimization problem of ten bar truss with frequency constraints was first
addressed by Grandhi and Venkayya [16]. In this problem, the cross-sectional area of
bars is considered as design variables. The truss material has Young’s modulus and
density equal to 68.95 GPa and 2767.99 kg/m3 , respectively. Different researches
had used different values of Young’s modulus in the past for this problem. In this
paper, the value of Young’s modulus is considered same as it was considered by
Grandhi and Venkayya [16]. At each free end of the truss (at node number 2, 3, 4
and 5), a mass of 453.6 kg is attached. The value of natural frequency is calculated
using the global stiffness and the global mass matrix. The consistent mass matrix is
used to find accurate results of the natural frequency. Figure 3 shows the schematic
diagram of ten bar truss for problem-1.
The mathematical model of the ten bar truss optimization problem-1:Design
variables:

x = [A1 , A2 , ..., A10 ]

Objective function:
Minimize,

Σ
10
f (x) = ρ L i (xi ) Ai (5)
i=1

Fig. 3 Ten bar truss for problem-1

Weight Optimization of Truss Structures with Different … 7

Design constraints:

C1 (x) = ω1 (x) − 7 ≥ 0 (6)

C2 (x) = ω2 (x) − 15 ≥ 0 (7)

C3 (x) = ω3 (x) − 20 ≥ 0 (8)

6.45 × 10−5 ≤ Ai ≤ 5 × 10−3 (9)

where,

ρ = Density = 2767.99kg/m3 ,
L i (xi ) = Length of the ith bar (m), i = 1, 2, . . . , 10
ω1 , ω2 andω3 = First three natural frequencies of the truss structure (Hz),
Ai = Cross - sectional area of ith truss member (m2 ), i = 1, 2, . . . , 10

3.2 Ten bar Truss Optimization Problem-2

This problem minimizes the weight of the ten bar truss subjected to constraints
associated with the nodal displacement and the stress in the truss members. In this
problem, the cross-sectional area of the truss members is the design variables. The
truss is made of the material with Young’s modulus equal to 107 psi and density
equal to 0.1 lb/in3 . The maximum allowable displacement at the free nodes is ± 2,
in and the maximum allowable stress in the truss members is ± 25 ksi. Load P1 =
105 lb and P2 = 0 lb are acting at the free nodes as shown in Fig. 4.
The mathematical model of the ten bar truss optimization problem-2:Design
variables:

x = [A1 , A2 , ..., A10 ]

Objective function:
Minimize,

Σ
10
f (x) = ρ L i (xi ) Ai (10)
i=1

Design constraints:
8 Z. N. Maheshkumar et al.

Fig. 4 Ten bar truss for problem-2

−2 ≤ u xi ≤ 2 (11)

−2 ≤ u yi ≤ 2 (12)

−25 ≤ σ j ≤ 25 (13)

0.1 ≤ A j ≤ 35 (14)

where

ρ = Density = 0.1lb/in3 ,
L i (xi ) = Length of the ith bar (in), i = 1, 2, . . . , 10
u xi = Displacement in x direction at ith node (in), i = 1, 2, 3, 4
u yi = Displacement in y direction at ith node (in), i = 1, 2, 3, 4
σ j = Induced stress in jth truss member (ksi), j = 1, 2, . . . , 10
A j = Cross - sectional area of jth truss member (in2 ), j = 1, 2, . . . , 1
Weight Optimization of Truss Structures with Different … 9

4 Results and Discussion

The optimization results are obtained with the R2019a version of the MATLAB
tool. The laptop with the 1.80-GHz Intel Core i7-8550U processor and 8 GB RAM
is utilized for computation. The ten bar optimization problem is solved using Rao,
SAMPE Rao and chaotic Rao algorithms for 25 times. Various combinations of
population size with elite size and initial value of chaotic sequence are tested for
SAMPE and chaotic Rao algorithms, respectively, and the combination which gives
the best result for different algorithms is also mentioned for both problems. The
optimal results achieved using Rao, SAMPE Rao, chaotic Rao algorithms and other
advanced optimization algorithms are compared. The bold numbers highlight the
improvement in the results from Rao algorithms to modified Rao algorithms.

4.1 Ten Bar Truss Optimization Problem-1

This problem is solved using the presented algorithms with the number of maximum
function evaluations equal to 50,000. Table 1 compares the optimal design of ten
bar truss obtained using presented algorithms, interior point trust region method
(IPTRM), sequential linear programming (SLP), teaching learning-based optimiza-
tion (TLBO), enhanced charged system search (ECSS) and material generation algo-
rithm (MGA). Table 2 compares the statistical results of the presented algorithms.
The optimal results attained using the presented algorithms are better than the same
obtained using other algorithms. Figure 5 represents the convergence plot of the Rao,
SAMPE Rao and chaotic Rao algorithms for the ten bar truss optimization problem.
SAMPE Rao3 algorithm reaches first to its optimal value for this problem.

4.2 Ten Bar Truss Optimization Problem-2

This problem is solved by applying the presented algorithms with the number of
maximum function evaluations equal to 50,000. Table 3 compares the optimal design
of ten bar truss obtained using presented algorithms, ant colony optimization (ACO),
particle swarm optimization (PSO), hybrid genetic algorithm and particle swarm
optimization (HGAPSO), water cycle algorithm (WCA), Rao algorithms, quasi-
oppositional (QO) Rao algorithms and self-adaptive multi-population (SAMP) Rao
algorithms. Table 4 compares the statistical results attained using the SAMPE and
chaotic Rao algorithms. The optimal results achieved using the presented algorithms
are better than the same achieved using other algorithms. Figure 6 represents the
convergence plot of the SAMPE Rao and chaotic Rao algorithms for the ten bar truss
optimization problem. chaotic Rao2 algorithm reaches first to its optimal value for
this problem.
 10

Table 1 Comparison of optimal results for ten bar problem-1 using different algorithms
Algorithm f min A1 A2 A3 A4 A5 A6 A7 A8 A9 A10 C1 C2 C3
IPTRMa 544.7 36.38 12.941 35.764 18.314 3.002 5.433 20.989 24.14 9.753 18.102 1.000E−03 3.077E+00 2.500E−02
SLPa 534.57 35.148 13.169 37.69 19.556 1.087 4.844 18.314 27.415 12.562 12.106 3.000E−03 1.543E+00 1.540E−01
TLBOa 530.76 35.494 14.777 36.203 15.387 0.6451 4.5896 23.211 24.561 12.482 12.324 0.000E+00 1.201E+00 0.000E+00
ECSSa,b 529.25 39.569 16.74 34.361 12.994 0.645 4.802 26.182 21.26 11.766 11.392 −1.438E−01 1.115E+00 −2.322E−01
MGAa,b 529.1204 36.76416 16.29897 37.94378 16.51087 0.659 4.57489 22.94023 22.63185 10.87892 11.53643 −1.263E−01 1.390E+00 −1.757E−01
Rao1 530.0966 42.480315 6.595627 35.6382 19.92667 1.40975 5.768395 15.05489 28.39336 17.339118 8.239324 1.160E−04 1.294E−02 7.834E−04
Rao2 530.0938 42.459438 6.685081 35.731579 19.82831 1.42142 5.747557 15.025042 28.44203 17.136444 8.383884 2.432E−05 6.012E−02 2.626E−04
Rao3 530.0896 42.386852 6.716022 35.909957 19.7412 1.332839 5.747599 14.87662 28.76973 17.091302 8.276102 3.305E−05 9.102E−03 1.036E−04
SAMPE 530.0717 42.512825 6.638253 35.771085 19.82477 1.376879 5.698903 14.97328 28.6608 17.212648 8.170349 1.316E−05 1.016E−02 5.850E−04
Rao1
SAMPE 530.0751 42.712725 6.603847 35.681113 19.8947 1.422724 5.732315 14.884304 28.47374 17.27057 8.230496 6.679E−06 1.058E−02 2.958E−04
Rao2
SAMPE 530.0774 42.516889 6.557441 36.00458 19.72067 1.415428 5.720058 15.049094 28.50076 17.207818 8.181558 1.867E−05 4.381E−03 1.808E−04
Rao3
Chaotic 530.0779 42.277734 6.66225 35.779458 19.72491 1.373387 5.716021 14.936021 28.79303 17.276601 8.21746 2.052E−06 1.135E−02 2.971E−04
Rao1
Chaotic 530.0896 42.776385 6.595907 35.873518 19.72962 1.405614 5.750094 14.888098 28.57553 17.136128 8.204217 6.317E−06 1.587E−03 6.838E−04
Rao2
Chaotic 530.0770 42.586354 6.597214 35.723756 19.84644 1.427229 5.719932 15.013244 28.44623 17.193726 8.310047 1.672E−05 2.130E−02 2.870E−04
Rao3
a The results are taken from [7]
b Infeasible solution due to violation of constraints
Z. N. Maheshkumar et al.
Weight Optimization of Truss Structures with Different … 11

Table 2 Statistical result comparison for ten bar truss problem-1

Algorithm B M W SD MFE NP, ES/CS1
Rao1 530.0966 530.1672 530.4509 9.091E−02 42,205 20
Rao2 530.0938 530.7118 539.6865 1.887E + 00 44,224 20
Rao3 530.0896 530.4269 533.9654 7.594E−01 42,700 20
SAMPE Rao1 530.0717 530.3919 533.8421 7.495E−01 43,449 20, 2
SAMPE Rao2 530.0751 530.4881 531.3110 3.501E−01 43,120 20, 2
SAMPE Rao3 530.0774 530.5175 531.5239 3.485E−01 40,208 20, 2
Chaotic Rao1 530.0779 530.3403 533.8971 7.697E−01 44,322 20, 0.3
Chaotic Rao2 530.0896 530.4039 531.0919 3.590E−01 43,332 20, 0.3
Chaotic Rao3 530.0770 531.2531 540.5291 2.788E + 00 46,970 20, 0.2
B Best solution, M Mean solution, W Worst solution, SD Standard deviation, MFE Mean function
evaluations, NP Population size, ES Elite size, CS 1 Initial value of chaotic sequence

Fig. 5 Convergence plot for the ten bar truss problem-1

5 Conclusions

In this paper, two structural optimization problems of ten bar truss are solved using
the Rao algorithms, self-adaptive multi-population elitist (SAMPE) Rao algorithms
and chaotic Rao algorithms. The optimal design of the ten bar truss attained using the
presented algorithms is compared with the those obtained using other optimization
algorithms to show the effectiveness of the presented algorithms. The statistical
results of Rao algorithms, SAMPE Rao algorithms and chaotic Rao algorithms are
 12

Table 3 Comparison of optimal design for ten bar problem-2 using different algorithms
Algorithm f min A1 A2 A3 A4 A5 A6 A7 A8 A9 A10
ACOa 5095.46 30.86 0.1 23.55 0.22 15.01 0.1 7.63 21.65 21.32 0.1
HGAPSOa 5061.4 30.63 0.1 23.06 15.01 0.1 0.59 7.49 21.1 21.56 0.1
PSOa 5529.5 33.46 0.11 23.17 15.47 3.64 0.11 8.32 23.34 23.01 0.19
WCAa 5061.02 30.53 0.1 23.05 15.03 0.1 0.56 7.48 21.12 21.63 0.1
Rao1a 5060.9568 30.5227 0.1002 23.2368 15.1605 0.1 0.5661 7.4616 21.0822 21.487 0.1
Rao2a 5060.9248 30.4316 0.1003 23.187 15.2439 0.1 0.5556 7.4588 21.0671 21.5524 0.1
Rao3a 5060.914809 30.494 0.1 23.1769 15.1519 0.1001 0.5565 7.4655 21.0929 21.5473 0.1
SAMP Rao1a 5060.9179 30.4397 0.1 23.2744 15.2244 0.1 0.5673 7.4478 21.0285 21.5401 0.1
SAMP Rao2a 5060.8901 30.5175 0.1 23.2595 15.2282 0.1001 0.5422 7.4495 21.0131 21.5238 0.1
SAMP Rao3a 5060.9056 30.6059 0.1 23.1606 15.2676 0.1 0.543 7.4659 21.0492 21.4506 0.1
QO-Rao1a 5060.9274 30.4877 0.1002 23.1442 15.3299 0.1 0.5624 7.4581 21.0228 21.5225 0.1
QO-Rao2a 5060.9113 30.6113 0.1 23.2193 15.1663 0.1 0.5696 7.458 21.0216 21.4938 0.1
QO-Rao3a 5060.9136 30.5902 0.1001 23.1012 15.1722 0.1 0.556 7.4675 21.0354 21.5743 0.1
SAMPE Rao1 5060.8908 30.576134 0.100012 23.172501 15.19647 0.1 0.545689 7.458065 21.00616 21.56222 0.1
SAMPE Rao2 5060.8900 30.563172 0.1 23.177081 15.26809 0.1 0.552216 7.453648 20.97761 21.54585 0.1
SAMPE Rao3 5060.8840 30.551849 0.1 23.119761 15.28698 0.1 0.559175 7.460543 21.00636 21.54034 0.1
Chaotic Rao1 5060.9000 30.635388 0.1 23.234186 15.21234 0.1 0.534306 7.457509 21.01874 21.4617 0.1
Chaotic Rao2 5060.8765 30.51544 0.1 23.1954 15.26967 0.100011 0.554081 7.452355 20.99788 21.54496 0.1
Chaotic Rao3 5060.9044 30.508544 0.10003 23.189486 15.27114 0.100006 0.550928 7.452335 20.99723 21.5564 0.1
a The results are taken from [12]
Z. N. Maheshkumar et al.
Weight Optimization of Truss Structures with Different … 13

Table 4 Statistical result comparison for ten bar truss problem-2

Algorithm B M W SD MFE NP, ES/CS1
SAMPE Rao1 5060.8908 5096.4800 5524.7482 9.953E + 01 40,010.0 20, 2
SAMPE Rao2 5060.8900 5089.3144 5409.1376 7.396E + 01 43,182.0 20, 2
SAMPE Rao3 5060.8840 5067.5086 5087.1779 9.239E + 00 40,679.0 20, 2
Chaotic Rao1 5060.9000 5083.2757 5418.7143 7.041E + 01 44,488.0 20, 0.2
Chaotic Rao2 5060.8765 5137.9980 6341.4127 2.593E + 02 44,116.0 20, 0.6
Chaotic Rao3 5060.9044 5104.0287 5269.9448 6.638E + 01 42,775.0 20, 0.2

Fig. 6 Convergence plot for the ten bar truss problem-2

also compared. The presented algorithms give better optimal results than the other
optimization algorithms for both optimization problems considered.

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org/10.2514/6.1992-4813
Crack Identification in Pipe Using
Improved Artificial Neural Network

Meriem Seguini, Tawfiq Khatir, Samir Khatir, Djilali Boutchicha,

Nedjar Djamel, and Magd Abdel Wahab

1 Introduction

Recently, many new methods have been developed in order to detect the damage
of different structures such as beam, pipe, bridge and plates structures. However,
the crack identification based on new method, e.g. ANN-PSO, TLBO-PSO-ANN,
XFEM, XIGA, IGA and cuckoo search algorithm, etc., has become a very interesting
domain and has received significant attention where many researchers work on it. In
fact, Gillich et al. [1] studied the free vibration of clamped-free beam and used a new
power method to detect the damage on multi modal analysis by taking into account
different temperature conditions. The crack identification in beam with multiple
cracks has been also studied by Gillich et al. [2], where a simplified method based on
the frequency shifts has been used and it has been concluded that when the vibration

M. Seguini · N. Djamel
Faculty of Architecture and Civil Engineering, Department of Civil Engineering, Laboratory of
Mechanic of Structures and Stability of Constructions, University of Science and Technology of
Oran Mohamed Boudiaf, BP 1505, Oran, Algeria
e-mail: [Link]@[Link]
T. Khatir
Institute of Science and Technology, Naama University, Naama, Algeria
D. Boutchicha
Laboratory of Applied Mechanics, University of Sciences and Technology of Oran Mohamed
Boudiaf, Bp 1505 Elmenouar, Oran, Algeria
S. Khatir (B) · M. A. Wahab
Faculty of Civil Engineering, Ho Chi Minh City Open University, Ho Chi Minh City, Vietnam
e-mail: Khatir_samir@[Link]
S. Khatir
Soete Laboratory, Faculty of Engineering and Architecture, Ghent University, Technologiepark
Zwijnaarde 903, B-9052 Zwijnaarde, Ghent, Belgium

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2023 15
R. V. Rao et al. (eds.), Recent Advances in Structural Health Monitoring
and Engineering Structures, Lecture Notes in Mechanical Engineering,
[Link]
16 M. Seguini et al.

modes were sufficient, the eigenfrequencies were capable of indicating the depth and
position of damage. Seguini et al. [3] used the ANN-PSO method to identify also
the multiple cracks on two different beams, where the efficiency of the developed
models has been proved by making comparison between experimental and numerical
results where the percentage of error was very small.
Zhou et al. [4, 5] used the transmissibility and the hierarchical clustering analysis
to detect the damage in the structures. In another research, Khatir et al. [6] used the
neural network based on the hybrid TLBO and partical swarm optimization (PSO)
in order to identify the damage in steel beams. Moreover, several works have been
made to investigate the energy approach using on the machine learning concepts in
Refs. [7, 8]. Tran et al. [9] used the cuckoo search algorithm combined with neural
artificial network (ANN) to detect the damage in bridge and beam-like structures. A
novel machine learning method has been also used by the same authors in Ref. [10]
to identify the damage in structures by using vectorized data. Different other new
methods have been also used to identify the crack in plates using improved ANN
technique for solving crack identification based on XFEM, XIGA, PSO and Jaya
algorithm [11, 12]. However, the influence of the depth and position of cracks on
the response of the pipe has been studied by different researchers [13–17]. In fact,
Seguini et al. [14, 15] used the ANN-PSO method in order to identify the crack in
the pipes, where numerical and experimental modal analysis have been done and the
measured frequencies of cracked and uncracked pipe have been deduced for each
depth crack. The obtained results reveal the importance and the efficiency of the
ANN-PSO method. The present study focuses on the numerical modal analysis of
the cracked pipe by using finite element analysis combined with GA-ANN. However,
a new approach has been used in order to identify the crack in the pipe, where many
simulations have been generated by using MATLAB software until the convergence is
reached. From this analysis, the values of frequencies of three modes shape have been
deduced for each depth crack. The noticeable in the present work is that GA-ANN
allows us to improve the results and obtain an exact solution in short times instead
of inverse analysis.

2 Finite Element Analysis

In this section, 3D finite element model of pipe has been modelled by using ANSYS
software, where the mechanical and geometrical properties are presented in Table 1
[14]. A multiples cracks depth has been created in the middle, on the left and right
side of the pipe. The cracks have been extended from 2 to 16 mm, and two scenarios
have been studied as shown in Figs. 2 and 3. The frequencies of scenarios 1 and 2 are
listed in Table 4 (Appendix). The FEM including mesh type is presented in Fig. 1.
However, in order to demonstrate the important effect of multiple cracks on the
pipe response, a crack with different depths has been created in the middle and right
of the pipe (scenario 1), and another double crack has been created on the middle
and left side of the pipe (scenario 2). The natural frequencies of the third modes have
Crack Identification in Pipe Using Improved Artificial Neural Network 17

Table 1 Mechanical
Item Value
properties of the pipe [14]
Length Lp (mm) 1000
Diameter Dp (mm) 50
Density ρ (Kg/m3 ) 7850
Poisson ratio υp (/) 0.3
Young modulus Ep (MPa) 61950

Fig. 1 Cracked pipe: (a) Finite Element Model and (b) meshed pipe

Fig. 2 Pipeline with double notched (scenario 1): middle crack and right crack

been determined for different depths of crack and listed on Table 4 of the Appendix,
where some examples have been chosen and illustrated as shown on Figs. 4 and 5.
From Table 4, it can be seen that the values of the natural frequencies decrease for
the three mode and by comparing the results obtained from the two scenarios, it can
be deduced that there is a small difference between the frequencies of the three mode
shapes.
18 M. Seguini et al.

Fig. 3 Pipeline with double notched (scenario 2): middle crack and left crack

3 Results and Discussion

GA is an optimization method based on natural selection and on the class of evolu-

tionary algorithms. The objective of using GA is to find the best solution after
combining with ANN. The purpose is to find the best weight and bias during the
training process. Through series of damage location tests, the following genetic
parameters were chosen precisely in order to obtain an accuracy result: the number
of generations of 500, population size of 200. This technique is implemented in
MATLAB.
In the first scenario, the regressions of ANN of each hidden layer size (n = 4, 6
and 8) are presented in Fig. 6 and the predicted results are resumed in Table 2. It can
be deduced that GA provides accurate results for n = 6 based on the convergence
study and regression value compared with others. Based on the obtained results, we
can resume that GA can predict the crack depth 5.5 and 12.5 mm accurately for
different hidden layer sizes, where the results are represented by bar graph (Fig. 7).
In the second scenario, the same number of hidden layers has been adopted. The
regression of GA is presented in Fig. 8, where the obtained results are presented in
Table 3. However, the best convergence is found for n = 4 compared with others.
From the obtained results, we can deduced that GA can predict the crack depth 7.5
and 14.5 mm accurately for different hidden layer sizes, where the results are also
represented by bar graph as shown in Fig. 9.

4 Conclusion

Nowadays, great complex problems have been solved by using different numer-
ical methods. However, in our study, GA-ANN was utilized for identifying the
damage of multiple cracks on the pipe. However, numerical analysis has been
Crack Identification in Pipe Using Improved Artificial Neural Network 19

Fig. 4 Natural frequencies for different modes of double notched pipe (scenario 1): (a) mode 1,
(b) mode 2 and (c) mode 3 of pipe with cracks of 16 mm

done and two scenarios have been studied. The values of the frequencies of the
first three modes have been deduced for each crack depth and position, where the
convergence of the results has been proved through the proposed method.
From this work, it has been noted that interesting results have been obtained
when a multiple-crack scenario has been considered, and by adopting the GA-ANN
method, the accuracy of the results has been proven.
20 M. Seguini et al.

Fig. 5 Natural frequencies for different modes of double notched pipe (scenario 2): (a) mode 1 (b)
mode 2 and (c) mode 3 of pipe with cracks of 16 mm
Crack Identification in Pipe Using Improved Artificial Neural Network 21

Fig. 6 Regression with different numbers of hidden layer size (scenario 1): (a) n = 4, (b) n = 6 and
(c) n = 8

Table 2 Actual crack length

n Test Crack depth (mm)
(scenario 1)
GA-ANN Real crack depth
4 2 5.35 5.5
6 3 5.49 5.5
8 4 5.42 5.5
A 5 5.42 5.5
4 6 12.55 12.5
6 7 12.42 12.5
8 8 12.15 12.5
A 9 12.37 12.5
22 M. Seguini et al.

Fig. 7 Real and predicted 14 n=4 n=6 n=8 Average Real

crack depth by using
different hidden layer size 12 Predicted

Crack depth [mm]

for scenario 1 10
8
n=4 n=6 n=8 Average
6
4
2
0
1 2 3 4 5 6 7 8
Test

Fig. 8 Regression with different numbers of hidden layer size (scenario 2): (a) n = 4, (b) n = 6 and
(c) n = 8
Crack Identification in Pipe Using Improved Artificial Neural Network 23

Table 3 Actual crack length

n Test Crack depth (mm)
(scenario 2)
GA-ANN Real crack depth
4 2 7.16 7.5
6 3 7.11 7.5
8 4 7.46 7.5
A 5 7.24 7.5
4 6 14.49 14.5
6 7 14.13 14.5
8 8 14.30 14.5
A 9 14.31 14.5

Fig. 9 Real and predicted 16 n=4 n=6 n=8 Average Real

crack depth by using
14
different hidden layer size Predicted
Crack depth [mm]

for scenario 2 12
10
n=4 n=6 n=8 Average
8
6
4
2
0
1 2 3 4 5 6 7 8
Test

Appendix

See Table 4.

References

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vibration of a perfectly clamped-free beam with stepwise eccentric distributed masses. J Shock
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24 M. Seguini et al.

Table 4 Frequencies of different cracks depths for scenarios 1 and 2

Crack depth (mm) Scenario 1 Scenario 2
Mode 1 Mode 2 Mode 3 Mode 1 Mode 2 Mode 3
1–1 288.42 774.22 1452 288.418 774.22 1452.1
1.5–1.5 286.20 772.10 1444.9 286.189 773.13 1444.854
2–2 284.59 769.01 1431.19 284.523 765.495 1431.123
2.5–2.5 281.43 765.54 1422.04 281.385 765.513 1422
3–3 279.14 763.34 1407.42 279.123 763.319 1047.391
3.5–3. 275.087 760.98 1397.03 275.015 760.912 1396.98
4–4 271.042 758.60 1385.03 271.016 758.539 1384.982
4.5–4.5 264.251 746.56 1341.87 264.236 746.498 1341.79
5–5 257.989 736.78 1301.08 257.983 736.742 1301.01
5.5–5.5 237.114 712.65 1250.764 237.109 712.596 1250.703
6–6 233.145 680.342 1189.54 233.129 680.328 1189.490
6.5–6.5 220.762 669.041 1106.54 220.759 669.038 1106.501
7–7 208.072 664.23 1089.34 208.072 664.18 1089.29
7.5–7.5 195.321 643.70 1046.56 195.308 643.689 1046.442
8–8 182.09 598.76 1002.12 182.079 598.712 1002.10
8.5–8.5 179.31 574.23 969.76 179.297 542.7293 969.712
9–9 176.97 542.732 941.432 176.5192 542.701 941.381
9.5–9.5 176.521 522.436 921.43 176.5186 522.432 921.392
10–10 170.207 514.34 913.543 170.204 514.281 913.540
10.5–10.5 166.01 500.325 908.239 165.983 500.252 908.178
11–11 161.81 495.87 905.76 161.791 495.854 905.73
11.5–11.5 157.354 469.543 887.654 157.339 469.538 887.947
12–12 152.795 450.765 856.43 152.791 450.760 856.379
12.5–12.5 147.129 430.543 843.87 147.118 430.538 843.80
13–13 142.337 413.965 826.634 142.328 413.942 826.609
13.5–13.5 135.541 407.82 818.04 135.537 407.77 817.98
14–14 128.145 397.052 813.072 128.140 397.01 812.987
14.5–14.5 123.436 382.954 798.0614 123.401 382.938 797.858
15–15 118.297 379.439 787.543 118.289 379.417 787.526
15.5–15.5 108.439 370.03 766.92 108.416 368.43 766.83
16–16 99.01 363.765 749.650 98.12 363.649 749.642
Crack Identification in Pipe Using Improved Artificial Neural Network 25

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Evaluating the Remaining Flexural
Capacity of a CFRP Composite Beam
Having Cracked
Cross-Section—A Comparison with ACI
440.2R (2017) for a Case Study

Tham Hong Duong

1 Introduction

Carbon fiber reinforced polymers or plastics (CFRP) are used to strengthen the struc-
ture, especially reinforced concrete. They play a role of a supplementary element
stuck on the soffit of the beams or around the columns to induce the tensile stress
together with the armature. With the low weight but high stiffness of tension, and high
strength as well, CPRP is an applicable and efficient solution for increasing the FC
of transversal structures. In some specific cases of overloading, the existing structure
could have some cracks and the bending moment will be reduced; the structure could
deflect more and the demand is to strengthen it. The CFRP is suitable to apply for
the structure because of its simple approach and the satisfactory cost, especially for
protecting the damaged structures from being attacked by corrosion in reinforcement
[1]. The bending bearing capacity together with the stiffness is improved in a certain
way. The adhesion between the polymers and structures is the most important factor
to ensure the simultaneous working condition between the two kinds of materials.
And the failure of such a composite structure occurs when the bond is disappeared or
debonding condition (DC). Many previous research works indicated that: the flexural
moment will be different according to the stage of.
• No cracks appears
• Crack begins
• Cracked beam with CFRP
• Failure due to debonding.
For the first two stages, ACI 440.2R (2017) regulation assumed there is a perfect
bond between the concrete and CFRP, or there is no relative displacement between

T. H. Duong (B)
Ho Chi Minh City Open University, Ho Chi Minh City, Vietnam
e-mail: [Link]@[Link]

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2023 27
R. V. Rao et al. (eds.), Recent Advances in Structural Health Monitoring
and Engineering Structures, Lecture Notes in Mechanical Engineering,
[Link]
28 T. H. Duong

the beam and the polymers, and a coefficient is given to take this issue into account
[2]; the failure for the beam strengthened by the polymers will fail at the time of
debonding, and rupture due to bending occurs simultaneously so that the strain in
CFRP will attain the efficient strain εfe calculated by the regulation; this strain level
guarantees the bond of the polymer during appearing the cracks in concrete and not
greater than a specified value k m εfu for a certain kind of polymer [2]. And the main
assumption is that at failure, the steel reinforcement will attain the yield stress f y in
the debonding condition of the polymers. This assumption is practically acceptable,
concerning the linearity of the strain at the cross-section of the structure; besides,
several coefficients are applied during the process of locating the neutral axis (N.A),
resulting in the nominal flexural moment [2]. As such, the main key for determining
the flexural is the location of the N.A. Due to the appearance of cracks with different
levels of damage, and CFRP, the position of the N.A changes, resulting in a variation
in section properties. The flexural capacity of the structure strengthened by CFRP
depends on many factors, including the materials, cracked section before retrofitting,
and the stress–strain relationship, etc. The problem is indeed a rather complex one.
The normal procedure is that the N.A will be assumed first, then all the strain in all
the components of the beam will be formulated, i.e., strain in CFRP and steel rebar,
then stress in steel σ s , and coefficients for an equivalent block of the compressive
stress in concrete [3, 4]. Finally, the N.A determined by the abovementioned process
is compared to the value assumed in the beginning. If the difference in the location of
the N.A is less than 0.1 mm, then the N.A is re-determined and the bending moment
is calculated using the static equilibrium equations.
Another key point is that the nonlinear stress–strain relationship should be taken
into account [4]. During various stages of the structure, different cases could happen:
Concrete might be crushed when the steel has not attained the yield stress, or the steel
yields then the concrete is crushed; in case, the situation could be that the polymers
lose the adhesion (debonding condition attained) before the steel yields and other
styles of failure, etc. As such, a problem is that how to assess the flexural moment for
the cracked beam, strengthened with the polymer, and all the issues for the analyzing
model will be considered rigorously. This study will analyze the different stages of
an existing cracked beam, strengthened with CFRP, and the target for the study aims
to predict the bending capacity of the structure, i.e., M cr < M < M u, where M u is the
final moment or the ultimate value of the moment of the reinforced structure, then a
comparison between the M u to the ultimate bending capacity specified by the ACI
440.2R (2017) is made.
Evaluating the Remaining Flexural Capacity of a CFRP Composite … 29

2 Method

2.1 Some Theoretical Points to Be Learned

Material Concrete and steel have the compressive strength f c' and yield strength
f y , respectively. The stress block in the compressive zone of the cross-section has a
rectangular equivalent block, and a (Fig. 1b) or β could be determined by the ACI
440.2R (2017) and by the nonlinear stress–strain relationship as detailed in this study
[5, 6].
As a rule, the concrete in the compressive zone of a beam will fail at the ultimate
strain εf = εcu = 0.003; the maximum stress in the concrete is taken as 0.85 f c' . The
strain in concrete and steel will be linear as per Bernoulli’s assumption [2, 7].
Initial Strain of the Concrete The structure at the beginning time of crack will deflect
at M cr . If being strengthened by CFRP, the elongation in the polymers will be

MDL (d − kh)
εbi = (1)
Icr E c

in which M DL is the bending moment due to dead load on the beam, d is the efficient
depth of the cross-section, k is the ratio between the height of the N.A and d of the
cracked section without the polymers, h is the height of the cross-section, and the
denominator is the bending stiffness of the cracked concrete section. The factor k is
like below [5]:
/ ( )
df
k= 2[ρs n s + ρf n f + (ρs n s + ρf n f )2 − (ρs n s + ρf n f ) (2)
d

Steel The existing percentage of reinforcement will be prescribed, with or without

compression steel. The yield strength is f y , and the strain will be calculated from
the strain of concrete εc = εcu with an assumed location c of the N.A (Fig. 1). By
installing the CFRP, the strain in the polymer will be taken the initial strain given by
Eq. (1) into account, as follows:

Fig. 1 Cross-section of a cracked beam, strengthened with CFRP and the linear stress–strain rela-
tionship. For calculating the stress in polymer, the initial strain εbi is assumed. (a) Strain distribution
in a cross-section; (b) Stress block diagram in a cross-section
30 T. H. Duong

(h − c)
εf = εcu − εbi (3)
c

Stress–Strain Relationship as per ACI440.2R (2017) The relationship is linear.

Concrete is crushed at the strain ε f = εcu = 0.003, and the maximum stress is 0.8
(0.85 f cu ) concerning the equivalent compressive force in the concrete. The compres-
sive strength is f c' , or 0.85 f cu , and the stress is uniformly distributed over a reduced
height a that is determined by taking the equilibrium of all the lateral forces applied
in the cross-section, as below:

Σ Fx = 0 ⇔ 0.8(0.85 f cu )a · b + A's f s' = As f s + Af (E f εf )b · δ (4)

in which A's is the total area of steel in compression zone; E f , εf , b, and δ are the
modulus of elasticity, strain, width, and thickness of the CFRP layer, respectively.

2.2 Flowchart for Determining the N.A of CFRP Reinforced

Structures

ACI 440.2R (2017) The neutral axis is assumed first, normally taken as c = 0.2d,
and the process of calculation depends on the two-step algorithm, the first step is B1
= appearing the cracks, and the second step is B2 = debonding or FRP rupture [6].
This algorithm is summarized in the flowchart in Fig. 2.

ffu, εfu, As, ρs, Af, ρf, εc, Ef, h, fs, d, n

c=0.2 d

Bearing
h - ?? No Calculation of Yes
capacity of
εfu > ε ( ) the value of c*, c = c*
?? the beam (M)
by B2 algortihm
Yes No is calculated
c=c+0.001
Calculation of the value
of c*, by B1 algortihm
No
c=c+0.001
c = c*
Yes
Bearing capacity of the
beam (M) is calculated

Fig. 2 Calculation algorithm of bending moment capacity of beam cross-section with CFRP
Evaluating the Remaining Flexural Capacity of a CFRP Composite … 31

Some characteristic factors in the approach of the ACI 440.2R (2017) are below
[5]:

4εc' − εc
β1 = (5a)
6εc' − 2εc

3εc' εc − εc2
α1 = ( )2 (5b)
3β1 εc'
f c'
εc' = 1.71 (5c)
Ec

in which, εc' (Eq. 5c is in units psi) is the maximum value of strain in concrete. The
location of the N.A and the factors in the formulas (5a) and (5b) could be determined
differently by various authors because the national standards originated from ACI
318–14 and ACI 440.2R (2017) [5, 6].
Analytical Approach The softening concrete results in a nonlinear stress–strain
relationship, and the neutral axis at crack appearance is determined by the Eq. (6)
[7].
( )
E bf
bending
E btu [ ]
bending
x 2
+ b + x E cfrp bδ + E s As + 2E btu bh/(1 + f t )
(1 + n σ ) (1 + f t ) (6)
bending
−E cfrp b · δh − E s As h o − E btu bh 2 /(1 + ft) = 0
( )
σb,u mM
n σ = 1 − (1 − f b ) (7)
Rb
G b,u
fb = (8)
E bo

in which nσ and f t are factors concerning the shape of the stress diagram, i.e.,
nonlinear stress–strain relationship; Gb,u and E bo are respectively the shear modulus at
failure condition and initial modulus of deformation. Eq. (5) determined the location
of the N.A x from which the bending moment at the time of appearing cracks.

E bf bx 3 [ ]
Mcr,f = b + E cfrp bδ(h − x)2 + E s As (h o − x)2
(2 + n σ )
bending
+ E btu b(h − x)3 /(2 + f t )
(9)

The above mentioned bending moment will compare to that given by ACI 440.2R
(2017) for the stage of crack appearance. For the flexural moment at failure, M u ,
with a special notation on the nonlinearity in the stress–strain relationship, the N.A
x will be determined by the following equation:
32 T. H. Duong
( )
Rbf [ ]
bending
x 2 + E cfrp bδ + E s As x − E cfrp b · δh − E s As h o = 0 (10)
εbu (1 + fb)

And the moment at failure of a cracked beam strengthened with CFRP is as below:
( )
Rb bx 2 bending [ ]
Mu = + εbu E cfrp bδ(h − x)2 + E s As (h o − x)2 (11)
(2 + f b )

2.3 A Specific Example for Illustration

For studying the bending moment or FC (FC) of the cracked beam retrofitting with
CFRP, some specified properties are in Table 1. The existing beam for evaluating the
FC has the cross-section as in Fig. 3a; the domain of expected moment is shaded in
Fig. 3b, i.e., M cr < M < M u .
A specific reinforced concrete RC beam has the cross-section b = 0.3 m and h
= 0.6 m, and its span is L = 5.9 m. The beam is loaded until a crack appears; the
moment M cr is predicted. Then, the beam is strengthened by CFRP with specification
as in Table 1. It is necessary to predict the remaining FC, both in analytical approach
and in the numerical method using SAP2000 [9].

Table 1 Materials used in this study

Material Modulus of elasticity (MPa) Strength (MPa) Ultimate strain Poisson’s ratio
Concrete 3.5e4 17 0.003 0.2
Steel 2.1e5 400 εsy 0.3
CFRP 1.3e5 100 εf 0.2

Fig. 3 Remaining FC of beam strengthened CFRP is between M cr and M yield [8]

Evaluating the Remaining Flexural Capacity of a CFRP Composite … 33

3 Results

3.1 Model of Planar Frame with Beams Strengthened

with CFRP

A specific beam in a 10-story planar frame is analyzed (Fig. 4a). Cross-sections of

the main elements with cracks are selected as shown in Table 2. The properties of
a cracked beam are calculated with the location of the N.A obtained by the two
approaches, not as recommended by ACI or 0.35I gr for the appearance of CFRP.
The bending moment in the middle of the span for the 1st-story beam is displayed
in Fig. 4b, and a part of the beam with positive bending moment is viewed to be a
simple support beam with 5.9 m span. The task aims to predict the remaining FC of
this beam.
The remaining FC of a 9 m-span reinforced concrete beam with 30 × 60 in cracked
cross-section, retrofitting with CFRP is evaluated. In the conventional case, the
maximum positive bending moment is assumed to be approximately M = 107 kNm
and under the gravity factored load cases (Fig. 4). With a predetermined percentage of
tensile reinforcement 1% and the minimum percentage of the compression armature,
section 30 × 60 (d = 52 cm) is proved easily to be a cracked one. As recommended
by the ACI 318-11 (1999) [5], in which the armature is transformed into an equivalent
concrete, the moment at crack appearance is only M cr = 72 kNm. At this early stage,
the cracks appear, and a measure of using CFRP as a reinforcement is considered.

Fig. 4 Bending moment M = 107 kNm in the middle of the beam without CFRP. (a) Model of
building to be studied; (b) Shear diagram and bending moment in the beam under consideration

Table 2 Dimensions of the reinforced concrete frame in this study

Material Exterior Interior column Beam (w × h) Span Properties
column
1st–4th story 40 × 60 50 × 50 30 × 60 9+2+9 Cracked beams,
4th–7th story 40 × 50 40 × 40 not columns
7th–10th story 30 × 50 30 × 30
34 T. H. Duong

With CFRP specification as in Table 1, the polymer will be planned to stick under the
bottom of the beam, 1 mm in thickness. The main task is to calculate the remaining
capacity of the cracked beam after retrofitting CFRP.

3.2 The Calculated Flexural Moment of the Beam

Strengthened with CFRP

The process of calculating the FC for a beam of a 2D frame in Fig. 4a is implemented

by using the algorithm as mentioned in the flowchart of Fig. 2. The algorithm complies
with ACI 440.2R (2017), but its procedure takes two branches of calculation relating
the two stages of working in concrete: crushing and debonding.
An alternative to determine the FC of a beam strengthened by CFRP is to take
the nonlinear stress–strain relationship of concrete into account. The nonlinearity is
represented by parameters nσ and f t in Eqs. (7), (8). The strain in the upper edge of
bending
compressive concrete is εbu .
A worksheet is developed (see Appendix) to combine all the iteration processes
of calculation according to the algorithm in Fig. 2 and compare to the other approach
in which the nonlinear distributed stress diagram in Fig. 5 is taken into account. In
this worksheet, the vertical blue arrow stands for the two-branch algorithm, or “B1
and B2 algorithm” [3], and the horizontal one stands for the analytical approach of
the nonlinear stress–strain relationship. Both approaches give the same results about
the location of the N.A of the cracked beam, c = 0.203 ± 0.001 m. The error between
the two values of the N.A is due to the nonlinear parameters nσ , f t , and other ones
involved in the latter approach. Then, the FC of the beam strengthened with CFRP
is calculated to be M yield = 302 kNm, or 2.8 times the moment at the time of crack
appearance; the analytical approach and finite element model are comparable, and
the agreement between the two models confirms the results.

Fig. 5 ACI’s diagram of stress and strain in the beam retrofitting with CFRP
Evaluating the Remaining Flexural Capacity of a CFRP Composite … 35

Fig. 6 a Beam as a solid element with the bond between rebars and concrete as LINK elements, b
crushed concrete to be modeled has a very low stiffness and density

3.3 Validation of the Results

Results from ACI’s B1 and B2 algorithm [3] and the analytical approach [7] require
some validation. The best validation may come from laboratory tests, using a small
scaled model. However, to account for many different factors and save time in real
tests, a numerical model should be studied first, as shown in Fig. 6. It is necessary to
refer to some prior research work on the procedure to simulate the beam retrofitting
CFRP [4, 10, 11]. The stiffness which reduces to zero in crushed concrete is replaced
by a very low E material. For a cracked cross-section, the location of the N.A is
assumed and modeled as in Fig. 6.
Program of testing includes steps as follows: Assuming the location of the N.A
in a model of a simple beam with existing cracks, the vertical loads are applied to
the beam. The CFRP sheet is modeled by a very thin element, 1 mm of thickness;
the polymer is converted from the solid element, and link element is used to model
the bond between the two materials steel and concrete. The existing cracked cross-
section with a pre-assumed percentage of reinforcement is loaded in steps until the
stress in rebar yields.
This stage recognizes that the stress in compressive concrete is about 6,501e3 kPa,
nearly equals the value in worksheet, i.e., σ c = 6.6e3 kPa at which the steel yields
(σ s = f y ). And the stage indicates the strain εc = 0.000177, much smaller than that
at yielding stage in the steel (in the worksheet, this value is εs = 0.0021) (Fig. 7).
Ultimate Moments From the numerical model, some key results are indicated as
follows:
• The 5.9 m-span simple beam with load as in the SAP2000 model gives the εc
= 0.000177 and σ c = 6.501e3 kPa; this stage, bending moment would be M =
91.35 kNm, far below the values of strain at failure (i.e., stress in steel is σ s =
4400 kPa), M u = M yield = 302 kNm, εc = 0,00,135, and σ c = 6.6e3 kPa which
are confirmed independently by two different approaches (see Appendix).
• While the cracking moment is theoretically between 72 and 77kNm (i.e., cracking
moment as per ACI, or M cr ), and in SAP2000 model M = 105 kNm, but the
ultimate moment at failure would be M u = 302 kNm, then the stress in concrete
attains σ c = 18,330 kPa (crushing concrete, due to σ c > Rb ), and the σ s far exceeds
36 T. H. Duong

Fig. 7 (a) Model of the beam, strengthened with 1mm-thick CFRP sheet; (b) Steel yields at strain
in concrete εc = 0.000177; (c) Stress in concrete at yield stress in rebar; (d) Cracks appear when
maximum principal stress approximates Rbt = 1000 kPa

the tensile strength f y . This value is greater than that of the worksheet (i.e., by
analytical approach and ACI 440.2R, i.e., 6600 kPa).
• As such, at M u = 302 kNm, not only concrete is crushed, the steel rebar is failed
ultimately, and CFRP is coming closer to the tensile strength, or σ s = 71,110
kPa. This value could be same as the debonding moment by ACI 440.2R (refer
the worksheet in Appendix) as well.
• The small strain in the lower fiber of the beam is from the CFRP. CFRP stress σ f
= 0.000257 (×1.3e8) = 33,410 kPa (cell B11 in the worksheet of the Appendix)
is much smaller than strength σ f,u = 100,000 kPa. This confirms the efficient role
of CFRP in retrofitting the cracked concrete beam. Only when bending moment
M u = M yield = 302 kNm, this strain attains 4.92e-4, i.e., stress in CFRP is σ f =
71,110 kPa approaching close to the tensile strength (i.e., RCFRP,tensile = 100 MPa)
when CFRP’s failure condition is attained.
• The flexural capacity (FC) given by the SAP2000 model nearly equals that of
ACI. There are initial cracks that appeared at the stage where M = 105 kNm or
σ c = 7253 kPa. This confirms the results given by the worksheet (c,f Appendix).
And the M u = M yield = 302 kNm. This value is recommended by ACI to be the
debonding moment; this is on the safe side.
Stress–Strain Relationship The stress–strain relationship curves for concrete is
plotted in Fig. 8. The first plot indicates an increase strain to failure at the stress
nearly equal to the ultimate value σ c = Rb = 17,000 kPa (i.e., f c' = 14,450 kPa);
then, the ultimate strain in concrete is εc,u = 0,000,447, approximately half to the
maximum value in Eq. (5c), i.e., εc' = 8.1e-4. This results in a range of the bending
moment values of a simply supported beam subjected to a uniformly distributed load,
Evaluating the Remaining Flexural Capacity of a CFRP Composite … 37

20000 20000
y = 3431.9ln(x) + 1349.8
16424
Stress σc (kPa)
15000 R² = 0.9378
15000

Stress σc (kPa)
10000 10000
5000 44.7 5000
0 0
0 10 20 30 40 50 0 10 20 30 40 50
Strain ( ×10-5) -5000
Strain (×10-5)

Fig. 8 a Simulated stress–strain relation for concrete, b trendline of the stress–strain relationship
is compatible with Lam and Teng’s model of behavior [12]

from M = 300 to 420 kNm, respectively, associated with the uniformly distributed
load q = 68.9–96 kN/m. This value could be comparative to that of the independent
approaches in Sect. 3.2.

4 Discussion

Some main points are listed as follows:

• This study contributes two approaches for determining the remaining FC of an
existing cracked beam, strengthened with CFRP. A worksheet shows clearly what
are changes in the process of iteration during determining the location of the
neutral axis and calculating the bending moment by both the approaches, i.e.,
ACI’s “B1 and B2” approach and the analytical approach. Two independent
approaches give same results which are validated tentatively by SAP2000 model.
• The CFRP sheet in this study is assumed to have a specific specification as shown
in Table 1. With a relative low tensile strength Rf = 100 MPa, no material angle
and confine effect is taken into account.
• The theoretical approaches, including ACI 440.2R (2017) and the analytical solu-
tion for determining the location of the neutral axis, give the comparable results.
The FC of the previously cracked beam, retrofitting with CFRP is M = 302 kNm;
this is validated by a numerical model using SAP2000. On the other words, the
bending moment at failure is calculated to the condition of yielding the armature
in the assumed 1% reinforcement beam. This value is compatible to that of the
SAP2000 model. The value M yield = 302 kNm is recommended by ACI 440.2R
that it occurs at the FRP failure, B2 step, or “FRP failure” step in algorithm
[6], which is confirmed by the analytical approach (c.f Appendix). This does not
exactly reflect in the model, because of the high strength of the polymer, and
partially due to the strength of particular material in model.
• The analytical relates the nonlinear stress–strain relationship, and the ACI recom-
mendation uses some coefficients and parameters to account for the relationship.
M cr at the beginning stage of crack appearance could be firstly determined by the
gross cross-section of the beam, in which the rebar or armature is changed into
38 T. H. Duong

Table 3 Comparison between the stress, strain, and bending moment in this study
Results given by Moment At failure Condition
M cr M yield σc εc σ cfrp Failure rebar/CFRP
ACI 440.2R 77 301 6600 0.00135 333,970 Yields/debonds
Analytical approach 63.5* 302 6600 0.00135 371,800 Yields/debonds
SAP2000 model 104 294 7253 4.9e-4 76,050 Approaching failure
*At the stress in concrete σ c = 7253 kPa, this value would be M cr = 69.8 kNm

the equivalent area of concrete. This procedure is based on ACI regulation, but in
this study, the analytical procedure gives a result of both M cr and M u (i.e., Eqs. 9
and 11). The moment at crack appearance is theoretically calculated, M cr = 77
kNm, i.e., the value is smaller than that of the latter, M u . The model indicates
M cr = 105 kNm, and ACI’s method of determining M yield in someway is simpler.
Because CFRP is intentionally used to strengthen a cracked beam, Mcr is not the
target of this study. The results on this moment are rather comparable.
• According to ACI 440.2R (2017), at the level of strain in concrete εc,u = 0,003, the
concrete beam fails with the yielding condition in steel. But this study indicates
that the strain attains εc,u = 0,00,135. This is explained by Eq. (5c), and it could
be a good agreement with some prior research works [3]. At this stage, the stress
in rebar exceeds the yield stress, and the stress in concrete σ c = 6600 kPa in the
calculated sheet, or 7253 kPa in the SAP2000 model. Results are in Table 3.
Stress in CFRP in the Table 3 does not take the adhesive material into account;
only the tensile strength of polymer material is reviewed.
• bending
In the numerical model, the tested strain, i.e., εc = 0.000447, is reaching the
half value of the maximum strain (i.e., εc = 1,71 f c' /E c or 8.1e-4 in this study),
'

when the concrete is crushed at the ultimate stress, or Rb .

• The range of stress in this study is far below the value of which the nonlinearity
in stress–strain relationship could reflect clearly; for instance, stress in confined
concrete may attain from 80 to 100 MPa as in Lam and Teng’s theories [12].
• For a more rigorous validation, it is necessary to improve the numerical model,
especially concerning the bond between the armature and the concrete, and
between the polymer and concrete, i.e., bond adhesion, to give more reliable
validation [4, 13, 14]. It is beyond the scope of this article and still be studied
further.

5 Conclusion

This study uses the approaches to determine the FC of a cracked beam retrofitting
CFRP. With an existing condition of material of the cracked beam and CFRP, based
on the location of the neutral axis, the FC is calculated by taking the equilibrium
equations over all the stress components exerted in the cross-section. ACI 440.2R
Evaluating the Remaining Flexural Capacity of a CFRP Composite … 39

(2017) recommends some coefficients to account for the nonlinear stress–strain rela-
tionship, and another approach is developed in the forms of analytical equations (i.e.,
Eqs. 9–11). There is a good agreement between the two approaches of locating the
neutral axis, and the bending moments at failure obtained by the two approaches
are the same. A finite element model of the beam is developed to validate tenta-
tively the results found. A simply supported beam with a cracked cross-section is
modeled by using the SOLID element in SAP2000; rebars with stirrups are modeled
as the frame elements. Slip-bond as a LINK element is taken into account for the
preliminary validation. The results are that, at the strain of 60.7% out of the maximal
strain in concrete εc' , with the given percentage of steel and the strength of compo-
nential materials, i.e., concrete, CFRP, and steel, the stress in concrete attains the
ultimate value, and concrete is crushed. With the main properties of the specified
material as in the illustrated beam (i.e., for a set of assumed data of materials and
cross-section assigned), the remaining FC is predictable by both two approaches
and confirmed by the numerical model ranges between M u = 302 and 420 kNm.
This result is concluded with particular attention that this FC is merely calculated
associated with the specific conditions of the beam (i.e., the cross-section, grade of
concrete, percentage of rebar, specification of the CFRP, etc.). Nevertheless, this study
has been conducted by three independent approaches, giving comparable results, and
gives a practicable approach to predict the FC of a beam, strengthened with CFRP.
For any real structure, it might need some laboratory tests or advanced techniques of
modeling, especially the cracked cross-section, cracked material, CFRP, and espe-
cially the bond between steel rebar and concrete, the adhesion between CFRP and the
cracked beam. Furthermore, this study confirms the practicability of the ACI 440.2R
(2017) for real construction works and contributes an approach to locate the neutral
axis to determine the FC of a beam retrofitting with CFRP.

Appendix

Worksheet for determining the location of the neutral axis c (as in “B1 and B2
algorithm”), and flexural capacity M = 302 kNm for the beam strengthened with
CFRP, calculated by two different approaches.
40 T. H. Duong

Worksheet for determining the location of the neutral axis and the ultimate flexural capacity of an
illustrated beam strengthened with CFRP

References

1. Zabihi-Samani M, Shayanfar M, Safiey A, Najari A (2018) Simulation of the behavior

of corrosion damaged reinforced concrete beams with/without CFRP retrofit. Civ Eng J
4(5):2243–2247
2. ACI 440.2R-08 (American Concrete Institute) (2008) Guide for the design and construction of
externally bonded FRP systems for strengthening concrete structures. Farmington Hills, MI,
USA
3. Gorski M, Krzywon R (2018) Flexural stiffness of RC beam strengthened with FRP. https://
[Link]/publication/324222530
4. Naser MA, Hawileh RA, Abdalla J (2021) Modeling strategies of finite element simulation of
reinforced concrete beam strengthened with FRP. J Compos Sci 5:19. [Link]
jcs5010019
5. Huy TV, Ngon NV, Le Thanh Phong PTH (2018) Comparative study methods for flexural
strengthening design of reinforced concrete beam using NSM-FRP material approach ACI
440.2R-08 and ISIS (CANADA). J Sci Technol 11(132). DaNang University. ISSN: 1859–1531
6. Kasimzade A.A, Tuhta S (2014) Analytical, numerical and experimental examination of rein-
forced composite beams covered with carbon fiber reinforced plastics. J Theor Appl Mech
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KonctpykciN- Kypcom Uckopenia Hayqno-Texniqeckogo Ppogpecca, Mockva
CtppoNizdat. Moscow Construction, pp 1–174 (in English)
8. Cao VV, Ronagh HR (2014) Reducing the seismic damage of reinforced concrete frames using
FRP confinement. Accepted paper in composite structures. [Link]
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9. Sap2000 user manual. [Link]
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beams using FRP technique: a review, research article. Int J Eng Sci Comput 7(6):13199–13213.
[Link]
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(English version). Revista Ingeniería de Construcción 35(2):148–169
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4403035429
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13. Ibrahim AM, Mahmood MS (2009) Finite element modeling of reinforced concrete beams
strengthened with FRP laminates. Eur J Sci Res 30(4):526–541, ISSN 1450–216X. https://
[Link]/publication/242163873
14. Jiang S, Yao W, Chen J, Cai T (2018) Finite element Modeling of FRP-strengthened RC beam
under sustained load. Research article. Adv Mater Sci Eng 2018. [Link]
7259424
Reliability Analysis of a System of CFRP
Structures on the Piled Raft Foundation
Subjected to Earthquakes

Tham Hong Duong and Phuoc Trong Nguyen

1 Introduction

The soil-structure interaction (SSI) always attracts motivation for researchers in

geotechnical engineering worldwide. During an earthquake, the waves propagate
through the soil medium, and R wave traveling to attack the lower part of the struc-
ture upward; the superstructure, in turn, participates in motion and will cause the
additional forces, exerting back the soil foundation, and so on. There is a remarkable
change in the soil properties during an earthquake, and the response of the structure
and foundation in vibration is a vast topic.
Pile raft is normally for high-rising buildings, in which the pile could partially
support the load from the structure, and the raft contributes a small part of the total
load. In a small raft, the pile could reduce the settlement as well. There are a lot of
uncertainties for the topic, both in natural and artificial aspects. The three-component
interaction is among three components, i.e., the soil foundation, the raft, and the pile.
The raft as a shallow footing always requires a very high stiffness; while the pile as
a deep foundation could cause stress for a deeper zone in soil medium.
The abovementioned behavior is more complicated in case the soil is subjected to
an earthquake, concerning the non-linearity in the stress–strain relationship in struc-
ture when working at a very high level of energy. There are numerous uncertainties
in the problem, both in aleatoric and epistemic aspects. They are the configuration
and properties of the structures, i.e., the raft-pile system with a dependent distribu-
tion of the load that each component would support, the raft-pile-soil interaction, the
boundary of the model, and the behavior of the whole system due to dynamic effects
of the earthquake, etc. As for the piled raft, there are advanced methods of analysis,
in which the variation in stiffness of raft due to pile installation, and the efficiency of

T. H. Duong (B) · P. T. Nguyen

Ho Chi Minh City Open University, Ho Chi Minh City, Vietnam
e-mail: [Link]@[Link]

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2023 43
R. V. Rao et al. (eds.), Recent Advances in Structural Health Monitoring
and Engineering Structures, Lecture Notes in Mechanical Engineering,
[Link]
44 T. H. Duong and P. T. Nguyen

the pile on the overall bearing capacity are taken carefully into account [1]. However,
a question is that, in the case that the lateral excitation is randomly distributed as
in an earthquake, is the abovementioned theory still valid? Or what happens if the
increasing deformation in structure due to earthquake could cause additional inertia,
and distress the foundation, and so on?
Performance-based design concerning the SSI for analyzing the damage in build-
ings on piled rafts subjected to an earthquake could be generally a soil-foundation-
structure interaction (SFSI) [2]. The research indicates a linear elastic analysis causes
increasing damping and flexibility from rocking and sliding motion of the foundation,
results in a modification of the overall effect of the response; then the non-linearity
should be taken into account with special attention on the responsive frequency
of the integrated system, and the lifetime for it. Based on such a set of concepts,
some performance limits are suggested, including the inter-story drift, the foundation
motion together with the level of damage to be assessed [3].
The reliability analysis requires a specific quantification of the abovementioned
uncertainties. As for the structure, it requires some data of both variables and parame-
ters that are collected for a long time, to have in hand all the statistically characteristic
values of them, i.e., mean value, standard deviation, and the law of distribution. For
structure, it is necessary to quantify the load intensity, the materials (strength and
stiffness), and its law of distribution; for foundation, the most important is the soil
properties, concerning the spatial variability both in vertical depth and in horizontal
directions. In earthquake engineering, the most important variable of soil is the shear
modulus G. This variable stands for the stiffness of soil against shear stress and is a
principal part of the soil impedance. The SSI is intensively studied [3, 4]. According
to these research works, there are basically two conceptual trends of studying SSI,
the direct approach and the substructure approach. The former integrates the soil and
structure into a system and the latter considers the soil flexibility as a dividend part,
with damping and velocity [4]. As such, isolated rigid support as in conventional
design is not appropriate in an earthquake when no interaction is studied. Spring
support is an alternative with a partial consideration for an interaction. The lumped
mass model models the soil medium as a SOLID element [3], considers the shear
modulus, and the foundation as a mass that connects to the surrounding soil medium
with spring and dashpot [5]. For a base mat, the dynamic stiffness in an arbitrary
direction of motion, and damping of soil medium as that of a half-space could be
calculated from the velocity of shear S-wave V s and the geometric dimension of the
mat [6]. In a piled raft or mat, the piles, disregarding the end bearing or skin friction
ones, the stiffness relates strongly to shear modulus G and the configuration and
settlement of piles [7]. The non-linearity in the behavior of the system is recognized
in the specific case of layered soil medium, resulting in a high level of soil-structure
interaction for the system piled raft. Non-linearity in the problem could be of the
stress–strain relationship of the structures, of the increasing displacement due to
dynamic effects on hinges developed, etc. [8, 9].
Reliability analysis on the piled raft subjected to an earthquake requires a set of
relevant input data, including the randomness of the variables, the intensity and time
of the earthquake, and the law of logarithm distribution of the responsive amplitude
Reliability Analysis of a System of CFRP Structures on the Piled… 45

S(T ) in association with the attenuation laws of the displacement of a point in the free
domain [10]. In general viewpoint, it is necessary to take into account the uncertainties
in:
• The earthquake and its attenuation laws (Peak Ground Acceleration PGA and
duration of an earthquake)
• Motion input (design spectrum, time history function, direction of ground
motion…)
• Existing conditions of the structure subjected to load in specified combinations.
• Model and strategy of analysis (software, method of analysis…)
• Material stiffness and strength (superstructure, foundation, pile and soil)
This article aims to analyze the reliability of such a complicated relationship
between the abovementioned factors for a building on piled raft foundation subjected
to an earthquake. The objective for investigation will be an existing planar frame with
a cracked beam, strengthened with CFRP, subjected to an earthquake. Because of
the vicinity of the site and practical purpose, the Chi-Chi earthquake (Taiwan 1999)
will be selected to study.

2 Method

2.1 Solution Strategy

Database for a model: Reliability analysis requires a sufficient amount of input data
with possible variations. A flow chart for the analysis is described in Fig. 1:
Input data in this study are of three groups, including the intensity of earthquake,
the material of the system of SFSI, the characteristics of the soil medium. The flow
chart for studying the reliability is shown in Fig. 1.
For the stronger interaction, in which the stiffness out of the plane of the model
is not taken into account, the planar frame is used [3] and structural software is
SAP2000; the cracked cross-sections of beam strengthened with CFRP are assumed
instead of beams and columns. A unit slice uses the technique of modeling in which
the planar structure would reduce the modulus of elasticity instead of re-calculating
the cross-section [11].
All the random variables are classified into three groups of which the characteris-
tics are defined statistically with a lognormal law of distribution. For the lognormal
distribution, the median and the standard deviation are specifically calculated from
data obtained before reliability analysis. A 2D frame of a 10-story building is created
for illustration purposes in which the frame and its foundation, i.e., piled raft and
soil medium, are modeled with absorbent boundaries (Fig. 2b). In step 6, the time
history load case of the Chi-Chi earthquake [12] is used and its results are compared
to those of the response spectrum load case. For guaranteeing a sufficient width of
wave propagation, dimension A in Fig. 2 should be from 3 to 5 times out of the width
46 T. H. Duong and P. T. Nguyen

Start

1. Define RVs statistically, frequency of

earthquake occurence t (a).

2. Taguchi
method 3. Create required set of
representative database

4. Calculate mean values, COV

w.r.t the law of distribution

5. FEM planar frame model, concerning SFSI with

absorbent simulated boundaries
5b. Static
Pushover
analysis to
6. Select time history TH (or response spectrum, RS) compare

7. Run the model, collect responsive data

8. Run the NL analysis of SFSI system

9. Performance functions, and damage indices [18]

10. Dynamic reliability index according to (a)

11. Probability of failure Pf

No
12. is Pf = (a)

Yes
End

Fig. 1 Steps in reliability analysis for a building on piled raft subjected to earthquake

of structure, and B in the model should be twice the building height or more; such
model is more relevant as compared to that in 3D element method using Plaxis [13].
The reliability of the piled raft foundation as a system of combined structures,
the reliability index (RI) should be a value which is calculated to those of elements
connecting both in series or parallel style in superstructure and parallel of components
in substructure, i.e., soil foundation and footings. For the superstructure, performance
Reliability Analysis of a System of CFRP Structures on the Piled… 47

Fig. 2 Planar frame of a building on piled raft subjected to earthquake [4, 11]

Table 1 Cross-section for

Load condition Beams Columns
cracked beams and columns
as per ACI 318 [14] Factored load condition (FLC) 0.35Igr 0.70Igr
Service load condition (SLC) 0.50Igr 1.01Igr

functions are established for the factored load (FLC) and unfactored load (SLC)
conditions, and the ACI recommendations for cracked structures are prescribed in
Table 1.
It is notable that the cross-section as recommended by ACI 318 in Table 1 is not
taken CFRP into account; for cracked beams strengthened with CFRP, the moment of
inertia is re-calculated by either the “B1 and B2 algorithm” [15] or nonlinear analytical
approach [16]. A modifier for inertia around the bending axis will then be obtained
from these approaches and is applied to the input data of SAP2000 properties. This
would be an attempt to come closer to the strategy for finite element modeling of
FRP structure [17]. From an independently conducted study using the concept of
material equivalence, the cross-section of a cracked beam, retrofitting 1 mm-thick
CFRP has the equivalent I gr = 0.0363 m4 for the 30 × 60 cracked beam with 1%
percentage of tensile rebar (i.e., the location of the neutral axis is c = 0.39ho ). This
could be explained later in the discussion with more details. With five groups of
random variables, there are 11 dominant variables as prescribed in Table 2:
The first uncertain variable is the intensity of an earthquake. Due to a few histor-
ical records of earthquakes for a specific site (i.e., the location of constructing the
building under consideration), and due to lack of knowledge about the intensity of
the earthquake, it is necessary to simulate the time history and randomly changeable
peak ground acceleration (PGA). Two levels of PGA, i.e., low with 0.129 g (notation
“N” case) and high with 0.98 g (notation “V” case), are selected to combine with
other varied factors. With just nine two-level factors, there are at least 29 = 512 cases
of permutations. This is too difficult to solve all the possible cases for obtaining a
sufficient database for analyzing the percentage of contribution and reliability [18,
19]. By using Taguchi’s method [20], it is statistically acceptable to solve 12 tasks
for collecting a sufficient database to account for all the possible cases with a highly
48 T. H. Duong and P. T. Nguyen

Table 2 RVs for reliability analysis of structures strengthened with CFRP, s.t an earthquake
List of factors Level 1 Level 2 Group
X 1 = Earthquake intensity Low PGA High PGA A
X 2 = Time of occurrence Short Longer A
X 3 = Soil amplification factor * 1% 50% A
X 4 = Cross-section in model ACI Calculated B
X 5 = Thickness of the raft 1.5 m 2.5 m B
X 6 = Stiffness of foundation (close pile D = Low High B
0.35 @ 3 m and D = 0.28 @ 2 m, same volume
of material)
X 7 = Strength of CFRP (MPa) 100 900 B
X 8 = Shear modulus of soil Low G (soft soil) High G (stiff soil) C
X 9 = Input mode Time history Response spectrum D
X 10 = Software and modeling TD FD D
X 11 = Boundary width (B, the width of the <5B >5B E
building; <5B; >5B)
*This factor refers to the possible amplification of amplitude in free domain vibration due to waves
propagating through soft soil

representative level. The randomness of the input motion is of intensity, time for the
given probability of exceedance (PE), and soil amplification factor. For simplicity,
this study keeps the levels of time (X 2 ), soil amplification factor (X 3 ), and strength
of CFRP (X 7 ) fixed. It is easy to estimate the PE in a specific average recurrence
interval (see Ref. [8]). For concerning the effect of the boundary on the SSI response,
two models of boundary width are studied, <5B and >5B.
After all the abovementioned steps are ready, the model will run for 12 combi-
nations for collecting responses, including acceleration, velocity, and displacement.
These outcome results may be the internal forces (e.g., bending moment, axial force
in pile, etc.) or displacement, both in time domain (TD) and frequency domain (FD).
In this study, for 11 two-level factors, the L12 (211 ) orthogonal array is used as follows:
For obtaining more results, 11 factors are tabulated in which X 2 , X 3 , and X 7 are
constant (Fig. 3). In step 5b, a static NL pushover model is conducted as an alternative
to compare to results of the time history (TH) method and response spectrum (RS)
method [21]. In steps 7 and 8, the frame with beams and columns are considered to
be NL elements by defining plastic hinges at both ends of the elements, except for the
1st story and the most upper one [22]. For an NL analysis for a portal frame, the Fast
Nonlinear Analysis (FNA) is applied to the structure subjected to a time history load
case (i.e., Chi-Chi by PEER Database) with a UX acceleration, and for the specific
cracked beams, the moment–curvature curve for a reinforced concrete section with
CFRP will be assumed of Lam and Teng’s theory [22] as briefly shown in Fig. 4.
This relationship could be a base for declaring the NL properties of hinges, PMM for
columns, and M3 for beams. In this study, the effective stiffness is calculated from
Reliability Analysis of a System of CFRP Structures on the Piled… 49

Fig. 3 L12 (211 ) orthogonal array for obtaining a database of outcome results

Moment
Ultimate of unconfined concrete
Ultimate based on FRP
Mu confined concrete and steel
Myield
without FRP confinement
with FRP confinement
Mcr

Curvature

Fig. 4 Moment–curvature curve of an RC beam with/without CFRP [23]

the NA obtained by the two independent procedures [15, 16] and compared to that
of ACI standard as in Table 1 [14, 22].
Step 10 is about defining the performance functions. For a 2D frame with cracked
sections of beams retrofitting with CFRP on the piled raft and concerning the SSI,
it is necessary to obtain enough database of the input data and the responsive data.
Twelve combinations of intervening random variables are manipulated as in the table
of Fig. 3 to provide data in extended performance functions as shown in Table 3 [18].
Dynamic reliability analysis will be of the second phase of the process, including
calculation of the RI for each combination associated with responses of SSI system.
The response is taken from the superstructure (i.e., internal forces, displacement in
the time domain, for instance, the maximum displacement at the most upper point,
or the story drift, vibrational response, etc. for each combination of Table 3; for the
foundation, the response will be the force in pile, the bending moment in the raft,
the stress in soil mass, settlement, and the lateral displacement, etc.
With database from combinations in the table of Fig. 3, a set of performance
functions (also named Limit state function, or LSF) are created and the RIs for each
case of risk are computed. The law of distribution is lognormal. In the general case,
the performance function has the conceptual equation as below:
50 T. H. Duong and P. T. Nguyen

Table 3 Performance
Load condition Condition Performance State
functions (LSF) used in this
functions
study [18]
Flexure, beams Factored load G(X ) = ULS
Myield
Mmax −1≥0
Shear in Factored load H (X ) = ULS
columns Q max
Q −1≥0
Horizontal Service load I (X ) = SLS
displacement
500 /Δhor −1≥0
H

Deflection Service load J (X ) = ULS

[f]f −1 ≥ 0
Settlement of Service load K (X ) = SLS
piled raft Δvertical
Δ −1≥0
Moment in raft Service load M(X ) = ULS
[M]
Mmax PR −1≥0
Axial force in Service load N (X ) = ULS
pile N
Rc,u −1≥0
Vibration
DI for beams Service load F(X ) = SLS
[D.I ]
D Ibeam −1≥0
DI for piled Service load P(X ) = SLS
raft 0.4
D IPR −1≥0
MFDI for Service load Q(X ) = SLS
CFRP beam [MFDI]
MFDIbeam −1≥0

( ) ( )
G X = RLIM (μ, δ) − R X (1)

in which, μ and δ are the median and the coefficient of variation (COV), respectively.
Step 11 is to compute the reliability index. With the outcomes from the PO analysis
as limit values, the RI is a time-invariant index and is calculated by using the extreme
values of responses.
Peak ground acceleration (PGA) are two-level factors characterizing the seismic
intensity (this random variable is denoted X 1 in Table 1). In the analysis using the
time history (TH), both the accelerograms recordings utilized are the first of the
gradually increased intensity (“V” case), the second is a decreased one (“N” case).
With lognormal law of distribution, the statistical values of outcomes should be the
median instead of the mean, and the standard deviation, as follows
⎛ ⎞
μ 2
μY = ln⎝ / X ⎠ (2)
σY + μ2X
2
Reliability Analysis of a System of CFRP Structures on the Piled… 51

[ ( )
| ( )2
| σ
σY = |ln
X
+1 (3)
μX

in which X is a set of random variables, having the lognormal law of distribution, the
mean value μ X and standard deviation σ X . For failure, dynamic effects, it is relevant
to apply the lognormal distribution, and the time-invariant RI could be determined
by the following formula for a linear limit state function [24] as
( )
Ln QR5050 μR − μQ
β=/ =/ (4)
σ R2 + σ Q2 σ R2 + σ Q2

where the term σ Q2 , the variance of the demands or effects, combines the inheritant
variation of the load, excitation, responses in time domain, and σ R2 or variance of
the resistance, refers to material strength or bearing capacity; the indices 50 stands
for median value, i.e., the value of μY in Eq. 2. Performance limits used in this
study comply with the threshold in [2], for instance, the limit of the story drift θ SS,P
is 2.5% for a repairable condition [2]. Depends on the structural connection and
working conditions of combined structures, the overall RI can be determined to that
of the system in series or parallel ones. Statistical values of the prescribed factors
are given in Table 4.

Table 4 Statistical values for variables and responses, in case of earthquake [25]
List of variables/responses Unit Statistic value Notes
Mean Standard deviation (for CFRP)
Gravity load (in model) 20% kPa 25 5
Internal force:
Axial force in pile kN 750 112.5 Lognormal
Bending pos. Moment in beam kNm 107 16.05
Bending moment in raft 2000 200
Base Shear
kN 220 21.8
Horizontal displacement, m M 0.08 0.008
For ultimate strain εc'
Strength f c' MPa 17 2.55
Stiffness Ec MPa 32,500 6500
Settlement (B/20 for dynamic case) m 0.10 0.01
Deflection of beam cm 3.6 0.36
Frequency Hz 0.16 0.05
52 T. H. Duong and P. T. Nguyen

Finally, step 5b is a pushover analysis (PO). It is a pseudo-static alternative that

will calculate the RI for comparison purposes [26]. By assessing the structural perfor-
mance of the building, the comparison between the capacity and the demand at the
various stages of working is conducted, being a good tool for reliability assessment.
The different values of the reliability from the pseudo-static PO will compare to
those of the other dynamic nonlinear approaches. After all, the performance of the
structure could be assessed.

2.2 Characteristic Data of the Chi-Chi Earthquake

The reason for choosing the Chi-Chi earthquake for the study is that the time of
quaking lasts very long, its recordings are sufficient, and PGA is not so high as
compared to those of worldwide data at the same level of intensity. The time historic
recordings obtained by USGS [25, 27] are shown in Fig. 5 as.
At station TAP003 in Luzhou District, the minimum PGA is 127.28 gal or 0.129 g,
and the maximum PGA is about 0.98 g (at station TCU129), both in east–west
direction [25, 28].
For earthquake input data using the response spectrum (RS), two sets of data
as alternatives are applicable for assigning the parameters into the SAP2000 model
(Fig. 6). Recorded at different stations, it is notable that the “N” time history tends
to gradually decrease the intensity (Fig. 5b), contrary to that of “V” time recordings
(Fig. 6d). The assumption to be validated is that each time history may alter the
response in some way.
The mean PGA withdrawn from RS curves given by research work [29] is deter-
mined to be around 0.5 g as shown in Fig. 6; this value is also the mean value between
the recorded time history (0.129 g and 0.98 g). For a high level of factor X 1 in Table
2, the ordinates would be twice those of 0.5 g. This response spectrum is a load case
of the input data for the analysis of the possible load case of response spectrum that
structure would suffer.

Fig. 5 a Chi-Chi recordings at a station, east–west direction [27]; b graph in SAP2000 TH function,
from accelerogram No. RSN2752_CHICHI.04_CHY101N.AT2 (PEER NGA [25])
Reliability Analysis of a System of CFRP Structures on the Piled… 53

Fig. 6 a Chi-Chi response spectrum [25]; b RS for different soil type, <2 km at 0.5 g and damping
0.05, in horizontal direction [29]; c RS with stronger intensity, PGA = 0.98 g; d accelerogram
RSN2752_CHICHI.04_CHY101V.AT2 as an increasing intensity

3 Results

3.1 Model Description

A 10-story planar frame of an existing building, 36-m high from the ground level, is
developed as in Fig. 7. For ensuring overall stability, the depth of footing is at Ele.
−3.5 with a raft 1.5 m of thickness. The boundary will be 60-m outside the edge
of the building, and the soil foundation is twice the height of the building, or from
Ele. 0.00 to −60.00; all the pile tips are at Ele. −30.00. For the superstructure, all
the beams are assumed to be structures having existing cracks, strengthened with
CFRP, and the target for this study is to calculate the overall RI, concerning the SSI
in the condition of the earthquake. For assessing the reliability, random variables of
both two kinds of uncertainties, aleatoric and epistemic uncertainties, are taken into
account and quantified with 2- level 11 factors, namely X 1 to X 11 in Table 2.
Different values of factors imply the possible variation in values of the variables.
No uncontrollable factor is assigned; only three out of 11 factors have constant values.
The properties of soil layers are listed in Table 5, and the cross-sections in Table 6:
The average value of the bearing capacity could be assumed to be around 900 kN
for the 35 × 35 square pile, and 700 kN for the 28 × 28 pile. This capacity will
be the limit for the axial load for LSF. The COV for the bearing capacity is 0.3 as
conventionally given. The moment of inertia for the cracked beam is modified by
54 T. H. Duong and P. T. Nguyen

Fig. 7 a 2D frame with cracked beams retrofitting CFRP, subjected to earthquake, with rigid support
at boundaries; b high damping ratio absorbent boundaries (c = 10%)

Table 5 Soil description for

List of factors Layer 1 Layer 2
layers in the model
Classification
γunsat /γsat (kN/m3 ) 17.9 19
Cohesion (kPa) 20 70
Friction angle (degree) 10 16
Modulus of elasticity (kPa) 10,920 32,370
Shear modulus G 4200 12,450

Table 6 Properties for elements in the model

Geometry Columns Beams Raft thickness Dpile /spacing
Outer Inner
b×h 40 × 60 50 × 50 30 × 60 1.5 m 0.35/3.0 m
40 × 50 40 × 40 (d = 52 mm) or or
30 × 50 30 × 30 2.5 m 0.28/2.0 m

calculating the neutral axis (NA) and a modifier is applied to the SAP2000 input
data. By applying the “B1 and B2 algorithm” [15] or analytical approach [16]. After
determining the location of the NA, the moment of inertia is computed. The calculated
moment of inertia will be compared to those of ACI recommendation (prescribed
in Table 1, no CFRP included). The area of the CFRP polymers is transformed
to the equivalent area of concrete, and the revised moment of inertia will be re-
determined by conventional calculation with respect to the location of the NA; and
the moment of inertia of the cracked beam divided by the gross moment of inertia, a
modifier obtained is assigned into a frame property modifier data. The modifier for
the moment of inertia about the 3-axis of a cracked beam retrofitting with CFRP is
calculated to the location of the neutral axis, the equivalent area of the steel and the
polymer, complying with ACI 440.2R [14], being I cr /I gr = 2.36e-3 m4 /3.63e-2 m4
= 0.065. For the reason cracked part of concrete contributes no stiffness, together
Reliability Analysis of a System of CFRP Structures on the Piled… 55

Fig. 8 Modifiers for cracked beams

with using a unit slice for 2D frame without changing the cross-section, this modifier
implies the stiffness of the cracked beam with CFRP reduces significantly, resulting
in a large deflection. This could be much more practicable than that of using the
ACI’s recommended reduction factor 0.35I gr for cracked beams (without CFRP) as
recommended in Table 1.
By scaling down to one-sixth, the modifier for mass and weight are shown in
Fig. 8 while the moment of inertia for all the cross-sections is calculated normally.
In a unit-slice frame of planar strain model, all the load and modulus of elasticity
would be scaled down by a “One-divided-by-the-bay-distance” factor. In this study,
the model has a 6-m bay, so the scaled-down factor will be one-sixth. The nodal
concentrated dead load on the unit-slice frame is 22.5 kN and 12.6 kN for the outer
and inner columns, respectively; the nodal concentrated live load is 2.83 kN for
both outer and inner columns. The uniformly distributed load on 9 m-span beams is
2.17 kN/m/ml (dead load per meter of length, or ml) and 0.7 kN/m/ml (live load). No
lateral wind load is applied and combined to the earthquake, because of its conflict
with the earthquake in real-world practice. There are four modes to be analyzed, and
the most likely response would be obtained using the law SRSS (square root of the
sum of squares).

3.2 Model of the 2D-Frames with Cracked Beams

Strengthened with CFRP

Frame and piled raft, subjected to different load cases: The frame will be analyzed
in three cases: dynamic analyses are TH and RS, and static NL pushover approach
56 T. H. Duong and P. T. Nguyen

(PO). The response with respect to each combination of levels in Table 2 and the
table in Fig. 3, will be the story lateral displacement and drift at the uppermost joint
of the building (i.e., joint 48), the deflection of the most sagged cracked beam (i.e.,
the 1st-story beam), the shear in the columns at the first floor, the bending moment
in cracked beams, the settlement of the piled raft foundation, and the axial force in
the outer piles (maximum compression in pile) (Table 7). Twelve combinations of
different values of input actions stand for all the possible cases of random variables
during the earthquake.
For the boundary >5B, the response is given in Table 8:
In the TH load case, the lateral displacement and settlement of the wider model
boundary will come earlier with greater values than those of the smaller model
boundary. This should be explained by the more accumulation of the strain in the
wider boundary, and the energy due to earthquake delivered more to the building.
ACI’s recommendation that the moment of inertia of a cracked beam with no CFRP
is modeled as 0.35I gr (I gr is the gross equivalent cross-section) results in a smaller
lateral displacement, in both cases of the boundary, and yields greater axial forces
in columns and piles; however, the bending moment is cracking moment M cr =
75.46 kNm, and the deflection is 0.142 m which exceeds the acceptable deflection
in unfactored load condition.
For the pile foundation, an FD analysis would be applied to internal axial force
in the heaviest pile, or outer pile, i.e., element #80. The TD response for axial force
of the pile is shown in Fig. 9
Pushover analysis: This nonlinear static study method is a good tool for determining
the performance level of a building. Its pushover curve shows the base shear versus
lateral displacement at each step, indicating the maximum value of the shear base that
the building could have enough strength to support the effects during the earthquake.
This study uses acceleration in the x-direction as the load that the structure would
stand during ground shaking. The plastic hinge which appears in some beams at a
specified step is the indicator for the yielding condition. All the responses at the
time yielding condition would be considered as the limit of safety for the building.
In this study, the load cases of the earthquake are the time history (TH load case)
and the response spectrum (RS load case); both are reliable files [28]. For instance,
in a particular combination, a Life Safety (LS) limit is attained at step 2, the lateral
displacement then being 0.384 m exceeds the limit value H/500 = 0.077 m (see
Fig. 10). All the data would collect simultaneously at the time of LS occurrence,
disregarding this intermediate stage is coming closer to the collapse prevention (CP)
as the response threshold in the PO analysis. The results also show that the broader
domain of analysis, the higher displacements, both in x-direction and z-direction.
Based on this, for the LSF relating to displacement, the wider boundary should be
more appropriate to calculate the LSF (Fig. 11).
The maximum values of the bending moment, lateral displacement, axial forces
in columns and piles, and the piled raft settlement, etc. at the step of LS appearance
in any hinge, are obtained. The responses of TH and RS load cases with respect
Table 7 Outcome by three methods of analysis, 2D frame with cracked beams retrofitting CFRP—A particular case, with <5B-boundary, ▢35 cm—stiffness
of foundation
Method Axial force in Δhor (m) Shear in Columns Bending moment and deflection Pile Δver
Columns Max (cm) (m)
1 2 outer inner M+ M− Q 1 2 3 C
TH 984 968 0.37 3.26 9.34 25.69 −49.81 31.9 875 532 486 488 0.17
RS 789 792 0.41 5.05 8.45 21.05 −41.47 26.4 721 452 414 422 0.11
PO 1777 1806 0.59 12.2 9.45 50.91 −88.0 58.5 1.6e3 1e3 905 908 0.4
(step 2**)
DL + LL 978 982 0.01 4.28 8.36 25.74 −48.82 31.7 887 537 486 507 0.12
The maximum lateral displacement happens at step 446 or t = 44.6 s; *Response frequency f 1 = 0.208 Hz, f 2 = 0.608 Hz, f 3 = 0.692 Hz, f 4 = 31.50 Hz,
Reliability Analysis of a System of CFRP Structures on the Piled…

acceleration in x-direction; **In step 2, hinges attain Life Safety (LS) state, SAP2000 hinge results indicate M = 23.63 kNm
57
58 T. H. Duong and P. T. Nguyen

Table 8 Outcome by three methods of analysis, 2D frame with cracked beams retrofitting CFRP—
A particular case, with a >5B-boundary, ▢35 cm—stiffness of foundation
Method Axial force Δhor (m) Shear in Bending moment Pile Δver
in Columns Max Columns and deflection (cm) (m)
1 2 outer inner M+ M− Q 1 2 3 C
TH 976 977 0.39 5.64 9.73 25.68 −49.56 31.8 888 469 428 494 0.24
RS 790 793 0.46 6.39 5.66 21.04 −41.4 26.3 723 449 402 415 0.21
PO 1767 1765 0.58 9.32 33.0 46.78 −91.51 58.4 1.6e3 980 874 879 0.24
(step
2**)
DL + 978 978 0.01 4.33 8.34 28.4 −47.36 31.9 888 526 471 494 0.24
LL
The maximum lateral displacement happens at step 436 or t = 43.6 s; *Response frequency f 1 = 0.262 Hz,
f 2 = 0.432 Hz, f 3 = 0.612 Hz, f 4 = 27.119 Hz, acceleration in x-direction; **In step 2, hinges attain
Life Safety (LS) state, SAP2000 hinge results indicate M = 23.59 kNm

to those of PO load case at different steps are used to calculate the time-invariant
reliability index.
The results indicate that the beam is weaker than the column, the building vibrates
at a higher frequency in the z-direction, and the dimension of the boundary affects
the response of the structure, both in dynamic and pseudo-static analysis. The wider
boundary of the model (e.g., boundary >5B), the smaller fundamental frequency of
responsive might be (Table 9); for cracked beam, it depends on the simulation of the
cracked cross-section with CFRP reinforcement.
The SSI is clearly recognized in higher frequencies (i.e. mode 4) while charac-
teristics of displacement with larger mass alter three first modes frequency, and the
responsive frequencies of the individual structure are different (Fig. 9c–e). This is
explained by the different stiffness of the individual structure.
Results from combination: Twelve sets of responses as outcomes are collected, and
the value of the performance functions are calculated at the step of failure occur-
rence (Table 10). This would supply a sufficiently big data set for analyzing the
reliability. For illustrating purpose, seven following performance functions LSFs in
12 combinations of level values are selected as below:
• ULS with flexural moment;
• ULS with bending moment in raft;
• ULS with axial force in outer pile (or element #80);
• ULS with base shear in the outer column;
• SLS with horizontal displacement at the most upper joint 48, and deflection at
mid-span of the most sagged beam element #46 (obtained at the time step when
the beam plastic hinge appears first);
• SLS with the settlement at the central pile tip (this should be the settlement of the
piled raft as well).
Reliability Analysis of a System of CFRP Structures on the Piled… 59

Fig. 9 a TD Response of joint 48 (left, superstructure), and axial force in the outer pile, element
#80 (right, subground structure) and; b FD response for lateral displacement at the upper point
(Ux, No 12) and the pile tip (Ux, No 737); c TD displacement in vertical direction and horizontal
direction of joint #842 at mid-span of the most sagged beam; d FD displacement at the mid-span
joint of beam in z-direction (f = 0.617 Hz) and in x-direction (f = 0.268 Hz); e FD pseudo-spectral
acceleration of a point #307 at the bottom of the raft

The values of RIs for various limit state conditions are given in the last column
of Table 11, with notation of calculating the statistical parameters in lognormal
distribution (μY , σ Y in formula 2, 3). This value is calculated by the general formula
(1) and functions in Table 3; a single negative value in Table 11 (with asterisk symbol)
is physically meaningless. This occurs when the factor of safety for this LSF is
much less than 1; this may be viewed as an outlier value. The reliability indices for
different LSFs would be used to compute the reliability index for the overall system,
concerning the SSI (Table 12).
60 T. H. Duong and P. T. Nguyen

Fig. 9 (continued)

The overall RI for SSI system of structures: Beams and columns are connected
in series, and the piles and raft are in parallel; the superstructure including beams
and columns in turn is in series with the piled raft. The diagram for this system is in
Fig. 12. RI of each structure is taken as the lowest RI among actions and responses
for that structure. For instance, RI of a beam is the lowest value among different βs
having the response such as the deflection of the SLS and bending ULS, J(X) and
G(X), being 1.29. For the column, a β = 0.64 for lateral displacement I(X) and base
shear in columns G(X), being 0.74.
For ni parallel components having reliability indices Ri , the product law of
unreliabilities is applied. The reliability for this parallel sub-system is

Π
n
Rp = 1 − (1 − Ri ) (5)
i=1

For m components in series, the system reliability will be

Π
m
RS = Ri (6)
i=1
Reliability Analysis of a System of CFRP Structures on the Piled… 61

LS hinge 46-1 appears at 2nd story)

a)

b)

Fig. 10 a The performance at step 2 out of 9 with LS state in beams (e.g., No 46), <5B; b base shear
versus displacement curve, and ATC-40 Capacity spectrum in PO load case, high shear modulus
soil, and boundary <5B

For series–parallel system in which there are n-series stages, each with ni parallel
components

Π
n
Rsp = [1 − (1 − Ri )]ni (7)
i=1

By accepting that once one element in a parallel sub-system fails, the sub-system
fails accordingly, and for easier controlling the system of n-parallel components, the
failure probability Pf is used; the Pf for a block in parallel is

Π
n
P f,sys = 1 − (1 − P f,i ) (8)
i=1

Pf for beam failure, lateral displacement, pile capacity, and raft in bending are
0.0985, 0.23, 0.00104, and 0.171, respectively; in turn, all the abovementioned system
62 T. H. Duong and P. T. Nguyen

LS hinge 46-1 appears at 2nd story

a)

b)
Fig. 11 a The performance at step 2 out of 9 with LS state in beams (e.g., No 46), >5B; b base shear
versus displacement curve, and ATC-40 Capacity spectrum in PO load case, high shear modulus
soil, and boundary >5B

Table 9 Responsive frequency of the building, x-direction

Mode Frequency (Hz) State of stiffness of piled raft
1 2 3 4 foundation

Boundary <5B 0.388 0.534 0.855 26.45 11 ▢28 cm piles @2 m

Boundary >5B 0.268 0.446 0.609 27.83 7 ▢35 cm piles @3 m

is connected in series, the probability of failure for the overall system is calculated
by formula 8: ( ) ( )
P f, sys = 1 − (1 − P f, beam ) · (1 − P f, col ) · 1 − P f, pile · 1 − P f, raft = 1 −
(1 − 0.0985)]beam × (1 − 0.23)col × (1 − 0.00104)pile × (1 − 0.171)raft = 0.425, or
Reliability Analysis of a System of CFRP Structures on the Piled… 63

Table 10 Responses of the system, at a time step which LS limit in PO analysis is attained, in
comparison with the maximum value in TH load case/RS load cases
Response Flexure Base shear Drift Δhor Deflection Settlement Moment Axial
beams cm Δbeam smax (cm) in piled force in
raft pile
LSF G(X) H(X) I(X) J(X) K(X) M(X) N(X)
Combins
1 48.7 29.3 39.6 0.83 23.3 846 1607
26.65/21.7 17.7/14.8 18.6/21.8 0.46/0.37 12.5/10.8 461/384 884/731
2 46.8 29.3 54.7 3.25 39.9 846 1420
25.7/21.1 17.6/14.9 39.2/51.5 1.78/1.47 21/18.8 475/392 781/643
3 46.8 26.2 47.9 3.52 66.7 369 1280
25.7/21.0 15.5/5.93 20.9/42.4 1.92/1.59 35.2/31.4 204/171 677/606
4 46.8 27.1 39.0 1.91 43.1 313 1452
25.7/21.6 16.6/14 30/51 1.57/1.89 14.1/22.6 168/131 789/767
5 46.8 26.7 49.5 3.29 42.9 383 1416
25.7/21.0 16.4/14.1 37.7/49.5 1.81/1.51 22.5/20.4 211/174 773/647
6 46.8 29.8 55.2 3.32 45.4 860 1612
25.6/20.9 17.7/14.9 39/43 1.82/1.51 24/21.4 476/391 891/739
7 46.8 29.6 28.9 3.48 40.2 1009 1507
25.7/21.1 15.7/16.3 51/90 1.91/1.58 21.1/13.7 506/533 706/825
8 46.78 26.8 49.5 3.29 42.9 387 1416
25.7/21.1 15.4/14.1 20/49.5 1.79/1.48 22.5/20.4 209/172 772/628
9 46.7 25.8 28.6 3.47 42.7 290 955
28.7/21.0 15.2/13.6 21/52 1.9/1.58 22.4/20 160/136 520/438
10 49.1 28.6 29.6 1.05 40.2 1039 1505
26.7/21.8 16.2/15.6 28.9/46.1 0.54/0.47 21.2/19.2 599/523 825/707
11 46.8 31 28.8 3.13 36.9 304 1107
25.7/21.1 17.5/12.2 38.9/64 1.89/0.512 22.8/20.7 165/134 603/607
12 46.8 29.9 55.3 3.33 45.4 854 1610
25.7/21.1 17.8/14.9 39.4/42 1.82/1.5 24/21.3 480/391 891/730
Note Underlined numbers are values at LS state (failure or limit attained) in static NL pushover
analysis. Values with slash are of TH and RS, respectively

42.5% then the reliability index is β sys = 0.19. The system with the β = 0.19 is too
hazardous to survive during the earthquake.
Probability of exceedance P e : During analyzing the structure subjected to response
spectra, the probability of exceedance (PE) is the percentage of occurrence at least
one or more times in given years. This probability is computed by Eq. 9:
( )
1 t
Pe = 1 − 1 − (9)
τ
64 T. H. Duong and P. T. Nguyen

Table 11 FORM reliability indices

Load condition Limit state μX σX μY σY β
functions
Flexure, beams G(X ) = 26.1 0.8637 3.2615 0.0330 15.94
Myield 21.2 0.2928 3.0543 0.0138 36.73
Mmax −1≥0
Shear in columns H (X ) = 16.6083 0.96993 2.80820 0.05835 6.48
Q max 13.7775 2.56370 2.60601 0.18449 3.80
Q −1≥0
x-dir displacement I (X ) = 32.05 9.90812 3.42165 0.30211 0.74
50.233 15.2323 3.87269 0.29658 -0.41*
500 /Δhor −1≥0
H

z-dir deflection J (X ) = 1.575 0.49807 0.40659 0.30873 1.29

[ f ]/ f − 1 ≥ 0 1.31433 0.51303 0.20242 0.37658 1.57
Settlement K (X ) = 21.9416 5.31200 3.05990 0.23865 2.07
Δvertical 20.0583 4.72183 2.97167 0.23223 2.38
Δ −1≥0
Moment in raft M(X ) = 342.83 160.833 5.73778 0.44600 0.95
[M] 294.33 149.339 5.57017 0.47861 1.18
Mmax PR −1≥0
Axial force in pile N (X ) = 759.33 110.892 6.62188 0.14527 3.08
672.333 96.4929 6.50056 0.14278 3.72
N
Rc,u −1≥0

Table 12 RI with respect to different LSFs

Response Flexure Base shear Drift Δhor Deflection Settlement Moment in Axial force
beams in column cm Δbeam smax (cm) piled raft in pile
LSF G(X) H(X) I(X) J(X) K(X) M(X) N(X)
β (TH) 15.94 6.48 0.74 1.29 2.07 0.95 3.08
β (RS) 36.73 3.8 0 1.57 2.38 1.18 3.72
β normal 17.95 6.12 0.70 1.17 1.93 0.85 2.89
TH = Time history analysis; RS = Response analysis. β normal is the reliability index (RI) when
random variables are normally distributed

Beam1 Column1 Pile1

Beam2 Column2 Pile 2

Raft Soil foundation
⁝ ⁝ ⁝
Beam j Column i Pile k

Fig. 12 System of superstructure, piled raft footing, and soil foundation

Reliability Analysis of a System of CFRP Structures on the Piled… 65

in which τ is the average recurrence interval, i.e., the time between occurrences
of failure for a random variable X exceeding the threshold value x T . For a 19%
probability of exceedance as abovementioned calculation, PE in 50 years is Pe =
( )
1 50
1 − 1 − 19 = 0.933, or 93,3%. This is quite unacceptable.

4 Discussion

There are many ways of collecting data for reliability analysis as follows.
• Input data in this study uses both V and N recordings. These are recordings for EW
direction at different stations. For another than NS direction, the assumed building
would rotate 90 degrees to be subject to EW quake. As such, two accelerogram
recordings are brought into the analysis. This may be viewed as uncertainty in
direction of ground motion, instead of taking the base motion of a symmetrically
shaped building into account.
• The time of occurrence for the maximum lateral displacement is at step 393, or
t = 39.3 s. This time is earlier than other results in the configuration of less pile
model. As such, the smaller number of piles, the lower frequencies are, and it is
predictable that the lateral displacement would be greater. The larger response
would be brought into reliability analysis.
• Cracked beam with CFRP which is modeled as per ACI recommendation and
converts the CFRP to the equivalent concrete area should be carefully concerned.
Nevertheless, it is logically acceptable viewing CFRP as a reinforcement to calcu-
late the equivalent cross-section in addition to the cracked cross-section. In the
SAP2000 model, by calculating iteratively to determine the location of the neutral
axis in a separate study, the moment of inertia for the cracked beam with a
specific CFRP and beam reinforcement is computed with a modifier of 0.06 for
the moment of inertia. This process is more rigorous than using the ACI’s cracked
cross-section.
• Two situations are considered: the first group of 7 square 35 cm-piles, and the
second one is 11 square 28 cm-piles, symmetrically distributed under the raft. This
is intentionally modeled to study the effects of the pile intensity on the response
of the superstructure and the possibility of settlement reduction, together with
validating the assumption the closer pile spacing, the smaller displacement, and
settlement, especially for small size of rafts [1]. Alternatively, the pile spacing
reflects the uncertainty of modeling the foundation in SSI. The high frequency of
the fourth mode of response implies SSI is remarkably significant. By investigating
a small boundary, with the same volume of the piles, the frequencies of the overall
system increase because of the higher stiffness.
• The outer pile supports more load than the inner one. This working characteristic
is well agreed with the real response of the pile foundation in cohesive soil. For
piles in sand, it is predictable the contrary trend, in which the inner piles would
support more load than outer ones.
66 T. H. Duong and P. T. Nguyen

• For a cracked beam strengthened with CFRP, it is rather difficult to model numeri-
cally the structure for a dynamic analysis concerning the SSI of a piled raft founda-
tion. Nevertheless, the rigor for this reliability analysis is tentatively ensured when
various kinds of uncertainties are concerned and quantified, the results obtained
by TH and RS are accordingly correlated, and the values of responses are reason-
able as the moment of inertia of cross-sections is calculated by two independent
algorithms [15, 16].
• Although nine factors are studied, there might be some dominant factors governing
the reliability by applying an analysis of variance (ANOVA) [19].
• It is necessary to examine the resistance of each random variable used in this study.
The variable of soil depends on the load during the soil-structure interaction. In
the other words, the exact value of the soil properties, i.e., strength parameters by
which the bearing capacity for pile and raft is determined depends on the load-
settlement curves. This issue may be overcome by using the “square root of the
sum of the square” law or SRSS, as
/
μ R = μ S + β · σz = μ S + β · σ S2 + σpile
2
+ σraft
2
(10)

in which μ S σ S is the mean value of the load, respectively; σpile is the standard
deviation of the pile resistance and the same σraft for the raft resistance.
• This study takes the response at LS condition in pushover analysis to be the
threshold values, and the envelope values, i.e., maximum and minimum values
of the response are taken into account. The threshold values should be somewhat
that is obtained by the regulation, or at least as prescribed in Table 3 instead.
• The time-variant reliability could be analyzed by considering the response in
ranges of time steps and applying the moving average techniques [30],

E(FS) − 1
βdyn = (11)
σ (FS)

in which FS would be the safety factor for a specific limit state, i.e., the ratio
of the capacity divided by the demand; E(FS) and σ(FS) are the mean value and
the standard deviation of the SF, respectively. This would be a further study in the
future.

5 Conclusion

This reliability analysis takes various conditions of uncertainties into account. Five
categories of random variables are of the earthquake intensity (i.e., the duration of the
quake and the intensity, group A, three variables), the materials of the superstructure
and piled raft, together with their stiffness (group B, four variables), the soil (group C,
shear modulus), epistemic uncertainty or mode of analysis (group D, two variables),
Reliability Analysis of a System of CFRP Structures on the Piled… 67

and boundary for analyzing (group E). A numerical 2D model that combines a 10-
story frame to a piled raft foundation with absorbent boundaries is developed. For
the superstructure, a modifier of the moment of inertia for a cracked cross-section of
CFRP-strengthened beams (with a reference to ACI recommendation as in Table 1),
and a reduced modulus E for simulating the unit-slice model for the planar frame of
the building; for the sub-ground foundation, solid element for raft and frame element
for piles are modeled. The two techniques of modeling the superstructure ensure an
acceptable rigorousness in obtaining the proper response of the structure. TH and
RS load cases in 12 combinations would supply the database for calculating the
reliability index considering all the possible values of the variables involved. Limit
safety LS level of performance for beam in the displacement-control PO analysis
is chosen as the ultimate state for calculating the safety factor, and the value of
LSFs in the earthquake. All the TH, RS, and PO use the acceleration in x-direction
as the load exerting on the structure. A lot of data obtained could be useful for a
reasonable analysis of reliability. Results indicate a broader domain of foundation
basically yields the larger values in displacement and fundamental frequency of the
SSI system.
For time-invariant reliability, the maximum and the minimum values are consid-
ered. This index would be for strength LSFs with the factored load condition.
Although the “weak beam, strong column” concept is intentionally applied to this
problem, the frame with cracked beams strengthened with CFRP, resting on a piled
raft foundation, subjected to an earthquake with soil-structure interaction has very
low reliability, largely for lacking the relevant measure of energy dissipation such
as base isolation, or tuned dampers. Such a further study should be conducted in the
future.

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Research on Crack Extension Resistance
and Remaining Strength
of High-Strength Concrete Using
Nano-silica

Thi Cam Nhung Nguyen , Van Thuc Ngo , Tien Thanh Bui ,
and Viet Hung Tran

1 Introduction

The cracking of concrete is one of the topics that are focused on research. Mate-
rials and structures made from concrete are prone to cracking due to various reasons.
According to Van Mier [1], cracking in concrete is due to the disconnection of aggre-
gate particles and cement mortar or broken aggregate itself. In the curing process,
there will inevitably be internal micro-cracks, which will grow and be connected
to form some distinct cracks because of the change in temperature and load during
extraction. With the propagation of cracks, fractures can occur on concrete structures.
In order to analyze the fracture mechanism and crack behavior of concrete, assuming
that the concrete is intact while working in the elastic behavior, the concrete material
is homogeneous. The fracture of concrete begins with the appearance of micro-
cracks dispersed in adverse bearing areas, as the load continues to increase, these
micro-cracks tend to concentrate on creating large cracks that may be observed.
The crack extension resistance is considered a vital characteristic to describe the
crack propagation of concrete. Many authors have studied that the crack extension
resistance curve in concrete from the crack starts to appear until it is ultimately
damage. Examples are the studies Hilsdorf and Brameshuber [2], Karihaloo [3], Mai
[4], Bazant and Jirasek [5], Planas et al. [6], Xu and Reinhart [7, 8], Kumar and Barai
[9], Dong et al. [10]. Among them, the proposed method to evaluate according to the
K R curve was performed by Xu and Reinhardt used very common. According to the
research of Reinhardt and Xu, the essential relationship is between the cohesive forces
operating in the cohesive cracks and the K R crack curves for the complete fracture

T. C. N. Nguyen · T. T. Bui · V. H. Tran

University of Transport and Communications, Hanoi, Vietnam
V. T. Ngo (B)
Mien Tay Construction University, 20B Pho Co Dieu Street, Ward 3, Vinh Long, Vietnam
e-mail: nvthuc34@[Link]

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2023 71
R. V. Rao et al. (eds.), Recent Advances in Structural Health Monitoring
and Engineering Structures, Lecture Notes in Mechanical Engineering,
[Link]
72 T. C. N. Nguyen et al.

in concrete when considering cohesion forces along the region. Cohesive cracking is
regarded as a significant factor. In this method, the crack extension resistance K R is
obtained by a combination of the initial crack toughness K Iinic , which is the inherent
toughness of the material against the occurrence of a propagation crack and K IC is
cohesion toughness as a result of the contribution of cohesive stress along the length
of the cracking process.
Besides, according to Wu’s research [11], the existence of a crack with a specific
length in concrete can still indicate the working state of a structure. An analytical
method to predict the remaining strength of the HSC structure using NS post-crack
using the fracture working method is based on previous research approach by Hiroshi
Tada [12] and Wu [11]. According to Wu, the remaining strength of any cracked
concrete structure component will be proportional to the U R /U T ratio and the ratio
of the crack length to the height of beam a/D, or the non-cracked part of the beam
height (D−a)/D. Therefore, it is possible to predict the remaining strength of cracked
concrete structures by using the work of fracture and the ratio of the crack propagation
length of the structure.
Currently, NS is widely used for research, along with the reduction of indus-
trial production costs, the use of NS materials has received a special attraction
for researching concrete and HSC [13]. The use of nano-silica (NS) in concrete
has been well documented, which can significantly improve the mechanical prop-
erties and durability of concrete [14–18]. The incorporation of NS materials into
the mix concrete to improve mechanical properties has become a promising field
of research. The silica nanoparticles are characterized by a large surface area ratio
and high activity potential. Nanometer-sized silica particles help activate the hydra-
tion reactions of cement and the removal of less durable components in concrete
Ca(OH)2 producing better performance pozzolans gel products. This process makes
the concrete structure consistency, develops early strength, increases compres-
sive strength, tensile strength, water anti-permeability, chloride permeability [16].
Besides, the fracture characteristics of concrete using mineral components such as fly
ash, silica fume, and nano-silica in high-strength concrete have paid much attention
to research [19, 20]. The fracture of structures designed with high-strength concrete
is characterized by high brittleness, so the presence of ultrafine material will signif-
icantly change the behavior of cracking of concrete. The increased toughness of
concrete is explained by bridging higher cracked surfaces in the presence of ultrafine
particles. The study used analytical methods of fracture models in concrete to deter-
mine the effect of NS on the crack extension resistance and the remaining strength
of the post-crack of HSC.
Research on Crack Extension Resistance and Remaining Strength … 73

2 Experimental Fracture Characteristics of HSC Using NS

2.1 Preparing for Experimental

• Materials
Materials include cement with PC40, coarse aggregates are basalt with Dmax of
12.5 mm, fine aggregates are sand with a module greater than 2.7, superplasticizer
(Viscocrete 3000-20 M), silica fume (sikacrete PP1), and nano-silica. Investigate
the use of NS with dimensions ranging from 5 to 50 nm and a typical surface area
of 200 ± 25 m2 /g (Fig. 1).
The results of SEM analysis to analyze the size and shape of nano-silica are shown
in Fig. 2. The nanoparticles are spherical in shape and have an average size of
about 13 nm.

• Mix Proportions

Fig.1 Materials for experimental

Fig. 2 Results of SEM analysis

74 T. C. N. Nguyen et al.

Table 1 Material composition of HSC using NS

Mix code Material compositions (kg/m3 )
PC CA FA SF NS SP (liter) W W /B
NS0.0 544.2 1049 674.6 28.60 0.00 5.44 154 0.27
NS0.5 541.3 1049 673.6 28.60 2.86 6.53 154 0.27
NS1.5 535.6 1049 671.6 28.60 8.59 7.62 154 0.27
PC Portland cement, CA coarse aggregate, FA fine aggregate, SF silica fume, NS nano-silica, SP
superplasticizer, W water, B binder

Fig. 3 Sample of three-point bending with a notch used in the experimental

HSC with NS is designed with a typical compressive strength of 70 MPa calculated

using the ACI method. For the fracture characterization test, HSCs with 0, 0.5,
and 1.5% NS were used. The results of three compositions are shown in Table 1.

• Preparing for Sample

The beam specimen used in the three-point bending test is a prism with size of
500 × 100 × 100 mm and a notch width of 2 mm and depth of 25 mm (Fig. 3).
During casting, notches are performed on a surface that are rectangular to the
top of the sample. According to Rilem [21], test beams after 28 days, the notch
should be performed on the 21st day. cc. Each mix proportion was prepared with
six samples for testing.

2.2 Experimental Results

During the test, crack mouth open displacement, deflection in the middle of the
beam, and the corresponding load were recorded until the beam was utterly damage.
Samples of HSC beams have cracks developed in a relatively narrow vertical plane.
Cracks are formed from the notch and width upon the sample of the test beam.
Research on Crack Extension Resistance and Remaining Strength … 75

Observed from the experiment, it was found that it took a short time (about 1 min)
to reach the peak load. However, it took a long time after the load reaches its peak
until complete fracture, caused by the control of CMOD in the test process.
The load–deflection and load-CMOD curves are measured for all mix proportion
with silica nano-ratios varying from 0 to 1.5%. Experimental results are averaged
over six samples for each corresponding mix. The results showed that the difference
of the P-CMOD curves corresponding to the beam specimens cured up to 28 days
using nano-silica with ratios of 0, 0.5, and 1.5%, as in Fig. 5. After reaching the
peak (Pmax), the P-CMOD curve of HSC without NS has a steep slope. When the
CMOD is very small, the force value decreases quickly. When added to concrete with
the ratio of 0.5 and 1.5% NS, the result is that the P-CMOD curve has a significant
change, especially with 1.5%NS. The curves tend to grow the same in the early stages
when the concrete is still in the elasticity limit, and the difference begins to appear
when the curve is about to peak.
In the post-peak period, the curve of HSC using NS has a slope of less than HSC
control. Figure 4 shows that the force value decreases with the growth of the slower
CMOD when comparing the same value of CMOD. The load valuation of specimens
using NS was maintained higher than the non-NS specimens.
The load–deflection relationship curves (P-δ) of HSC using NS are shown in
Fig. 5. For HSC using NS, P-δ curve will be thicker, the curve’s nonlinear period is
longer, and the load slowly decreases. Observation P-δ curves on Fig. 5 show that
the area under the curve (work of fracture-W F ) of the graph varies with the NS ratio.
To calculate the area under the P-δ curves, use the integral method. W F increased by
21.4% when the NS ratio was 0.5% and by 58.71% when the NS ratio was 1.5%.

Fig. 4 Effect of nano-silica

in P-CMOD
76 T. C. N. Nguyen et al.

Fig. 5 Effect of nano-silica

on P-deflection

3 Calculation of Crack Extension Resistance HSC Using NS

To assess the effect of nano-silica on the crack extension resistance of concrete,

the K R (Δa) evaluation method based on the bilinear softening law of Xu et al. will
be applicated [22]. The K R crack propagation resistance is obtained in this method
by combining K Iinic , which is the available toughness of the material counteract the
occurrence of cracks, with cohesive toughness K IC as a result of the contribution of
cohesive stress along the crack length.

K R = K Iinic + K IC (1)

According to Xu and Reinhardt [23], the general formula for calculating the
cohesion strength for three-point bending tests of beams is as follows:

(a (x a ) √
K IC (Δa) = 2σ (x)F1 , / πadx (2)
a D
a0
( x a ) 3.52(1 − x/a) 4.35 − 5.28x/a
F1 , = −
a D (1 − a/D)3/2 (1 − a/D)1/2
( )
1.30 − 0.30(x/a)3/2 x { ( x)a }
+ √ + 0.83 − 1.76 1− 1− (3)
1 − (x/a)2 a a D

Four distinct crack propagation sites characterize the fracture stages [23]. The
first station is a = a0 , the second is a0 ≤ a ≤ ac , the third is ac ≤ a ≤ aw0 , and the
final station is a > aw0 .
Research on Crack Extension Resistance and Remaining Strength … 77

Table 2 Results of calculation the initial crack toughness

( √ ) ( √ ) ( √ )
Mix code βc Ue K ICc MPa · m K Iunc MPa · m K Iinic MPa · m
NS0.0 0.116 0.914 0.432 1.607 1.175
NS0.5 0.114 0.904 0.514 1.787 1.273
NS1.5 0.105 0.877 0.755 2.075 1.320

Fig. 6 Effect of NS on 6

HSC’s crack extension 0%NS

resistance 0.5%NS
5
1.5%NS

4
KCI (MPa.m1/2)

0
0.0 0.2 0.4 0.6 0.8 1.0
Δa/(D-a0)

The initial toughness is calculated based on a simplified method of Xu and Rein-

hardt [23]. The results are shown in Table 2. The combined initial toughness and
cohesive toughness result in crack extension resistance.
The formulations are set in a series programmed by Mathcad software to calculate
crack extension resistance. The experiment’s fracture parameters and the P-CMOD
relationship curve of high-strength concrete using NS will be used in the calculation.
The results are shown in Fig. 6.
Figure 6 shows the effect of NS on crack extension resistance as a function of load
and crack propagation length. The crack extension resistance curve for HSC with
1.5% NS has a greater beginning point than the other combination, and the values
along the crack are also much higher. The crack resistance curve results were very
similar to other results estimated by previous authors [10, 22, 24].

4 The Post-cracking Remaining Strength

The total amount of work of fracture absorbed by the beam can be determined by
Eq. (4):
78 T. C. N. Nguyen et al.

(δ
UT = W F = Pdδ (4)
0

where: U T is the total of work of fracture ([Link]); P is the load (N); δ is the deflection
obtained from a three-point bending test (mm).
At a point i on the curve P-δ, the corresponding load Pi , deflection, and crack
development length δ i , ai . The amount of work of fracture be used to create a crack
length ai designated U L , in which the remaining work of fracture corresponds to the
undamaged beam, is called U R . When the crack continues to propagate, the amount
of remaining work will be reduced, and the uncracked height is calculated by the
difference of the height of the beam D and the crack development length a.
Calculation results of the post-cracking remaining strength U R (%) of HSC beam
structure using NS are shown in Figs. 7 and 8. Results are shown in tables corre-
sponding to HSC with 0 and 1.5% NS in which U L (Δa) is the consumed strength by
the development of cracks, and the U L (Δa) results are converted to percent by total
absorbed amount of work of fracture.
Relationship of crack propagation length and remaining strength of HSC with 0%
NS.
Based on the results of calculating the remaining strength U R according to the
crack propagation length Δa in Fig. 7, the relationship between U R -Δa of HSC
without NS was built like the following Eq. 5:

URNS0.0 = −8.519 ln(Δa) + 41.296 (5)

Relationship of crack propagation length and remaining strength HSC use 1.5%
NS.
Based on the results of calculating the remaining strength according to the crack
propagation length Δa in Fig. 8, the relationship between U R -Δa of HSC using 1.5%

30
25
URNS0.0 = -8.519ln( a) + 41.296
20 R² = 0.9432
a (mm)

15
10
5
0
0 20 40 60 80 100
UR (%)

Fig. 7 Relationship of remaining strength and crack propagation length of HSC with 0%
Research on Crack Extension Resistance and Remaining Strength … 79

60
50
a (mm) 40
URNS1.5 = -15.01ln( a) + 69.106
30 R² = 0.9721
20
10
0
0 20 40 60 80 100
UR (%)

Fig. 8 Relationship of remaining strength and crack propagation length of HSC with 1.5% NS

NS was built like the following equation:

URNS1.5 = −15.01 ln(Δa) + 69.106 (6)

The post-cracking remaining strength is calculated based on the method of using

the fracture work corresponding to the crack propagation length. The results calcu-
lated based on Figs. 7 and 8 have a tendency the same. The remaining strength
decreases at each crack development stage.
In the calculation results, the post-cracking remaining strength for the same crack
development length, the calculation result of the HSC using NS was higher than the
unused type. This can explain the ability to help maintain the strength after the crack
appears of NS particles by improving the quality of the mortar and interface transition
zone of aggregate with mortar. In addition, NS particles can increase HSC’s crack
extension resistance as mentioned through the above analysis.

5 Conclusion

Based on results of this study, some conclusions could be drawn as follows:

• This research determined characteristics of HSC. The characteristics of HSC
using NS were determined through experiment and analysis, such as relationships
between P-CMOD, relationships between P-deflection, work of fracture.
• The crack extension resistance K R (Δa) of HSC using NS was calculated based on
the result of three-point bending tests notch beams. The formulas were established
based on the bilinear softening law. The results showed that initial toughness
K Iinic and cohesive toughness K IC of HSC using nano-silica were increased when
compared to the control mixture (0% NS). Thereby, it is possible to show the
ability to resist the occurrence of propagation cracks of high-strength concrete
using NS than the non-use type. In addition, the degree of influence of NS to
80 T. C. N. Nguyen et al.

cohesive toughness along the cracking is also a significant contribution to the

ability to resist crack propagation in HSC.
• The post-cracking remaining strength is assessed by the method of using the
absorbing during the fracture process. The result is the values corresponding to
the bearing capacity of the remaining load corresponding to the propagation length
Δa. Through the calculation results, it can comment that the remaining strength
of the HSC beam structure is reduced when the crack starts to develop when
using NS in the HSC mixture can significantly improve the remaining strength of
post-cracking compared to unused types.

Acknowledgements Van Thuc NGO was funded by Vingroup Joint Stock Company and supported
by the Domestic Master/PhD Scholarship Programme of Vingroup Innovation Foundation (VINIF),
Vingroup Big Data Institute (VINBIGDATA), code [Link].86.

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Evaluate the Safe Working Capacity
of the Driven Pile Deviated the Designed
Position: A Case Study in Vietnam

Bac An Hoang

1 Introduction

Vietnam is now a country with a developing economy. According to the increasing

urbanization level, more and more high-rise buildings, supermarkets, apartments are
built. For many large-scale construction projects in poor geological conditions, the
pile foundation solution is popular. During the construction of such deep founda-
tions, there are often pile problems. The most common problem is the horizontal
displacement of the pile head compared to the original design position. The Viet-
namese standard [1] already has regulations as the pile’s tolerance is not more than
0.2D for the side pile and not more than 0.3D for the middle pile when arranging
tape piles or groups of 2 and 3 rows. In fact, in many projects, after installing piles,
there is a phenomenon that the pile head has deviated beyond the allowed range.
Therefore, the designer has to recalculate the load capacity of the pile, which is very
complicated, leading to an increase in cost and progress of construction [2–5]. There
are cases where the position deviation of the pile is within the allowable range but
still endangers the working of the pile.
There are not many studies on the deflection of piles affecting the bearing capacity
of piles, as Budi and Wijaya [6] studied the precision of pile foundation position
compared to its original predetermined location. Huang [7] studied the acceptable
tolerance of driven piles with position deviation. Silva et al. [8] used order statistics
when predicting pile foundation failure probability. Amir and Ahmad [9] is carried
out to design and reanalyze the pile cap due to eccentricity. In Vietnam, there are many
studies on piles. Still, the primary studies on pile load capacity as Vo [10] studied the
bearing capacity of piles taking into account the influence of the surrounding ground

B. A. Hoang (B)
University of Architecture Ho Chi Minh City (UAH), 196 Pasteur, District 3, Ho Chi Minh City,
Vietnam
e-mail: [Link]@[Link]

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2023 83
R. V. Rao et al. (eds.), Recent Advances in Structural Health Monitoring
and Engineering Structures, Lecture Notes in Mechanical Engineering,
[Link]
84 B. A. Hoang

displacement. Nguyen and Pham [11] recommended the method to determine the
reliability of pile foundations in construction. Trinh [12] studied the prediction of
the load-settlement relationship of piles from the results of static compression of
piles. Also, studies on the influence of position tolerance on pile load capacity are
not yet available. Therefore, this study proposes a method of evaluating the safe
working of piles, considering the influence of pile axis deviation and other factors,
thereby making recommendations to designers and builders. The reliability theory is
applied to simulate the state function with random parameters, thereby determining
the pile’s bearing capacity reliability.

2 Theoretical Method

2.1 Calculation Load Per Pile

According to [13], consider the foundation as a frame structure, under axial load,
shear force, and bending moments. For a foundation with vertical piles, the calculated
load N j per jth pile shall be admissible to be determined as per the formula:

N Mx y j My x j
Nj = + n 2
+ n 2
, (1)
n i=1 yi i=1 x i

where:
N the calculated axial force;
Mx , My the calculated bending moments, concerning the main central axes x, y of
the pile layout in the flatness of the footing of the foundation grillage;
n the number of piles in the foundation;
xi , yi the distances from the main axes to the axis of each ith pile;
x j, yj the distances from the main axes to the axis of each jth pile, for which is
calculated.

2.2 Limit State Function and Reliability Analysis

The single pile in the foundation’s structure and beyond its boundaries, for the load-
bearing capacity of the base soil, the equilibrium equation to be satisfied in the
ultimate limit state design of axially loaded piles in compression is:

Nc, d ≤ Rc, d (2)

where:
Nc, d the calculated load to be transferred to the pile;
Evaluate the Safe Working Capacity of the Driven Pile … 85

Rc, d = Rc, k .γ0 (γk .γn ) the calculated load-bearing capacity of the pile;
Rc, k the standard bearing capacity of the pile;
γ0 the coefficient of working conditions;
γn the confidence coefficient of the importance of the
building;
γk the soil reliability coefficient is taken according to [13].

Assuming the occurrence of the failure of the pile when condition (2) is not
satisfied, therefore, a hypothetical boundary distinguishing between the safety and
failure states (so-called limit state function) of the pile is given by the following
equation:

Rc, d − Nc, d = 0 (3)

Both Nc, d and Rc, d are generally random variables, and the validity of inequality
(2) cannot be guaranteed, i.e., with the probability equal to 1. The essential objective
of reliability theory is to assess the probability of failure pf and find the necessary
conditions for its limited magnitude. Thus, the probability of failure can be formulated
as:
 
pf = P Nc, d > Rc, d , (4)

Assumed that variables Nc, d and Rc, d are random variables. Then, the difference
M (called the reliability margin) has a normal distribution:

M = Rc, d − Nc, d (5)

Distribution of M has mean μM = μRc, d − μNc, d , standard deviation (σ M ), and

probability density ( f (m)).
When Nc, d and Rc, d are independent random variables, we have:

∞
   
f (m) = g m + n c, d f n c, d dn c, d , (6)
−∞

 
With g m + nc, d —probability density of pile’s load capacity, the variable is
m + n c, d ; f n c, d —probability density of load per pile.
Reliability of structure:

∞ ∞ ∞
   
R = P(M > 0) = f (m)dm = g m + n c, d f n c, d dn c, d dm, (7)
0 0 0

Thus, the probability of failure is given:

86 B. A. Hoang

0
Pf = P(M < 0) = 1 − R = f (m)dm, (8)
−∞

In practice, there is often not enough statistical data to determine the specific
density function of each variable. To obtain an analysis of the probability of failure
or safety determined by expressions (7 and 8), using FORM [14] can approximate
reliability.

2.2.1 FORM Method [14]

If the safety interval M is nonlinear for the variables X i , it can be linearized by keeping
only the linear terms using the Taylor series expansion at the point (X 1 , . . . , X n ) =
(μX1 , .., μXn ):

  n
∂f
M = f X = f (μX1 , .., μXn ) + (X i − μxi ), (9)
i=1
∂ Xi

In which: ∂ f ∂ X i is calculated at the mean (μX1 , .., μXn ).
From this expression, with the variables being uncorrelated, the approximate
values of the expectation and the variance of M are

μ M ≈ f (μX1 , .., μXn ) (10)

n  2
∂f
σM2 ≈ .σ X2 i (11)
i=1
∂ Xi

Then, the β index [14] can be calculated

μM
β= (12)
σM

If the variables X i have a normal distribution, then there is a relationship between

the probability of failure and the β index, with:

Pf = (−β) ⇔ β = − − 1(Pf ) (13)

Considering the pile cap as shown in Fig. 1, the pile at the boundary has maximum
compressive force.
Determine the state function from (2) for pile number 1 in Fig. 1 is:

N1 ≤ Rc, d → M = Rc, d − N1 (14)

Evaluate the Safe Working Capacity of the Driven Pile … 87

a) b) c) y
y x1
x1
N My

y1
2 1 1

a/2
x x 1'

h
1
y
a/2
1 4 3 1
a/2 a/2
a/2 a/2
y 1-1

Fig. 1 Pile cap

which: N1 force on the pile N 0 1;

From (14), consider a foundation with n piles, whose coordinates are random
quantities, we can determine the mean and standard deviation of M as follows:

N Mx μy My μx
μM = μRc, d − μN1 = + n 12 + n 12 (15)
n μ
i=1 yi i=1 μxi

⎛ 2 ⎞ 21
n
My x12 σ 2 2
x
⎜ σx1
2
n − 2M y n  + 4My2 x12 i=2  ⎟
xi i
⎜ x 2 2 2 n 2 4 ⎟
⎜ i=1 i x
i=1 i i=1 ix ⎟
σM = ⎜ 2 n ⎟ (16)
⎜ 2 σ 2 2⎟
⎝ M x y i=2 yi y i ⎠
+σy12
n 2
− 2Mx n 1 2 + 4Mx2 y12 n 4
i=1 yi
2 2
i=1 yi i=1 yi

However, the disadvantage of this method is the complex state function when the
number of variables is many. In that case, the Monte Carlo simulation method has
the advantage of being an accurate and powerful technique to analyze this problem.

2.2.2 Monte Carlo Method

Nc, d and Rc, d often do not know in advance or have no explicit mathematical expres-
sions, or maybe they are not independent variables. In that case, it is best to represent
the essential variables xi , i = 1, 2, . . . , n, which are statistically independent and
have known distribution functions. The Monte Carlo method creates a set of values
for different representations of xi for each primary variable and thereby determines
the corresponding values of the safety margin [14].

m = f (x1 , . . . xn ) = f (x), (17)

88 B. A. Hoang

Fig. 2 Flowchart of Monte

Carlo simulation

By generating random numbers, this process is repeated many times to create a

large set of n values, simulated the probability distribution of the quantity M. So,
the probability of failure is formulated as:

k
Pf = P(M ≤ 0) = lim (18)
n→∞ n

In which: n—the total number of tests, k—the number of trials with f (x) ≤ 0
(Fig. 2).

3 Numerical Example

3.1 Example Description

Consider a typical building, and the structure consists of concrete reinforced (Fig. 3),
built-in Ho Chi Minh city. The building is located in the wind region II-A. Impact
load: self-weight of structure and equipment. According to [15], the standard value
Evaluate the Safe Working Capacity of the Driven Pile … 89

D
F1 F2 F2 F2 F1

L
C
F2 F3 F3 F3 F2

L
B

F2 F2 F2

L
F1 F1
A
B B B B B

1 2 3 4 5 6

Fig. 3 3D model of building structure and foundation plan (pile layout)

Table 1 Input parameters

Pile cap Design load
N (kN) Mx (kNm) Q y (kN) My (kNm) Q x (kN) N1 (kN) Rc, d (kN)
Pile cap F1 −2297.4 −130 −47.3 212.62 68 746.2 900
Pile cap F2 −3606 −122.8 −39.7 309 100 718 900
Pile cap F3 −5701.2 −191.29 −57.9 441.5 123 818 900

of wind pressure is determined as W0 = 0.83 kN/m2 . Analysis results indicated that

the dangerous combination of internal forces at the base of the column to calculate
the foundation (Table 1). Diameter of pile D = 0.5 m, pile spacing: a = 0.75 m; c =
1.1 m; d = 1.1 m (Fig. 4).

3.2 Statistic Properties of Random Variables

The random variable is used for reliability analysis as follows (Table 2):
• Tolerance of the pile axis expressed through the standard deviation coordinates of
the pile axis in two directions is σxi , σyi = (0.15–0.6)D; the correlation coefficient
is CVxi , CVyi = 0.15–0.6;
• In [16, 17], it was shown that, due to climate change, the variation and maximum
wind speed in Vietnam tend to increase gradually. So in this study, the author
has included wind load as a random factor in the reliability analysis. Wind load
causes significant lateral force in buildings. It increases the moment, the shear
force at the column foot, and increases the axial force at the boundary columns of
90 B. A. Hoang

a) b) c)
y y y
4 3
2 1 4 3

a/2 a/2
x x 8

c
a
4 3 x 5 2 x 5 2

c
x x
a/2 a/2

c
y 6 1
6 7 1

c
a/2 a/2
y
d d
y

Fig. 4 Pile cap: a F1 —4 pile cap, b F2 —6 pile cap, c F3 —8 pile cap

Table 2 Statistic parameters of random variables

S. no. Property Random Mean, μ Std. deviation, σ CV Probability
variables distribution
1 Coordinates xi , yi μxi , μyi (0.15–0.6).D 0.15–0.6 Normal [19]
2 Wind pressure, W0 μWo (0.05–0.3).μWo 0.05–0.3 Gumbel [18,

daN m2 19]
3 Bearing Rc, d μRc, d 0.05.μRc, d 0.05 Normal [19]
capacity of pile

the building. The variations in wind loads significantly affect the load per pile in
the foundation; with the mean value of wind speed is V0 = 36.8 m/s, the standard
deviation of wind speed is σVo = 0.9–6.1 m/s, then CVVo = 0.024–0.166 and
correspondingly CVWo = 0.05–0.3 [18].
• According to [10], if considering the influence of the surrounding ground displace-
ment, the bearing capacity of piles is not significantly different from the static
pile load test results (from 4.6 to 4.8%). Therefore, the author uses the standard
deviation of the pile bearing capacity of 5% in the survey cases in this study.

3.3 Structural Design Case and Reliability Estimation

Analyzing the reliability of the capacity of the boundary piles when considering the
influence of the random factors in the following cases (Table 3):
 
Case 1: due to the deviation of coordinates of the pile axis σx , σy ;
Case 2: due to variation of wind load (σWo ).
Evaluate the Safe Working Capacity of the Driven Pile … 91

Table 3 Cases of analysis

S. no. Survey cases Coefficient of variation, CV
CVxi , CVyi CVW0
1 Case 1 g1 ≈ 0.05 0.15, 0.2, 0.25, 0.3, 0.4, 0.45, 0.5,
0.55, 0.6
g2 ≈ 0.10 0.15, 0.2, 0.25, 0.3, 0.4, 0.45, 0.5,
0.55, 0.6
g3 ≈ 0.15 0.15, 0.2, 0.25, 0.3, 0.4, 0.45, 0.5,
0.55, 0.6
g4 ≈ 0.20 0.15, 0.2, 0.25, 0.3, 0.4, 0.45, 0.5,
0.55, 0.6
2 Case 2 g1 ≈ 0.05 0.05, 0.1, 0.15, 0.2, 0.25, 0.3
g2 ≈ 0.10 0.05, 0.1, 0.15, 0.2, 0.25, 0.3
g3 ≈ 0.15 0.05, 0.1, 0.15, 0.2, 0.25, 0.3
g4 ≈ 0.20 0.05, 0.1, 0.15, 0.2, 0.25, 0.3
3 Case 3 g1 ≈ 0.05 0.2 0.05, 0.1, 0.15, 0.2, 0.25, 0.3
g2 ≈ 0.10 0.2 0.05, 0.1, 0.15, 0.2, 0.25, 0.3
g3 ≈ 0.15 0.2 0.05, 0.1, 0.15, 0.2, 0.25, 0.3
g4 ≈ 0.20 0.2 0.05, 0.1, 0.15, 0.2, 0.25, 0.3

Case 3: consider the simultaneous effect of wind load (σWo ) and pile axis deviation
(σx , σy = 0.2D);

Each
 case
 is surveyed
  with gi (which varies with different M values), where
gi = μMi μRc, d .γ0 γn is the ratio between the mean of M and mean of Rc, d ,
where i = 1, 2, 3, 4 is the sequence number for the value of Mi which has changes
(Table 3).
Use the MATLAB program to assess the reliability of the capacity of the pile by
implementing Monte Carlo simulation, with N = 105 samples (Fig. 3).

4 Result and Discussion

To estimate the reliability of the structure, refer to [20] for buildings and offices with
lifetime t = 50 years; the recommended value is index β = 3.8 (reliability level RC2).
The analysis results for three foundations F1 , F2 , F3 have the density of coordinates
x1 , y1 , load per pile N1 , safety margin M, reliability Ps , probability of failure Pf ,
and reliability index β. Figures 5 and 6 presented the density of random variables for
piles in foundation F1 with coordinate deviation σx = σy = 0.2D, g2 = 0.1 (Fig. 7).
Figure 8 and Tables 4 and 5 show the relationship between reliability (Ps ) and
standard deviation of pile coordinates with three values of safety margins for foun-
dation F1 , F2 , F3 . Considering the influence of pile coordinate deviation, the larger
92 B. A. Hoang

Fig. 5 Probability density function (PDF) of coordinate (x1 , y1 ), pile load-bearing capacity (Rc, d ),
load per pile (N1 )

Fig. 6 PDF of pile load-bearing capacity (Rc, d ) and load per pile (N1 ); PDF of safety margin (M)

the safety margin (M), that the more reliable the pile’s load-bearing capacity; a foun-
dation with a large number of piles (F3 has eight piles, F2 has six piles) has higher
reliability of pile bearing capacity than a foundation with a small number of piles
(F1 has four piles);
• Ratio g1 ≈ 0.05: deviation pile coordinates σx , σy = 0.15D, foundation F1 has
low pile reliability with β = 2.78, Ps = 0.9973 at σx , σy from 0.2D has β = 2.13
and Ps = 0.983; with foundation F2 , σx , σy from 0.2D, the reliability of the pile
Evaluate the Safe Working Capacity of the Driven Pile … 93

Fig. 7 Representation of the failure zone of the pile with a margin of safety g(X) = 0

Fig. 8 Analyze the reliability of the structure according to the variations CVx , CVy
94 B. A. Hoang

Table 4 Characteristics of reliability of cases with a standard deviation σx , σy

S. Characteristic reliability Variable coefficients of pile coordinate, CVx , CVy
no. 0.15 0.2 0.25 0.3 0.35
1 g14 ≈ 0.05 Ps 0.997303 0.983628 0.95978 0.933479 0.909901
β 2.782479 2.135211 1.74819 1.502213 1.340146
g24 ≈ 0.10 Ps 1.00 1.00 0.99999 0.999782 0.998905
β > 5.2 5.167055 4.1756 3.517305 3.063221
g34 ≈ 0.15 Ps 1.00 1.00 1.00 1.00 0.999999
β > 5.2 > 5.2 > 5.2 > 5.2 4.80228
g44 ≈ 0.20 Ps 1.00 1.00 1.00 1.00 1.00
β > 5.2 > 5.2 > 5.2 > 5.2 > 5.2
2 g16 ≈ 0.05 Ps 0.999978 0.999087 0.99495 0.986571 0.973586
β 4.085917 3.117233 2.57251 2.213578 1.936327
g26 ≈ 0.10 Ps 1.00 1.00 1.00 0.999999 0.999988
β > 5.2 > 5.2 > 5.2 4.808175 4.21757
g36 ≈ 0.15 Ps 1.00 1.00 1.00 1.00 1.00
β > 5.2 > 5.2 > 5.2 > 5.2 > 5.2
3 g18 ≈ 0.05 Ps 1.00 1.00 0.99999 0.999893 0.999454
β > 5.2 > 5.2 4.28177 3.702274 3.265626
g28 ≈ 0.10 Ps 1.00 1.00 1.00 1.00 1.00
β > 5.2 > 5.2 > 5.2 > 5.2 > 5.2
g38 ≈ 0.15 Ps 1.00 1.00 1.00 1.00 1.00
β > 5.2 > 5.2 > 5.2 > 5.2 > 5.2

is low with β = 3.11, Ps = 0.9949; in the foundation F3 when σx , σy from 0.3D,

the reliability of pile β = 3.7, Ps = 0.9998, is quite low;
• Ratio g2 ≈ 0.1: deviation pile coordinates σx , σy from 0.3D for F1 foundation,
then pile has reliability with β = 3.51 and Ps = 0.99978 after that Ps decreases
to a low level; in the foundation F2 , σx , σy from 0.4D, the reliability of the pile
is β = 3.78, Ps = 0.99992; pile in the foundation F3 has the reliability which is
guaranteed although σx , σy increased to 0.6D with β = 4.79, Ps = 0.1;
• Ratio g3 is 0.15: pile coordinate deviation from 0.45D for F1 foundation, pile
reliability is β = 3.83, Ps = 0.9999 and then decreases to unsafe; for foundations
F2 and F3 , the piles have high reliability with β ≥ 4.72, Ps = 0.999999 although
σx , σy increases to 0.6D;
• Ratio g4 is 0.2, piles in foundations are safe with β ≥ 4.03 Ps = 0.9999 although
σx , σy increases to 0.6D.

Table 6 and Fig. 9 investigate the pile reliability when the deviation of wind
pressure is CVW0 = 0.05–0.3 with different values of safety margins of pile load
Evaluate the Safe Working Capacity of the Driven Pile … 95

Table 5 Characteristics of reliability of cases with a standard deviation σx , σy

S. Characteristic reliability Variable coefficients of pile coordinate, CVx , CVy
no. 0.4 0.45 0.5 0.55 0.6
1 g14 ≈ 0.05 Ps 0.888738 0.871231 0.854818 0.840782 0.835207
β 1.219846 1.132231 1.057323 0.997679 0.974947
g24 ≈ 0.10 Ps 0.996592 0.992879 0.988233 0.983074 0.976943
β 2.705747 2.451109 2.264646 2.121828 1.99435
g34 ≈ 0.15 Ps 0.999989 0.999936 0.999774 0.999449 0.998837
β 4.241452 3.831733 3.507248 3.263166 3.045186
g44 ≈ 0.20 Ps 1.00 1.00 0.999999 0.999994 0.999973
β > 5.2 5.196132 4.735199 4.363326 4.039917
2 g16 ≈ 0.05 Ps 0.961847 0.952228 0.940449 0.933272 0.929281
β 1.772536 1.666852 1.558552 1.500611 1.470455
g26 ≈ 0.10 Ps 0.999921 0.999738 0.999368 0.998899 0.998295
β 3.778335 3.467932 3.224069 3.061534 2.928207
g36 ≈ 0.15 Ps 1.00 1.00 1.00 1.00 0.999999
β > 5.2 > 5.2 > 5.2 4.969539 4.726657
g46 ≈ 0.20 Ps 1.00 1.00 1.00 1.00 1.00
β > 5.2 > 5.2 > 5.2 > 5.2 > 5.2
3 g18 ≈ 0.05 Ps 0.99853 0.996922 0.995099 0.992949 0.990964
β 2.974042 2.739402 2.582747 2.45463 2.36414
g28 ≈ 0.10 Ps 1.00 1.00 1.00 1.00 0.999999
β > 5.2 > 5.2 > 5.2 5.010314 4.79482
g38 ≈ 0.15 Ps 1.00 1.00 1.00 1.00 1.00
β > 5.2 > 5.2 > 5.2 > 5.2 > 5.2
Notes gi j —i=1, 2, 3, 4 for g1 , g2 , g3 , g4 ; j=4, 6, 8 corresponds to the foundation F1 (4 piles), F2
(6 piles), F3 (8 piles); from β = 5.2, then Ps = 0.9999999 ≈ 1

capacity. It is shown that the larger the safety margin and the foundation have more
piles, the safer the working piles, as follow:
• Ratio g1 = 0.05: piles in the foundation F1 , F2 are only safe when CVW0 = 0.05
with β = 4.78, 5.35 and Ps = 1, after that reliability of piles decreases to a low
level; In the F3 foundation, with CVW0 = 0.15, the reliability of the pile is β =
3.18 and Ps = 0.99928, then decreases rapidly;
• Ratio g2 = 0.1: deviation of wind pressure CVW0 from 0.2, piles in the foundation
F1 , F2 have low reliability, respectively, β = 2.67, 3.33 and Ps = 0.996, 0.9995;
piles in foundation F3 have low reliability when the deviation of wind pressure
CVW0 from 0.25 with β = 3.36 and Ps = 0.99961;
96 B. A. Hoang

Table 6 Characteristics of reliability of cases with variable CVW0

S. Characteristic Variable coefficients of wind pressure, CVW0
no. reliability 0.05 0.1 0.15 0.2 0.25 0.3
1 g14 ≈ 0.05 Ps 1.00 0.9945 0.94393 0.86004 0.81571 0.77111
β 4.7861 2.542 1.58865 1.0805 0.89912 0.74249
g24 ≈ 0.10 Ps 1.00 1.00 0.99996 0.99624 0.98621 0.96554
β > 5.2 > 5.2 3.96363 2.6727 2.2033 1.8189
g34 ≈ 0.15 Ps 1.00 1.00 1.00 0.99999 0.99978 0.99816
β > 5.2 > 5.2 > 5.2 4.3024 3.5176 2.9036
g44 ≈ 0.20 Ps 1.00 1.00 1.00 1.00 1.00 0.99997
β > 5.2 > 5.2 > 5.2 > 5.2 4.7998 4.0198
2 g16 ≈ 0.05 Ps 1.00 0.99935 0.98918 0.92829 0.8665 0.83309
β 5.3501 3.2153 2.29678 1.46318 1.10999 0.96644
g26 ≈ 0.10 Ps 1.00 1.00 1.00 0.99957 0.99371 0.98523
β > 5.2 > 5.2 5.20752 3.3354 2.4953 2.1762
g36 ≈ 0.15 Ps 1.00 1.00 1.00 1.00 0.99999 0.99989
β > 5.2 > 5.2 > 5.2 > 5.2 4.2250 3.6840
g46 ≈ 0.20 Ps 1.00 1.00 1.00 1.00 1.00 1.00
β > 5.2 > 5.2 > 5.2 > 5.2 > 5.2 > 5.2
3 g18 ≈ 0.05 Ps 1.00 1.00 0.99928 0.97232 0.93668 0.90364
β > 5.2 4.86997 3.18687 1.916 1.5274 1.3025
g28 ≈ 0.10 Ps 1.00 1.00 1.00 0.99999 0.99961 0.99785
β > 5.2 > 5.2 > 5.2 4.1869 3.3624 2.8549
g38 ≈ 0.15 Ps 1.00 1.00 1.00 1.00 1.00 0.99999
β > 5.2 > 5.2 > 5.2 > 5.2 5.1864 4.414
g48 ≈ 0.20 Ps 1.00 1.00 1.00 1.00 1.00 1.00
β > 5.2 > 5.2 > 5.2 > 5.2 > 5.2 > 5.2

• Ratio g3 = 0.15: the piles in foundations F3 , F2 are safe; pile in the foundation
F1 has low reliability when wind pressure deviation CVW0 = 0.25, β = 3.517 and
Ps = 0.99978;
• With g4 = 0.2, the piles in all three surveyed foundations are safe with quite a
significant deviation of wind pressure of 0.3;
Next, analyzing the reliability of the pile when considering the pile coordinates
deviation CVx , CVy = 0.2, and the variation of wind pressure, the results are shown
in Table 7 and Fig. 10:
• The ratio g1 = 0.05, the piles in the foundation F1 , F2 have very low reliability
β = 1.94, 2.88 and Ps = 0.97406, 0.99804; foundation F3 , when CVW0 from 0.1
has β = 3.62 and Ps = 0.99986, pile is unsafe risk;
Evaluate the Safe Working Capacity of the Driven Pile … 97

Fig. 9 Analyze the reliability of the structure according to the variations CVW0

• With ratio g2 = 0.1, pile in foundation F1 , F2 is unsafe when CVW0 from 0.15
with β = 3.49, 4.17 and Ps = 0.99976, 0.99999 and then degree the reliability
of the pile rapidly decreases; foundation F3 , when CVW0 from 0.2 with β = 3.95
and Ps = 0.9996, the pile is unsafe;
• With the ratio g3 = 0.15, the pile in the foundation F1 is unsafe when CVW0 is
from 0.25 with β = 3.39 and Ps = 0.99966; for the foundation F2 , F3 , the pile
has guaranteed reliability;
• Ratio g4 = 0.2, piles in foundations F1 , F2 , F3 are considered safe with β from
3.78, Ps = 0.99992.
From the analysis results, it can be said that the choice of safety margin has a
significant influence on the reliability of the pile in the foundation. The larger the
safety margin, the safer the pile’s load capacity. With conventional foundation design,
the margin of safety is usually 0.1–0.15. Still, when considering the randomness of
the calculated quantities, it is necessary to choose the appropriate margin of safety,
considering the economic factor.

5 Conclusion

This study has evaluated the safety level of the pile’s bearing capacity under the
influence of random factors such as pile coordinates and pile load-bearing capacity.
98 B. A. Hoang

Table 7 Characteristics of reliability of cases with variable CVW0 and CVD = 0.2D
S. Characteristic Variable coefficients of wind pressure, CVW0
no. reliability 0.05 0.1 0.15 0.2 0.25 0.3
1 g14 ≈ 0.05 Ps 0.97406 0.95669 0.92653 0.85494 0.81424 0.76516
β 1.94411 1.71355 1.45041 1.05785 0.89363 0.723
g24 ≈ 0.10 Ps 1.00 0.99998 0.99976 0.99441 0.98348 0.95953
β 4.73235 4.15515 3.49487 2.537 2.13169 1.74529
g34 ≈ 0.15 Ps 1.00 1.00 1.00 0.99997 0.99966 0.99714
β > 5.2 > 5.2 > 5.2 4.0501 3.39411 2.76306
g44 ≈ 0.20 Ps 1.00 1.00 1.00 1.00 1.00 0.99992
β > 5.2 > 5.2 > 5.2 > 5.2 4.6283 3.78694
2 g16 ≈ 0.05 Ps 0.99804 0.9883 0.97008 0.89582 0.8575 0.82636
β 2.8851 2.26675 1.88202 1.25811 1.06914 0.93989
g26 ≈ 0.10 Ps 1.00 1.00 0.99999 0.99725 0.9908 0.98207
β > 5.2 5.0395 4.17799 2.77607 2.3573 2.09842
g36 ≈ 0.15 Ps 1.00 1.00 1.00 1.00 0.99997 0.99978
β > 5.2 > 5.2 > 5.2 4.66483 3.9934 3.51463
g46 ≈ 0.20 Ps 1.00 1.00 1.00 1.00 1.00 1.00
β > 5.2 > 5.2 > 5.2 > 5.2 > 5.2 5.25133
3 g18 ≈ 0.05 Ps 1.00 0.99986 0.99729 0.96552 0.934 0.90242
β 4.61614 3.6281 2.78042 1.8187 1.50628 1.29546
g28 ≈ 0.10 Ps 1.00 1.00 1.00 0.99996 0.99948 0.99743
β 0 7.84229 6.01517 3.95257 3.2793 2.79775
g38 ≈ 0.15 Ps 1.00 1.00 1.00 1.00 1.00 0.99999
β > 5.2 > 5.2 > 5.2 > 5.2 5.02791 4.31651
g48 ≈ 0.20 Ps 1.00 1.00 1.00 1.00 1.00 1.00
β > 5.2 > 5.2 > 5.2 > 5.2 > 5.2 > 5.2

Statistical results of the characteristics of these parameters are developed in Sects. 3

and 4.
Monte Carlo simulation was used to analyze the reliability with the state function
as the pile load capacity condition, analyzing the relationship between the random
variables and different levels of safety margin.
In standard [1], there is a regulation on the allowable deviation of the pile axis.
In some cases, even though the pile coordinate tolerance is within the permissible
range, the pile can still be potentially dangerous. In addition, the safety margin has
a significant influence on the workability of the pile. With conventional foundation
design, the margin of safety is usually 0.1–0.2. The higher the safety margin, the safer
the pile’s load-carrying capacity. Therefore, in structural calculations, the designer
Evaluate the Safe Working Capacity of the Driven Pile … 99

Fig. 10 Reliability of pile when considering the simultaneous effects of wind load and pile axis
tolerance

needs to carefully consider the number of piles in the foundation and choose an
appropriate safety margin, paying attention to economic factors.
In addition, analysis of other random effects such as the inclination of the pile,
the load-bearing capacity of the pile (according to the condition of the material,
ground soil, etc.), the type of load (the dynamic component of the wind, due to the
ground settlement, etc.), and pile size factors (section, length, etc.) continue in further
studies.

References

1. National Standard (2012) TCVN 9394:2012. Pile driving and static jacking work-construction,
check and acceptance
2. Ngoc TD (2013) Accident of deflection piles at Thang long cement grinding station—causes
and prevention measures. Collect Rep 50th Anniv Conf Inst Build Sci Technol 1-Geotec
3. Hien Q (2006) Waiting for load test. Working people [Online]. Available: [Link]
thoi-su-trong-nuoc/[Link]
4. Nam K (2016) Tilt the foundation, suspending construction of the hospital 3000 billion
VND. Youth newspaper [Online]. Available: [Link]
[Link]
5. Duy T (2017) The hundred billion project is tilted due to wrong design. Vietnamese culture
[Online]. Available: [Link]
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100 B. A. Hoang

6. Budi GS, Wijaya HC (2015) Deviation of position of piles foundation from its original designed
location
7. Huang K (2018) A research for deviation estimation analysis for driven piles foundation: a
case of Penang Second Marine Bridge
8. Silva J, Aoki N, Franco Y (2017) Use of the order statistics when predicting pile foundation
failure probability. DYNA 84:247–252
9. Amir A, Ahmad A (2016) Design and reanalysis of pile cap under eccentricity
10. Vo P (2012) Studying the bearing capacity of piles taking into account the influence of the
surrounding ground displacement. J Sci Ho Chi Minh City Open Univ 7
11. Nguyen DT, Pham VT (2009) The reliability determination method of low stage pile
foundations in construction. Marit Sci Technol 19
12. Trinh VC (2016) Prediction of the load-settlement relationship of piles from the results of static
compression of piles of reduced cross-section. J Constr Sci Technol 1
13. National Standard (2014) TCVN 10304: 2014. Pile nail—design standard
14. Rayzer VD (2010) Reliability theory of structures. Izd-vo ASV, Moscow
15. TCVN, Vietnam Standard (1995) TCVN 2737-1995, Loads and effects—design standard.
Construction Publishing House
16. Dai Minh N (2014) Experience of the Philippines in dealing with Super Typhoon Haiyan and
storm prevention solutions for low-rise buildings in our country. Sci Technol Mag 2
17. Huong CT (2010) Variations and trend of maximum wind speed in Vietnam during 1961–2007
(in Vietnamese). J Sci Univ Nat Technol 3
18. Hoang BA (2021) Safety evaluation of billboards when considering the random effects of
design parameters in the Southern Region of Vietnam. In: Structural health monitoring and
engineering structures, pp 313–329
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20. E. Standard (2002) Eurocode 0-basis of structural design. Eurocode 0
Notch Depth Identification in CFRP
Composite Beams Based on Modal
Analysis Using Artificial Neural Network

A. Zara, I. Belaidi, A. Oulad Brahim, S. Khatir, R. Capozucca,

and M. Abdel Wahab

1 Introduction

The development of composite materials remains a topical issue, given the

complexity of damage mechanisms of mechanical, physical, or environmental origin.
To ensure correct performance in different areas of use, it is necessary to consider the
resistance to damage over a long period (durability). Thus, the optimal use of these
substances requires better knowledge and careful study of the damage mechanisms
that control their behavior. These materials often suffer from a variety of hard-to-
detect damage that reduces their structural integrity. Therefore, it is necessary to find
methods to detect the location and size of damage at an early stage to prevent disasters.
Recently, researchers have focused on the development of new analytical techniques
to detect damage in composite materials [1, 2]. Among the experimental methods
available to analyze these materials, we find, on the one hand, that acoustic emission
signals represent a technique for evaluating damage mechanisms [3, 4]. On the other
hand, vibration analysis is a practical method to assess damage in composite struc-
tures based on natural frequencies. Dynamic experimental tests have been developed

A. Zara · I. Belaidi · A. Oulad Brahim

LEMI Laboratory, Department of Mechanical Engineering, University M’hamed Bougara
Boumerdes, 35000 Boumerdes, Algeria
e-mail: [Link]@[Link]
S. Khatir (B)
Faculty of Civil Engineering, Ho Chi Minh City Open University, Ho Chi Minh City, Vietnam
e-mail: Khatir_samir@[Link]
R. Capozucca
DICEA, Structural Section, Polytechnic University of Marche, Ancona, Italy
M. A. Wahab
Soete Laboratory, Faculty of Engineering and Architecture, Ghent University, Technologiepark
Zwijnaarde 903, B-9052 Zwijnaarde, Belgium

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2023 101
R. V. Rao et al. (eds.), Recent Advances in Structural Health Monitoring
and Engineering Structures, Lecture Notes in Mechanical Engineering,
[Link]
102 A. Zara et al.

on damaged composite material structures, relating their dynamic properties to the

size and position of the damage [5]. Numerical techniques have been used for flexible
shear plates based on modal analysis [6, 7]. An experimental study on four models of
RC beams with circular rods NSM Carbon-FRP has been presented in [8]. Esfahani
et al. [9] performed dynamic tests by vibration analysis on a polymer composite
reinforced with CFRP carbon fibers. Damage affects the vibratory properties and
the bending stiffness of structures due to different section reductions. Bendada et al.
[10] carried out an experimental and numerical study based on modal analysis, to
characterize and model epoxy sheets based on wooden reinforcements. Capozucca
[11] carried out experimental and theoretical studies on undamaged and damaged
carbon fiber reinforced polymer (CFRP) beams using vibration analysis. Then, an
experimental method was used to reinforce damaged reinforced concrete beams with
carbon fiber reinforced polymers (NSM-CFRP), the latter has been provided in Ref.
[12], and has proven its effectiveness in practice. Over the past three decades, several
researchers have proposed new methods for the identification of damage based on
data extracted from experimental and numerical measurements of different damage
configurations, which means the position and size of the damage. Two optimization
methods, namely bat algorithm (BA) and genetic algorithm (GA), were used to iden-
tify the location and severity of damage on structures modeled using the finite element
method (FEM), these were presented in Ref. [13]. Dinh-Cong et al. [14] used an effi-
cient optimization approach to minimize computational cost and detect damage in a
laminated composite plate. In some papers, the artificial neural network-based opti-
mization algorithm has been developed and applied to identify damage [15, 16]. A
powerful and rapid application relying on artificial intelligence with particle swarm
optimization (ANNPSO) has been used to discover the location and level of damage
in a laminated composite plate, it has been reported in [17]. The comparison between
two optimization methods genetic algorithm (GA) and particle swarm optimization
(PSO) were proposed using experimental and numerical data, for the detection and
localization of damage in composites, this comparison has been presented by [18,
19], and more another study in Ref [20]. We also mention that the application of arti-
ficial neural networks (ANN) in structural health monitoring is improved using the
Jaya algorithm [21, 22]. Therefore, this technique is more accurate in identifying the
position, size, and orientation of damage. Tran-Ngoc et al. [23] proposed a method
for the detection of damage in structures, based on a combination between the artifi-
cial neural network (ANN) and cuckoo search (CS) algorithm. They proved that the
proposed method (ANN-CS) was more precise than (ANN) for the identification of
damage.
In this work, an artificial neural network (ANN) optimization technique is studied
to estimate damage in composite structures after adapting the influential parameters
of neural networks. In a first step, the finite element models are developed using
the ABAQUS software and the results obtained are compared with the experimental
ones. In the second step, a numerical simulation is developed for several cases of
the damage that we have proposed on (CFRP) specimens by focusing on several
parameters such as: position, width, and depth. In the third step, after extracting
the numerical data we give them to the artificial neural network (ANN) to train and
Notch Depth Identification in CFRP Composite Beams … 103

validate the results. Finally, we end with a conclusion in which the results obtained
are discussed.

2 Experimental Analysis

Four CFRP specimens undamaged and damaged were manufactured and a vibration
analysis test was performed to obtain the natural frequencies. Fixed free beam was
considered as boundary condition. Next, the damaged case including double notches
crack. The configuration of the vibration test of a sample of CFRP cantilever beam
with accelerometer and impact hammer accompanied with a data acquisition system
is shown in Fig. 1.
Table 1 shows the geometric and mechanical parameters of carbon fiber reinforced
polymer laminate composite [11]
Regarding the experimental tests, a CFRP cantilever specimen was excited at
point (M), which is at 20 mm from the fixed end, by an impact hammer (Brüel &
Kjær Impact Hammer Type 8202), while the accelerometer is used to measure the
response in several points a_i with i = 1…, 4.
The natural frequencies of undamaged and damaged CFRP laminates near the
fixed end have been determined experimentally and theoretically. The position of the

Fig. 1 Set up the vibration test of the CFRP specimen: a accelerometer and impact hammer; b a
data acquisition system

Table 1 Geometric and

Geometric and mechanical parameters Value
mechanical parameters of
CFRP laminate [11] Length L [mm] 200
Width b [mm] 20.253
Thickness h [mm] 1.7
  
Young’s modulus E kN mm2 91.65
 2 
Density ρ Ns mm4 1.376 ∗ 10−9
Moment of inertia I [mm4] 8.29
104 A. Zara et al.

Fig.2 Damages Di, i =

1…,3 of CFRP cantilever
beam; accelerometer
positions a_i, i = 1…,4 and
point M for the impulse by
an impact hammer

Table 2 Theoretical and experimental first three frequencies of undamaged and damaged CFRP
beam for D0, D1, D2, and D3 [11]
Undamaged and damaged CFRP Natural frequency values [Hz] f 1 [Hz] f 2 [Hz] f 3 [Hz]
beam
D0 Theoretical 67.49 423.00 1184.53
Experimental 47.50 309.50 858.50
D1 Depth = 4 mm Theoretical 65.34 410.19 1150.20
Width = 5 mm Experimental 43 291.75 834
D2 Depth = 4 mm Theoretical 64.14 403.65 1134
Width = 8 mm Experimental 41 287.75 824.5
D3 Depth = 4 mm Theoretical 63.01 397.8 1120.2
Width = 11 mm Experimental 41 281.25 821.50

damage, excitation point M, and the accelerometer are shown in Fig. 2. Table 2 shows
the results of the experimental and theoretical frequencies of the modal analysis.
Theoretical and experimental of the first three modes in the case of undamaged
(D0) and damaged (D1, D2, and D3) CFRP beams have been presented in Table 2.

3 Finite Element Method (FEM) Analysis

ABAQUS software was used to validate the results of experimental testing of CFRP
specimens. The geometries of undamaged and damaged specimens are first created
with dimensions of 200 mm in length, 20.253 mm in width, and 1.7 mm in thickness.
The properties of the material of the test specimen are then introduced. Then, one
end of the sample beam was clamped. Then, a fine mesh of type (C3D8R: 8-node
Notch Depth Identification in CFRP Composite Beams … 105

Table 3 FEM frequency values of undamaged and damaged CFRP specimens

Natural frequency values of FEM f 1 [Hz] f 2 [Hz] f 3 [Hz]
D0 48.9 306.35 857.95
D1 Depth = 4 mm 46.40 294.50 832.15
Width = 5 mm
D2 Depth = 4 mm 45.69 292.26 829.15
Width = 8 mm
D3 Depth = 4 mm 45.47 291.04 826.11
Width = 11 mm

linear brick, reduced integration, and hourglass control) was used to mesh the beam, in
which the total number of elements is 6552. Finally, the first three natural frequencies
were obtained from FEM as shown in Table 3.
Figure 3 shows the first three mode shapes of an undamaged beam D0, and Fig. 4a–
c shows the mode shapes of damaged beams, D1, D2, D3, respectively.

Fig. 3 Mode shapes of undamaged beam D0

Fig. 4 a Mode shapes of damaged beam D1. b Mode shapes of damaged beam D2. c Mode shapes
of damaged beam D3
106 A. Zara et al.

Table 4 Comparison between experimental and FE results

Damage degree Natural frequencies f 1 [Hz] f 2 [Hz] f 3 [Hz]
D0 Experimental 47.50 309.50 858.50
FEM 48.9 306.35 857.95
Error % 2.95 1.02 0.06
D1 Experimental 43 291.75 834
FEM 46.4 294.5 832.15
Error % 7.9 0.9 0.22
D2 Experimental 41 287.75 824.5
FEM 45.69 292.26 829.15
Error % 8.8 1.56 0.56
D3 Experimental 41 281.25 821.50
FEM 45.47 291.04 826.11
Error % 10.9 3.48 0.56

3.1 Comparison Between Experimental and FEM Results

The first three natural frequencies of undamaged (D0) and damaged (D1, D2, and
D3) specimens are obtained by the FEM. They were compared with the frequencies
obtained from the experimental methods as indicated in Table 4.
From the obtained results, we can see a minimal decrease in frequencies with
increasing damage length, and the error between FEM and experimental results is
very low for the second and third mode. Thus, the results show good agreement with
the numerical values obtained by FEM and the experimental.

3.2 FEM Data for training

In this study, we have introduced other cases of damage to CFRP specimens by

focusing on several parameters such as: position, width, and depth. Figure 5 shows the
different locations of the proposed positions for the notches. So, for the identification
of specimen damage (CFRP) using artificial neural network, we can extract the data
from natural frequencies by FEM at different positions of notches and use it for
training of the neural network.

4 Neural Network Modeling

The data provided in Table 5 are used for ANN and 80% of the data is for training
and 20% is for testing and validating networks. In MATLAB, the desired inputs
Notch Depth Identification in CFRP Composite Beams … 107

Fig. 5 The location of

different positions with
depth and width of notches;
C1 next to the fixed side,
C2 in the middle, C3 in
the free side

Table 5 Input parameters for

Parameter Minimum Maximum Number of collected data
training
Target
Position Three positions –
Notch width Fixed –
Notch depth 0.5 19.5 39
Input
f 1 [Hz] 49.009 49.496 39
f 2 [Hz] 306.960 309.530 39
f 3 [Hz] 859.810 865.070 39

and outputs or targets are imported into the workspace and using the “nntool”, the
network is created using inputs and targets. ANN model has a multi-layered structure
that is connected by nodes with three main layers, namely, the input layer (3), the
hidden layer (s) (10 neurons), and the output layer (notch depth) see Fig. 6. The ANN
architecture is shown in Fig. 7.
The notches depth are taken as an output parameter; frequencies ( f 1 , f 2 , f 3 ) are
selected as inputs parameters for each study. The input parameters required for data
training are provided in Table 5.

Fig. 6 Neural network model

108 A. Zara et al.

Fig. 7 ANN architecture

4.1 Results and Discussion

The regression and the best validation performance are shown in Figs. 8 and 9,
respectively, to predict the notch depth based on the frequencies ( f 1 , f 2 , f 3 ) using
39 collected data.
Inputs are considered the first three modes frequency ( f 1 , f 2 , f 3 ) to predict
different notch depth. The provided results are plotted in Fig. 10. The errors between
exact and predicted notch depth for three scenarios using ANN method are shown
in Fig. 11.
Tables 6, 7, and 8 summarize the results of three inputs (different positions), and
compared with the exact notch depth. Next, the errors are computed for each scenario
to study the effectiveness of ANN.
Based on the provided results in Tables 6, 7, and 8, we can conclude that ANN
can detect the notch depth with high accuracy.

Fig. 8 Regression analysis of ANN: a next to fixed side (C1), b in the middle (C2), c in the free side
(C3)
 Notch Depth Identification in CFRP Composite Beams …

Fig. 9 Performance analysis of ANN: a next to the fixed side (C1), b in the middle (C2), c in the free side (C3)
109
110 A. Zara et al.

Fig. 10 Predicted notch depth using 39 collected data

Fig. 11 Error of predicted notch depth using 39 collected data

Table 6 Result for the first position (C1)

Scenario f 1 [Hz] f 2 [Hz] f 3 [Hz] Actual notch depth Predicted ANN [mm] Error %
[mm]
1 48.242 302.84 849.19 4.5 4.482 0.400
2 46.131 292.6 821.48 9.5 9.465 0.368
3 42.043 275.45 764.43 14.5 14.508 0.055

Table 7 Result for the second position (C2)

Scenario f 1 [Hz] f 2 [Hz] f 3 [Hz] Actual notch depth Predicted ANN [mm] Error %
[mm]
1 48.905 303.76 859.48 5 5.066 1.32
2 48.521 294.47 853.79 10 9.968 0.32
3 47.633 276.44 809.9 15 14.954 0.307

Table 8 Result for the third position (C3)

Scenario f 1 [Hz] f 2 [Hz] f 3 [Hz] Actual notch depth Predicted ANN [mm] Error %
[mm]
1 49.13 307.63 861.45 4 4.131 3.275
2 49.243 308.27 862.93 9 8.965 0.389
3 49.364 308.93 864.38 14 14.038 0.271
Notch Depth Identification in CFRP Composite Beams … 111

5 Conclusion

In this work, we presented an approach focused on artificial neural networks to

identify notch depth in CFRP beam based on modal analysis. First, the experimental
tests of damaged and undamaged CFRP specimens were validated when a numerical
simulation was performed based on FEM using ABAQUS software.
From this study, we proposed three damage scenarios in CFRP specimens by
focusing on several parameters such as: position, width, and depth. Then, based on
the numerical data extracted by the FEM using ABAQUS software from the three
proposed positions, we used a novel approach to the artificial neural network for the
identification of notch depth in CFRP specimens with different positions.
In this work, the main results are presented below:
• The experimental and numerical analysis values show good agreement with a low
percentage of error especially the second and the third mode.
• The presence of damage in structures causes a decrease in natural frequencies.
Thus, the rigidity of the structure decreases.
• The values of natural frequencies obtained by FEM from the three proposed
positions are used for training in the artificial neural network (ANN) for the
notch depth identification in CFRP specimens with different positions. Thus, the
maximum error percentage between predicted (ANN) and actual (FEM) outputs is
less than 3.3%, indicating that the ANN can detect notch depth with high accuracy.

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Characteristics of Sea Surface
Temperature Fronts Along Vietnamese
Coast

Tu Tran Anh, Cuong Nguyen Kim, Ha Tran Thu, and T. Vu-Huu

1 Introduction

The oceanfront is one of the essential elements in oceanography. Ocean fronts are
sharp boundaries between different water masses and different types of vertical struc-
ture (stratification) that are usually accompanied by enhanced horizontal gradients of
temperature, salinity, density, nutrients, and other properties [1, 2, 4, 5]. Sea surface
temperature front is the most basic form of oceanfront. There is always a difference
in temperature in all oceans and seas in separate areas. This difference may be due
to the non-uniform distribution of the solar radiation field, the infiltration of water
masses, the water transport of circulation, or the difference in physical and nutri-
tional factors. Thus, research on sea surface temperature front can help identify the
distinction on physical conditions in large water areas. It is possible to determine the
boundaries of water masses or the boundaries of significant flows [11, 21, 22].
Sea surface temperature data (SST) obtained from satellites has been used to study
Pacific fronts since the 1970s [16]. Previous studies have focused on fronts associated
with western boundary flows, such as the Kuroshio [19] and the East Australia flow
[18]. The fronts associated with eastern boundary flows and coastal upwelling areas

T. T. Anh
Institute of Marine Environment and Resources (IMER-VAST), Haiphong City 18000, Vietnam
C. N. Kim
VNU University of Science, Hanoi 100000, Vietnam
H. T. Thu
Quangninh Department of Natural Resources and Environment, Quangninh Province 01100,
Vietnam
T. Vu-Huu (B)
Faculty of Civil Engineering, Vietnam Maritime University, 484 Lach Tray Str., Hai Phong,
Vietnam
e-mail: [Link]@[Link]

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2023 113
R. V. Rao et al. (eds.), Recent Advances in Structural Health Monitoring
and Engineering Structures, Lecture Notes in Mechanical Engineering,
[Link]
114 T. T. Anh et al.

[10] have been studied in areas such as the California flow [23, 24] and the Peru-
Chile flow [6, 13].
In the East Vietnam Sea (internationally known as the South China Sea), the SST
front in the west of Luzon in the heat field coincides with the bloom of phytoplankton
mainly occurred with upwelling water phenomena [25] or relates to the steady swirl
in offshore of the northwest of Luzon [20]. This front and the front strip offshore of the
east of Vietnam coincides with three vital dynamic areas that can be monitored from
the sea level data TOPEX/Poseidon [14]. Through the TOPEX/Poseidon data, it has
been proved that the SST in the coastal area of Vietnam is close to narrow strips, and
their seasonal change is remarkable with the immense maximum value [29]. Jing et al.
[15] pointed out that fronts occur around Hainan Island in the northwestern South
China Sea and persist through the summer upwelling season where thermal gradients
are generally more than 0.1 °C/km. Zeng et al. [33] detected upwelling fronts for a
similar study area and found that the maximum gradient is about 0.5 °C/km. In the
winter, the SST fronts are mainly located along the offshore continental slopes of
the South China Sea and across the entrance of Thailand Gulf and the northwestern
of Luzon. In the Gulf of Thailand, SST fronts occurred from December to February
through AVHRR data and from March to April through navigational data when the
horizontal temperature variable was biggest. This front separates the freshwater mass
in the Gulf and the water masses of the South China Sea. The SST front of the Gulf
of Thailand disappeared entirely in May. In June, the navigational data indicated no
SST front [30–32].
In this paper, the distribution of fronts SST was computed during 25 years (from
1985 to 2009) to provide assessments of seasonal location fluctuations in the year
and the corresponding location fluctuations during the flood season (September) and
dry season (April) for the Vietnamese coast.

2 Data and Methodology

2.1 Data

The project is based on acquiring a 4-km high-resolution satellite image using the
Pathfinder 5 algorithm (Pathfinder 5). It is a new analysis of a high-resolution satel-
lite image (AVHRR) developed by the Rosenstiel School of Marine and Atmo-
spheric Science (RSMAS) and the National Oceanographic Data Center (NODC)
NOAA. With many years of implementation and development of the previous
Pathfinder datasets, NASA’s Physical Oceanography Distributed ActiveArchive
Center—([Link]) has joined to implement this project. This project was expected
to expand the global sea surface temperature recording (SST) system with that
development.
The oceanographic Pathfinder program with the high-resolution image (AVHRR)
of NOAA/NASA has been developed for global ocean surface temperature with a
Characteristics of Sea Surface Temperature Fronts Along … 115

resolution of 9.28 km since the early 1990s. The result is a data set Version 4.x
(V4). Despite some successes, the dataset also has limitations, such as considerable
deviations from one area affected by atmospheric aerosols. Moreover, the relatively
rough soil separation capability is significant for coastal area applications. It limits
information about the non-existence of sea ice in the use of high latitude data. With
three years of development, RSMAS/NODC with a new preprocessor algorithm has
solved the limitations of version 4.x and introduced a more accurate ocean surface
temperature data set with higher resolutions.
Satellite data preprocessing uses an enhanced version of the Pathfinder algorithm
and processing steps to produce two global oceanic surface temperature images of a
day. Related parameters have been started since 1985. With a resolution of approx-
imately 4 km, this dataset is considered the highest possible resolution for high-
resolution (AVHRR) data globally. Not only that, but this data set also includes the
average datasets for 5-days, 7-days, 8-days, month, and year. Compared to Pathfinder
Ocean surface temperature data sets with resolution 9-km, this data set has more
advances with greater accuracy, better soil resolution, higher resolutions, and include
information on sea ice.

2.2 Methodology for Determining Sea Surface Temperature

Fronts from Satellite Images

The pioneers who carried this basic idea are Cayula et al. [7–9]; Ullman et al. [26–
28]. During 1985–2009, fronts were obtained from the SST Pathfinder NOAA/NASA
fields analysis. These fields are derived from high-resolution global data (AVHRR)
(two fields with a resolution of 9.28 km per day) available from the Jet Propulsion
Laboratory. In addition, surface temperature fronts are derived from sea surface
temperatures removing clouds with the multi-images boundary separation algorithm
[9, 26–28].
• Divides panoramas into windows of a given size
• Each window will be processed independently
• The windows need to design overlap so that it can link the boundaries that defined
on different windows
• The window size can be selected by: 16 × 16, 32 × 32, etc. It depends on the size
of the boundary and the resolution of the image, noise, etc.
• The boundary is defined as the boundary of the two regions ω1 and ω2 with almost
homogeneous temperatures.
Histogram chart analysis (Histogram)
• In histogram analysis, it is necessary to find the threshold value for separating
two domains of water temperate with remarkable distinction.
• In the case of two distinct domains of water temperature, a statistic method should
be used to identify (classify) them.
116 T. T. Anh et al.

Cohesion algorithm
• Used in the case of taking account to the spatial distribution of data.
• Assume: ω1 and ω2 are two defined domains; X is the point on the specified
image; t(x) is the corresponding temperature value, and τ opt is the optimum
threshold value divides two domains ω1 and ω2 .
• The link coefficients for ω1 and ω2 for the whole defined domain are determined
as follows:
R1 R2 R1 + R2
C1 = ; C2 = ; C= (1)
T1 T2 T1 + T2

in which, C1 and C2 are the cohension cofficients relating to ω1 và ω2 .

T 1, T 2 are the validated points of temperature in X ∈ ω1 X ∈ ω2 and to the
other regions, respectively.
R1, R2 are the validated points of temperature surrounding X ∈ ω1 X ∈ ω2
and to the other regions, respectively.
As the ideal cases, the domain is almost homogeneous, the linking coefficient:

C = 0.9; C1 = 0.92 C2 = 0.92 (2)

Location of boundaries: After defining boundaries for each window, the next step
is to identify and confirm the fronts. Front images are represented as pixels without
front that will receive a value of 0. Next, define boundaries using multiple sea surface
temperature (SST) images. Algorithm defining the boundary using multiple images
is a combination of algorithms including:
• Identify clouds in a single image
• Define clouds in multiple images
• Define boundary using a single image
• Define boundaries.
The order of implementation is as follows
• Use the method for defining boundary in a single image [7] and apply it to multiple
single images.
• Link boundaries by each image
• Minimize the width of boundary (handle to boundary only exists on 1 point)
• Combine defined boundaries with the original image to identify weak boundaries
• Set up a mask for the cloud cover area.
Computation of gradient
• Gradient computation using calculating gradient matrices with general formula
as follows:

GX = {GX dimension, direction (+) 0 GX dimension, direction (−)} (3)

Characteristics of Sea Surface Temperature Fronts Along … 117

GY = {GY dimension, direction (+) 0 GY dimension, direction(−)} (4)

in which, dimension is the size of calculating gradient matrix, e.g., 3 × 3, 5 × 5,

etc.; direction is the direction of gradient calculating, which can be two or more
directions.
Computation procedure of sea surface temperature front with the method of
Cayula&Cornillon (1992): The above computation procedures are carried out with
MGET software (Marine Geology and Environment Tools). It is a set of more than
150 valuable tools with many different functions. MGET’s specific tools include
converting oceanographic data to the format of ArcGIS software, defining fronts by
sea surface temperature images or statistical programs, etc. It is a package of open-
source programs written by Python code and developed by Duke University, U.S.,
for GIS analysts and marine researchers.
MGET is acted based on ArcGIS as a tool of ArcToolbox. The implementation steps
are as follows:
• Step 1: Convert HDF files to ArcGIS Rasters
• Step 2: Calculate the sea surface temperature values from infrared values
• Step 3: Remove clouds
• Step 4: Calculate the distribution of the sea surface temperature front
• Step 5: Convert these files to ASCII format
• Step 6: Calculate the occurrence frequency of SST and convert the ASCII file to
an ArcGIS Raster file to display the data.

3 Results

The front of the Red River estuary and surrounding areas mainly have gradient values
in the range of 0.125 °C/4 km and have different gradient intensities, alternating.
Gradient intensity is more remarkable in winter than in summer (Fig. 1). In the
winter, the fronts mainly involved the phenomenon of deep penetrating of the cold
tongue into the South, forming the frontal areas mainly: West Philippine, Taiwan
Strait, East of Hainan Island, Gulf of Tonkin, South Central of Vietnam, and the
entrance of Thailand Gulf. The front mainly appears in Taiwan Strait in the summer,
around Hainan Island and South Central of Vietnam. Front derived from upwelling
water occurs in the South-Central region lasting five days to more than ten days.
The fronts appear in the north of the East Sea simultaneously in the winter, while
they do not appear in the south part except at the mouth of Thailand Gulf. The Gulf
of Thailand is where fronts of seasonal continental slopes strong developed from
January to February. The West Luzon Front (WLF) is observed in the west of Luzon
Island (expanding to deep water masses) in winter (from October to May). This front
expands to the north in the seasonal order to Bashi Strait and disappears in summer
118 T. T. Anh et al.

(from May to October). The fronts offshore of Northwest of Boneo appear in the
spring, summer and fall and disappear in the winter.
In April, front SST usually existed far from shore and extended continuously.
From the North of Khanh Hoa province to the South of Binh Thuan province, there
was a front strip stretched and far from shore 70 km. There was an arched front
offshore of the Mekong River mouth (270 km from the shore), from Vung Tau to
Tra Vinh (Fig. 2). In the downstream of the Mekong River system, in some years
(1986; 2001), there was an SST front occurring nearby river mouths. In addition,
there existed another front strip extending from Binh Dinh down to Bac Lieu. The
more down to the South, the closer to the shore. In the flood season (September),
the intensity and scope of the SST front appeared as not clear as they do in the dry

Fig. 1 Distribution frequency of occurrence of front SST in the Red River estuary
Characteristics of Sea Surface Temperature Fronts Along … 119

Fig. 2 Distribution frequency of occurrence of front SST in the Mekong River estuary

season. SST front was not found in some years (1988, 1991, 1996, 1999, 2003). In
the upwelling water area, there was usually occur a strip of SST front that extended
parallel to the shoreline in the years 1990 and 1994 (Fig. 2). In the downstream area
of the Me Kong River, during the calculation period, the SST front appeared only in
1987, and its location was quite far from shore. In areas adjacent to the river mouths,
the SST front was only found at the Tran De mouth (100 km from the shore), and
there was no found SST front in other river mouths.
In winter and summer, the study area is affected by the northeast monsoon and
southwest monsoon. In winter, the temperature field of the area is featured by the
infiltration of cold-water mass from the north. In contrast, the summer is characterized
by upwelling water phenomena in the South-Central region.
During the year, in the offshore area of Khanh Hoa-Binh Thuan, there always
existed SST front strip in both dry and flood season, this front strip squeezed closely
to the shoreline, and the location changed seasonally. However, in the dry season
(April), the front strip was still influenced by the infiltration of cold-water mass from
North to South (Fig. 3a). Offshore, there exist many areas with local fronts—where
the interaction of water masses. Meanwhile, in the southern part of the Ca Mau Cape,
a front strip often appears running across the gate of Thailand Gulf (Fig. 3a). This
result is similar to some previously studied authors [3].
In the flood season (September), discrete front strips far 240 km from shore
occur. It is clear that, during this period, the central axis of the front had changed
compared to that in April. In the Khanh Hoa-Binh Thuan area, front trips with the
east–west axis were dominant. It could be the consequence of two main ocean flows’
interaction that creates the flow divider in this area (Fig. 3b). In the flood season,
the interaction between freshwater from the Mekong River and seawater happens
relatively near shore (within a few tens of kilometres). These fronts are unclear and
un-continuous because the temperature field at this time was relatively uniform. To
assess the accuracy location where the interaction of river-sea occurs, the image of
the turbidity field will be more precise and more accurate. In the offshore of the
120 T. T. Anh et al.

Fig. 3 Synthesis of distribution of front SST in the Mekong River estuary

southern part, the fronts of local water masses are larger and more seamless than
in April. It shows that the water masses in this area were more extensive and more
stable. Research on the fluctuation of flows the downstream of Mekong River shows
that the average annual flow has decreased by about 10% since 2001. The level of
decline inflow in the dry season is more significant than that in the flood season. It
is one of the main reasons for the displacement of the SST front in the study area.

4 Conclusions

The locations of the sea surface temperature fronts along the Vietnamese coast were
not fixed and fluctuated with the characteristics of meteorological and hydrodynamic
fields. In the dry season, the fronts usually appear at both the continental shelf and
the continental shelf border and are influenced by the cold water mass infiltrating
to the South. They are also influenced by season characteristics with the interaction
and dividing of local water masses. In the flood season, the impact of freshwater
from the Mekong River is not clear in the distribution of front SST. During this
period, there always existed a continuous and stable front strip due to the dispersion
of North–South flow in the Khanh Hoa-Binh Thuan area. Although the results of this
study are qualitative assessments concerning river flow, they also partially make clear
the general mechanism of the front in the study area. Due to the limitation on the
resolution of the satellite images, detailed studies using a 3-dimensional numerical
model of the front structure’s temperature field structure concerning the river flow is
essential and should be implemented in the future.
Characteristics of Sea Surface Temperature Fronts Along … 121

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ocean. Progress in Oceanography
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119:1–2
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An Eaton Lens Design to Reduce
of Earthquake Impact

Sy Pham-Van, Q.-Hoan Pham, Thi-Le Le, and T. Vu-Huu

1 Introduction

An earthquake is a sudden release of energy in the ground that causes shaking of

the ground. This release is usually caused by geological activities within and on the
earth’s surface. The occur of an earthquake produces an energy wave, known as a
seismic wave. The seismic wave consists of two waveforms; they are the primary
wave, named P-wave and secondary wave, called S-wave. P-wave is formed imme-
diately after forming a geological process in the earth. It is a longitudinal wave
propagating quickly inside the earth. Its speed can reach 330 m/s in air, 1450 m/s in
water and 5000 m/s in rock [1]. The following wave is the S-wave, making particles
vibrate perpendicularly to the wave propagation. This wave has a speed of about 60%
of the P-wave; it only travels in solids and liquids.
Earthquakes cause many enormous casualties, i.e. destroy buildings, infrastruc-
ture, society and economy. Since 2000, it has recorded many severe earthquakes
causing severe damage to people. For example, on 26 January 2001, the earthquake
in Bhui, India, killed 13,481 people. In 2004, an earthquake with a magnitude of 9.1
caused a tsunami in the Indian Ocean that killed 225,841 people. Then, a magnitude
7.8 earthquake occurred in the city of Gorkha in Nepal, killing 8831 people [2].
Generally, the Eaton lens is a gradient refractive index lens (GRIN) as the
Luneburg, Maxwell fisheye. However, the Eaton lens cannot make the wave converge
at a point on the edge of the lens like the Lunburg or a point in the centre of the lens
like a Maxwell. The main feature of the Eaton lens is the bending capacity of the
propagation direction in any direction. These lenses have been extensively studied
for the electromagnetic fields using homogeneous material. In addition, lenses have
also been studied for minimising the effect of tsunami [3, 4]. For this problem, a

S. Pham-Van · Q.-H. Pham · T.-L. Le · T. Vu-Huu (B)

Faculty of Civil Engineering, Vietnam Maritime University, Haiphong, Vietnam
e-mail: [Link]@[Link]

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2023 123
R. V. Rao et al. (eds.), Recent Advances in Structural Health Monitoring
and Engineering Structures, Lecture Notes in Mechanical Engineering,
[Link]
124 S. Pham-Van et al.

large cylinder is placed at the lens’ centre to create reflections against the incident
waves.
This paper is set up as follows: Sect. 2 presents the Eaton lens. Then, Sect. 3
briefly shows the proposed Eaton lens of cylinder cells to minimise the impact of an
earthquake. Finally, Sect. 4 presents the conclusions and future works.

2 Eaton Lens

Eaton lens adapts the refraction index continuously, uniformly and directionally,
known as GRIN lens. The distinguishing feature is bending the incident wave in any
direction. Generally, the equation presenting the diffraction index is [3]:
/
( )2
π/θ R R
n = + −1 (1)
nr nr

in which, θ is the central angle showing the bent direction of waves; R is the lens
radius; r is the distance between wave direction to the lens centre. Generally, Eaton
lenses are often applied for special bends (i.e. 90 and 180°). Therefore, mathematical
tools are created to calculate the diffraction index for the particular bending incident
wave propagation. Remarkably, the formulation to define the refraction index of 180°
is shown as follows [3]:
/( )2
1 1
n2 = + −1 (2)
nr nr

Then, for the 90° Eaton lens, the refraction index is expressed as:
/
2R
n= −1 (3)
r

Due to the varying refraction index, waves are bent in different directions by Eaton
lenses. The index of refraction is a non-dimensional value describing the propagation
path of waves in a material. Mainly, it is determined by the following formulation:
c
n= (4)
v
where c is the light speed in space; v is the light speed in the medium.
Thus, the index of refraction is directly proportional to the wave velocity in the
incident medium and inversely proportional to the wave velocity in the refracting
medium. The elastic wave velocity in any medium is expressed as the ratio of the
elastic strain modulus to the density of that medium, see Eq. (4) [4].
An Eaton Lens Design to Reduce of Earthquake Impact 125

Fig. 1 Numerical result of the beam through a the homogenous lens and b the 180° Eaton lens

/
B
v= (5)
ρ

in which, B is the elastic modulus, ρ is the density of the medium. Thus, the
formulation describing the refractive index is expressed as (Figs. 1 and 2):
/
B0 ρ1
n= · (6)
ρ0 B1

where B0 and B1 are the elastic modulus of the medium and the lens’ material,
respectively; ρ0 and ρ1 are the density of the medium and lens’ material, respectively.
Assume the elastic modulus of the initial and the refracting medium is similar, Eq. (6)
is rewritten as follows [5, 6]:
/
ρ1
n= (7)
ρ0

3 Eaton Lens Modelling

For a homogeneous Eaton lens, the equation representing the refractive index is a
continuous function of the lens’s density and radius [7]. They are assuming that the
elastic coefficiencies of the incident and refractive medium are similar and constant.
Making and applying a homogeneous Eaton lens is not easy.
Therefore, dividing the lens into small cells of equal size, see Fig. 3. The interval
cylinder (green circle, see Fig. 3) is constructed by a specific material [5, 6]. The
general medium sets the outside of the circle. A refraction index is generally defined
by Eq. (1) for each cell. It depends on the distance from the cell centre to the lens
126 S. Pham-Van et al.

Fig. 2 Numerical result of the beam through a the homogenous lens and b the 90° Eaton lens

one. Then, for the case of 90° and 180° Eaton lenses, Eqs. (2) and (3) are deployed
to define the refraction index, respectively. Deploy Eq. (7) to Eq. (2) and Eq. (3) for
90° and 180° Eaton lenses, respectively, to define the diameter of the lens [4].
Moreover, it is evident that the refraction index approaches infinity when the
distance from the cell to the lens centre reaches zero, see Fig. 4a. In this case, it is
not able to find the cylinder diameter of such cells. To deal with this problem, the
cell properties are set similar to nearby cells so that the refractive index value at the
centre of the lens will be constant, see Fig. 4b.
Based on the numerical results of the model and the analytical solution, they
prove that the lens formed by cylinders successfully bends the direction of the wave.
Moreover, as the diameter of the cylindrical lens is much larger than the wavelength,
no reflection wave is caused by these cylinders (Fig. 5).
As the solution of the model on the frequency domain of many different frequency
values, the proposed Eaton lens successfully bends the particular wave frequencies.
Remarkably, the proposed Eaton lens presents good bending for frequencies below
1500 Hz. On the contrary, if the frequency is higher than 1500 Hz, the result of the

Fig. 3 Proposed Eaton lens

was designed by cylinder
cells
An Eaton Lens Design to Reduce of Earthquake Impact 127

Fig. 4 Refraction index of a

idealisation material lens and
b the cylindric-cell lens

Fig. 5 Prototype of a
cylindric-cell lens
128 S. Pham-Van et al.

wave bending is not good. It means that the proposed lens works well with large
wavelengths (Figs. 6 and 7).
According to the above simulation results, the proposed Eaton lens has worked
well with elastic waves (i.e. acoustic, seismic, etc.). Besides, earthquakes cause
seismic waves, a type of elastic wave. It means that applying the Eaton lens in
minimising the damages of earthquakes is high practicability. In this case, the cylinder
cells of the Eaton lens are constructed by the concrete piles of the foundations. Then,
all foundation piles are calculated and organised as a particular system of an Eaton

Fig. 6 Numerical results of 180° Eaton lenses: a homogeneous material; b cylindric-cell lens

Fig. 7 Results of 180° Eaton lens with: a f = 1500; b f = 1700; c f = 1900; and d f = 2000 Hz
An Eaton Lens Design to Reduce of Earthquake Impact 129

lens. This application of the Eaton lens becomes more practical due to the increasing
popularity of pile foundations instead of shallow foundations as before. Significantly,
the foundations of the skyscraper, the exceptional infrastructures, i.e. nuclear power
plants, hydroelectric dams, etc. It means that the regular pile foundation becomes
an Eaton lens to minimise the damages of earthquakes. Thus, the foundation can
support the building and prevent seismic earthquake waves.

4 Conclusions

This paper successfully introduces a novel cylindric-cells design of an Eaton lens in

bending the elastic waves (i.e. acoustic, seismic, etc.), which earthquakes could cause.
The numerical results in this paper prove that the proposed cylindric-cells Eaton
lens similarly performs to an Eaton lens entirely made by homogenous material.
It is the key to turning the idea of the cylindric-cells Eaton lens into reality. This
proposed design poses two significant benefits. First, the design is simple and has
high applicability. Second, the lens’s cylindric cells could be constructed by the
standard and popular material, especially concrete or steel.

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Regression Method-Based Structural
Condition Assessment for Bridge Health
Monitoring

Tam Nguyen-Nhat , Nhi Ngo-Kieu , Toan Pham-Bao ,

Luan Vuong-Cong , and Hung Nguyen-Quoc

1 Introduction

It is worth considering that every structure over time has a change in the mechan-
ical properties of both the structure and the material. Surveys in terms of structural
changes have been carried out a lot around the world. However, the mechanical prop-
erties of the materials have not been really focused on assessment. In fact, in order
for structural damage changes (cracks, breakage, etc.) to occur, changes in materials
must have occurred before.
The structure is subjected to many ambient influences such as impact loads,
weather, and chemicals. These agents gradually cause changes in the structure with
respect to appear changes in the mechanical properties of the material. Mechanical
properties of materials include elasticity and viscosity. The change in elasticity coin-
cides with changes in the overall stiffness of the structure. Consequently, this change
can be discerned through the change in stiffness. Theoretical formulas to model
the deteriorating process of the mechanical system have been presented in many
studies in structural health monitoring (SHM) since many decades ago, mainly on
the reduction of structural stiffness, typically cracks [1]. Structural cracks are gener-
ally classified into open, closed, and breathing (opening and closing) cracks. Open
cracks are commonly used in most of the research on crack modeling. They are clas-
sified into three main groups: finite element (stress concentration) models applying
linear cracking mechanics [2], either a continuous model using a reduction in stiff-
ness (elastic modulus reduction model) [3], or a continuous-discrete model using a
spring of equivalent stiffness [4]. The structural deteriorating modeling equations

T. Nguyen-Nhat · N. Ngo-Kieu · T. Pham-Bao (B) · L. Vuong-Cong · H. Nguyen-Quoc

Laboratory of Applied Mechanics (LAM), Ho Chi Minh City University of Technology
(HCMUT), 268 Ly Thuong Kiet Street, District 10, Ho Chi Minh City, Vietnam
e-mail: baotoanbk@[Link]
Vietnam National University Ho Chi Minh City, Ho Chi Minh City, Vietnam

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2023 131
R. V. Rao et al. (eds.), Recent Advances in Structural Health Monitoring
and Engineering Structures, Lecture Notes in Mechanical Engineering,
[Link]
132 T. Nguyen-Nhat et al.

have been proven by many experimental tools and are applied in engineering calcu-
lations [5–7] to support SHM. A good point of SHM is the early identification of
damage by using vibration [8]. In recent years, vibration signal-based methods for
SHM have become universal [9, 10]. These models are necessary for the calculation
of structural vibrations, but they are unable to provide complete information about
the entire deteriorating phenomenon of the structure. In addition, current structural
analysis methods capability is not relatively high enough to detect the change in
viscosity.
With a view to solving the problem of identifying changes in viscosity of the mate-
rial, this research proposes a new method through the change of the distribution of
loss factor with respect to the value of frequency and amplitude vibration. The article
investigates a model of flat horizontal bending beams, but in order for the results to
be consistent with reality, the study randomizes the distributed force values. From the
random force spectrum obtained from the above process, a corresponding response
spectrum will be derived. Many researchers have successfully used power spectral
density (PSD) to detect damage in bridges [11, 12]. This paper uses a viscoelastic
material model to inversely extract the loss factor value from the response spectrum
characteristics. The viscoelastic model involves both the elasticity and viscosity of
material [13–15]. In theory, the random excitation is usually modeled as a white
noise signal with the same spectral amplitudes over the entire frequency domain.
However, in practice, the values of the spectral amplitude of force are randomly
distributed without inherently contant. Consequently, the proportional relationships
between the amplitudes of the response spectrum are also randomly distributed.
When the mechanical properties of the material change, thereby affecting the above
distribution, so the article proposes to use the regression method to retrieve the
distribution plane of the loss factor. Furthermore, intending to observe the trend of
changing the mechanical properties of materials that the article focuses on viscosity,
we investigate the change of the regression surface area where the boundary limit is
the maximum of the characteristics of the response spectrum. The survey is based
on the known change in mechanical properties proposed by the article.

2 Theoretical Rationale

2.1 Viscoelastic Model of Material and Loss Factor

Viscoelastic model
The viscoelastic model is an extended model compared to Hooke’s model, including
the influence of the modulus of elasticity E and the viscosity C 0 of the material,
according to Voigt’s law:

dε
σ = Eε + C0 (1)
dt
Regression Method-Based Structural Condition Assessment … 133

where E—elastic modulus; C 0 —viscous coefficient; ε—strain; σ —normal stress.

Equation (1) is an extension of Hooke’s law, which contains only the first term on
the right-hand side, σ = Eε. From the point of view of Hooke’s law, the relationship
between stress and strain is linear, also known as the absolute elastic model. The
parameter E (elastic modulus) represents the elasticity of the( material ) used in the
structure. The second term on the right-hand side of Eq. (1) C0 dε dt
represents the
stress σ proportional to the rate of change of strain, i.e., dε
dt
. Thus, with the proposal
of this study, Eq. (1) shows both the elasticity and viscosity of the material; we call
it the viscoelastic model of the material. According to this viscoelastic model, the
mechanical properties of the material are determined by two parameters: E, C 0 .
Loss factor
For viscoelastic materials, the maximum strain potential energy of the structure will
have a value that is linearly proportional to the square of the initial strain value ε0
according to Eq. (2). However, the strain potential energy will be dissipated by a
definite amount of D in each vibration period, according to Eq. (3). And the ratio
between the dissipated energy and the original strain potential is called the loss factor
η.
⊓ 1 2
= Eε (2)
2 0

D = π C0 ωε02 (3)

D C0 ω
η= ⊓= (4)
2π E

The loss factor purely depends on the basic parameters of the material, such as
viscous coefficient C 0 , elastic modulus E, and vibration frequency. The loss factor
can therefore be used to assess the overall condition of the material.

2.2 Bending Vibration of Beam

Suppose, the inertial force caused by the rotation of the sections is disregarded. In
that case, the governing equation of the cross section at longitudinal x positions on
the beam is expressed by the differential equation:

∂ 4 w(x, t) ∂ 5 w(x, t) ∂ 2 w(x, t)

EJ + C 0 J + ρ A = f (x, t) (5)
∂x4 ∂ x 4 ∂t ∂t 2
where J—area moment of inertia of cross section; ρ—mass density per unit length;
A—area of cross section; w(x, t)—transverse displacement.
The function w(x, t) is found in the form:
134 T. Nguyen-Nhat et al.

Σ
n
w(x, t) = X r (x)Tr (t) (6)
r =1

According to Eq. (6), the function w(x, t) is found in the form of two separate
functions: X r (x) and T r (t), where the function X r (x) involves only the variable repre-
senting the position, and the function T r (t) involves only the variable representing
the time. Substituting Eq. (6) into Eq. (5), we derive the following two differential
equations:

ρA
X r(4) − pr2 Xr = 0 (7)
EJ
C0
T̈r + pr2 Ṫr + pr2 Tr = fr (t) (8)
E
where pr is the natural frequency, f r (t) is the generalized force function of the rth
vibration mode, and pr is determined from the results of solving Eq. (7) with the
boundary condition of the simply supported beam.
/
r 2π 2 EJ
pr = 2 r = 1, 2, ...., n (9)
l ρA

Then, the function X r (x) has the form:

( x)
X r (x) = sin r π (10)
l
From Eq. (8), with input forced spectrum F(ω), the amplitude of vibration
spectrum T r (ω) at each vibration mode of the structure during the vibration is
expressed:

F(ω)/ pr2
Tr (ω) = /[ (11)
( )2 ]2 ( )
1 − pωr + coEω
2

In order to be suitable for the process of collecting and processing acceleration

signals, we need to convert T r (ω) from Eq. (11) to the amplitude of the acceleration
power spectral density (PSD) according to Eq. (12). Therefore, we calculate the PSD
of acceleration S r and the PSD of force S fr according to Eq. (12), from which we
determine the formula for calculating loss factor according to Eq. (13) considering
Eq. (11):
( )2
Sr (ω) = ω2 Tr (ω) = ω4 · Tr2 (ω)
S f r (ω) = (F(ω))2 (12)
Regression Method-Based Structural Condition Assessment … 135

( ( )2 )2
S f r ( pr )
( )2 1 − pωr
S f r (ω)
C0 ω
(η)2 = =( ) ( 2) (13)
max(Sr ) S (p )
E
Sr (ω)
· ωp2 − Sffrr (ω)r
r

In practice, the derived bridge vibration signal is usually in two primary forms:
the free vibration state and the forced vibration state by artificial or natural excita-
tion sources [16]. Methods of artificially forced stimulation generally use electronic
vibration devices or shock hammers. Vibrators can be used to create different types
of force excitation both vertically and horizontally on the structure. The artificially
forced excitation measures have the advantage that we can predefine and manage
the force functions acting on the structure. This excitation usually uses input–output
methods using the relationship between the input load signal (e.g., the power spec-
trum of force S fr ) and output response (e.g., the power spectrum of the response S r ).
From there, we can quickly determine the necessary parameters (e.g., loss factor η).
However, this stimulation method has two limitations: firstly, it is usually applied
to simple structures; secondly, it has to pause the operating during the excitation
process, which increases the cost per test [17]. Intending to overcome the above
limitation, we propose an idea of using the natural load source of the structure itself.
However, the disadvantage of using natural excitation is the randomness of ampli-
tude, time, direction, and frequency level, so it is laborious to precisely determine
the excitation source. This measure belongs to the output type of defect identifi-
cation methods (using only the vibration signal of the structure itself and ignoring
the properties of the excitation source). Theoretically, the random excitation source
usually has the form of white noise with constant power spectral amplitude value
(S fr ~ const). The loss factor calculation formula in Eq. (13) becomes the loss factor
function in Eq. (14), depending only on the response power spectrum.
( ( )2 )2
1 − pωr
η(Sr , ω) = ( ) ( 2) (14)
max(Sr )
Sr (ω)
· ωp2 − 1
r

3 Results and Discussion

3.1 Regression Procedure

The paper proposes a regression method to generate the feature surface representing
the distribution of loss factor values concerning frequency and PSD according to
Eq. (14). In the real world, bridges operating under moving load, environmental
impact, and errors may occur during measurement. Consequently, we use signal
136 T. Nguyen-Nhat et al.

Fig. 1 Regression procedure of proposal

processing to refine and filter noise for acceleration signals. This signal processing
uses to remove outliers, filter signal interference using wavelet transform. The
proposed procedure is illustrated as shown in Fig. 1.
The loss factor values are calculated from the power spectrum (frequency, PSD) of
the measured acceleration signal. A power spectrum consists of n values of frequency
f and n values of PSD, so the calculation will derive n corresponding values of loss
factor. Subsequently, these sets of frequency, PSD, and loss factor values considered
as the sets of x, y, and z values are put into three functions for regression. The three
mentioned functions have the following expressions:

fun1 (x, y) = p00 + p10 x + p01 y (15)

fun2 (x, y) = p00 + p10 x + p01 y + p20 x 2 + p11 x y + p02 y 2 (16)

fun3 (x, y) = a + b sin(mπ x y) + ce(−(wy) )

2
(17)

The most optimal surface is selected from the regression surfaces of three func-
tions based on the squared correlation coefficient R2 with the initial set of values.
The selected surface has the most significant squared correlation coefficient, and
this value must be greater than 0.8. Suppose the surface has the largest squared
correlation coefficient not greater than 0.8. In that case, the procedure goes back to
Regression Method-Based Structural Condition Assessment … 137

signal processing with the higher resolution wavelet filter and duplicates the above
process. Eventually, the proposed procedure derives the feature surface representing
the distribution, and the assessment parameter will be the area of this feature surface.

3.2 Numerical Simulation

Intending to assess the trend of change in the assessment parameter concerning

changes in mechanical properties of the material, we perform a simulation for mate-
rial deterioration. This process simulated a reinforced concrete beam considered a
viscoelastic beam consisting of two essential parameters: elastic modulus and viscous
coefficient. This simulated beam has been structured by concrete with a compression
strength of 40Mpa and has dimensions of 24.7 × 20.6 × 1.3 m (length × width ×
thickness). The deterioration process is simulated with six mechanical scenarios of
material as described in Table 1. The simulation process is illustrated in Fig. 2.
The simulation is performed according to a proposed process based on vibration
theory. For each level of six levels mentioned in Table 1, the beam is subjected to
random excitation, a normally distributed random vector with a mean value of 1 kN
and a standard deviation value of 0.5 kN. Moreover, the power spectrum of force is

Table 1 Description of
Deterioration level Elastic modulus (E) Viscous coefficient
mechanical scenarios of
(C0)
material
0 E0 = 33.9 GPa C00 = 0.35 GPa·s
1 E1 = 0.95 E0 C01 = 1.1 C00
2 E2 = 0.90 E0 C02 = 1.2 C00
3 E3 = 0.85 E0 C03 = 1.3 C00
4 E4 = 0.80 E0 C04 = 1.4 C00
5 E5 = 0.75 E0 C05 = 1.5 C00

Fig. 2 Simulation process for simply supported beam

138 T. Nguyen-Nhat et al.

derived by using fast Fourier transform (FFT) for random excitation then square it.
The natural frequencies of simulation scenarios are calculated based on boundary
conditions of the simply supported beam based on Eq. (4). Subsequently, we incor-
porate natural frequency and power spectrum of force to derive the power spectrum
of vibration response according to Eqs. (11), (12). Lastly, we perform the proposed
regression procedure to generate feature surfaces of mechanical condition scenarios
of the material. The results of six deterioration levels of mechanical properties are
shown in Fig. 3. Also, the trend of change in the area of feature surfaces concerning
material deterioration is shown in Fig. 4.
Thus, by simulating material deterioration, we can observe that the area of regres-
sion surface gradually decreases when the material is deteriorating. In Fig. 4, from
deterioration level 0 to level 5, the area is changed 25%. Although the step from level
3 to level 4 showed that the area is increased, it was insignificant.

3.3 Actual Bridges Investigation

According to the previous sub-section, the assessment parameter tends to decrease

concerning material deterioration. To validate the variation rule of the set of loss
factor values, we investigate the vibration signal received from three different types
of bridge spans: Phu My bridge, Saigon bridge, and Cong Dap Rach Chiec bridge.
Traffic levels, as well as environmental factors of the three bridges, are considered
to be the same. The bridge is a complex structure, so this technique is applied for
bridge span. The acceleration signal directly measured from span vibration under
moving load is the input of the proposed approach. Figures 5, 6 and 7 show the
power spectrum from signal processing and loss factor values of a span of three
bridges.
By processing and setting up the set of loss factor values, the transformation of this
set can be observed. However, this processing is not transparent enough in terms of
images to determine the change rule. Loss factor values are determined based on two
main characteristics: amplitude and frequency. Because amplitude characteristic has
many inflection points in the resonance region, leading to changes in the distribution
of these values.
The Phu My bridge was built in 2005 and opened in 2009 with the prestressed
concrete girder structure. Next, the Saigon bridge was significantly upgraded in 2000
with a prestressed concrete girder structure. Lastly, the Cong Dap Rach Chiec bridge
was built and opened in 1990 with a precast concrete girder structure. Based on the
operating time, structure type of these bridges, and mechanical parameters at present,
the structural conditions of the Phu My bridge, the Saigon bridge, and the Cong
Dap Rach Chiec bridge are classified as good, medium, and weak, respectively. The
proposed procedure is applied to one span of these bridges and derived corresponding
feature surface as shown in Fig. 8. And the trend of difference between the three
bridges is shown in Fig. 9.
Regression Method-Based Structural Condition Assessment … 139

Fig. 3 Feature surfaces of deterioration scenarios: a level 0, b level 1, c level 2, d level 3, e level
4, f level 5

The result of the proposed method shows a high degree of conformity with
reality. The area values of feature surfaces tend to decrease concerning good to
weak structural conditions progressively.
140 T. Nguyen-Nhat et al.

Rate of change (%) -5

-10

-15

-20

-25

-30
level 0 level 1 level 2 level 3 level 4 level 5
Deterioration scenario

Fig. 4 Change of the area of feature surface with respect to material deterioration

Fig. 5 Power spectrum and loss factor values of Phu My bridge

Fig. 6 Power spectrum and loss factor values of Saigon bridge

Regression Method-Based Structural Condition Assessment … 141

Fig. 7 Power spectrum and loss factor values of Cong Dap Rach Chiec bridge

Fig. 8 Feature surface of bridges: a Phu My, b Saigon, c Cong Dap Rach Chiec

0
Rate of change (%)

-20
-40
-60
-80
-100
-120
Phu My Saigon Cong Dap Rach Chiec
Bridge

Fig. 9 Trend of difference between the three bridges

4 Conclusion

This article proposes a regression method for structural condition assessment with
high practical applicability. The area of the feature surface from the regression is a
suitable parameter to assess the mechanical conditions of the material.
With a view to assessing the mechanical properties of the material in bridge span,
the results observed that the area of surface representing the loss factor distribution
decreases when the material has deteriorated.
142 T. Nguyen-Nhat et al.

The proposed method is easy to apply with the purely automatic procedure. In
addition, the used signals are vibration signals which are easily measured from actual
bridges.
Eventually, the efficiency and economy of using the real random load of the
structure itself as the excitation source are high.
The proposed method will be further developed to produce an adequate procedure
and improve the accuracy of bridge health monitoring.

Acknowledgements This research is funded by Vietnam National University HoChiMinh City

(VNU-HCM) under grant number C2021-20-06. We acknowledge the support of time and facilities
from Ho Chi Minh City University of Technology (HCMUT), VNU-HCM for this study.

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An Optical Embedded MEMS-Based
System for Real-Time Structural Health
Monitoring

Abdelhakim Latoui and Mohamed El Hossine Daachi

1 Introduction

Structural health monitoring (SHM) is a very multidisciplinary research area, which

involves many different branches of engineering such as computer science, seis-
mology and civil engineering, in order to enhance reliability and performance of
such systems [15, 21]. The aim of SHM for civil structures is not only to identify
possible existing damages but also to evaluate their performance under operational
conditions or under some particular environmental issues such as landslides or earth-
quakes. Furthermore, maintaining safe and reliable civil infrastructures for daily use
is important to the well-being of all of us [5, 25]. Indeed, monitoring the health of
a structure provides the ability to anticipate structural failures to protect both the
health and safety of buildings occupants, which is a major concern in buildings espe-
cially those of public services. However, many factors [19] can affect the state of the
health of a structure. For example, an empirical study in east China [13] has shown
that in fact about 30 impact factors can affect healthy building. These factors are,
for instance, humidity, heavy loads on the structures, mistakes in the construction,
chemical reactions, environmental impacts like wind loads, temperature changes and
natural hazards like landslides and earthquakes [3]. Thus, obtaining information from
such systems in real time could be useful [20], for example, in rapid evaluation of
conditions of damaged structures after a landslide or an earthquake [9].

A. Latoui (B)
Department of Electronics, Faculty of Sciences and Technology, Mohamed El Bachir El Ibrahimi
University, 34030 Bordj Bou Arreridj, Algeria
e-mail: [Link]@[Link]
M. E. H. Daachi
ETA Laboratory, Department of Electronics, Faculty of Sciences and Technology, Mohamed El
Bachir El Ibrahimi University, 34030 Bordj Bou Arreridj, Algeria
e-mail: [Link]@[Link]

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2023 145
R. V. Rao et al. (eds.), Recent Advances in Structural Health Monitoring
and Engineering Structures, Lecture Notes in Mechanical Engineering,
[Link]
146 A. Latoui and M. E. H. Daachi

Therefore, a large number of methods and techniques for SHM have been pro-
posed, in order to assess the health state of a civil engineering construction [4, 6, 16,
20]. Roughly speaking, the monitoring system is primarily responsible for collecting
data from multiple sensors installed on structures in order to process and extract
useful information about current state of the structure [2]. However, wireless sensors
and sensor networks are emerging as alternative sensing paradigms for traditional
tethered monitoring systems [12]. Indeed, among the many possible applications of
wireless sensor networks, SHM is considered as a typical area of such applications
[24]. Furthermore, smart sensors offer new opportunities for SHM due to their, among
others, wireless communication capabilities. Indeed, they reduce drastically the costs
associated with the installation and maintenance of SHM systems, since they do not
require any power or communication cable [17]. In fact, there are many possibilities
for embedding intelligence in a hardware design. A digital signal processor (DSP)
is one concrete example among others choices, where programs can be embedded in
it [16]. Thus, the data gathered from smart sensors can be saved locally, and desired
computations are then performed in order to make decisions and to send results
quickly, etc. On the other hand, recently there has been a growing interest in using
micro-electromechanical systems (MEMS) accelerometers sensors in SHM [22].
In the present paper, a new SHM system based on these types of sensors is pro-
posed. In addition to the smart sensor, an optical built-in logic block observation
(OBILBO) [10] is considered in the DSP architecture in order to carry out data
responses during its normal operating, to be sent to remote system and without
affecting its normal functioning. In others words, the OBILBO register, configured
in its parallel load mode, permits to send, remotely to a distant system, optical beams
corresponding to its outputs logic states. Hence, with the use of simple PIN diodes
and after an analog/digital conversion, the received data can be compared to those
pre-stored of a reference model, in order to perform an online anomaly detection to
decide on the anomaly in the SHM data.
The remainder of the paper is organized as follows. In Sect. 2, the principle of
functioning of the proposed SHM system is described. In Sect. 3, a motivating exam-
ple is presented, whereas some simulation results are discussed in Sect. 4. Section 5
concludes the paper.

2 Functional Principles

The data acquisition portion of the SHM process involves hardware as well as soft-
ware aspects: selecting the excitation methods, the sensor types, number and loca-
tions and the data acquisition/storage/transmittal hardware [6]. In fact, contrary to a
wireless system, a large-scale wired data acquisition system requires, usually, more
time to be installed, and it is more expensive [18, 23]. Indeed, a wireless system
has many advantages: flexibility of deployment with low costs, ease of maintenance,
etc. We recall that the goal of SHM research is to develop a monitoring methodol-
ogy that is capable of detecting and identifying, with minimal human intervention,
An Optical Embedded MEMS-Based System for Real-Time … 147

various damage types during the service life of the structure [7]. In the following,
we describe the new proposed SHM system that relies on inexpensive sensors which
allows data acquisition. These latter are then transmitted online to a distant system.
The basic idea developed in this work consists of using low-cost devices such as DSP
and accelerometer and exploiting the optical beams produced by an optical BILBO,
integrated in the DSP structure, to carry out data response concurrently. Thus, the
optical beams are then transmitted to remote system for comparison with pre-stored
ones. These data can be then analyzed in real time to perform anomaly detection,
which is an important task in SHM applications. Indeed, this task allows detecting
and locating anomalies. Thus, any abnormal structural behaviors or sensor faults can
be easily identified [8]. Furthermore, thanks to the OBILBO integrate in its structure,
the integrity of the DSP can be also checked without affecting its normal functioning.
The overall SHM system proposed is illustrated in Fig. 1, which can be divided
into two main parts: the first part (Emitter) that is the set of the sensors and the
digital signal processing unit DSP and the second part (Receiver) which consists

Fig. 1 Proposed SHM system

Fig. 2 Logic diagram of OBILBO [10]

148 A. Latoui and M. E. H. Daachi

Fig. 3 Portion of the

TMS32010 signal processing
chip [1]

of remote system that receives data from the emitter. The set of sensors consists
of accelerometers and gyroscopes which can be now easily integrated on chip and
widely used in many applications. For the sake of argument, accelerometer integrated
in modern smartphones is used for monitoring transient displacements when such
devices are attached to a structure [14]. In our case, these sensors are used in the
same manner. The sampled data from these sensors are then passed through the DSP
for local treatment such as filtering noise, fusion of the different data collected from
the sensors and managing different tasks in order to reduce power consumption of
the sensors. It is worth noting that this first part is now equipped by optical emitter
(OE) that acts as snapshot of the output’s responses of the DSP. In fact, the OE is the
OBILBO, integrated in the DSP structure, which is briefly described here and more
details can be found in [10].
An OBILBO register is simply a BILBO [1] where optical probes (OP) are inte-
grated in its architecture [10]. Indeed, the OBILBO, lighted up by a laser source,
will reflect optical signals corresponding to the values present on its outputs. The
different probes inserted on different electrical lines of the outputs of the OBILBO
An Optical Embedded MEMS-Based System for Real-Time … 149

Fig. 4 Acceleration (Z-axis) collected after shaking periodically a smartphone

(see Fig. 2), according to the voltage of the line, will reflect a low or a high optical
intensity. The reflected beams will be deflected and collimated on optical detector
(PIN diodes) of the receiver (part two) distant from the emitter. Hence, the delivered
signals by the PIN diodes undergo an analog/digital conversion, to be compared with
a pre-stored reference data. Thus, the CPU generates the corresponding graphs for
visualization and activates alarm if certain thresholds are exceeded. The next section
presents an example modeled with the VHDL-AMS tool.

3 An Example

Environmental and operating condition variability presents significant challenges to

the building monitoring application. Hence, the need for online monitoring should be
reinforced to avoid possible hazards due to the damage of a building or bridges. Fur-
thermore, detecting damage at remote system can save many human lives. To reach
this goal, several techniques have been proposed in the literature (see for example:
[4, 6, 11, 14, 16]), where the main idea is how to monitor structural health in a con-
tinuous basis, diagnose any structural problem early and deal with it appropriately
while keeping the cost of the implementation of such schemes in reasonable limits.
So, we will prove, through the following example, that our scheme is more efficient
in terms of error latency, and it can be easily deployed anywhere, according to our
150 A. Latoui and M. E. H. Daachi

Fig. 5 Response (qout ) of the proposed SHM system to the input (qin )

specific need, without permanent installation in infrastructure systems. To do so, let

us focus now on the famous of the TMS32010 signal processing (see Fig. 3; [1]),
where some registers (R1, R2, R3 and R4) are considered now as BILBO ones, to
allow testing ALU and the multiplier. By assuming the BILBO registers are now
OBILBO and according to SHM system depicted in Fig. 1, we will show that, for
example, the data collected from the accelerometer can be treated by the CPU and
visualized in real time. In order to simulate this model, a smartphone (Galaxy S3) is
used to collect data from the accelerometer integrated within it. Figure 4 shows the
response of the accelerometer (Z-axis) after shaking the smartphone periodically.
The VHDL-AMS model of the SHM system developed in this work is not presented
here. We should note that the collected data from the accelerometer are injected at
the inputs of the DSP. Thus, the corresponding response data are collected from the
outputs of the OBILBO and are transmitted in real time to the receiver. For the sake
of simplicity, no treatment (filtering) of the data has realized here by the DSP.

4 Simulation Results

Simulation results are reported in the following figures. Figure 5 represents the corre-
sponding response “qout ”, at the remote system (receiver), to the input data “qin ” (data
delivered by the accelerometer). The digital signals d1 , d2 , d3 and d4 , corresponding
to the quantity “qout ”, are represented in Fig. 6, whereas their corresponding optical
beams, transmitted by the OBILBO ql1 , ql2 , ql3 and ql4 respectively, are repre-
sented in Figs. 7 and 8. We can see from these figures that the collected data from the
accelerometer are transmitted by the OBILBO in real time and without any delay.
Hence, a comparison of these data to the pre-stored ones of reference model can
be done in real time. This enables us to perform anomaly detection and thus to be
An Optical Embedded MEMS-Based System for Real-Time … 151

Fig. 6 Digital outputs response of the OBILBO

Fig. 7 Optical beams transmitted (lines D1 and D2)

warned whether the vibration response is of damaged or healthy structure, in order

to take the appropriate actions.
Moreover, the OBILBO can be configured in built-in self-test (BIST) mode which
allows testing the DSP itself to diagnose faults and checking its integrity. This is
highly appreciated for embedded systems which are not necessarily designed with
high performance since they are low-cost products and integrates hundreds of mil-
lions of transistors in their structure. Furthermore, the OBILBO produces an optical
signature which can be analyzed at remote system. We note that the signature is a
data compression technique that allows reducing the amount of the stored data. It is
worth noting that to carry out an online testing, for example, of the multiplier (Fig. 3),
the transmitted optical beams corresponding to the outputs of R1 and R2 will be used
as inputs for the reference model of the multiplier at the receiver, which delivers a
152 A. Latoui and M. E. H. Daachi

Fig. 8 Optical beams transmitted (lines D3 and D4)

corresponding response. This latter is compared to the response of the multiplier

via the transmitted signals by the R3 register. Hence, thanks to the optical probes
considered, if an error occurs in the multiplier, it will be detected in real time and
without affecting its normal functioning.

5 Conclusion

In this work, a new remote online monitoring system of building and structure
health based on optical embedded MEMS sensor is proposed. Our system is use-
ful in remotely monitoring buildings to detect vibrations due, for example, to an
earthquake. The proposed system is in fact composed mainly of low-cost embed-
ded devices: a MEMS accelerometer sensor and a digital signal processing unit
where its built-in logic block observation (BILBO) registers integrate optical probes,
thus forming optical BILBO registers (OBILBOs). Therefore, each formed OBILBO
register, configured in its parallel load mode, permits to send, remotely to a distant
system, optical beams corresponding to the logic states of its outputs. Hence, the
received data can be compared to those of a reference model, in order to perform
an online anomaly detection to judge whether there is anomaly in the SHM data.
All this enables us to assess in real time the structural health conditions in order to
ensure safe exploitation of, for example, public or historical building. Simulation
results have been shown that detecting vibrations in a building can be accomplished
by our SHM system in real-time way and obviously without any delay thanks to the
optical sensors integrated in the BILBO registers. In addition, the proposed SHM
system not only requires a permanent installation in infrastructure systems but it can
also be deployed anywhere according to our specific need.
An Optical Embedded MEMS-Based System for Real-Time … 153

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Friction Damper Performance on Stay
Cable Bridges in Vietnam, Solution
Prediction, and In-Situ Testing

Nguyen Phuong Duy and Tran Duc Lan

1 Introduction

Stay cable structures, with the architectural and structural advantages, have become a
widespread solution for medium to long-span bridges over the past several decades.
In parallel, with the structural slenderness and excitation sensibility, the service-
ability problems with large amplitude vibrations of cables stay due to environmental
conditions have been observed. The term “rain/wind vibration” [1] for example was
familiar to specify the large amplitude vibration occurred under a certain condition
of rain and wind combination. On another hand, large amplitude vibrations at high
wind speeds have also been reported as possible in the literature [2] without specific
rain conditions and known as “galloping of dry inclined cables”. An amount of theo-
retical and experimental research on this subject had been conducted by worldwide
researchers and stay cable specialist contractors. With this understanding, mitigation
measures such as various cable surface modifications as well as external/internal
dampers and/or cable cross-ties have been proposed and tested with the development
of stay cable technology. Those technics are aimed to disrupt the water rivulet inter-
action with the wind flow considering as the root cause of the rain/wind vibration or
to dissipate the cable vibrations energy by adding damping to the cables’ stay.
Since the inauguration in 2000 of My Thuan bridge, the first stay cable bridge
built in the territory of Vietnam, large amplitude vibration mitigation measures were
adopted in several types such as hydraulic external dampers in My Thuan bridge,

N. P. Duy (B)
University of Transport and Communications, No. 3 Cau Giay, Hanoi, Vietnam
e-mail: npduy@[Link]
T. D. Lan
VSL Vietnam Ltd., 44, Le Ngoc Han, Hai Ba Trung District, Hanoi, Vietnam

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2023 155
R. V. Rao et al. (eds.), Recent Advances in Structural Health Monitoring
and Engineering Structures, Lecture Notes in Mechanical Engineering,
[Link]
156 N. P. Duy and T. D. Lan

hollow cable surface modification in Can Tho bridge and Nhat Tan bridge, double-
helix cable surface modification and friction dampers in Tran Thi Ly and Vam Cong
bridges …
The lack of standardized criteria and local design guidelines have made the consis-
tent practical design and application of the mitigation measures difficult. Further-
more, the cable damping characteristics depend on many parameters of cable system
nature but also environmental conditions and the accurate value is difficult to predict.
Testing field is generally considered as the most effective solution to evaluate and/or
verifying the damping characteristics. However, not much local research, field-testing
report, or publication on those issues have been recorded.
This paper presents an assessment of the large amplitude vibration possibility on
two stay cable bridges recently completed in Vietnam in considering the vibration
mitigation measures using friction dampers system. The results were then confronting
with the field damper test to confirm the theoretical prediction and evaluate the
performance of the friction damper system.

2 Stay Cables Vibration

2.1 Direct Excitations

Based on the existing world-wise research data, wake galloping, galloping of dry
inclined cable, and rain/wind combination excitations mechanisms appear to be the
biggest concerns for vibration mitigation.
Wake galloping is caused by variations in drag and cross-wind forces leading to
elliptical movement of the cables in the wake of other elements (towers or other
cables). The phenomenon characterizes by large amplitude oscillations at high wind
speeds. That could theoretically be the cause of possible fatigue on the stay cable
bridges. Even if wake galloping is generally not a major design concern for normal
cable arrangement conditions, it’s recommended to pay some attention in the unusual
cases. The cable shall be stable up to a higher wind velocity by increasing the Scruton
number or natural frequency (Eq. 1).
Galloping of Dry Inclined Cables defines the phenomenon of possible large ampli-
tude vibrations of single cable-stayed occur at high wind speeds which is not normal
to the cable axis. For inclined cable, wind acts on the cable cross-section of elliptical
form defined by the cable inclination. When the cable structural damping is very low,
galloping instability is then possible.
Rain/Wind induced vibrations have been observed worldwide on many stay cable
bridges and researched in detail. The phenomenon specifying as cable vibrations
with high amplitude at low frequencies causes by a combination of rain and moderate
wind speeds. Experimental researches [1, 3] have shown that raining water rivulets
running in the upper and lower surface of the cable cross-section under perturbed
Friction Damper Performance on Stay Cable Bridges … 157

wind condition is the essential component of the phenomenon. Under that condition,
the effective shape of the cable is changed when the cable oscillates causing cyclic
changes in the aerodynamic forces leading to the oscillation.

2.2 Design Criteria

Regarding the wake galloping effect, an approximate equation for the minimum wind
velocity U crit based on an important parameter, the Scruton number (S c ), has been
proposed by Irwin [4] and Cooper [5] and adopted by PTI [6] as a critical wind speed
above which, instability due to wake galloping can be expected.
√
Ucrit = c f D Sc (1)

In the equation, c is a constant depending on the clear spacing between cable (c

= 25 for closely spaced and c = 80 for normally spaced). D and f are the cable
diameter and natural frequency, respectively.
On another hand, inclined dry cable galloping is generally not a common
phenomenon in completed bridges during service. Saito [2] suggested however an
instability criterion based on a series of wind tunnel experimental. The equation was
given in a different form from the Eq. (1) with c = 40.
√
(U/ f D)crit = 40 Sc (2)

Rain-wind oscillation excitation is suggested by PTI to be reduced to a harmless

level using a criteria for Scruton number based on the Saito’s rig test data [2] and the
wind tunnel test performed by other researchers [1, 5].

mξ
Sc = ≥ 10 (3)
ρ D2

Based on limited tests on cable with double-helix surface modification, Larose

et al. [7] have suggested that S c > 5 may be acceptable. PTI also suggested that a
value of 5 could be proposed in lieu of the higher limit of 10 for special helix or
dimpled stay pipes with special testing to verify this value [6]. This criterion can be
used to specify the amount of damping that must be added to the cable to mitigate
rain/wind vibrations.
FIB (International Federation for Structural Concrete) on another hand suggested
that an effective damping of δ = 3–4% has often been found to be sufficient to
control wind-/rain-induced stay cable vibrations in practice [8]. Those values are
quite in line with the recommendation by CIP (French International Commission on
Prestressing) for a logarithmic decrement (damping) of the cable greater than 3% for
cable of more than 80 m in length to avoid rain and wind instability [9].
158 N. P. Duy and T. D. Lan

Fig. 1 Friction damper

assembling on Vam Cong
bridge (photo provided by
VSL Vietnam)

3 Friction Damper

3.1 Energy Dissipation and the Threshold Amplitude

The principle of the friction damper system is to dissipate the maximum of mechan-
ical energy through the interface contact between the friction elements. The key point
of system design is to keep the threshold vibration amplitude below a specific value
considering as structural and user comfort acceptable. Figure 1 shows the on-site
assembling of friction damper in Vam Cong bridge (Dong Thap, Vietnam).
The mechanical energy dissipation is mobilized in the relative movement at the
prestressed contact between two specific friction patterns. It consists of a first pattern
connected to the moving cable and another one connected to the support assuming to
be fixed. As consequence, the movements are damped to a certain threshold amplitude
of vibration.

3.2 Damping Behavior

Figure 2 presents a typical relationship of vibration amplitude dependent on damping

ratio (ξ ) provided by friction damper. It shows that at a level of less than a hundred
millimeters, the cable vibration amplitude cannot induce a deviation force sufficiently
important to overcome the friction force and make the cable move at the external
damper installed location. Once the threshold vibration amplitude is exceeded, the
friction force is activated and provides sufficient damping to the cable to dissipate
external excitation energy. The cable movements are quickly stabilized to a level of
amplitude defined by the specific demanded damping ratio of 0.5% (see Fig. 2).
The damper remains activated after the excitation stops until the vibration
amplitude decreases to a certain level lower than the initial threshold [10].
Friction Damper Performance on Stay Cable Bridges … 159

Fig. 2 Modal characteristics

and typical friction damper
behavior in the Incheon
bridge [10]

4 Field-Testing Performance

4.1 Field-Testing

We present in the following the damping test results performed on two stay cable
bridges recently built in Vietnam. They are Tran Thi Ly bridge (2015) and Vam
Cong bridge (2020). The testing campaigns were performed in post-evaluation of
the wind-induced vibration assessment to confirm the theoretical damping values
and the performance of the mitigation friction dampers solution.
The damping of the cable and the friction damper performance were measured
during the assumed free response of the stay cable to an impulse excitation. The
testing procedure had been repeated to acquire the vibration data for three first mode
of cable vibrations.

4.2 Friction Damper Solution

For the studied stay cable bridges, the excessed wind vibration assessment is evalu-
ated based on the criteria specified by PTI [6] and FIB [8] with regard to the Scruton
Number (Eq. 3), the critical wind velocity (Eq. 2), and the intrinsic damping.
Figure 4 presents the relationship between the critical wind velocities and the cable
length for the interested bridges. If considering a very common design wind speed of
20 m/s, we can observe that additional damping is required for nearly all the cables to
eliminate completely the risk of vortex vibration on all the three stay cable bridges.
It should be noted however that the approach is considering as very conservative in
practice without considering the aerodynamic damping which increases with wind
speed [9].
160 N. P. Duy and T. D. Lan

Even the determination of the exact intrinsic damping for cable-stayed is very
difficult, in practice, it is common to consider that the value is in proportional with
the cable-free length (L):

δint = 2π(0.24 − 6 × 10−4 L) (4)

The estimation of intrinsic damping however needs to be confirmed by an adequate

testing campaign as per presented in the following. Figure 5 shows the relationship
between the evaluated value of Scruton Number (S c ) and the first mode of cable
natural frequency on the bridges. We can notice that most of the estimated values of
(S c ) are even lower than 3 and all of them are lower than the critical value specified
by PTI [6].
In the three studied bridges, in combining with double helical surface treatment
for cable pipe the external friction dampers have been proposed to mitigate the wind
vibration excitation on the in-risk cables stayed.

4.3 Field-Testing and Results

Due to the important amount of time-consuming, the field test was performed only on
selected cables representatives for each bridge. Table 1 presents the characteristic of
testing cables performed on Tran Thi Ly (TTL) bridge and Vam Cong (VC) bridge,
respectively.
The objectives of the tests were to confirm the intrinsic damper evaluated values
and the need for additional external damping but also to prove the performance of
the proposed friction damper solution.
It’s to be highlighted that the measurement data was acceptable if the environment
conditions, the wind and dynamic loads excitation on the deck level were control-
lable and then their effects could be removed from the measured data. The portable
accelerometers were used for the data collection which were installed on the cable

Table 1 Testing cables characteristics

Cable Cable Num. of Cable Cable Cable 1st mode Tension
No./Bridge length (m) strands incl. outer dia mass theo. freq. force (kN)
name (deg.) (mm) (kg/m) (Hz)
301/TTL 275.09 95 26.80 250 123.5 0.50 9014
308/TTL 230.06 78 28.89 225 101.4 0.62 7901
316/TTL 179.45 66 32.72 210 85.8 0.81 6857
106/TTL 218.46 54 32.38 180 70.2 0.65 5340
C1S8/VC 119.21 41 36.82 200 53.3 1.15 4059
C1C11/VC 150.85 46 29.95 200 59.8 0.88 4245
C1C18/VC 234.06 61 24.14 2.25 79.3 0.58 5519
Friction Damper Performance on Stay Cable Bridges … 161

at specified height from deck (see Fig. 3) individually for each cable in considering
each of the first three modes of vibration (ith). A correction factor (α) was added to
correct the error on the measurement location (L s ) and the maximum displacement
location on the cable-free length (L c ).
( )
L s iπ −1
α = sin (5)
Lc

At first, the friction damper has been disconnected for cable intrinsic damping
measurement. The operations have been executed by distressing the friction pads in
assuring the free movement of the cables. The additional damping was then measured

Fig. 3 Installation of the accelerometers for damping test on the Tran Thi Ly stay cable bridge
(photo provided by VSL Vietnam)

Fig. 4 Critical wind velocity evaluated in regard to the cable length

162 N. P. Duy and T. D. Lan

Fig. 5 Scruton Number and the cables’ first mode natural frequency

by engaging the friction pads by stressing patterns. A post-measurement data treat-

ment was performed to eliminate the measured values which had been affected by
environment excitation conduiting to exaggerated damping value.
Rigorously, the cable movements were extracted from the measured accelera-
tion signal by a double integration process. However, to eliminate the noise and
measurement error that could lead to the unsuitable signal, the integration process
was performed over the frequency domain. The logarithmic decrement (damping)
was obtained from the envelope of displacement signal with the below formula in
which (f ) is the frequency of the harmonic signal [10].

1 A' (t)
δ(t) = − (6)
f A(t)

Figure 6 presents a comparison between the measurement intrinsic damping and

the theoretical evaluation in regard to the 1st mode natural frequency of the cables.
We observe that the measured intrinsic damping values are comparable to those given
in most of the International Standard [6, 8, 9] and quite in line with the theoretically
evaluated ones.
Figure 7 shows the respective logarithmic decrement with the friction damper
engaging in comparing to the measured intrinsic cable damping in Tran Thi Ly
(TTL) and Vam Cong (VC) bridges. We observe a net increase of cable damping
values proving the performance of the installed friction damper solution.
The average addition damping due to the friction damper system could reach a
minimum of 4%.
Friction Damper Performance on Stay Cable Bridges … 163

Fig. 6 Theoretical and measured Intrinsic Damping cable confrontation

Fig. 7 Measured additional damping with friction damper engaged (Friction damping)

5 Conclusions and Discussion

The evaluation process of the possibility of excessive wind-induced vibration seems

to be too conservative based on the approach by PTI recommendation. Furthermore,
the evaluation of intrinsic damping is difficult to be accurate. The stay cable damping
estimation needs to be confirmed by a suitable testing campaign for determining the
cable logarithmic decrement.
The damping test process, correlation, and data treatment processes were
presented for reference and future works.
164 N. P. Duy and T. D. Lan

The testing results show that the measured intrinsic damping of cables were in
line with the evaluated ones and the values specified in the current International
Standards and Specifications.
The performance of the friction damper system installed on the bridges had
been also proved through the experimental data by increasing the cable logarithmic
decrement by more than 4%.

Acknowledgements The authors would like to express their thanks to Nhat Le 2 PMU, Cuu Long
PMU, Da Nang Transportation department, and VSL TCAA.

References

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National Research Council of Canada, Note provided to RWDI
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Tensioning Institute—Committee on Cable-Stayed Bridge, USA
7. Larose GL, Smitt LW (1999) Rain/wind induced vibrations of parallel stay cables. In:
Proceedings of IABSE conference, Malmö
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performance prediction and in situ test. In: 3rd FIB international congress, Washington, USA
Numerical Study on Bending Resistance
of Composite Beam Containing
Conventional Concrete and HPFRC

Duy-Liem Nguyen and H. T. Tai Nguyen

1 Introduction

Strengthening a reinforced concrete (RC) beam members by using a better concrete

has been a common technique [1–3]. During service life, RC beams may signif-
icantly degrade under mechanical and environmental load, and thus require a
repairing/strengthening work to resist the initial design load. High-performance fiber-
reinforced concrete (HPFRC) could be appropriately used as a strengthening material
because HPFRC has been characterized by significantly greater mechanical prop-
erties than conventional concrete (CC). The great mechanical properties of HPFRC
included high strengths in both compression and tension, high energy absorption
capacity, and high cracking resistance [4–7]. Nonetheless, the cost of HPFRC is
comparatively higher than that of CC [8], this issue has really been limited the
practical application of HPFRC. In previous experimental study [9], the authors
proposed to use HPFRC at extreme compression/tension fiber zone of RC beam to
enhance its load-bearing capacity. The composite beam with CC-HPFRC experi-
mentally performed the great enhancement of load bearing capacity in comparison
to the control RC beam.
In addition to experimental approach, numerical approach has been widely used in
civil engineering for performing the damaged behavior as well as mechanical resis-
tance of materials or structural members. The advantages of numerical simulation
techniques are to quickly provide various future outcomes based on experimentally
historical data and to consequently save much cost and time for testing. Therefore, the
main objective of this paper is to show the potential of a numerical model approach for
providing fitting flexural response curves of the composite CC-HPFRC beams. The

D.-L. Nguyen · H. T. T. Nguyen (B)

Faculty of Civil Engineering, Ho Chi Minh City University of Technology and Education, Ho Chi
Minh City, Vietnam
e-mail: tainht@[Link]

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2023 165
R. V. Rao et al. (eds.), Recent Advances in Structural Health Monitoring
and Engineering Structures, Lecture Notes in Mechanical Engineering,
[Link]
166 D.-L. Nguyen and H. T. T. Nguyen

finite element software ATENA is employed for the numerical analysis. The behav-
iors of the composite beams from this simulation will be compared with those from
experimental test in [9]. Besides, the analytical result of the composite CC-HPFRC
beam based on cross-section analysis was also compared and discussed.

2 Materials and Beam Design

Figure 1 shows the beam detail and bending test setup. Two thicknesses of HPFRC
layer on beam top were studied as follows: t = 50 mm (beam 1) and t = 75 mm
(beam 2). The size of the beams was 150 × 150 × 600 mm3 (width × depth ×
length) with its span of 450 mm. The beams were reinforced using 2 × D 6 mm
and 2 × D 12 mm in the compressive and tensile zone, respectively, stirrups of D 6
mm were spaced at 120 mm. The compositions of CC and HPFRC regarding weight
proportions were shown in Table 1 [2]. The fibers used in the HPFRC was a hybrid
system, containing 1.0 vol.% long hooked and 0.5 vol.% short smooth fibers. The
properties of the used fibers were presented in Table 2 [2]. Table 3 provides the direct
tensile and compressive resistances of HPFCR and CC [9]. It was observed that the
tensile and compressive resistances of HPFRC were much higher than those of CC.
The yield strengths of longitudinal rebars and stirrups were 400 MPa and 240 MPa,
respectively.

Fig. 1 Beam detail and bending test setup

Table 1 Composition of mortar matrix of CC and HPFRC [2]

Mortar Cement Silica Silica Fly Superplas-ticizer Coarse Water
matrix (INSSE fume sand ash aggregate
PC40)
CC 1.00 – 2.23 – – 4.62 0.63
HPFRC 0.80 0.25 1.10 0.20 0.04 – 0.26
Numerical Study on Bending Resistance of … 167

Table 2 Properties of the hybrid fibers used [2]

Fiber type Diameter (mm) Length (mm) Aspect ratio Tensile strength Cross section
(MPa)
Long hooked 0.5 35 70 >1200 Circular
Short smooth 0.2 13 65 >2500 Circular

Table 3 Direct tensile and

Property | Material CC HPFRC
compressive resistances of
' , MPa)
Compressive strength ( f cu 20.2 79.6
CC and HPFRC
Strain at ultimate strength ' ,
(εcu %) 0.2 0.35
Tensile strength ( f tu' , MPa) 2.0 9.81
' , %)
Strain at ultimate strength (εcu – 0.36

3 Numerical Modeling of Composite Beams Made of CC

and HPFRC

3.1 Modeling the Concrete Behavior and Failure Laws

The behavior and failure of CC and HPFRC was modeled using the SBeta Material
and 3D Nonlinear Cementitious 2 User predefined in ATENA software [10], which
were developed based on fracture plastic theory and are summarized as follows. In
the following paragraphs, the Einstein summation convention is used thoroughly for
the sake of brevity unless otherwise stated. Let ε be the strain tensor in the material,
which can be decomposed into three parts: elastic, plastic, and fracture ones:

ε = εe + ε p + ε f . (1)

The stress tensor in the material is related to the elastic strain via the Hook’s law:
E Eν
σ= εe + tr(εe ). I (2)
(1 + ν) (1 + ν)(1 − 2ν)

where E, ν are the initial elastic modulus and Poisson ratio, tr(εe ) is the trace of the
elastic strain tensor, and I is the second order tensor of unity.
Rankine criterion is used in ATENA to model the concrete cracking behavior:

f f (σ) = σii' − f t'i ≤ 0 (3)

where σii' (no summation) is the trial stress and f t'i is the tensile strength in the
material direction i. In ATENA, the material directions are defined by the actual
principal directions or the principal directions at the onset of cracking.
168 D.-L. Nguyen and H. T. T. Nguyen

The hardening/softening Menétrey-Willam yield surface is used to model the

concrete crushing behavior:
( )2 [ ]
√ ρ ρ ξ
f (σ) = 1.5 ' +m √ r (θ, e) + √ −c (4)
fc 6. f c' 3. f c'

where f c' is the compressive strength; ρ, ξ, θ are defined as:

√
ξ = I1 / 3; I1 = σii ; (5)

√ 1
2J2 ; J2 = si j si j ;
ρ= (6)
2
√
3 3 J3 1
cos(3θ ) = 3/2
; J3 = si j s jk ski ; (7)
2 J2 3

and m, r (θ, e) are related to the tensile, compressive strength and the roundness of
the yield surface controlled by a parameter e:

f c'2 − f t'2 e
m=3 ; (8)
f c' f t'2 e + 1
4(1 − e2 ) cos2 (θ ) + (2e − 1)2
r (θ, e) = [ ]1 . (9)
2(1 − e2 ) cos(θ ) + (2e − 1) 4(1 − e2 ) cos2 (θ ) + 5e2 − 4e 2

In Eq. (4), the parameter c = f c' (εeq )/ f c' is to define the yielding/hardening
p
p
process, in which εeq is a scalar representing the equivalent plastic strain and the
function f c' (εeq ) defines the hardening/softening law of the material in uniaxial
p

compression.
The plastic flow obeys the non-associated flow rule in Eq. (10):

∂g(σ) 1 √
ε̇ p = λ̇ ; g(σ) = β √ I1 + 2J2 (10)
∂σ 3

where λ̇ is the plastic multiplier representing the rate of plastic strain and β is a
parameter defining the return direction of the stress.
The illustration of the uniaxial tensile and compressive behavior of concrete is
shown in Fig. 2a while the admissible zone for stress in two principal directions is
presented in Fig. 2b.
Numerical Study on Bending Resistance of … 169

a) Stress-strain law b) Biaxial failure law

Fig. 2 Illustration of concrete behavior and failure laws

3.2 Determination of Material Parameters

The determination of material parameters is performed based on the tensile and

compressive tests as well as their numerical simulation. The mechanical problems of
the direct tensile and compressive tests were solved in ATENA 2D for both CC and
HPFRC to calibrate the model parameters. After trial-and-error process, the best-fit
model parameters were determined and are reported in Table 4.
The best-fit behavior and failure of HPFRC obtained with ATENA are also
presented in Fig. 3, where a good fitting between numerical and experimental results
can be observed.

Table 4 Best-fit parameters

Parameter | Material NC HPFRC
of the fracture plastic model
for NC and HPFRC Elastic modulus (E, MPa) 24,200 24,200
Poisson ratio 0.2 0.2
Localized strain '
εcu – 0.0035
Localized strain '
εtu – 0.0036
Stress–strain law in compression
Yield strain (%) | Stress (MPa)
(0,72.59); (0.03, 80.65); (0.05, 74.04); (0.07, 65.33); (0.09,
61.70); (0.3, 47.18); (5, 0.32)
Stress–strain law in tension
Yield strain (%) | Stress (MPa)
(0, 1.79); (0.36, 9.81); (1, 1.58)
170 D.-L. Nguyen and H. T. T. Nguyen

a) Under uniaxial compression b) Under uniaxial tension

Fig. 3 Numerical and experimental stress–strain responses of HPFRC

3.3 Finite Element Simulation of Three-Point Bending Test

of Composite Beams

The finite element models of composite beams made of CC and HPFRC were
displayed in Fig. 4. Owing to symmetry, only one-half of the beam was considered
to reduce the computing time. 2D triangle solid elements were used to discretize the
beam geometry while truss elements were used to model the steel reinforcement. In
this study, the element sizes were chosen small enough for numerical convergence—
namely, the maximal size of element is 0.02 m for the beam and the steel support.
It is worth mentioning that the number of elements is restricted to be smaller than
300 in Demo mode, which prevents us to proceed with finer meshes. The predefined
materials in ATENA with the parameters previously determined were used to define
the behavior and failure of CC and HPFRC. The elastic perfect plastic model was
used to model the behavior of rebars.
The boundary conditions were as follows. The displacements of all nodes along the
symmetric axis was fixed along the horizontal direction and the displacement at the

a) Composite beam 1 b) Composite beam 2

Fig. 4 Finite element modeling of composite beams

Numerical Study on Bending Resistance of … 171

a) Composite beam 1 b) Composite beam 2

Fig. 5 Flexural responses according to test and simulation results

middle node at the bottom of the steel support was fixed along the vertical direction.
The loading applied to the beam was a prescribed displacement of increment of
5.08 × 10−2 mm applied to the nodes near the symmetric axis as illustrated in Fig. 5.
The interaction between CC and HPFRC and between the concrete and steel rebar
were assumed perfect connection.
Since the problem is nonlinear, Newton Raphson method was used for equation
resolution. The tolerance of convergence was 0.01 for the displacement, residual,
and absolute residual error and 0.0001 for the energy error. The maximal iteration
per increment was chosen to be 40. The calculation results will be presented in the
next section.

4 Numerical Results

4.1 Flexural Response Curves of the Composite Beams

Figure 6 plots the flexural response curves of the composite beams. As can be seen
in the figure, there is a critical point in the curves based on which the behavior of
the beam can be divided into two principal phases. In the first phase, the bending
moment increases with an increase of the prescribed mid-span deflection, i.e., the
beam is still capable to carry the increasing load. In the second phase, after the
bending moment has reached its maximal value, the bending moment gradually
decreases with increasing prescribed mid-span deflection, i.e., the beam is in failure
and the load-carrying capacity of the beam is reduced. The bending moment at
critical point is the maximal load-carrying capacity of the beam, noted M MOR , and the
corresponding deflection was noted as δMOR . Summary of M MOR and δMOR obtained
from FE modeling is presented in Table 5. For comparison purposes, the results
obtained from experiment and cross-section analysis are also shown in the table. It
172 D.-L. Nguyen and H. T. T. Nguyen

a) Composite beam 1

b) Composite beam 2

Fig. 6 Crack patterns obtained from numerical analysis and experiment [9]

Table 5 Results of experiment and numerical simulation

Specimen Moment resistance
Experiment [9] Simulation Difference
M MOR (kN.m) δMOR (mm) M MOR (kN) δMOR (mm) M MOR (%) δMOR (%)
Beam 1 13.22 4.27 12.69 1.78 4.0 58.3
Beam 2 14.21 4.37 14.90 1.98 4.9 54.7

can be seen that the predicted M MOR match relatively well with the experimental
ones. The relative error between the M MOR obtained from numerical simulation and
the experimental M MOR is lower than 4.9%. However, the simulated δMOR is much
smaller than that from experiment. The large difference between the simulated and
experimental δMOR is likely to stem from the fact that the deflections measured
during testing are in fact the deflections of the platens of the UTM, in which excess
deformations due to local failures of the materials at supports and at the location of
the applied load are also included.

4.2 Crack Pattern and Failure Mode

Figure 6 displays the crack patterns of the composite beams obtained from FE
modeling. It can be seen in the figure that both beams exhibit mainly shear flex-
ural failures in the CC layer—namely, the computed maximal crack width in the
Numerical Study on Bending Resistance of … 173

CC layer is 0.362 mm while the computed maximal crack width in the HPFRC is
only 0.14 mm at the corresponding deflection of 1.83 mm. Based on experiment, the
observed cracks consist of vertical and diagonal cracks in both the CC and HPFRC
layers while the FE simulation only predicts cracks in the CC layer. The mismatch
between prediction and experiment is likely to reside in the material model and
element type used in the simulation. Since the cracks initiated from the CC layer and
propagated through the HPFRC layers, appropriate finite element that allows crack
propagation should be used to well capture the observed phenomenon.
The tensile stress in the steel reinforcing bars at the mid-span section in both
composite beams attain their yield strength while the compressive stress does not
exceed the crushing strength of HPFRC. In addition, based on the bending moment –
deflection curves, the numerical bending moment slightly decreases with an increase
of deflection after the critical point. Therefore, the failure mode of the beams is
predicted to be of ductile failure. In effect, experimental results show that both beams
present ductility. Therefore, the FE simulation predicts well the failure mode of the
composite beams—and so does the analysis of sectional stress state at ultimate limit.

5 Conclusion

The load-carrying capacity of composite beams comprised of conventional concrete

at the bottom layer and HPFRC at the top layer was successfully investigated using
finite element method with the aid of ATENA software. The numerical simulation
predicts well the moment resistance and the failure mode of the composite beams
while the deflection and crack pattern were not very well predicted, which will be
deeply studied in future works. By performing rigorous material characterization
and using appropriate material models and element types, the behavior and failure
of composite beams and composite structures comprised of conventional concrete
and HPFRC can be predicted with high accuracy without conducting expensive and
time-consuming experiments.

Acknowledgements This work belongs to the project grant No. B2021-SPK-08 funded by Ministry
of Education and Training, and hosted by Ho Chi Minh City University of Technology and
Education, Vietnam.

References

1. Hussein L, Amleh L (2015) Structural behavior of ultra-high performance fiber reinforced

concrete-normal strength concrete or high strength concrete composite members. Constr Build
Mater 93:1105–1116
2. Nguyen DL, Tran VT, Tran NT, Ngo TT, Nguyen MT (2021) Evaluating load-carrying
capacity of short composite beam using strain-hardening HPFRC. KSCE J Civ Eng 25:1410–
1423.[Link]
174 D.-L. Nguyen and H. T. T. Nguyen

3. Martinola G, Meda A, Plizzari GA, Rinaldi Z (2010) Strengthening and repair of RC beams
with fiber reinforced concrete. Cem Concr Compos 32(9):731–739
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ical damage-sensing behavior of six strain-hardening steel-fiber-reinforced cementitious
composites under direct tension. Compos: Part B 69:159–168
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electromechanical behavior of strain-hardening steel-fiber-reinforced cementitious composites.
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of high-performance fiber-reinforced concrete under compression and flexure. Constr Build
Mater 226:743–758
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energy of steel-fiber-reinforced concretes. Compos B 183(107714):1–19. [Link]
1016/[Link].2019.107714
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Article ID 1903729. [Link]
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beams with high-performance fiber-reinforced concrete. Constr Build Mater 270:121814.
[Link]
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[Link] on July 2021
Multi-scale Modelling of the Ballistic
Impact of One Single Kevlar Yarn

Q. Hoan Pham, C. Ha-Minh, T. Long Chu, T. Kanit, and A. Imad

1 Introduction

Kevlar fibre plays an important role in many applications, especially in lightweight

composite material for ballistic armour. The ballistic behaviour of Kevlar fabric
has been studied by many authors using experimental and numerical approaches
[1]. However, numerical modelling is dominant due to the high cost and complex
structure of the material.
Generally, numerical models can be classified into three scales: macroscopic,
mesoscopic, and microscopic. Within the macroscopic (fabric) scale, the fabric was
assumed to be a homogeneous plate; thus, only global behaviours of the mate-
rial, such as the perforation process or the evolution of deformation pyramid, were
predicted [2, 3]. In the case of mesoscopic or yarn scale, each yarn was considered
as orthotropic material [4, 5]. Then, many important mechanisms were studied, e.g.
yarn damage mechanisms, yarn–yarn, fabric-projectile contact, yarn pull-out and
sliding, and effects of friction, shape of the impactor, boundary conditions as well.
At the scale of microscopic, some numerical models have been conducted. In
2004, Zhou et al. [6] performed model of the fabric at the fibre scale using “digital
element method”. One frictionless pin-connected rod element chain was used to
represent one fibre. Then, Grujicic et al. [7] developed this approach for predicting

Q. H. Pham (B)
Faculty of Civil Engineering, Vietnam Maritime University, Haiphong City, Vietnam
e-mail: [Link]@[Link]
T. Kanit · A. Imad
Université de Lille, EA 7512—UML—Unité de Mécanique de Lille, F-59000 Lille, France
C. Ha-Minh
LMT, Université Paris-Saclay, Cachan Cedex, France
T. L. Chu
Thuyloi University, Hanoi, Vietnam

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2023 175
R. V. Rao et al. (eds.), Recent Advances in Structural Health Monitoring
and Engineering Structures, Lecture Notes in Mechanical Engineering,
[Link]
176 Q. H. Pham et al.

microscopic mechanisms of Kevlar KM2 fibre. However, only a sub-yarn model in

these models, in which one ÷ thirty digital fibres depicted the yarn rather than 400
fibres, was performed. The digital element is not able to describe the deformation of
fibres. Thus, many important phenomena cannot be captured.
One straight yarn was first fully modelled by Nilakantan [8]. The straight yarn
colliding with a hemicylindrical projectile was simulated. Two cases, including wall
constrained and unconstrained, were investigated. Yarn cross section was depicted
by hexagonal packing of fibres with a fibre volume fraction of 0.907. Besides, three
fibres were put around the edge of the yarn to get a cross section with exactly 400
fibres. The deformation, wide-spreading, and redistribution of fibres were observed.
It clearly showed the independence of the propagation of transverse displacement
wave, projectile velocity, and yarn energy to the constraint. The effect of the friction
factor between fibres or the transverse and shear modulus on the transverse wave
displacement was also independent of this condition. However, the arrangement of
fibres is not the same as this of yarn in fabric. Thus, the behaviour of the yarn was
not thoroughly investigated.
Sockalingam et al. [9] also conducted a microscopic scale model of a single
Kevlar KM2 yarn. The transverse impact was studied to investigate the dynamic sort
time behaviour of each individual fibre. Four hundred fibres were arranged to be an
elliptical cross section as in real fabric. Fibre damage criteria, as well as fibre–fibre,
fibre-projectile interaction, were predicted. The modelling also can depict the stress
wave propagation, absorbed energy, and fibre deformation. However, the process of
de-crimping of the yarn was not predicted as it was straight.
In 2021, a microscopic model of fabric was conducted by Yang et al. [10]. Fibre
failure, fibre–fibre interaction, and the evolution of fabric energy were investigated.
However, to gain computation time, 400 fibres were represented by only 17 equivalent
fibres. In addition, its cross section was discreted by only two elements. Thus, the
behaviour of the fabric was still not fully predicted. In our previous work [11], a
microscopic model of fabric was also introduced. 98 equivalent fibres were used to
represent 400 fibres. Fibre failure and fibre–fibre interactions have been predicted.
However, the computation time was quite high, and this needs to be reduced.
In this paper, a multi-scale model of one single crimped Kevlar yarn under ballistic
impact is developed. In order to gain the computation time, the yarn is divided into
two parts. While, the impact zone is modelled on the microscopic scale, and the other
is on the mesoscopic one. The model is validated by the results from the microscopic
model in the literature [11]. The computation time is also compared. This multi-scale
model allows developing a meso-microscopic multi-scale model of a fabric with a
reasonable computation cost in further works.
Multi-scale Modelling of the Ballistic … 177

Table 1 Properties of Kevlar KM2 fibre [12]

ρ (T/m3 ) D (µm) E 1 (GPa) E 2 = E 3 (GPa) G12 (GPa) ν 12 ν 32
1.44 12.0 84.62 1.34 24.40 0.60 0.24

2 Numerical Model

2.1 Material Properties

In this paper, Kevlar KM2 material is studied. Properties of Kevlar KM2 fibre are
listed as follows (Table 1).
The material is assumed to be transversely orthotropic [12]. G, E, and ν denote
shear, Young’s modulus, and Poisson’s ratio. As Kevlar fibres show a linear elastic
behaviour until 90% of ultimate stress, it is assumed that the material is in the linear
elastic domain until failure [13]. Additionally, the crush and transverse shear strength
are still unknown. Thus, only failure by axial tension is considered in the failure mode.
The tensile strength is set to be 3.88 GPa [12].

2.2 Multi-Scale Model

In this paper, the 3D numerical model of one single yarn under ballistic impact
has been performed using the commercial finite element code HyperWork Radioss.
A 50.6 mm length yarn is subjected to a spherical impactor. The diameter of the
impactor is 533 µm, and its mass is 625 mg. The selected initial impact velocity
is 245 m/s. As the configuration is symmetric, only a quarter of the finite element
model is conducted, shown in Fig. 1.
In this study, 400 fibres of 12 µ diameters are represented by 98 equivalent fibres
of 24 µ diameters. Details of this concept have been discussed in our previous works
[11]. Moreover, in order to minimize the number of elements, the model of a hybrid
yarn is conducted. Only the impact zone is modelled in the scale of microscopic. The
rest of the yarn is modelled as a mesoscopic one (Fig. 2). As Hashin failure criterion,
which used stress to evaluate, is utilized, a so-called “without failure” zone to connect
the microscopic and mesoscopic parts is proposed to avoid the concentration of stress.
In this model, the solid element is used. The connection of the mesoscopic and
microscopic is computed so that the acoustic impedance is constant by considering
the formula in the work of Nilakantan [14], as follows:
√
Z = A Eρ (1)

Here, A is the area of the considered cross section, E is Young’s modulus, and ρ
denotes the material density.
178 Q. H. Pham et al.

Fig. 1 Quarter FE model

Fig. 2 Hybrid yarn

3 Results and Discussion

The results of the multi-scale model are analyzed in this section. In order to validate
and evaluate the model, results are compared with these of the microscopic model in
the literature [11]. Figure 3 displays the evolution of projectile velocity versus time.
The curves clearly show two different phases: (i) de-crimping and (ii) tension. There
is an insignificant difference (244.19 and 244.21 m/s). The de-crimping process (from
0 to 12 µs) is almost the same. In the case of microscopic yarn, the projectile escapes
the fabric at 25 µs, later than in the case of the hybrid yarn (24 µs).
Model total energies are compared in Fig. 4. The results of both models are almost
the same. Also, a slight difference is observed at about 24 µs. Thus, the model is
validated, and the precision of this model is reliable.
Multi-scale Modelling of the Ballistic … 179

Fig. 3 Evolution of
projectile velocity

Fig. 4 Total energy of the

two models

The deformation of the yarns at 24 µs is shown in Fig. 5. The same pyramids

and fibre failure are observed. However, the failure of the part outside the pyramid
is different. In the microscopic yarn, some fibres fail near the edge, while the meso-
scopic part of the multi-scale cannot simulate this phenomenon. Therefore, the curves
of the two models are slightly different from this moment.
The evolution of yarn’s energy, including kinetic, internal, and friction energies,
is shown in Fig. 6. In general, the total energies of the two models are mostly the
same. Critical failure of the microscopic and multi-scale yarns are observed at 20
and 21 µs. It can be explained by the effect of the mesoscopic part. This part is
not damaged, while some fibres near the fixed edge of the microscopic yarn are
damaged (Fig. 6). After the total failure of the yarn (24 µs), kinetic energies are
almost constant, while the friction one keeps increasing due to the vibration of the
whole yarn and the contact between the fibres.
180 Q. H. Pham et al.

Fig. 5 Deformation and fibre failure

Fig. 6 Evolution of hybrid yarn’s energy in comparison with microscopic ones

Figure 7 shows the computation time of the two models. It is observed that the
calculation time is reduced by about 16%. This reduction is because the mesoscopic
part of the multi-scale uses a coarse mesh, and there are only two elements through
the thickness of the yarn. Thus, a considerable number of elements are reduced. In
addition, failure and contact do not occur in this zone. Then, the calculation time is
reduced.
Multi-scale Modelling of the Ballistic … 181

Fig. 7 Computation time

(hours) [Link]
[Link]

Micro Yarn Hybrid Yarn

4 Conclusion

A single Kevlar yarn has been modelled by micro-mesoscopic multi-scale model in

which the zone under impact is modelled at the microscopic scale while the other is at
the mesoscopic one. The model was evaluated by comparing it with the microscopic
one in terms of the residual velocity of the impactor, model’s total energy, and the
energy of the yarn. Results show that the differences between the residual velocity of
the projectile and the total energy of the two models are insignificant. In general, the
behaviour of the material, including the evolution of yarn energy, the formation of the
impact pyramid and fibre failure, is the same. However, due to the mesoscopic part,
after the total failure of the yarn, there are slight differences, especially in the case
of frictional energy. In conclusion, the multi-scale model can predict the important
phenomena during the ballistic impact event. Additionally, 16% of calculation time
is saved. Furthermore, in the case of fabric mesoscopic and microscopic models, fibre
failure occurs only in the impact zone; the micro-mesoscopic multi-scale reduces the
number of elements and the interaction outside this zone. Therefore, the multi-scale
hybrid yarn can be applied for the fibre scale model of the fabric in the future work
with a reasonable computation cost.

References

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onto woven fabric involving fiber bundles. Compos Struct 267:113856
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impact behavior of a single-ply high-strength fabric. Int J Impact Eng 31(8):996–1012
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woven fabric composites for use in impact studies. In: 10th international LS-DYNA users
conference, 2008
Defect Detection and Identification
on an Embedded Beam Using Modal
Deformation Parameters
and the Dempster–Shafer Data Fusion
Technique

Rachid Azzi and Farid Asma

1 Introduction

Engineering structures such as bridges, offshore platforms, wind turbines, etc.,

and rotating machinery components such as rotating shafts, blades, bearings, etc.,
accumulate defects during their use or operation.
The presence of a local structural defect in a structure traditionally results in
a change in the geometric (moment of inertia I) or material (Young’s modulus E)
characteristics of the damaged element or section of the structure that obviously
affects the performance, safety, reliability, and operational life of the structure in a
negative way. The early detection of these structural defects helps to take appropriate
actions for an economical maintenance and avoid a possible failure of the structure.
Defect identification methods based on vibration characteristics have attracted
much research interest due to their non-destructive local and global defect detec-
tion nature, their potential to automatically detect defects, their high reliability and
accessibility, lower cost of measuring instruments and also by the presence of a rich
literature in the field of structural health monitoring.
However, parametric methods developed using modal data have dominated the
state of the art of vibration-based fault identification, in particular those based on
eigenfrequencies, mode shapes, and their derivatives. The modal parameters (eigen-
frequencies, mode shapes, and their derivatives such as curvature, slope, modal strain
energy, etc.) are physically interpreted (resonances, spatial description of the struc-
ture at resonance, etc.), while the methods based on the time and frequency domains

R. Azzi
Mouloud Mammeri University of Tizi-Ouzou, BP 17 RP 15000, Tizi Ouzou, Algeria
F. Asma (B)
Professor, Mouloud Mammeri University of Tizi-Ouzou, BP 17 RP 15000, Tizi Ouzou, Algeria
e-mail: asma-farid@[Link]

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2023 183
R. V. Rao et al. (eds.), Recent Advances in Structural Health Monitoring
and Engineering Structures, Lecture Notes in Mechanical Engineering,
[Link]
184 R. Azzi and F. Asma

are based on analytical formulas. According to the modal parameters used in defect
identification, the so-called parametric methods are classified into:
• Methods based on natural frequencies;
• Methods based on the mode shape;
• Methods based on mode shape curvature/mode shape deformation;
• Other methods based on modal parameters.
These different methods are discussed in [1–4], and their practical applications
and their advantages and disadvantages are discussed.
In this study, we develop a fault detection method applied to an embedded beam.
We used an embedded beam model for two main reasons:
(1) The majority of civil and mechanical structures or their components can be
modeled by an embedded beam;
(2) The ability and efficiency of a method to identify a particular fault can be
evaluated and considered as a reference on a simple beam structure model that
is easy to verify experimentally.

2 Embedded Beam Model

Numerical simulations are performed on an embedded beam of length 1006 mm and

Section 5 × 46 mm presented in the following figure. The defects are modeled by
the reduction of Young’s modulus of the damaged element by the formula (αE) with
0 < α < 1.
The material properties of the beam are: Young’s modulus E = 2.2 105 Mpa,
Poisson coefficient ν = 0.3, and the material density is ρ = 7.896 10–6 kg/mm3 . The
beam is discretized into finite elements of size 5 × 23 × 10.06 mm3 as shown in
Fig. 1.
The defect is inserted on the finite element model of the embedded beam as a
reduction of Young’s modulus of the damaged element of the model. During this
parametric study, the defect takes several levels of severity and at different locations
of the beam. In the presentation of the results, only three levels of fault severity,

Fig. 1 Finite element model of a cantilever beam

Defect Detection and Identification on an Embedded Beam … 185

0.3 E, 0.5 E, and 0.7 E, and a single fault position at Z = [60.36–70.42 mm] are
considered.
Modal and harmonic analyses were performed on Ansys software, the strain
energy is calculated for each element, for the two states are undamaged and damaged.

3 Finite Element Analysis

The matrix form of the vibration equation of the structure subjected to a dynamic
load is:

[M]{ẍ} + [C]{ẋ} + [K ]{x} = {F(t)} (1)

where {ẍ}, {ẋ} and {x} are, respectively, the acceleration, velocity, and displacement
of the structure [M], [C], and [K] are, respectively, matrices of mass, damping,
and stiffness of the structure. {F(t)} is the external excitation force applied to the
structure. The displacement transfer function at point k due to the excitation at point
p is obtained by application of the Fourier transform to the (Eq. (1)) [5]:

Hkm (ω) = X k (ω)/Fm (ω) (2)

where H(ω) is the frequency response function. X(ω) and F(ω) are the displacement
and excitation forces in the frequency domain, respectively.
According to Ref. [6], the vibration equation in eigenvalues of an intact structure
can be written as:

[K ]{ϕi } = ωi [M]{ϕi } (3)

with i = 1, …, n—the number of considered vibration modes, ωi —the eigenvalue,

and {ϕi }—the ith mode shape of the structure.
For damaged structure, Eq. (3) can be rewritten as:
   
[K d ] ϕid = ωid [M] ϕid (4)
 
where [K d ] the stiffness matrix of the damaged structure, ωid and ϕid are,
respectively, the eigenvalue and the mode shape of the damaged structure.

4 Modal Strain Energy Change Method

This method uses the modal strain energy change in each element of the struc-
ture before and after the defect occurrence. The modal strain energy change of the
186 R. Azzi and F. Asma

damaged element is very high, however, it is very low for the undamaged elements
that are far from the damaged element. However, the elements corresponding to the
nodal points of the mode shape have exceptionally small values, which does not
allow their identification. The use of modal strain energy change for multiple modes
overcomes this problem. Shi and Law [7] applied the modal strain energy on an
embedded beam and a two-story, single-span portal frame steel structure. The results
show that this method is simple and reliable for locating single or multiple damages
in a structure. This method is originally developed for a beam structure characterized
by one-dimensional curvature. Cornwell et al. [8] generalized the modal strain energy
method to a two-dimensional plate structure. From their numerical and experimental
results, the strain energy-based method was found to be effective in locating cracks
with stiffness reductions as small as 10% using relatively few mode shapes.
Thus, the modal strain energy change ratio (MSECR) could be a significant
indicator of defect location defined
 ∗ 
MSECRin = γn,i − γn,i /γn,i (5)

where n and i denote the element number and mode number, respectively. If the
MSEs for multiple modes are considered together, the MSECRn of the nth element
is defined as the average of the summation of MSECRin for all modes normalized to
the largest value MSECRimax of each mode.

1 
Nm
MSECRin
MSECRn = (6)
Nm i=1 MSECRimax

Figure 2 shows the ratio of modal strain energy change along the length of the
embedded beam for each of the first three vibration modes. We observe a sharp
peak in the graphs, of modal strain energy change ratio, of first and third vibration
modes. The peak is at the position Z = [60.36–70.42 mm] which corresponds to the
position of the damaged element. Another important remark that can be made from
this figure is that the amplitude of MSECR3 at the position of the damaged element
is higher than that of MSECR1 , this can be explained by the position of the damaged
element in relation to the vibration mode node, the farther the damaged element is
from the mode node the higher the amplitude of MSECR is. The modal strain energy
change ratio for the second mode shows two more sharp peaks in addition to the one
presented at the fault position.
This leads to a false indication of the fault position and can be explained by the
fact that the MSECRs of the mesh elements corresponding to the mode nodal points
have large or small values. To avoid a false indication of the damaged element, it is
better to calculate the MSECR for a few first vibration modes.
Figure 3 shows the MSECR for the first three vibration modes. A sharp peak is
noticed at the fault position Z = [60.36–70.42 mm]. Another peak was noticed at the
position Z = [230–240 mm] of the beam length due to the second mode as explained
before, it can be said that it is important to calculate the ratio of change of modal
Defect Detection and Identification on an Embedded Beam … 187

1,4
Fig. 2 MSECRij along the
0.3 E
length beam for various 0.5 E
1,2
damage levels, damage 0.7 E
position at Z =
1
[60.36–70.42 mm]
0,8

MSECR 1
0,6

0,4

0,2

0
0 200 400 600 800 1000 1200
Z(mm)

0.3 E
0.5 E
2,5 0.7 E

2
MSECR 2

1,5

0,5

0
0 200 400 600 800 1000 1200
Z(mm)

2
0.3 E
0.5 E
0.7 E

1,5
MSECR3

0,5

0
0 200 400 600 800 1000 1200
Z(mm)
188 R. Azzi and F. Asma

1
Fig. 3 MSECRj for first
three mode along the length MSECRj
beam, damage position at Z 0,8
= [60.36–70.42 mm]

0,6

MSECRj
0,4

0,2

0
0 200 400 600 800 1000 1200
Z(mm)

strain energy for each of the first three modes and for all three modes to have a clear
view on the fault position.
The fault identification method based on modal strain change is improved by
introducing the modal strain energy change ratios (MSECR) into an optimization
algorithm, and this helps to specify the fault position and quantify its severity [9].
On the other hand, the modal strain energy change ratio (MSECR) is very high
over a long distance, at the fault position and also at the neighborhood positions,
which decreases the efficiency of the method in localizations. In order to limit the
fault position and remove the neighborhood effect, Grande and Imbimbo [10] used
the Dempster–Shafer data fusion technique to combine the fault localization indices
of several modes, and thus the efficiency and accuracy of the MSECR method are
significantly improved. The authors applied the same technique in a paper [11] to
improve the defect localization based on the flexibility change index. In the following
section, we will present and apply the Dempster–Shafer technique to the results of
the MSECR method.

5 Dempster–Shafer Data Fusion Technique

Consider a set  of finite elements of the model of the beam to be identified if they
are damaged or not:

 = {el1 , el2 , . . . , el N } (7)

with eli (i = 1, . . . , N ) represent the finite elements of the beam. If one of the beam
elements {eli } is affected by a fault, then the beam is damaged. If all the elements of
the beam are intact, then the state of the beam is intact and one represents it by an
empty set ∅. Then, the power set 2θ is defined as:
Defect Detection and Identification on an Embedded Beam … 189

2 = {∅, {el1 }, {el2 }, . . . , {el N }} (8)

The application of the Dempster–Shafer theory on each subset X of 2θ allows the

basic probability assignment or the local decision m(X).
The local decision m(X) is defined as:

m : 2θ → [0, 1] (9)


With m(∅) = 0 and m(X ) = 1
X ⊂θ

The rules of Dempster combines the different local decision from different sources
to obtain a global decision. Let two sources of information S 1 and S 2 , m1 (S 1 ) and
m2 (S 2 ) be the two local decisions provided by both sources, the merged decision is
given by:

S1 ∩S2 =S 1 m 1 (S1 ) ∗ m 2 (S2 )
m 1 (S 1 ) = (10)
1−K

where * is the scalar product operation and K is the degree of conflict between the
two sources, given by:

K = m 1 (S1 ) ∗ m 2 (S2 ) (11)
S1 ∩S2 =∅

5.1 Proposed Method

In this section, we present the different steps of the application of the Dempster–
Shafer method to detect the damaged element of the beam. The identification of
defects is done on a fixed beam discretized in 100 elements of length 10.06 mm.
The objective of this study is to identify if one of the 100 elements constituting
the beam is damaged or healthy. Then we define a set of propositions , the set
of possible prepositions at the Dempster–Shafer theory, which constitute the beam
model elements that must be identified whether they are damaged, or not.

= {el1 ; el2 ; el3 ; . . . ; el100 } (12)

Then, the power set 2 is defined as:

2 = {∅1 , {el1 }, {el2 }, {el3 }, . . . {el100 }} (13)

190 R. Azzi and F. Asma

The intact state of the beam is represented on the power set by an empty set
(i.e.{∅}) and the damaged state of the beam, where one of the model elements is
affected by a decrease in the modulus of elasticity is represented by (i.e.{eli }).
Consider the first three vibration modes of the beam for both cases, before and
after the defect insertion on the model of the beam. A group of three information
sources S i with i = 1, 2, 3 is formed based on a pair intact/damaged of mode shapes
i = (ϕi , ϕi ) according to the scheme shown in Fig. 4. For each source, the local
d

decisions are obtained using MSECRj (see Eq. 5).

The modal strain energy change ratio for the jth element, MSECR[S i]
j , is evaluated,
by Eq. (4), considering the mode pairs of the source S i . This results in:
n si
1  MSECRi j
MSECR[Si]
= (14)
j
n Si i=1 max j (MSECRi j )

where n Si denotes the number of damaged and undamaged mode pairs for the source
S i . The local decision mi (S i ) associated with the ith first-level source S i is then
obtained by converting each MSECR[S j
i]
value as follows:

Fig. 4 Chart of the fusion approach [8]

Defect Detection and Identification on an Embedded Beam … 191
 
MSECR[S
j
i]

m i (Si ) = N (15)
j=1 MSECR[S
j
i]
j=1...N

m i (si ) is a vector of order N (N = 100 in our case study) which contains information
on the position and the severity of the damaged element.
A second group of sources of level n − 1, denoted S i , is introduced and, for each
S i , the corresponding local decision mi (S i ) is obtained from subsequent data fusion
operations according to the scheme shown in Fig. 4.
Therefore, the derivation of the second-level sources is based on the fusion of
pairs of local decisions. Starting from the first two sources, S 1 and S 2 , where the
corresponding local decisions are evaluated as:
 
MSECR[sj 1 ]
m 1 (S1 ) = N (16)
j=1 MSECR[sj 1 ] j=1...N
 
MSECR[S
j
2]

m 2 (s2 ) = N (17)
j=1 MSECR[S
j
2]
j=1...N
 
 
MSEd1 j −MSE1 j 
MSECR1, j
MSECR[S1] MSE1 j
= = 


 (18)
j
max j (MSECR1, j ) MSEd1 j −MSE1 j 
max j MSE

1
2
MSECRk, j
MSECR[S2]
=
j
2 k=1 max j (MSECRk, j )
⎡    
⎤
   
MSEd1 j −MSE1 j  MSEd2 j −MSE2 j 
1⎢
⎢ MSE1 j MSE2J
⎥
⎥
= ⎢ 


 + 


 ⎥ (19)
2⎣ MSEd1 j −MSE1 j  MSEd1 j −MSE1 j  ⎦
max j MSE1 j
max j MSE1 j

After having calculated the MSECR[S j

1]
and MSECR[S j
2]
by Eqs. (18) and (19), we
apply the Dempster–Shafer rule to obtain the local decision m 1 (s 1 ) associated to the
source s 1 :

s1 ∩s2 =s 1 m 1 (S1 ) ∗ m 2 (S2 )
m 1 (S 1 ) =  (20)
1 − s1 ∩s2 =∅ m 1 (S1 ) ∗ m 2 (S2 )

In the same way and according to the diagram of Fig. 4, the local decision m 2 (s 2 )
associated with the source s 2 is defined by:
192 R. Azzi and F. Asma

S ∩S3 =S 2 m 1 (S 1 ) ∗ m 3 (S3 )
m 2 (S 2 ) = 
1
(21)
1− S 1 ∩S3 =∅ m 1 (S 1 ) ∗ m 3 (S3 )

According to the Dempster–Shafer approach, the vector of local decision m 2 (s 2 )

associated to the last source of the second level s 2 is the vector taken into account to
obtain information about the damaged element of the beam. The higher components
of this vector indicate the damaged element.

5.2 Application of the Dempster–Fisher Technique

on the Beam Model

During  the
 application
 ofthis technique,
 three sources of information
  are considered:
 
S1 = φ 1 , S2 = φ 1 , φ 2 , S3 = φ 1 , φ 2 , φ 3 , where φ 1 = ϕ1 , ϕ1d , φ 2 = ϕ2 , ϕ2d ,
 
φ 3 = ϕ3 , ϕ3d . With ϕ1 , ϕ2 , ϕ3 are the mode shapes of the beam without defected
element and ϕ1d , ϕ1d , ϕ3d the mode shapes of the beam with one defected element.
For each source S i , the corresponding MSECR[S j
i]
were evaluated by Eq. (14)
obtaining: MSECR j , MSECR j , MSECR j , and then each MSECR[S
[S1 ] [S2 ] [S3 ]
j
i]
is
converted using Eq. (15) to obtain the basic probability assignment: m1 (S 1 ); m2 (S 2 );
m3 (S 3 ).
Dempster’s rule was applied according to the procedure illustrated in Fig. 4, then
the vector of local decisions corresponding to the last step of the procedure Eq. (21):

S ∩S3 =S 2 m 1 (S 1 ) ∗ m 3 (S3 )
m 2 (S 2 ) = 
1
(22)
1− S 1 ∩S3 =∅ m 1 (S 1 ) ∗ m 3 (S3 )

This vector m 2 (s 2 ) was then used in the data fusion approach for defect
identification. A higher value at a position along the beam indicates the fault location.
Therefore, the Fig. 5 shows the position Z = [60.36–70.42 mm] as the fault
location. The result provided by the Dempster–Shafer approach seems to be more
obvious.

6 Conclusion

The results of numerical simulation via Ansys Workbench on a model of embedded

beam showed that the modal strain parameter and modal strain energy is very sensitive
to the structural defect and their monitoring allows to identify the position of the
defect and quantify its size. The damage position is identified by a sharp peak of the
modal strain energy change ratio of the damaged element and neighboring elements.
The fault severity can be also identified by monitoring the amplitude of the modal
Defect Detection and Identification on an Embedded Beam … 193

0,00025
Fig. 5 Multiple data fusion
MSERj-FUSION

0,0002

MSERj-FUSION
0,00015

0,0001

-5
5 10

0
0 200 400 600 800 1000 1200
Z(mm)

strain energy change ratio, the greater the fault severity the higher the amplitude of
MSECR.
The change of modal strain energy allows to locate the defect and to estimate its
severity, we observed that the difference is very high even at positions close to the
defect, we propose to apply the data fusion method on the change of the modal strain
energy ratio in order to limit the defect position only to the length of the damaged
element.
The modal strain energy-based defect detection method presented in this paper
using the strain energy change ratio has shown its effectiveness in identifying struc-
tural defects. The application of the data fusion method (Dempster–Shafer) on the
modal strain energy change ratio removes any ambiguity in the defect location. The
results of the proposed method show remarkable efficiency.

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org/10.1007/s13349-013-0070-3
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systems based on flexibility. Mech Syst Signal Process 76–77:455–475
Impact Resistance of Cement Material
Partial Replaced by Silica Fume Under
the Charpy Test

Thac-Quang Nguyen, Duy-Liem Nguyen , Tri N. M. Nguyen ,

and Tien Thanh Bui

1 Introduction

Concrete has long been viewed as an important material in the construction field.
During their life service, concrete structures have been subjected to many types of
loading that causing fracture, especially impact load. There are numerous investi-
gations indicate that impact resistance is affected by many factors such as storage
condition, mixture design, the surface properties of aggregate, and the bond between
binder and coarse material. In 1964, Green indicated that the energy absorption
capacity is higher when curing in dry condition [1]. In addition, the work of Neville
showed that the impact strength of concrete will be increased when the surface of
aggregate is rough, because of the better mechanical interlocking, and this capacity
would be also affected by the insufficient bond between aggregate and binder or
the interfacial transition zone properties [2]. In general, concrete is considered as
a two-phase composite material: cement paste and aggregate. The fracture can be
occurred by the broken of cement paste, of the aggregate, as well as of the bond

T.-Q. Nguyen · T. N. M. Nguyen (B)

Campus in Ho Chi Minh City, University of Transport and Communications, 450-451 Le Van Viet
Street, Tang Nhon Phu A Ward, Thu Duc City, Ho Chi Minh City, Vietnam
e-mail: trinnm_ph@[Link]
T.-Q. Nguyen
e-mail: quangnt_ph@[Link]
D.-L. Nguyen
Faculty of Civil Engineering, Ho Chi Minh City University of Technology and Education, 01 Vo
Van Ngan Street, Thu Duc City, Ho Chi Minh City, Vietnam
e-mail: liemnd@[Link]
T. T. Bui
University of Transport and Communications, 3 Cau Giay Street, Lang Thuong Ward, Dong Da
District, Hanoi, Vietnam
e-mail: btthanh@[Link]

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2023 195
R. V. Rao et al. (eds.), Recent Advances in Structural Health Monitoring
and Engineering Structures, Lecture Notes in Mechanical Engineering,
[Link]
196 T.-Q. Nguyen et al.

between cement paste and aggregate (the interfacial transition zone) or any complex
combination of these mechanisms [3, 4]. However, the matrix zone has seen to be
the weakest one in concrete [5, 6]. Although there are many investigations have been
conducted on the impact resistance of concrete with and without mineral admix-
tures, there is still less study related to this characteristic of cement paste, which is
an important phase in this composite material [7–11]. Recently, silica fume (SF) has
shown its advantage in improving cement characteristics. The work of Zhang et al.
[12] showed that SF can increase the hydration degree, as well as the compressive
strength of the hardened cement pastes. The work of Rao [13] reported the increase
of some cement paste characteristics like normal consistency, soundness, and drying
shrinkage complied with the increase of SF content. In addition, other characteristics
of cement pastes containing SF like hydration, rheology, and porous structure were
pointed out by Flores et al. [14]. They concluded the effect of SF in accelerating the
cement hydration process, compacting the matrix structure, and also increasing the
compressive strength of the cement paste due to their role on heterogeneous nucle-
ation and pozzolanic reaction. The above literature review showed the influence of
SF on numerous characteristics of cement paste. However, the influence of SF on the
impact resistance of hardened cement paste has still not declared.
In another perspective, there are various experimental methods to obtain the
impact resistance of cement-based materials such as drop-weight test, projectile
impact test, explosive test, Charpy and Izod test [15–20]. The principle of these
methods is based on the theorem of potential and kinetic energy. Among them, the
Charpy V-notch impact test is still the most reasonable, inexpensive and suitable
experiment for determining the impact resistance of materials. Basically, the prin-
ciple of Charpy test is based on the potential energy of a single pendulum that breaks
the sample at high strain rates to determine the energy absorption capacity or the shear
resistance of the sample. Applied in the early twentieth century so far, the Charpy
pendulum test has been conducted on a variety of materials, not only metals [21–23]
but also plastics or polymers [24–26]. Particularly, there were some works measure
the impact resistance of cement composite materials like nano-cement mixture [27],
cement-mesh mixture [28], high strength concrete [29], and so on. However, current
standards are only limited for plastic materials [30, 31] or metal [32, 33]. Although
many studies were utilized the Charpy pendulum test for measuring the impact resis-
tance of cement-based materials as mentioned above, there are no comprehensive
standards or specification to recommend the application of Charpy pendulum test
for this brittle material. Therefore, it is leading to inconsistency in the test parame-
ters as well as the comparing results between studies. This present work focuses on
the examination of the impact resistance of silica fume blended cementitious mate-
rials. The finding from this work can contribute to the literature of Charpy impact
test for cement-based material, expand the comparing data as well as experimental
parameters for this field.
Above all, the objective of this present work is investigating the influence of
silica fume on the impact resistance of hardened cement pastes and proposing the
relationship between compressive strength and impact resistance of these modified
hardened cement pastes at the age of 28 days.
Impact Resistance of Cement Material … 197

Table 1 Properties of silica

SiO2 (%) Retention on H2 O (when Bulk density
fume
45 µm sieve packed) (%) (U) (Kg/m3 )
(%)
>90 <1.5 <1.0 200–350

Table 2 Mixture designs

Samples SF00 SF05 SF08 SF10 SF12 SF15 SF18 SF20
OPC 1 0.95 0.92 0.9 0.88 0.85 0.82 0.8
SF 0 0.05 0.08 0.1 0.12 0.15 0.18 0.2
Water 0.5 0.5 0.5 0.5 0.5 0.5 0.5 0.5

2 Experimental Programs

2.1 Materials

This present work used ordinary Portland cement and silica fume. Ordinary Portland
cement (Type I) complies with ASTM C150/150M [34], the density of 3.14 g/cm3 ,
and the specific surface area of 2800/cm2 . The properties of silica fume, the key
material in this present work, are summarized in Table 1.

2.2 Mixture Designs

In this study, OPC was partly replaced by the additions of SF to obtain the composite
binders. Follow that manner, the proportions of SF were chosen of 0, 5, 8, 10, 12, 15,
18, and 20% by weight of the binder. The mixture designs were presented in Table 2.
Where, the water–binder ratio was used constantly of 0.5, and names of the sample
were marked from SF00 to SF20 in that order for the proportion of SF from 0 to
20%.

2.3 Mixing Procedure and Samples Molding

The mixing works were conducted by the power-driven revolving pan mixer with
different speed and mixing time compliance with ASTM C305 [35]. First of all, the
mixture of water and SF was placed into the dry standard bowl. It is worth mentioning
that, due to the high area surface feature of SF particles, they are able to cause the
agglomeration phenomenon in the mix, leading to decrease their performance in
the final products [36]. Therefore, an ultrasonication process was conducted for
198 T.-Q. Nguyen et al.

Fig. 1 a V-notched sample; b the cube sample

obtaining the homogeneous aqueous mixture [37–39]. The ultrasonication processes

were applied in 35 min for each mixture design. Then, OPC was added into the
obtained aqueous mixture, relaxed for 30 s for the absorption process. Finally, the
mixing job was conducted under low- and high-speed conditions, complied with the
specification in ASTM C305. The mixtures were poured into the same serial molds
prepared with a thin oil layer cover, 10 × 10 × 50-mm-prism and 50 × 50 × 50-
mm-cube molds which were used for the Charpy impact test and compression test,
respectively. The samples were cured in water under normal room conditions (20 ±
20 °C, 50 ± 5% R.H), demolding after 24 h. For the Charpy impact test, 15 samples
were prepared for each mixture design and tested at the ages of 7, 14, and 28 days,
respectively. Besides, three cube samples were also prepared for each mixture and
tested after 28 days to obtain the compressive strength of the hardened cement pastes.
Due to the complexity of the matrix microstructure as well as the spontaneous
cracking that occurs during the curing time, the samples for cement pastes are
designed in small size normally. According to ASTM C 109/109M [40] about the
compressive strength test of hardened cement paste, the sample dimensions are spec-
ified as a 50 × 50 × 50-mm-cube. In contrast, as above presented, there is no standard
or specification for conducting the Charpy test for hardened cement paste. Therefore,
based on the ASTM E23 [33] for impact testing of metallic materials as well as the
capacity of the testing apparatus, the Charpy sample dimension was proposed as a
10 × 10 × 50 mm V-notched bar. Figure 1a presents the Charpy sample dimension,
where β = 450, a = 2 mm, w = B = 10 mm, and L = 50 mm.

2.4 Testing Methods

The impact experiment was conducted at the same velocity (2.92 m/s) by the digital
Charpy impact instrument MT-333, the hammer mass of 0.7 kg, initial height of
0.435 m (see Fig. 2a), which was fully functional equipped, so that this instrument
could calculate automatically compensate for windage and friction. Therefore, the
Impact Resistance of Cement Material … 199

Fig. 2 The testing apparatus. a The Charpy impact instrument; b the UTM

result of energy absorption or net breaking energy by the V-notch sample can be
reliable. The impact resistance (J/m2 ) was obtained by the energy absorption per
average breaking area [41–43].
Setting up the experiment, a V-notched bar was laid freely on the anvil stake as a
horizontal simple beam, and the notched was set opposite to the impact interface. At
the initiation state, the hammer was kept in position by the hold–release mechanism.
The maximum potential energy at the highest position of hammer (2.986 J) was
showed in the digital screen. The hold–release mechanism played a significant role
that keeping the hammer stably at the initiation state. Therefore, the testing procedure
was conducted without any vibration or imparting acceleration. Consequently, a high
accuracy result would be obtained. The experiment was started easily by pushing the
handgrip of release mechanism, and the result would be accepted if the sample was
broken completely. For each mixture design, the samples were prepared at same
source as well as the curing conditions, and five samples were used for testing per
time at 7, 14, and 28 days old.
The uniaxial compression test was done by means of a 1000 kN-hydraulic
universal testing machine compliance with ASTM C109/109M [40] (see Fig. 2b),
using the cube samples at 28 days old. All the experiment was done at the room
temperature and relative humidity.

3 Result and Discussion

3.1 Compressive Strength

Figure 3 shows the compressive strength of the hardened silica fume blended cement
pastes at 28 days. Overall, the result shows an increasing tendency of the compressive
strength with the increase of SF content. As can be seen from Fig. 3, with the content
200 T.-Q. Nguyen et al.

Fig. 3 Compressive strength

at 28 days of the hardened
cement pastes blended with
different proportions of SF

of silica fume less than 10 wt%, the increase was not significant. In contrast, with
the replacement content of over 10 wt%, the compressive strength of the pastes
rose remarkably. For instance, the increases in compressive strength were observed
of 17%, 29%, 41%, 55%, and 60% when replacing cement by silica fume with the
proportion of 10%, 12%, 15%, 18%, and 20%, respectively. This result also met with
the finding from the work of Yajun and Cahyadi [44], that investigated the effects of
densified SF on microstructure and compressive strength of blended cement pastes.
Similar results can be found from literature with the studies concern with the effect
of SF on the strength and durability characteristics of concrete [45–47].

3.2 Impact Resistance

It is worth noting that the Charpy test result would be accepted if the sample was
broken completely after impaction. Figure 4 shows the impact resistance results of
the hardened silica fume blended cement pastes at the ages of 7, 14, and 28 days. As a
general trend, there was an increase of impact resistance of the hardened pastes as the
increase of curing time (Fig. 4a) and/or the increase of silica fume’s content (Fig. 4b).
From Fig. 4a, the increase of impact resistance from the samples at the age of 14 days
to that at 7 days was observed around 15 to 20%. However, that parameter was shown
lower of around 7 to 13% when comparing the increase of impact resistance from the
samples at the age of 28 days to that at 14 days. The higher in increasing trend at the
early age was consistent with the observations in the literature which were concerned
with the effect of SF in accelerating the pozzolanic reaction, as well as consuming
the generated calcium hydroxide (CH) from the hydration of cement. As a result,
increase the performance of the hardened pastes at the early ages [14, 44, 48]. From
another perspective, Fig. 4b shows the influence of the different proportions of SF
Impact Resistance of Cement Material … 201

on the impact resistance of hardened cement pastes. As observed from Fig. 4b, the
increase of impact resistance complied with the increase of SF proportion. From the
scope of the study, the impact resistance of the hardened cement pastes blended with
20% SF showed the highest value. For instance, at 28 days, the impact resistance of
the 20% SF blended cement pastes was 23,000 J/m2 . For comparison, at 28 days,
there were increases of 20, 31, 31, 53, 62, 73, and 77% in that order when replacing
cement with 5, 8, 10, 12, 15, 18, and 20% of SF. Follow that manner, the replacement
of 20% of SF can be considered as the optimum proportion of SF from the scope of
this study.
Continuous the strategy of investigating the effect of SF on the impact resistance of
hardened cement pastes, Fig. 5 shows the linear relationship between the SF content
and the impact resistance by regression analysis, where I means the impact resistance
in J/m2 and SF means the SF content in %. The R2 value was 0.9794.

Fig. 4 Effect of silica fume

to the impact resistance of
cement paste. a Based on the
curing time; b based on the
content of silica fume
202 T.-Q. Nguyen et al.

Fig. 5 Relationship between SF content and impact resistance

3.3 Relationship Between Compressive Strength and Impact

Resistance

As can be observed from the above results, there is a correlation between compressive
strength and impact resistance of the hardened cement pastes at the age of 28 days.
For instance, the increase in compressive strength is consistent with the increase in
impact resistance complied with the increase in SF content (see Figs. 3 and 4a). That
result was also met with the conclusion of previous authors, i.e., a material with
high strength and high ductility will have more impact resistance capacity than the
lower one [49–51]. Hence, it can be said that there is a relationship between the
compression strength and the impact resistance at the age of 28 days. Numerous
types of functions such as exponential, linear, logarithmic, power, and polynomial
were carried out to find the best R2 . Among them, the best curve with the highest R2
of 0.9669 was obtained by using a polynomial function with the equation as below:

I = −12.476 f c2 + 1584.1 f c − 26, 779,

where I means the impact resistance in J/m2 ; f c means the compressive strength at
the age of 28 days in MPa (see Fig. 6).
Above all, regardless of the SF content, the derived relationship between compres-
sive strength and impact resistance can provide a clear reference for estimating the
impact resistance of hardened cement pastes based on their compressive strength.
Impact Resistance of Cement Material … 203

Fig. 6 Relationship between compressive strength and impact resistance

4 Conclusion

The experiment study figured out the influence of silica fume on impact resistance
of cement pastes. The following conclusions can be drawn from the results of this
study:
• Silica fume showed an important role in increasing the impact resistance of hard-
ened cement pastes. The optimum proportion of SF of 20% was observed within
the scope of this study. Based on the results in this study, at 28 days, there were an
increase of 77% in impact resistance and 60% in compressive strength compared
with those of the plain pastes when replacing cement by 20% SF.
• The Charpy impact instrument is useful for determining the impact resistance
of brittle material like cement pastes. The ultrasonication process shows a good
effect on dispersing SF in an aqueous solution.
• The relationship between the replaced silica fume proportion and impact resis-
tance was pointed out as reference for predicting the impact resistance based on
the SF proportion.
• The relationship between the compressive strength and impact resistance at
28 days was pointed out, as a reference for predicting the impact resistance
based on the compressive strength of SF blended cement pastes regardless the
SF proportion.
• The finding from this study can be a good reference for the works concerned with
the effects of silica fume, as well as have an overview of its optimum percentage
when dealing with the impact resistance of cement.
204 T.-Q. Nguyen et al.

Acknowledgements This research is funded by University of Transport and Communications

(UTC) under grant number T2021-PHII-003. Authors would like to thank the High-tech construction
materials laboratory, Kyungnam University, Korea, for supporting the experimental test.

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Damage Detection of the Beam Under
Moving Load by Using a Variation
of Power Spectrum Density

Vien Le-Ngoc, Luan Vuong-Cong , Toan Pham-Bao , and Nhi Ngo-Kieu

1 Introduction

The rate of deterioration of the bridge structure with respect to time is increasing
due to external influences such as large traffic, storms, and waves, etc. Stemming
from the fact that the world has formed measurement and data collection systems
fixed on the structure to collect data continuously over time, called structural health
monitoring (SHM) system [1]. SHM systems are often used in the important struc-
tures of cable-stayed bridges, large-span concrete beam to ensure safety, accuracy,
and predictability of works in construction field. The SHM system can diagnose and
confirm the workability of the designed structure during each stage of construction
[2, 3].
Today, SHM has been recognized as an important technology to assist in assessing
the performance of bridges. The SHM system was designed for the purpose of using
the vibration response to monitor and evaluate the structural condition. This system
has introduced a new approach by using the vibration measurement signal for struc-
tural condition assessment. This research approach aims to provide measures to
assess the overall structural condition, also known as the vibration-based damage
identification (VBDI) method [4].
The damage identification on structures is a significant problem that has been
exploited in recent studies. Many parameters are given to identify the change of
structure under the effect of defects. The natural frequency is one of the most popular
parameters in the studies on assessing the bearing capacity in the structure [5]. It is

V. Le-Ngoc · L. Vuong-Cong · T. Pham-Bao (B) · N. Ngo-Kieu

Laboratory of Applied Mechanics (LAM), Ho Chi Minh City University of Technology
(HCMUT), 268 Ly Thuong Kiet Street, District 10, Ho Chi Minh City, Vietnam
e-mail: baotoanbk@[Link]
Vietnam National University Ho Chi Minh City, Linh Trung Ward, Thu Duc City, Ho Chi Minh
City, Vietnam

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2023 207
R. V. Rao et al. (eds.), Recent Advances in Structural Health Monitoring
and Engineering Structures, Lecture Notes in Mechanical Engineering,
[Link]
208 V. Le-Ngoc et al.

the most representative parameter for the√ability to show the total stiffness modal
of the system through the equation ω ≈ E Jx . However, many studies show that
natural frequency is still not a sensitive enough to apply in reality [6, 7]. Therefore,
many worldwide studies have used other features to compensate for the shortcomings
of natural frequencies, such as damping coefficient or mode shape. In addition,
many studies have combined many different algorithms to increase the sensitivity
of features in damage detection, such as wavelet transform [8], statistical [9] or
correlation algorithms [10].
In practice, basic features such as mode shape, natural frequency, and damping are
only applied to each suitable vibration mode to detect structural damage. However,
the structure’s vibration by the actual load is a state that multiple various vibration
modes, forming a stochastic process. Therefore, each of the above features is suit-
able for assessing structural weakness if simple vibration modes are merely used. A
random vibration’s power spectral density (PSD) depends on the natural frequency,
damping, and mode shape. Therefore, many studies uesd the shape change of PSD to
help us diagnose defects in general. In research by Kumar et al. [11], the experimental
results of concrete beams confirmed the effect of the amplitude changes of the peaks
in the PSD before and after creating a crack as an indication for locating and moni-
toring the structural damage. Besides, some researchers also use the derived value
from PSD as the shape curve of PSD [12]; the results show that this method improves
more than using the PSD value itself. Besides some studies using the PSD value of
displacement response, some studies switch to using PSD of acceleration response
[13], strain energy [14], and a bending moment of the structure [15]. However, the
random excitations are all white noise generated by the oscillator, which is always
fixed at one position on the structure. The actual excitations randomly changed in
amplitude and location for a bridge structure as traffic load, thereby leading to signif-
icant effects of the above methods. To investigating the influence of random moving
loads on the vibration spectrum, the article proposes a combination of the spectral
moment feature of the PSD and the correlation coefficient to evaluate the shape
change of the PSD when the structure has deteriorated. This study is based on the
experiment vibration data of the steel beam structure and some bridge spans under
moving load to test the proposed method.

2 Theoretical

With a signal x(t) obtained, performed by integral in the infinite domain, we are
allowed to transform Fourier:
{∞
X (ω) = x(t)e−i ωt dt (1)
−∞
Damage Detection of the Beam Under Moving Load … 209

Fig. 1 Fourier transform

where X(ω) is√the amplitude of the harmonics of frequency ω, and i is the complex
number (i = −1) (Fig. 1).
The measuring signal x(t) is usually within a particular time interval T. Then, the
Fourier transform of a finite signal x(t) with period T has the form:

{T
X (ω) = x(t)e−i ωt dt (2)
0

The autocorrelation function Rw measures the correlation between two vibration

states of a random signal at two different times. Where N being the number of
sample points and τ being the time variable (τ = nΔt) and E[x] being the mathe-
matical expectation of the random signal variable x(t), the autocorrelation function
is calculated as follows:

Rw (τ ) = E[x(t)x(t + τ )] (3)

The PSD S x of a simple stochastic process is determined from the Fourier trans-
form of the corresponding autocorrelation function Rx . The PSD and the correlation
function are pairs of Fourier transforms (known as the Wiener–Khintchine theorem):

{∞
1
Sx (ω) = Rx (τ )e−i ωt dτ
2π
−∞
{∞
⇔ Rx (τ ) = Sx (ω)ei ωt dω (4)
−∞

In the frequency domain, the PSD represents the energy distribution. In math-
ematics, the moment is a quantity that describes the shape of a set of points. The
moment can also be understood as a property representing a distribution. Therefore,
the concept of the spectral moment is proposed to investigate the change of spectral
shape or energy distribution of the response signal in frequency domain.
210 V. Le-Ngoc et al.

For a continuous signal, the moment is calculated using the following general
formula:
{∞
S M(n) = |ω − ω0 |n Sx (ω)dω (5)
−∞

where S M(n) is the nth order spectral moment of the PSD Sx (ω)
ω0 is the frequency to choose the vertical axis for the calculation of the spectral
moment.
For a one-degree-of-freedom system, we have the following equation:

m ẍ + c ẋ + ky = f (t) (6)

where m is mass, k is stiffness, and c is damping coefficient.

According to Eq. (6), the natural frequency ωn and damping ratio ξ calculated
using the formula:

k c
ωn2 = , 2ξ ωn = (7)
m m
From Eq. (7), then Eq. (6) can be rewritten as:

f (t)
ẍ + 2ξ ωn ẋ + ωn2 y = (8)
m
Now, the frequency response function (FRF) has the form [16]:

X (ω) 1 1
H (ω) = = . (9)
F(ω) m −ω2 + 2i ξ ωn ω + ωn2

Then, the PSD S x (ω) of the input responses is calculated through the FRF and the
PSD of the same force function S f (ω) as follows:

Sx (ω) = |H (ω)|2 S f (ω) (10)

From the FRF at each mode, we have the FRF of the system at position i caused
by the excitation source at position j as follows:
∞
∑
Hi j (ω) = φir φ jr H (ω) (11)
r =1

From Eqs. (5), (10), and (11), we get the equation:

Damage Detection of the Beam Under Moving Load … 211

{∞ |∞ |2
|∑ φ φ |
| ir jr |
S M(n) = |ω − ω0 |n S f (ω)| | dω (12)
| (ωr2 − ω2 ) + 2i ξr ωr ω |
−∞ r =1

where φr is mode shapes

ωr is the natural frequency of the rth mode.

3 Experimental Model

The experimental model was held at the Laboratory of Applied Mechanics of the Ho
Chi Minh City University of Technology. The system includes steel beam, vehicle,
vehicle transmission system, inverter, signal receiver box, DC power supply, signal
amplifier circuit, multi-channel receiver circuit, and computer. The experimental
organization model is described in Fig. 2. Then, proceed to create damage for the
beam model with cuts.
Specifically, the beam demensions are length of 1.2 m,width of 0.1 m, and thick-
ness of 0.003 m. The load is modeled by a vehicle whose direction of travel is from
B to A. Where K1, K2, K3, and K4 are the sensors and their placement for data
collection. There are seven scenarios S1 → S7 of the first cut (the first cut is located
right at the K4 sensor). Subsequently, the following scenarios S8 → S9 of the second
cut (the second cut is situated right at the K2 sensor) are created, established in Table
1. The second cut is made after the completion of seven amounts of the first cut.
The beams are subject to moving loads (vehicle models) with varying speeds for
damage scenarios. The accelerometer will receive the signal at each measurement

Fig. 2 Experimental model, sensor positions, and cuts

212 V. Le-Ngoc et al.

Table 1 Experimental
Sign Dimension of cuts Beam status
parameters
width (mm) × depth (mm)
S0 0.000 × 0.000 Intact
S1 0.004 × 0.005 One cut
S2 0.008 × 0.005
S3 0.012 × 0.005
S4 0.016 × 0.005
S5 0.020 × 0.005
S6 0.024 × 0.005
S7 0.028 × 0.005
S8 0.010 × 0.005 & 0.028 × 0.005 Two cuts
S9 0.020 × 0.005 & 0.028 × 0.005

thanks to four sensors placed in positions such as Fig. 2. From the signal received
from the sensors, conduct spectrum analysis and survey simultaneously the process of
changing the mechanical behavior through the PSD. The transform from the original
signal to the PSD is shown in Fig. 3.
Depending on the number of peaks displayed on the spectrum, we divide it into
regions as Fig. 4.
More clearly, Table 2 shows the borders between regions. The spectrum of K1,
K3, and K4 has 14 regions, and the spectrum of K2 has 17 regions.
In this paper, the applied spectral moment is the second-order spectral moment.
The moment value is calculated relative to the axis passing through frequency 0

Fig. 3 Diagram of the conversion of an vibration signal to a power spectral density (PSD)
Damage Detection of the Beam Under Moving Load … 213

Fig. 4 Spectrum regions through the cuts from S0 → S9. a First sensor (K1); b second sensor
(K2); c third sensor (K3); d fourth sensor (K4)

(ω0 = 0). Thus, Eq. (5) becomes:

{∞
S M(2) = |ω|2 Sx (ω)dω (13)
−∞

Applying formula (13) to calculate the moment value of each region of the
separated PSD, we get the results in Table 3.
Similarly, the other sensors also give the results of calculating the spectral moment
value in each region. From those results, we apply the correlation coefficient for that
set of numbers with the equation:
∑
(ai − a) × (bi − b)
r = /∑ ∑ (14)
(ai − a)2 (bi − b)2

where ai , bi are the ith values of the correlation set, respectively.

a, b are the mean values of the set of correlation numbers, respectively.
In this study, we use the correlation coefficient by comparing the shape change
of cPSD across different cutting states with the initial state. From there, we have the
following result (Fig. 5).
214 V. Le-Ngoc et al.

Table 2 Frequency regions of the spectrum of K1 to K4

No Frequency region (Hz)
K1 K2 K3 K4
1 0–30 0–30 0–30 0–30
2 30–50 30–50 30–50 30–50
3 50–115 50–77 50–115 50–77
4 115–145 77–121 115–145 77–118
5 145–175 121–144 145–182 118–151
6 175–210 144–177 182–202 151–197
7 210–242 177–207 202–225 197–225
8 242–285 207–245 225–247 225–245
9 285–322 245–282 247–272 245–274
10 322–370 282–327 272–327 274–331
11 370–415 327–346 327–375 331–373
12 415–465 346–378 375–409 373–405
13 465–485 378–408 409–430 405–430
14 485–500 408–427 430–500 430–500
15 427–455
16 455–486
17 486–500

Table 3 Some moment values for each region of the power spectrum at the first sensor (K1)
Region Moment value through the levels of the cut
S0K1 S1K1 S2K1 … S7K1 S8K1 S9K1
1 5.3 5.6 6.5 … 8.5 4.1 2.7
2 48.5 49.6 48.1 46.2 47.4 45.4
3 1517.0 1452.6 1375.0 1173.7 1594.5 1503.5
4 2433.4 2572.0 2618.0 2170.3 3276.3 3496.9
5 1639.5 1278.2 1248.7 1113.1 1218.8 1091.4
6 3671.7 3870.5 4150.1 4143.7 5510.7 6001.1
7 1399.7 1270.5 1586.4 2046.3 985.3 806.2
8 5774.7 5350.6 6007.4 6122.9 6138.7 7435.3
9 2482.2 2851.3 3107.4 3569.7 2271.8 1852.2
10 12,342.2 10,965.6 10,681.4 10,222.4 9803.3 9758.8
11 6128.4 7478.7 7338.7 9602.8 3970.5 3174.9
12 19,894.4 20,958.5 17,743.1 20,316.0 15,038.8 14,104.8
13 3597.0 3791.5 4495.4 7690.0 2332.2 1737.3
14 2613.7 3146.8 3471.2 5083.2 2319.0 2242.8
Damage Detection of the Beam Under Moving Load … 215

Correlation coefficient
0.95
0.9
0.85
0.8
0.75
0.7
S0-S0 S1-S0 S2-S0 S3-S0 S4-S0 S5-S0 S6-S0 S7-S0 S8-S0 S9-S0
Correlation set
K1 K2 K3 K4

Fig. 5 Correlation coefficient of the cuts compared to the initial state

The results show that the correlation coefficient r tends to decrease with the degree
of cutting. Specifically, when the first cut appears, the correlation coefficient will fall,
and the correlation coefficient will decrease much faster when there is a second cut.

4 Test on the Actual Bridge

To compare with the results obtained from the experiment, we collected data on
Saigon 1 bridge and applied the same method to review the obtained results. However,
for the span of the Saigon Bridge, it is not possible to create damage, so we will instead
rely on the weakening of the Saigon Bridge over time. Therefore, we will use the
data obtained in four different periods to show the weakening of the bridge structure,
specifically as follows: first in 2012, followed by 2013, 2015, and 2017. All data
were collected on bridge spans 29, 30, 31, and 32 (Fig. 6). On bridge spans, 29, 30,
31, and 32 acceleration sensors are placed at the midpoint of those spans to collect
the signal (Fig. 7).
For the convenience of representing on the graph, we sign the spans and
measurement times in Table 4.

Fig. 6 Time and spans of the bridge taken with the oscillation signal
216 V. Le-Ngoc et al.

Fig. 7 Location of the acceleration sensor during data collection at Saigon 1 Bridge

Table 4 Span and measurement time of Saigon 1 Bridge

Span Measurement time (year)
T1 (2012) T2 (2013) T3 (2015) T4 (2017)
S29 S29T1 S29T2 S29T3 S29T4
S30 S30T1 S30T2 S30T3 S30T4
S31 S31T1 S31T2 S31T3 S31T4
S32 S32T1 S32T2 S32T3 S32T4

After collecting the actual data, we proceed to process the data into the PSD. The
processing is similar to that described in Sect. 3 (Fig. 3). The PSD and frequency
region are shown in Fig. 8.
Table 5 shows the border between the spectrum regions of the span 29, 30, 31,
and 32. Due to the similar structure, the number of peaks shown on the spectrum is
also relatively similar. Therefore, the regions are similar (8 regions).
Similar to Sect. 3, applying Eq. (13), we can calculate the spectral moment value
of each region of the PSD. The results are given in Table 6.
Similarly, we also have the results of the spectral moment values of each region at
spans 30, 31, and 32. Then, apply the correlation method to calculate the correlation
coefficient value for the sets of spectral moment values of each region as Sect. 3 gets
the following results (Fig. 9).
Ti1 is the correlation coefficient between the ind and the 1st survey (2012). From
the initial period of T1 to T4 (2012–2017), the results show that the correlation
coefficient tends to decrease over time.

5 Conclusion

The study has performed experimental research tasks, including building models,
providing experimental procedures, and data collection and processing on steel
beams. Besides, together with the data obtained from the actual bridge (Saigon 1
Damage Detection of the Beam Under Moving Load … 217

Fig. 8 Power spectrum division over different measurements from 2012 → 2017. a Span 29 of
Saigon 1 Bridge (S29); b Span 30 of Saigon 1 Bridge (S30); c Span 31 of Saigon 1 Bridge (S31);
d Span 32 of Saigon 1 Bridge (S32)

Table 5 Frequency regions of the spectrum of S29 to S32

Region Frequency region (Hz)
S29 S30 S31 S32
1 0.00–2.65 0.00–2.65 0.00–2.65 0.00–2.65
2 2.65–4.90 2.65–5.00 2.65–4.15 2.65–4.50
3 4.90–6.75 5.00–6.75 4.15–6.75 4.50–7.15
4 6.75–9.70 6.75–9.70 6.75–9.70 7.15–9.00
5 9.70–12.10 9.70–12.10 9.70–12.10 9.00–12.10
6 12.10–16.80 12.10–16.00 12.10–16.00 12.10–16.25
7 16.80–17.30 16.00–18.00 16.00–17.50 16.25–18.00
8 17.30–20.00 18.00–20.00 17.50–20.00 18.00–20.00

bridge), we use the value of the spectral moment to survey and evaluate the struc-
tural condition, explicitly using the correlation coefficient for sets of spectral moment
values are calculated when separating the PSD.
The results show that the correlation coefficient for the set of spectral moment
values in both experiment and actual bridge cases show a decreasing trend with the
218 V. Le-Ngoc et al.

Table 6 The moment value of each region of the power spectrum at span 29 of Saigon 1 Bridge
Region Moment value over different times
S29T1 S29T2 S29T3 S29T4
1 0.0343 0.0800 0.1079 0.0941
2 5.2006 6.7632 4.1490 6.6437
3 2.0759 3.5693 12.2758 6.1493
4 3.1233 3.2257 3.7166 3.6535
5 41.9089 18.8725 14.7017 11.4405
6 20.2567 20.0960 18.0995 15.3660
7 8.1234 3.1075 3.5460 3.6950
8 10.6644 10.4697 11.4909 13.3714

1
0.9
Correlation coefficient

0.8
0.7
0.6
0.5
0.4
T11 T21 T31 T41
Correlation set

S29 S30 S31 S32

Fig. 9 Correlation coefficient of spectral moments between measurements

deterioration of the structure. The trend of the proposed modal parameter in the
experiment coincides with reality, thereby demonstrating the high applicability of
the proposed method.

Acknowledgements We acknowledge the support of time and facilities fromHo Chi Minh City
University of Technology (HCMUT), VNU-HCM for this study.

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Gear Fault Detection, Identification
and Classification Using MLP Neural
Network

Afia Adel, Ouelmokhtar Hand, Gougam Fawzi, Touzout Walid,

Rahmoune Chemseddine, and Benazzouz Djamel

1 Introduction

Gears are small units having a large transmission rate. For example, gears are often
used in many mechanical systems, including vehicles, tools and other machinery. As
a result, unexpected gear failures can directly impact the entire mechanism’s perfor-
mance, leading to potentially catastrophic breakdowns or massive financial costs.
Therefore, gear fault diagnosis is now a critical factor in avoiding major incidents
and ensuring the smooth running of industrial machinery addition operators’ safety.
Vibration analysis is being intensively studied in order to detect early failure. Vibra-
tion signals contain significant dynamic information regarding gearbox condition.
Therefore, fault features may be gathered by analyzing these signals.
Currently, several decomposition methods gained the attention in several investi-
gators. Empirical mode decomposition (EMD), which is a self-adaptive decomposi-
tion technique, decomposes the data to a number of intrinsic mode functions (IMFs)
[1, 2]. However, EMD suffers from two main disadvantages: end effect, leading
to inaccurate instantaneous values on the ends of the decomposed data and mode
mixing, whereby waves with same frequency are associated with other IMFs [3–
8]. Local mean decomposition (LMD) recently developed by Smith [9] to exceed
these limitations. Data signal is decomposed to an amount of product functions
(PFs) [8–18]. In contrast to EMD, LMD exhibits a reduced iteration decomposition

A. Adel (B)
Department of Mechanical Construction and Production Engineering, Houari Boumediene
University of Science and Technology, Bab Ezzouar, Algeria
e-mail: [Link]@[Link]
A. Adel · O. Hand · G. Fawzi · T. Walid · R. Chemseddine · B. Djamel
Solid Mechanics and Systems Laboratory (LMSS), Department of Mechanical Engineering,
University M’hamed Bougara, Boumerdès, Algeria

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2023 221
R. V. Rao et al. (eds.), Recent Advances in Structural Health Monitoring
and Engineering Structures, Lecture Notes in Mechanical Engineering,
[Link]
222 A. Adel et al.

number and is able to produce the instantaneous frequency and instantaneous ampli-
tude directly avoiding the use of Hilbert transform (HT) [9–18]. However, LMD
suffers from the same limits with EMD, namely the end effect and mode mixing
[16–18], and DWT has been a popular preferred decomposition method for many
works [19–24]. DWT decomposes the signal with a both temporal and frequency
bandpass filter into a collection of signals with a particular frequency band [19–22].
Yet, the dyadic step in the subsampling procedure acts as the biggest problem for
DWT. Maximal overlap discrete wavelet transform (MODWT) is an enhanced imple-
mentation of DWT in order to avoid the undersampling process but still has poor
frequency resolution [25–27]. Maximal overlap discrete wavelet packet transform
(MODWPT) takes over DWT and MODWT [25–27]. MODWPT decomposes the
data signal to multiple simple components and provides the circular shift equivariance
property [25–27]. MODWPT offers a uniform frequency bandwidth, overcoming the
time-varying transformation [25–27].
Presently, for classification phase, intelligent techniques like artificial neural
networks ANN [27, 28], fuzzy logic systems [29, 30], neuro-fuzzy systems [31–
33] are the most common methods used. Therefore, the aim of this work is to offer
an intelligent automatic new technique using MODWPT, entropy and MLP neural
network for detecting and distinguishing various kinds of faults under several loads
and speeds.

2 Theoretical Background

2.1 MODWPT

MODWPT is a further development of DWT and MODWT [27]. Similar to Mallat’s

algorithm, MODWPT also utilizes quadrature mirror filters [27]. Assume that g̃l and
h̃ l are a low-pass and a high-pass filter, respectively, while L stands for their length
(L is even). Filters are designed as follows [27]:
⎧ L−1 ⎫
⎪ ∑ 2 ⎪
⎪
⎪ h̃ = 1 ⎪
⎪
⎪
⎨ l=0 l 2 ⎪
⎬
∑
L−1−2k (1)
⎪
⎪ h̃ l h̃ l+2k = 0, k = 1, 2, . . . , 2 (L − 2) ⎪
1
⎪
⎪
⎪ l=0 ⎪
⎪
⎩ ⎭
g̃l = (−1) h̃ L−l−1 , l = 0, 1, . . . , L − 1
l+1

Contrary to Mallat’s algorithm that uses a 2-base decimation operation, MODWPT

uses an interpolation. In particular, at MODWPT level, 2j−1 –1 zeros are provided
between two consecutive adjacent coefficients of g̃l and h̃ l to assure that the produced
wavelet coefficients (WTs) for every wavelet sub-band have the same length as the
original signal.
Gear Fault Detection, Identification … 223

For a discrete time sequence {x(t), t = 0,1,…,N − 1}, WTs {W j,n,t } of the nth
sub-band at level j are computed by

∑
L−1
W j,n,t = f˜n,l W j−1,[n/2],(t−2 j−1 l) mod N , t = 0, 1, . . . , N − 1 (2)
l=0

With n = 0, 1….,2j − 1, W 0,0,t = x(t)

{
g̃l , i f n mod 4 = 0 or 3
f˜n,l = (3)
h̃ l , i f n mod 4 = 1 or 2

2.2 MLP Neural Network

MLP neural network is built with one input, one output and several hidden layers of
computational nodes called “neurons”, where nodes number in the output and input
layers is equal to the number of targets and inputs, respectively [34].
Figure 1 illustrates a typical MLP architecture with x 1 , x 2 ,…, x i and y1 , y2 ,…, yk
being the input and output nodes, respectively.
uj is the jth node output in the hidden layer and is given as follows:
( )
∑
N
u j = ϕ1 wi,1 j xi + b1j (4)
i=1

ϕ 1 being the activation function, wi,1 j is the weight of the connection between the ith
input and the jth node in the hidden layer, while b1j represent the bias [34].

Fig. 1 Three-layer multilayer perceptron (MLP) neural network

224 A. Adel et al.

Finally, the output yk is achieved by a 2nd activation function ϕ 2 at the output

layer. yk is expressed in [34]:
( N )
∑
yk = ϕ2 w 2j,k u j + bk2 (5)
l=1

where superscript 1 in Eq. (4) refers to the first connection between the input and
hidden layers, and superscript 2 in Eq. (5) refers to the second connection between
the hidden and output layer neurons. There are different forms for the activation
functions such as logistic function, hyperbolic tangent and piecewise linear function,
respectively, given as below [34]:

1
ϕ(v) = (6)
1 + e−v

1 − e−2v 2
ϕ(v) = = −1 (7)
1 + e−2v 1 + e−2v

ϕ(v) = v (8)

3 Experimental Study

Experimental data sets were delivered by INSA laboratory Lyon, France [27, 28].
A gearbox with 25/56 gear ratio is taken as a test rig. The movement through the
2 shafts is created by a DC electric motor having 3600 r/min nominal speed. The
torque is transferred to the gearbox by the coupling, wherever multiple gear defect
patterns are mounted. Output shaft is coupled to a magnetic power brake to produce
several resistive torques.
Six gears with various health states are employed to evaluate the efficiency of our
proposed method. One is a defect-free pinion (good). The rest exhibit different types
of defects. (Missing tooth, chipped tooth in width, tooth root crack, general surface
wear and chipped tooth in length).
Three gears are placed simultaneously on the gearbox input shaft. The engagement
of every of gears is carried out by an axial motion of the output shaft wheel.
Two accelerometers with a sensitivity of 100 mV/g have been employed to get the
vibration data, one fixed horizontally other vertically on the bearing housing. The
sampling frequency is 125 kHz, anti-aliasing filter cut-off frequency is 27 kHz, and
acquisition time is 30 s.
Table 1 presents the vibration signals gathered from the accelerometers under
various working conditions, loads and rotational speeds.
Gear Fault Detection, Identification … 225

Table 1 Works conditions

Gear state Speed (RPM) Speed (RPM)
Good (G) 900, 1200, 1500, 1800, 0, 8, 11
2400
Missing tooth (MT) 900, 1200, 1500, 1800, 0, 8, 11
2400
Tooth root crack 900, 1200, 1500, 1800, 0, 8, 11
(TRC) 2400
General surface wear 900, 1200, 1500, 1800, 0, 8, 11
(GSW) 2400
Chipped tooth in width 900, 1200, 1500, 1800, 0, 8, 11
(CTW) 2400
Chipped tooth in 900, 1200, 1500, 1800, 0, 8, 11
length (CTL) 2400

Figure 2 displays the vibration data measured by the gears with diverse conditions
with an operation speed of 1200 RPM and 11 Nm as load. Figure 2 makes it obvious
that all five defects have no significant influence on the vibration data. No important
rise in the signal energy is found.

4 Experimental Results

4.1 Comparison

The comparative study is performed in order to justify why MODWPT performs

significantly better even under varying operating conditions. The comparative study
is made between LMD-entropy and MODWPT-entropy for four working modes.
MODWPT decomposes the vibration signals into six levels to obtain 64 wavelet
coefficients, while LMD decomposes the vibration data into ten sets of FPs. Each
wavelet coefficient and PF are picked to conduct the entropy indicator and build the
feature vectors. Both methods are applied to the same vibration signals with 6 gear
conditions.
The entropy indicator trajectories of each approach are given from Figs. 3, 4, 5
and 6 for the LMD-entropy and MODWPT-entropy, respectively.
From Figs. 3, 4, 5 and 6, even for four operating conditions, most of PFs overlap
in nearly all points, approving the limits of LMD for identifying and classifying fault
features.
However, for our proposed algorithm (MODWPT-entropy), practically, no inter-
secting between the several gear conditions is observed. These results are found
to be superior to those obtained by the above approach (LMD-entropy). Experi-
mental results confirmed the fact that our suggested decomposition approach is able
to distinguish and classify various types of gear faults.
226 A. Adel et al.

2
0
-2
0 5 10 15 20 25 30
5
0
-5
0 5 10 15 20 25 30
Acceleration (m/s≤)

0.5
0
-0.5
0 5 10 15 20 25 30
10
0
-10
0 5 10 15 20 25 30
2
0
-2
0 5 10 15 20 25 30
2
0
-2
0 5 10 15 20 25 30
Time (s)

Fig. 2 Vibration data of several gear defect (1200 RPM, 11 Nm): G (a), TRC (b), CTL (c), CTW
(d), MT (e), GSW (f)

4 Good 4 Good
Missing Tooth Missing Tooth
3.5 Chipped Tooth in Length 3.5 Chipped Tooth in Length
Chipped Tooth in Width Chipped Tooth in Width
Tooth Root Crack Tooth Root Crack
3 3
Sample Entropy

General Surface Wear General Surface Wear

Sample Entropy

2.5 2.5

2 2

1.5 1.5

1 1

0.5 0.5
(a) (b)
0 0
1 2 3 4 5 6 7 8 9 10 1 2 3 4 5 6 7 8 9 10

PFs Wavelet coefficients

Fig. 3 Entropy values for every WT computed using MODWPT (b) and PF computed by LMD
(a) under (8 N.m, 900 RPM)
Gear Fault Detection, Identification … 227

4 4.5 Good
Good
Missing Tooth
Missing Tooth 4 Chipped Tooth in Length
3.5 Chipped Tooth in Length
Chipped Tooth in Width Chipped Tooth in Width
Tooth Root Crack 3.5 Tooth Root Crack
3

Sample Entropy
General Surface Wear
Sample Entropy

General Surface Wear

3
2.5
2.5
2
2
1.5
1.5
1 1
0.5
(a) 0.5 (b)
0 0
1 2 3 4 5 6 7 8 9 10 1 2 3 4 5 6 7 8 9 10
PFs Wavelet coefficients

Fig. 4 Entropy values for every WT computed using MODWPT (b) and PF computed by LMD
(a) under (11 N.m, 900 RPM)

4.5 Good 4 Good

Missing Tooth Missing Tooth
4 Chipped Tooth in Length 3.5 Chipped Tooth in Length
Chipped Tooth in Width Chipped Tooth in Width
3.5 Tooth Root Crack Tooth Root Crack
3
Sample Entropy

General Surface Wear

Sample Entropy

General Surface Wear

3
2.5
2.5
2
2
1.5 1.5

1 1

0.5 (a) 0.5

(b)
0 0
1 2 3 4 5 6 7 8 9 10 1 2 3 4 5 6 7 8 9 10
PFs Wavelet coefficients

Fig. 5 Entropy values for every WT computed using MODWPT (b) and PF computed by LMD
(a) under (11 N.m, 1200 RPM)

4.5 Good
4.5 Good
Missing Tooth Missing Tooth
4 Chipped Tooth in Length 4 Chipped Tooth in Length
Chipped Tooth in Width Chipped Tooth in Width
3.5 Tooth Root Crack Tooth Root Crack
Sample Entropy

General Surface Wear 3.5 General Surface Wear

Sample Entropy

3
2.5 3

2 2.5
1.5
2
1
1.5
0.5
(a) (b)
0 1
1 2 3 4 5 6 7 8 9 10 1 2 3 4 5 6 7 8 9 10
PFs Wavelet coefficients

Fig. 6 Entropy values for every WT computed using MODWPT (b) and PF computed by LMD
(a) under (11 N.m, 1800 RPM)
228 A. Adel et al.

4.2 Instigating MODWPT, Entropy Indicator and the MLP

Within this section, fault feature matrixes derived by MODWPT-entropy are

employed to identify and classify the gear health conditions using the MLPNN.
The suggested algorithm is evaluated in fifteen different operating modes with six
unique gear conditions. Every vibration data is divided into 20 data sets and further
decomposed by MODWPT by six levels. Afterward, entropy is implemented to each
level of the decomposed signal to get the feature matrix for every health condition.

4.2.1 Experiment Parameters

• MODWPT Decomposition and Entropy

Since MATLAB has built functions to use the MODWPT and entropy, it is as
simple as calling the function on the processed data, and the rest is handled by
computation when running the script. First, the MODWPT decomposition begins.
It is followed by feature extraction (use of entropy algorithm). Finally, the output
is a feature matrix for each signal with its respective work condition. The step
follow this one is initiating the training of the neural network (See Fig. 7).
• The Neural Network
After the feature matrices are generated, the part of the neural networks comes
in. The NN was picked as a set of 3 layers, with 10, 10 and 6 nodes, respectively
(See Fig. 8). We used three in this case to get excellent resolution, and so that the
data is well interpreted by the model with higher precision.
The first two layers operate based on the hyperbolic tangent sigmoid transfer
function, or in MATLAB, referred to with the function “tansig”. This was picked
as it is often a suitable trade-off for neural networks, in which speed is critical but
the precise transfer function form is not.

Fig. 7 Flowchart explaining the decomposition and feature extraction

Gear Fault Detection, Identification … 229

Fig. 8 Constructed neural network model viewed by MATLAB

Sigmoid and linear output neurons are frequently employed for pattern recognition
and for function fitting tasks, respectively. In this case, the two types are used, to
harness the advantages of both sigmoid output neurons and linear output neurons.
• Algorithms
The training algorithm that was picked is that which uses the Levenberg–
Marquardt backpropagation, or also known as the damped least-squares method.
In MATLAB, it is referred to as “trainlm”. This is a built-in network training
function which updates the weight and bias values in accordance with the Leven-
berg–Marquardt optimization. “trainlm” is highly recommended as the supervised
algorithm since it is frequently referred to as the fastest backpropagation algo-
rithm in the toolbox, despite the fact that it requires more memory than the other
algorithms. Which explains why it was our choice for this experiment.

In summary, MLP employed in this experiment consists of four layers: an input

layer, two hidden layers and an output layer. Nodes in the input layer stand for the
extracted feature matrixes, with six output nodes, standing for each health condition.
Every hidden layer is composed of ten hidden nodes to achieve the highest resolution.
Finally, a tan-sigmoid is utilized as the activation function for the hidden layers and
linear functions that are implemented for every output layer. The MLP was trained
several times to decrease the gap between the network outputs and the matching target
values. Input data is split to two groups. A learning set and a training set representing
70% and 30%, respectively. This is very important, as without a training set, the
model would be less accurate, and has no way to test its classification system. This

Fig. 9 Flowchart of the neural network architecture schematic and its operation of training
230 A. Adel et al.

facilities the process by allowing the model to train based on what it has learned
and further optimize the neural networks, further reinforcing the bounds between the
nodes in an indicative manner.

4.2.2 Running the Experiment and Its Results:

Running the script quickly starts the “nntraintool” MATLAB window, which will
use the parameters we explained earlier and launch the training operation. It takes
roughly 5 min for the performance to reach the optimal value based on a goal that
was manually set. After that the training is finished, before the number of iteration
is concluded (See Fig. 10).
Viewing the performance plot displays the trend of the mean squared error (MSE)
versus the number of epochs, or simply iterations that the training has undertaken.
Figure 11 demonstrates that our algorithm considerably increases the convergence
of the network, showing a performance of 9.9343e-18 using only 186 iterations.
The obtained results given in Fig. 11 show the feasibility and efficiency of the
suggested approach. Figure 12 also shows the evolution of important parameters
such as the gradient, the Mu and the validation checks.

5 Conclusion

Neural classification is a revolutionary approach to solving one of the oldest issues

in engineering. As parts breakdown, systems become unstable and often result in
catastrophic failures, which is costly both to lives and capital. Instead of resorting to
old methods, neural classification has proven to be efficient, accurate and fast enough
to out-shadow any other competing approach.
For the case of gears, often representing crucial parts of machines, it is evident
that feature classification is the optimal solution, yet not without its challenges. Since
the main difficulty of machine learning is presented in decomposition and feature
extraction, having that right algorithm at hand can make a notable difference in the
performance of the generated neural network model.
In the case of our selected method, a combination of the revolutionary MODWPT
and entropy, the features were shown to be extracted much more accurately for the
MLP to train the model in a better precision. The model could classify entropy vectors
unknown to it, which it was not trained by, showing that the model was deployable and
fully functional. Attempting a comparison with a different decomposition method
using the LMD has not yielded satisfactory results, further reinforcing the superiority
of MODWPT for this scenario.
Gear Fault Detection, Identification … 231

Fig. 10 “nntraintool” training the neural network model

232 A. Adel et al.

Fig. 11 Performance evaluation of suggested algorithm

Fig. 12 Evolution of the gradient, the Mu and validation check across 186 epochs or iterations
Gear Fault Detection, Identification … 233

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Monitoring the Change in Vibration
Characteristics for Reinforced Concrete
Frames Under Various Loadings

Chi-Thien Nguyen, Manh-Hung Tran, Minh-Nhan Pham,

Huu-Phuong Nguyen, Tran-De-Nhat Truong, and Duc-Duy Ho

1 Introduction

Structural health monitoring (SHM) plays an important role in civil structures [1]. It
helps to detect early abnormalities in the structures, creates favorable conditions for
timely repair or replacement of damaged components, assesses the remaining life
of the building, and minimizes possible consequences. In addition, non-destructive
testing methods are becoming increasingly popular due to benefits such as flexible
measurement capabilities and low cost. Vibration-based SHM methods, in partic-
ular, have emerged as one of the most indirect and effective ways for detecting and
diagnosing structural health. Structural damages cause changes in vibration char-
acteristics such as natural frequencies, mode shapes [2–4]. Based on the change of
vibration responses, damages can be detected, both in terms of location and extent.
Nowadays, reinforced concrete (RC) frames are widely used in civil structures.
The RC frames serve as the primary bearing structure and ensure overall rigidity and
stability of the buildings. Many different causes can affect and damage the building,
particularly the main load-bearing structures, directly affecting the building’s func-
tion and life. As a result, SHM in RC frames is critical in order to determine the
damage’s location and extent, as well as the bearing capacity. The detection and
treatment of potential damages as soon as possible will ensure usability and extend
the life of the frame structures.
From inheriting previous studies and practical needs, the objective of this study
is to evaluate the change of natural frequencies and mode shapes for reinforced
concrete frames under various loads. A reinforced concrete frame is modeled by

C.-T. Nguyen · M.-H. Tran · M.-N. Pham · H.-P. Nguyen · T.-D.-N. Truong · D.-D. Ho (B)
Faculty of Civil Engineering, Ho Chi Minh City University of Technology (HCMUT), Ho Chi
Minh City, Vietnam
e-mail: hoducduy@[Link]
Vietnam National University Ho Chi Minh City, Ho Chi Minh City, Vietnam

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2023 235
R. V. Rao et al. (eds.), Recent Advances in Structural Health Monitoring
and Engineering Structures, Lecture Notes in Mechanical Engineering,
[Link]
236 C.-T. Nguyen et al.

the finite element (FE) method using ANSYS software. In the model, the frame’s
damages are considered corresponding to different load levels. The reliability and
feasibility of simulation results is verified by comparing them with experimental
ones. Finally, the results are analyzed and assessed to conclude the damage states in
the reinforced concrete frame.

2 Vibration-Based SHM Methods

2.1 Natural Frequency Change-Based SHM Method

One of the simple and effective methods in monitoring the overall health of struc-
tures has been using natural frequency changes to alarm the occurrence of damages
[3–6]. For structures, whether damaged or not, the natural frequency is obtained
when performing vibration measurement and analysis. Once damage occurs in the
structure, the natural frequency tends to decrease in proportion to the decrease in the
stiffness of the structure. Based on the change of the natural frequency, the structure’s
damage level is evaluated. The degree of change in natural frequency is expressed
as follows:
| f − f ∗|
Δf = × 100% (1)
f

where Δf is the percentage change in natural frequency, f is the undamaged state’s

natural frequency, and f * is the damaged state’s natural frequency. The Δf result of
each mode is considered. If there is any structural damage, Δf will be non-zero, and
vice versa.

2.2 Mode Shape Change-Based SHM Method

Structural damage detection based on the changes in mode shapes has been intro-
duced and developed through many studies, in which the MAC (Modal Assurance
Criterion), a statistical indicator of mode shape similarity, is commonly used [7–9].
MAC index accepts numbers in the range [0;1]. The value of 0 indicates that there is
no consistent correspondence; and 1 represents a consistent correspondence in mode
shapes. The formula for evaluating the similarity of the mode shape between the
undamaged state and the damaged state is given as follows:
|∑ n |2
| {φ X }i {φ X ∗ }i |
i=1
MAC(X, X ∗) = (∑n )2 (∑n )2 (2)
i=1 {φ X }i i=1 {φ X ∗ }i
Monitoring the Change in Vibration Characteristics … 237

where X, X* are two states of the structure, X represents the initial state when no
damage has occurred in the structures and X* represents the damaged state under
the applied load, n is the number of data in mode shape under consideration. MAC
index evaluates the correspondence of mode shapes between two states. Therefore,
the appearance of damage in the structures is warned.

3 Numerical Simulation for Reinforced Concrete Frame

3.1 Numerical Simulation

A reinforced concrete frame under vertical and horizontal loads was selected for
simulation in this study, in which, the frame has a height of 2.15 m, a span of 4.05 m,
beam sections are 0.2 × 0.35 m and column sections are 0.25 × 0.3 m. For beams,
the longitudinal rebar consists of 3φ16 for tension and compression, the stirrup is
sufficiently provided and consists of φ8@100/200. For columns, longitudinal rebar
is arranged of 6φ16, and φ8@100/200 is used for stirrup according to the diagram of
the bearing frame in the plane (Fig. 1). The material properties of concrete and rebar
are summarized in Tables 1 and 2. The vertical load on the frame was presented by
three concrete blocks of size 1 × 1.2 × 1.2 m for each block. The horizontal load
applied to the frame was carried out through a hydraulic jack [10].
A FE model of the RC frame is simulated by using ANSYS APDL (Fig. 2). The
types of elements used for this model are shown in Table 3. In this study, seven
load levels, listed in Table 4, are selected to investigate the change in vibration
characteristics of the frame. From there, the natural frequencies and mode shapes
are analyzed for each load level.

3.2 Numerical Results

From the FE model, the results of damaged areas are analyzed and compared with
experimental ones in [10]. The damages in particular cases are described in Fig. 3.
These indicate that the cracks in the frame are mainly perpendicular. This demon-
strates that cracking is caused primarily by bending moments. Besides, at the beam-
column joints and the body of columns exhibit inclined cracks at 45° as a result of
shear force caused by horizontal loads. The formation and growth of crack zones
tend to be the same at these joints. In comparison to the experimental crack results
shown in Fig. 4 [10], the cracked regions analyzed using the ANSYS model produce
extremely consistent results in terms of crack shapes, locations, and the develop-
ment of the crack zone. Moreover, the horizontal displacement in the FE model, at
the position in Fig. 2 with the load of P = 322 kN is 43.74 mm. The corresponding
238 C.-T. Nguyen et al.

Fig. 1 Reinforced concrete frame

Table 1 Properties of
Property Value
concrete [10]
Compression strength 33 MPa
Tensile strength 2.9 MPa
Elastic modulus 32,500 MPa
Mass of density 2450 kg/m3
Poisson ratio 0.2
Ultimate strain 0.0035

Table 2 Properties of rebar

Property Longitudinal rebar Stirrup
[10]
Elastic modulus 210,000 MPa 210,000 MPa
Yield strength 400 MPa 240 MPa
Poisson ratio 0.3 0.3

experimental horizontal displacement at the same position is 43.08 mm [10]. As a

consequence, the difference between two results is only 1.5%.
Furthermore, natural frequencies are analyzed and compared to experimental ones
[11] to verify the reliability of the numerical simulation. The natural frequencies for
the first mode of frame are shown in Table 5 with two states P = 0 kN (none of
Monitoring the Change in Vibration Characteristics … 239

Displacement Vertical load

measured
point

Horizontal Reinforcement in the frame

load

Boundary condition

Fig. 2 Finite element model of reinforced concrete frame

Table 3 Types of element in

Material Element
FE model
Concrete SOLID65
Longitudinal rebar BEAM188
Stirrup BEAM188
Steel plate SOLID185

Table 4 Investigated load

Horizontal load P (kN) Note
levels
ORG Initial state, none of vertical load
0 With only vertical load, none of
horizontal load
98
147
224 Yield state of longitudinal rebar
301
322 Maximum experimental load

horizontal load) and P = 322 kN (maximum horizontal load), respectively. The values
of natural frequency decrease when damages occur due to reduction of stiffness in the
frame. The results between numerical simulation and experiment are good agreement
for both load levels, the difference in their range is from 3.6 to 8.5%.
The above-mentioned discussions on the static behavior analysis of crack regions
and the dynamic analysis of natural frequency have demonstrated that numerical
simulation of the RC frame produces reliable results. This is the foundation for
using the analysis results from FE model in SHM of the RC frame by vibration
characteristics.
240 C.-T. Nguyen et al.

(a) ORG (b) P = 0 kN

(c) P = 224 kN (d) P = 322 kN

Fig. 3 Cracks in reinforced concrete frame model

(a) Top-left corner (b) Top-right corner (c) Bottom-left corner (d) Bottom-right corner

Fig. 4 Cracks in the experiment [10]

Table 5 The first natural

State Numerical Experimental Different (%)
frequency
frequency (Hz) frequency (Hz)
P=0 8.322 7.617 8.5
P = 322 kN 5.420 5.615 3.6
Monitoring the Change in Vibration Characteristics … 241

4 Analysis of Change in Vibration Characteristics

4.1 Evaluation the Change in Natural Frequencies

Based on numerical results, the frame’s natural frequencies corresponding to the four
bending modes for each load level are listed in Table 6 and the variation of natural
frequencies is calculated according to Eq. (1) and summarized in Table 7. It is clear
that damage regions appeared in the upper beam (Fig. 3b) when vertical loading
was applied. This significantly reduces the overall stiffness of the frame; the natural
frequencies are reduced by 31.4–71.1% compared to the original state (ORG). In this
case, the second mode has the greatest reduction of natural frequency (up to 71.1%);
it points out the stiffness of the upper beam contributing significantly to the overall
stiffness of the frame, which corresponds to the second mode of the frame.
When applying lateral load to the frame, the higher the load level, the wider
the crack areas; and the greater the stiffness decreases, resulting in a much reduced
natural frequency. At the load of 224 kN, which occurs plasticity of the reinforcement
in the frame, the natural frequency has increased slightly but not significantly. This
can be explained by the fact that the frame is changing state at this time, causing a
redistribution of stiffness and mass in the structure. The natural frequencies fluctuate
at loads greater than 300 kN (closer to frame failure), but they still follow a decreasing
trend. At the maximum load (P = 322 kN), the value of natural frequencies is reduced
by 45.7–75.1% compared to initial state (ORG), and from 2% to 53.5% in the case
of only vertical load (P = 0 kN). For the frame, the first two bending modes have
the most sensitive natural frequency, with more reduction in the change in natural
frequencies than the two others.

Table 6 Natural frequencies corresponding to load levels

Load ORG 0 kN 98 kN 147 kN 224 kN 301 kN 322 kN
f 1 (Hz) 20.684 8.322 5.780 5.559 5.528 5.460 5.420
f 2 (Hz) 54.036 15.601 13.958 13.486 13.715 13.619 13.441
f 3 (Hz) 64.981 36.013 40.164 39.344 38.357 35.911 35.309
f 4 (Hz) 121.500 83.313 67.703 62.595 60.847 57.706 56.499

Table 7 Change in natural frequencies corresponding to load levels

Load ORG 0 kN 98 kN 147 kN 224 kN 301 kN 322 kN
Δf 1 (%) 0.000 59.766 72.056 73.124 73.274 73.603 73.796
Δf 2 (%) 0.000 71.129 74.169 75.043 74.619 74.796 75.126
Δf 3 (%) 0.000 44.579 38.191 39.453 40.972 44.736 45.663
Δf 4 (%) 0.000 31.430 44.277 48.481 49.920 52.505 53.499
242 C.-T. Nguyen et al.

In general, it is a simple and effective method to alarm the occurrence of damage

for the RC frame under various loads. As the severity of the damage grows, so
does the natural frequency variation in the structure. However, this method only
provides accurate results for modes that are extremely sensitive to damage. The
change in lower sensitive modes is very minor, so it is difficult to give a precise
outcome. Furthermore, damage identification based on change in vibration frequency
is incapable of determining the location of the crack zone in the frame.

4.2 Evaluation of the Change in Mode Shapes

The mode shapes of the frame in different states and load levels are extracted from the
modal analysis in ANSYS software. Figures 5 and 6 show the four bending modes in
two cases, which are the initial state (without considering vertical load) and the first
load state (only considering vertical load). The mode shapes under various load levels
are investigated and compared to them in the initial state. MAC index, according to
Eq. (2) is used to evaluate the change in mode shapes. The values of MAC for upper
beam (UB), lower beam (LB), left column (LC) and right column (RC) for each load
level is summarized in Table 8.

(a) First mode shape (b) Second mode shape

(c) Third mode shape (d) Fourth mode shape

Fig. 5 Mode shapes of the frame in initial state

Monitoring the Change in Vibration Characteristics … 243

(a) First mode shape (b) Second mode shape

(c) Third mode shape (d) Fourth mode shape

Fig. 6 Mode shapes of the frame in the case of P = 0 kN

Table 8 Change in mode shapes corresponding to load levels

Component Mode shape ORG 0 kN 98 kN 147 kN 224 kN 301 kN 322 kN
UB Mode 1 1.000 0.975 0.339 0.259 0.227 0.213 0.216
UB Mode 2 1.000 0.999 0.973 0.969 0.973 0.978 0.977
UB Mode 3 1.000 0.000 0.052 0.056 0.038 0.016 0.014
UB Mode 4 1.000 0.037 0.000 0.001 0.000 0.008 0.008
LB Mode 1 1.000 0.998 0.834 0.805 0.802 0.796 0.788
LB Mode 2 1.000 0.966 0.909 0.889 0.878 0.871 0.870
LB Mode 3 1.000 0.001 0.777 0.838 0.830 0.827 0.846
LB Mode 4 1.000 0.005 0.173 0.199 0.142 0.053 0.063
LC Mode 1 1.000 1.000 0.999 0.999 0.999 0.999 0.999
LC Mode 2 1.000 0.922 0.843 0.822 0.822 0.823 0.822
LC Mode 3 1.000 0.394 0.401 0.460 0.456 0.452 0.452
LC Mode 4 1.000 0.803 0.902 0.899 0.922 0.938 0.917
RC Mode 1 1.000 1.000 1.000 1.000 1.000 1.000 1.000
RC Mode 2 1.000 0.901 0.944 0.945 0.949 0.951 0.953
RC Mode 3 1.000 0.389 0.336 0.301 0.290 0.286 0.284
RC Mode 4 1.000 0.471 0.445 0.404 0.373 0.337 0.352
244 C.-T. Nguyen et al.

As shown in Table 8, the MAC value of the upper beam tends to decrease signif-
icantly in the first mode shape of the frame. The MAC, after loading, has a value
of 0.207 (with 79.3% reduction compared to the initial state). For the second mode
shape, MAC index decreases as well, but with a slight change. The value of MAC
after loading, in this case, is 0.979 (only declined by 2.1%). Similar to the lower beam,
the MAC index in the first two bending mode shapes is 0.793 (reduce by 20.7%) and
0.868 (reduce by 13.2%), respectively. Meanwhile, there are arbitrariness changes
in MAC value for remaining mode shape in beams.
The analysis in MAC results shows that each individual member in the RC frame
is significantly affected by one or more specific mode shapes. Therefore, it is a
different change in different members, depending on the investigated mode shape. In
this study, beam members are primarily impacted by the change of the first and the
second mode shapes. Also, the left column is primarily represented by the second
and the third mode shapes, while the right column is mainly affected by the third
and the fourth mode shapes of the frame. In the main mode shape of each member,
as the load increases, more damage occurs, the MAC value tends to decrease. The
reduction of MAC index indicates the existence and development of damage in the
RC frame as the increment of load.

5 Conclusions

In this study, the occurrence and development of damages in an RC frame under

various loads are successfully warned based on the change of natural frequencies
and mode shapes. The FE model of the RC frame was highly reliable. The numer-
ical results have good accuracy compared to experimental ones for both the static
and dynamic analysis. The change in natural frequencies alarmed the occurrence
of damage in the RC frame. The variation of natural frequency had different sensi-
tivity depending on the investigated mode. In which, the first and the second modes
gave the most significant variation in natural frequency according to damage rate in
the structure. These natural frequencies tend to decrease gradually as the damage
increases in the frame. Moreover, the change in mode shapes were investigated with
good results. In particular, for the main mode shapes of each respective member,
the change of them between the damage state and initial state were presented by
MAC index. As the load level increased, the damage area expanded, MAC gradu-
ally declined and became smaller than 1. Then, the occurrence and development of
damage areas in each load level was successfully alerted by the difference in the
states. The simultaneous use of two methods will improve the reliability of SHM
results. However, these two methods only can evaluate the existence of damage as
well as overall development in damaged areas, rather than detecting the location
and the extent of damages in the frame. Therefore, these two simple methods are
appropriate for the general assessment of structural health.
Monitoring the Change in Vibration Characteristics … 245

Acknowledgements We acknowledge Ho Chi Minh City University of Technology (HCMUT),

VNU-HCM for supporting this study.

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Development of Modal Strain Energy
Method Combined with Multi-phase
Genetic Algorithm for Structural
Damage Detection in Plates

Thanh-Cao Le, Van-Sy Bach, Thanh-Son Vo, Ngoc-Lan Pham,

Thanh-Canh Huynh, and Duc-Duy Ho

1 Introduction

Numerous researchers have been interested in developing methods for detecting

structural damage via vibration throughout the last three decades. Additionally,
vibration-based damage detection technologies have been widely applied in fields
like mechanics, aerospace, and civil construction. The modal strain energy (MSE)
approach, in particular, has been demonstrated as one of the most efficient tools
for identifying structural damage [1]. Recently, many two-step MSE-based damage
detection procedures have been proposed to identify the position and the extent of
damaged areas in the plate structures. Fu et al. [2] developed a two-step approach
for detecting damage in plate structures made of isotropic homogeneous material by
combining MSE with response sensitivity analysis. Vo-Duy et al. [3] described a two-
step strategy for detecting damage in laminated composite structures based on the
MSE method and an enhanced differential evolution methodology. Dinh-Cong et al.
[4] developed an effective two-stage technique for assessing damage in plate-type
structures based on MSE variation and the Jaya algorithm. Le and Ho [5] proposed
a two-step process combining normalized MSE-based damage index and genetic

T.-C. Le · V.-S. Bach · T.-S. Vo · N.-L. Pham · D.-D. Ho (B)

Faculty of Civil Engineering, Ho Chi Minh City University of Technology (HCMUT), Ho Chi
Minh City, Vietnam
e-mail: hoducduy@[Link]
Vietnam National University Ho Chi Minh City, Ho Chi Minh City, Vietnam
T.-C. Le · V.-S. Bach
Faculty of Civil Engineering, Nha Trang University, Nha Trang, Vietnam
T.-C. Huynh
Faculty of Civil Engineering, Duy Tan University, Da Nang City, Vietnam
Center for Construction, Mechanics and Materials, Institute of Research and Development, Duy
Tan University, Da Nang City, Vietnam

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2023 247
R. V. Rao et al. (eds.), Recent Advances in Structural Health Monitoring
and Engineering Structures, Lecture Notes in Mechanical Engineering,
[Link]
248 T.-C. Le et al.

algorithm (GA) for damage identification in plates, using only the vertical displace-
ment component of the mode shape. Gomes and Giovani [6] displayed an efficient
two-step method for identifying damage in laminated composite plates by employing
mode shape curvature and a novel metaheuristic Sunflower Optimization method.
Fan [7] proposed a two-stage damage identification method based on cross-model
modal strain energy and simultaneous optimization to reduce the effect of noise and
modal incompleteness.
The above-mentioned methods can detect both the location and the extent of
damage in some particular damaged scenarios. However, these methods are inef-
fective in more complex damage scenarios, such as the minimal damage (less than
10%), adjacent damaged elements, and multiple damages with different locations
and damage rates. In such scenarios, the first step located preliminary damaged areas
with some wrong detected elements. Therefore, the objective function value with
variables dependent on the first step result is hard to converge, and the damage
extent identification results will be inaccurate.
To overcome the research gaps mentioned above, this study proposed an enhanced
two-stage procedure based on MSE change and an iterative genetic algorithm. The
idea of this improvement is that the GA procedure is deployed in many phases to
eliminate gradually wrong detected elements. As a result, the size of the variable
of the GA procedure will be reduced after every phase. Therefore, the objective
function value in the present phase will be more accessible to convergence than
in the previous phase, and the extent of the damaged elements will be estimated
more and more accurately. Two numerical examples are conducted on a rectangular
concrete plate with single and multiple damages to demonstrate the efficiency of the
suggested approach.

2 Damage Detection Technology Based on Modal Strain

Energy Method Change and Multi-phase Genetic
Algorithm

2.1 The Drawback of the Two-Stage Damage Detection

Procedure in a Particular Damaged Case

A 300 × 200 mm rectangular plate with a thickness of 4 mm is simply supported on

all four sides, as shown in Fig. 1. The plate is made of aluminum with the material
properties given in Table 1. The plate’s finite element (FE) model is divided into a
mesh 15 × 10 of nine-node isometric quadrilateral elements in the x and y-direction
to guarantee the convergent condition. The parameters for the damage scenario are
identical to those in Kumar’s study [8], as shown in Table 1. Specifically, the 83rd
element is examined with a stiffness decrease of 5%. In the first phase, the MSE
technique [5] is applied to the entire plate in order to locate the preliminary damaged
regions. Next, the MSE procedure is deployed in this local damaged area to eliminate
Development of Modal Strain Energy Method … 249

y Preliminary
damaged area

136 137 149 150

Ly=200

82 83 84
Wrong detected
damaged element

Real damaged element

1 2 14 15 x
Lx=300

Fig. 1 The preliminary damaged area was detected from the first step

Table 1 Properties of the

Properties Value Unit
aluminum material
Young’s modulus 68.9 GPa
Mass density 2710 kg/m3
Poisson’s ratio 0.33

more wrong alarms. At the end of the first step, three elements are detected as
damaged ones, as illustrated in Fig. 1. In the second step, the GA with the objective
function based on MSE change [5] is used as the optimum tool to identify the damaged
extent. The damaged ratio identification results in Fig. 2 show that even after 50
generations, the GA cannot identify precisely the extent of elements. The error of
the 83rd element is considerable at 25%, and the remaining undamaged elements are
diagnosed as damaged ones. Moreover, the fitness value is also significant at 0.17.
So, many wrong alarms in the first step dramatically affected the damage extent
identification capability of the next step.
Although the original GA [5] cannot identify the damage ratio of the plate after 50
iterations, the damage extents of the 82nd and 83rd elements decrease and converge
very quickly. Figure 3 below shows that after 20 iterations, the diagnosed damage
extent of the 82nd element is smaller than the 83rd element’s one and 0.01.

2.2 Multi-phase Genetic Algorithm

As mentioned in Sect. 2.1, the original two-stage damage detection procedure [5]
has some drawbacks. Therefore, this study proposes an improvement to remove
250 T.-C. Le et al.

1.0 200
0.9 Fitness value 180

Error of estimation (%)

0.8 Error of estimation 160
0.7 140
Fitness value

0.6 120
0.5 100
0.4 80
0.3 60
0.2 40
0.1 20
0.0 0
1 5 10 15 20 25 30 35 40 45 50
Number of iterations

Fig. 2 Fitness value and error of damaged extent estimation using original GA

0.25
Element 82
Element 83
0.20
Element 84
Damage extent

0.15

0.10

0.05

0.00
1 5 10 15 20 25 30 35 40 45 50
Number of iterations

Fig. 3 Damage extent of three damaged elements located from the first step

the misidentified elements from the preliminary damaged area and rerun the GA
algorithm. From there, it may gradually remove damaged elements that were falsely
warned in the first step. This new method, namely the multi-phase GA algorithm, has
many phases, and each stage will filter out a false alarm damaged using a damaged
threshold. The threshold is suggested as 1% to investigate the new method’s effective-
ness because damage less than 1% is trivial and can be neglected. After 50 iterations,
if no element has a damaged extent of less than 1%, the element with the most
minor damage extent is chosen for elimination. This enhancement is combined with
the GA algorithm to increase the diagnostic effectiveness of the two-step procedure
first presented by Le and Ho [5]. Figure 4 illustrates a two-stage damage detection
procedure that employs the MSE method in conjunction with a multi-phase genetic
algorithm.
Development of Modal Strain Energy Method … 251

Calculate MSEDI on the whole plate, using

a combination of 3 first mode shapes and a Prepare the three first mode shapes of the plate in two
damage threshold of 10% to locate states: intact and damaged.
potentially damaged elements.

Determine the preliminary damaged zones Calculate MSEDI on the local damaged area, using a
as a rectangular covering damaged elements combination of 3 first mode shapes and damage
by 20% size of the plate to x-y directions, threshold 5% to eliminate wrong alarms.
respectively. n: number of damaged elements is localized.

Objective function based on MSE change;

Employ GA on the local damaged zones;
Fitness value: f;
Variable i=1:n: stiffness reduction ratio of every
Maximum number of iteration nimax=50;
damaged element from step 1.
Threshold t2= 0.01; j=1; p=1.

Run GA for jth genaration. Rerun GA in phase pth

Results: Value of variable jji=1:n
nimax=50; p=p-1.
j,t=min(ji=1:n); Number of iteration has
been run: kj; Objective function value OFp,i.
OFp ≥ OF p-1

OFp,j≤f
Compare OFp,j to f Compare OFp to OFp-1

OFp <OFp-1 Based on αj value,

OFp,j>f evaluate the plate
damage ratio.
j,t≥ t2
Compare j,t to t2 Compare kj to nimax

j,t < t2
k=nimax k< nimax

Eliminate j,t out of j

OFp=OFp,j;p=p+1;j=1.
j=j+1

Fig. 4 Workflow of the proposed procedure

2.3 Damage Extent Identification Results

By applying the workflow as presented in Fig. 4, Table 2 shows that the proposed
damage identification procedure gives the accurate damage extent after 3 phases.
The first phase removed the 82nd element of the damage extent variable after 20
iterations because its extent is convergent and smaller than 0.01. Then, the 84th
element is eliminated after nine iterations in the second phase, with the damaged
extent nearly equal to zero. Finally, the third phase only gives the exact damaged
extent of the 83rd element at 5% after three iterations.
252 T.-C. Le et al.

Table 2 Damage extent identification results using multi-phase GA

Phase of GA Number of The minimum Index of denoized Fitness function
iterations value of damage element
extent
Damaged 20 1.4E-03 82nd 1.73E-01
elements at 1st
phase: 82nd,
83rd, 84th
Damaged 9 6.7E-06 84th 4.15E-04
elements at 2nd
phase: 83rd, 84th
Damaged 3 5.0E-02 2.20E-04
elements at 3rd
phase: 83rd

Table 3 Detail of damage

Damaged element Damaged extent (%)
scenario
7 5
8 10

3 Further Numerical Verification

3.1 Details of Damaged Scenario

In this further verification, the aluminum plate with the sizes and material properties
described in Sect. 2.1 is investigated in a more complex damage scenario. Two
adjacent damaged elements at the long edge of the plate are assumedly reduced
stiffness with different ratios. The detail of the two damaged elements is shown in
Table 3.

3.2 Damage Location Identification Results

The combination of the first three modes is used to improve the accuracy of the
damaged locations. Besides, the damaged threshold of 5% is applied for both global
and local steps not to miss the damaged elements. As a result, the global MSE
detected six damaged elements, including two actual damaged elements and four
wrong detected elements, as shown in Fig. 5a. The preliminary damaged area that
covers these damaged elements is depicted in Fig. 6. Then, the local MSE is applied
to this area to eliminate more wrong detected elements from the global MSE, as
presented in Fig. 5b.
Development of Modal Strain Energy Method … 253

(a) (b)

Fig. 5 Damage location identification results: a Global MSE; b Local MSE

y Preliminary
damage area

136 137 149 150

Ly=200

Wrong detected
damaged element

Real damaged element

21 24

1 2 7 8 9 14 15 x
Lx=300

Fig. 6 The preliminary damaged area was detected from the first step

3.3 Damage Severity Estimation Results of the Plate

At the end of the first step, five potentially damaged elements were detected from the
local MSE, including the 7th, 8th, 9th, 21st, and 24th elements. Then, the multi-phase
GA is applied to the preliminary damaged area to eliminate more wrong alarms. As
shown in Table 4, the three first phases of four phase GA removed the 24th, 21st,
and 9th elements step-by-step, using a threshold of 0.01. Finally, after four phases,
the extent of existing element damage is estimated to be 5% for the 7th element and
10% for the 8th element.
254 T.-C. Le et al.

Table 4 Damage extent identification results using multi-phase GA

Phase of GA Number of The minimum value Index of Fitness function
iterations of damage extent eliminated
element
Damaged elements 45 8.5E-03 24th 5.03E-01
at 1st phase: 7th,
8th, 9th, 21st, 24th
Damaged elements 40 3.2E-02 21st 3.59E-01
in 2nd phase:
7th, 8th, 9th, 21st
Damaged elements 16 2.4E-04 9th 9.78E-04
in 3rd phase:
7th, 8th, 9th
Damaged elements 15 7: 0.049 9.35E-04
in 4th phase: 8: 0.100
7th, 8th

4 Remarkable Conclusions

This study successfully developed a two-stage procedure based on the modal strain
energy method and the multi-phase genetic algorithm to improve damage identifi-
cation effectiveness in plate-type structures. The multi-phase genetic algorithm can
eliminate wrong detected damage elements after every phase. Furthermore, reducing
the variable size helps the genetic algorithm converge faster and gives a more accu-
rate damaged extent identification result. In addition, the proposed procedure can
detect both single and multiple damages in different locations, both inside the plate
and at the boundary of the plate. Despite this, the implementation of the suggested
procedure needs more research to handle more complex damage cases and eliminate
the effect of the damage threshold and environmental noise.

Acknowledgements We acknowledge Ho Chi Minh City University of Technology (HCMUT),

VNU-HCM for supporting this study.

References

1. Das S, Saha P, Patro SK (2016) Vibration-based damage detection techniques used for health
monitoring of structures: a review. J Civ Struct Heal Monit 6(3):477–507
2. Fu Y, Liu J, Wei Z, Lu Z (2014) A two-step approach for damage identification in plates. J Vib
Control 22(13):3018–3031
3. Vo-Duy T, Ho-Huu V, Dang-Trung H, Nguyen-Thoi T (2016) A two-step approach for damage
detection in laminated composite structures using modal strain energy method and an improved
differential evolution algorithm. Compos Struct 147:42–53
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4. Dinh-Cong D, Vo-Duy T, Ho-Huu V, Nguyen-Thoi T (2018) Damage assessment in plate-like

structures using a two-stage method based on modal strain energy change and Jaya algorithm.
Inverse Prob Sci Eng 27(2):166–189
5. Le TC, Ho DD (2021) Structural damage identification of plates using two-stage approach
combining modal strain energy method and genetic algorithm. Lect Notes Mech Eng 2021:1004–
1017
6. Gomes GF, Giovani RS (2020) An efficient two-step damage identification method using
sunflower optimization algorithm and mode shape curvature (MSDBI–SFO). Eng Comput
7. Fan Q (2021) A two-step damage identification based on cross-model modal strain energy and
simultaneous optimization. In: IOP conference series: earth and environmental science, vol 643,
p 012145
8. Kumar KA, Reddy DM (2016) Application of frequency response curvature method for damage
detection in beam and plate like structures. In: IOP conference series: materials science and
engineering, vol 149, p 012160
Study on Determining the Length
of the Cracked Zone of Reinforced
Concrete Beams Under Load Using
Deformed Shape Curvature Method

Tuan Minh Ha, Quang-Phu Nguyen, Phan-Nhat-Trung Nguyen,

Thanh-Duy Tran, Duc-Duy Ho, and Saiji Fukada

1 Introduction

In recent decades, studies on structural health monitoring (SHM) have become

popular in all fields to detect damage at an early stage. This assists in detecting
structural abnormalities early, creating favorable conditions for timely repair or
replacement of damaged components, assessing the remaining life of the building
and minimizing the consequences that may occur. When the construction industry is
overcrowded, developed countries should rely on monitoring, diagnosis, maintenance
and component replacement.
The reinforced concrete structure is a main structure in construction today,
appearing in most civil engineering projects. The reinforced concrete beam is the
primary bearing structure, ensuring the rigidity and stability of the entire building.
Many different causes can affect and damage the building, especially the main load-
bearing components, directly affecting the building’s use, function and life. There-
fore, damage diagnosis to determine the location and extent of the damaged area to

T. M. Ha (B) · Q.-P. Nguyen · P.-N.-T. Nguyen

Faculty of Civil Engineering, HUTECH University, Ho Chi Minh City, Vietnam
e-mail: [Link]@[Link]
T.-D. Tran · D.-D. Ho
Faculty of Civil Engineering, Ho Chi Minh City University of Technology (HCMUT), Ho Chi
Minh City, Vietnam
Vietnam National University Ho Chi Minh City, Linh Trung Ward, Thu Duc District, Ho Chi
Minh City, Vietnam
T.-D. Tran
[Link] International Vietnam Co., Ltd, Ho Chi Minh City, Vietnam
S. Fukada
Faculty of Geosciences and Engineering, Kanazawa University, Kanazawa City, Japan

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2023 257
R. V. Rao et al. (eds.), Recent Advances in Structural Health Monitoring
and Engineering Structures, Lecture Notes in Mechanical Engineering,
[Link]
258 T. M. Ha et al.

assess the bearing capacity of existing structures (especially high-rise buildings) is

very necessary.
Several methods for diagnosing structural damage to beams based on vibrational
and static characteristics have been researched and developed up to this point. Since
the 1970s, researchers have been studying the use of structural vibration charac-
teristics (frequency and mode shape) for failure diagnosis, which is now widely
used in SHM [1–3]. However, determining the dynamic characteristics of structures
frequently necessitates the use of sophisticated analytical equipment and methods.
In addition to dynamic features, many current studies investigate the applicability of
static features, which can be determined with simpler devices to diagnose damage
within structures.
Chen et al. [4] established in 2005 that defects in a beam model may be identi-
fied by computing the Gray relational coefficient (GRC) using displacement data at
the periods of sound and degradation. Furthermore, Lee and Eun [5] developed an
analytical approach for detecting damage by employing displacement curvature and
expanding all static deflection data from collected deflection data. Their technique
may identify defects in basic cantilever beams, detecting both single and multiple
damages based on an accurate displacement measurement. Abdo [6] performed a
parametric study for localizing damage using displacement curvature in 2012. The
findings demonstrated that changes in displacement curvature might be employed
as a useful indicator even when stiffness loss is minimal. Another study examined
the efficacy of using displacement curvature obtained from static response data to
show the location and extent of damage in Euler–Bernoulli beams [7]. According
to numerical results, the displacement curvature obtained from static reactions is
sensitive to stiffness reductions. In 2017, Ha and Fukada investigated the use of only
direct displacement data to diagnose damage inside a prestressed girder [8]. The
authors proposed two indicators: the index of detecting the occurrence of damage
and the index of locating the location of the damage. Then, Ono et al. [9] suggested
the usage of the displacement-based index (DBI) and gray relation coefficient (GRC)
in 2019 in which displacement influence lines of deck slabs are utilized as input into
the assessment procedure.
Prior research is frequently conducted for beam structures to be simulated into
homogenous bars. The diagnosis was restricted to analyzing the site of one or a
few single fractures caused by removing or decreasing the stiffness of the matching
element at that place. As a result, it is required to improve the application of this
approach for reinforced concrete beam constructions, taking into consideration the
joint functioning of concrete and reinforcement. The primary objective of this study
is to provide a method for determining the length of the fracture zone in reinforced
concrete beams based on the change in deformed shape curvature with different
damage levels. A reinforced concrete beam is modeled using the finite element
technique and the ANSYS APDL program, taking into consideration the nonlinear
behavior of the concrete and reinforcement. The beam is then loaded with varied
load levels to see how it behaves and cracks appear. The findings of the study of the
curvature of the beam’s deformed shape corresponding to each condition are used
to locate and diagnose the length of the fracture zone. To assess the accuracy of the
Study on Determining the Length of the Cracked Zone … 259

diagnostic technique for reinforced concrete beams, suitable damage thresholds and
novel diagnostic signs are proposed.

2 Deformed Shape Curvature Method

2.1 Method Introduction

Pandey et al. proposed a technique for detecting structural damage based on the differ-
ence in mode shapes between damaged and healthy structures in 1991 [2]. The current
study offers a novel technique based on the curvature difference of deformed shapes
based on the suggested mode shape curvature method. When there is a failure inside
the structure, the curvature of the deformed shape changes. The displacement curva-
ture is determined by the displacement vector’s second derivative. The displacement
values of the case before and after failure are determined by studying the nonlinear
behavior of the beam model using a finite element software. The curvature of the
deformed shape is given by the following equation in this study:

 u i+1 − 2 × u i + u i−1
ui = , (1)
h2

where u i is the second derivative of the ith displacement vector, u i is the displacement
at the ith position, u i+1 is the displacement at the ith + 1 position, u i−1 is the
displacement at the ith − 1 position and h is the element’s length. However, the data
of node i − 1 is not accessible for the left boundary node, and the data of node i + 1
is not available for the right boundary node for the nodes at the two ends of the beam.
As a result, the extrapolation method is used to estimate the displacement value at
these two nodes. The boundary node is not restricted to the rotation displacement
under the circumstances of the pin and roller supports (free rotation). The following
two values are proposed to be calculated using the symmetry principle:

u i−1 = −u i+1 , (2)

u i+1 = −u i−1 . (3)

2.2 Displacement Curvature Difference Index

Deformed shapes are gathered through studying the nonlinear behavior of the rein-
forced concrete beam model using ANSYS APDL software at different load levels
of the case before and after failure. The difference (Z i ) in the curvature of the two
260 T. M. Ha et al.

deformed shapes will be calculated based on the absolute difference in values at each
position after having the displacement curvature in a loaded state but no fractures
and in the damaged state (state to be diagnosed).
     
   
Z i = u si  − u di , (4)

 
where Z i is the curvature difference at the ith location; u si and u di are the displace-
ment curvature at position i of the beam in a loaded condition but without cracking
and in the state to be diagnosed, respectively. After standardizing the curvature differ-
ence (Z i ), , the displacement curvature difference index (DCDI) was calculated using
the following equation:
 
Zi − μ
DCDIi = max 0, , (5)
σ

where μ and σ represent the mean and standard deviation of Z i , respectively. Then,
based on the positive side of the curve that represents the relationship between the
standardized curvature difference and the element location, the locations where the
curve changes significantly are the damaged region of the beam.

2.3 Accuracy Assessment Method

The failure zone of beams is unknown in practice. However, in order to evaluate

the diagnostic method’s accuracy, the actual crack zone length (as determined by
ANSYS simulation) was collected and compared to the result diagnosed using the
deformed shape curvature method, thereby determining the method’s accuracy. For
the aforementioned reasons, this study proposes the damage threshold Z 0 and three
evaluation indices A, B and C for a more comprehensive and appropriate evaluation
of diagnostic work. To diagnose the location and extent of the damaged area in the
problems examined in this study, the threshold DCDI0 = 30%DCDImax is proposed
to be used (with DCDImax being the maximum value of the calculated damage index).
The following definitions apply to the accuracy of cracked zone, non-cracked zone
and the overall accuracy of A, B and C.
A is the ratio of the length of the diagnostic cracked zone located within the actual
cracked zone to the length of the actual cracked zone calculated using Eq. 6. In which
case, the diagnostic crack area is the projection of the chart DCDI with DCDIi ≥
DCDI0 on the beam axis at mid-span. This index is used to determine the method’s
accuracy in estimating the extent of cracking in beams.

L pred
A= × 100%, (6)
L crack
Study on Determining the Length of the Cracked Zone … 261

where L pred is the length of the diagnostic cracked zone located within the actual
cracked zone and L crack is the length of the actual cracked zone. Accuracy of the
non-cracked zone B is the ratio of the length of the diagnostic non-cracked zone to
the actual length of the non-cracked zone as determined by Eq. 7.

L 0,pred
B= × 100%, (7)
L 0,crack

where L 0,pred is the diagnostic crack-free zone’s length (with the diagnostic crack
excluded from the actual crack range) is calculated as follows:

L 0,pred = L 0,crack − L pred,out , (8)

L 0,crack is the actual length of the uncracked zone, as determined by the following
equation:

L 0,crack = L − L crack , (9)

L pred,out is the diagnostic cracked zone located outside the actual cracked zone.
The method’s accuracy under load changes has not been evaluated using the two
diagnostic accuracy indexes for cracked and non-cracked zones, as these indexes are
dependent on the magnitude of the crack zone at each load level. Thus, the overall
accuracy C is proposed to be calculated as the sum of the diagnostic accuracy of
cracked and uncracked areas multiplied by the weights assigned to each region. The
weight of each zone (cracked or uncracked) is equal to the ratio of the actual length
of the cracked or uncracked zone to the total length of the beam, Eq. 10. Under ideal
conditions, the diagnostic accuracy of the cracked zone (A) and the non-cracked
zone (B) will be 100%, resulting in accurate diagnosis for the entire beam. Overall
accuracy will be used to determine the diagnostic method’s reliability over the entire
beam length with any load level.

L crack L 0,crack
C = A× +B× , (10)
L L

3 Application Problem

The simulated reinforced concrete beam has a length of L = 4 m and two fixed
connection ends. The rectangular cross-section is b × h = 0.2 × 0.6 m in size. On
the top of the beam, the beam is loaded uniformly with q = 300 kN/m2 . The simulated
concrete material is a linear elastic material with an elasticity modulus of E = 2.4
× 107 kN/m2 , a Poisson coefficient of v = 0.2, a density of p = 2.4028 T/m3 , a
uniaxial tensile strength of f t = 1400 kN/m2 , a uniaxial compressive strength of f c
262 T. M. Ha et al.

= 28,000 kN/m2 , a force transmission coefficient (when the crack is open) of α =

0.3 and a force transmission (when the crack is closed) of β = 0.5.

4 Results of Analysis and Diagnostics

The result of increasing the applied load indicates that the beam’s cracking load is
157 kN and its fracture load is 373 kN. The crack patterns in Figs. 1 and 2 correspond
to 157 kN and 373 kN load levels, respectively. Additionally, the crack zone in the
middle of the span was determined to be 0.2 m wide, corresponding to a load level
of 157 kN. The cracked zone length gradually increases with increasing applied load
and reaches its maximum value at the 1 m mid-span.
The positive difference in displacement curvature between the 50 kN load level
(when no cracks appear) and the data obtained from the loads with cracks are shown
in Fig. 3. The damage threshold proposed in this study was 30% of the maximum
diagnosed positive difference between each pair of diagnostic data. According to
Fig. 3a and 3b, the 30% threshold that crosses the standardized curvature difference
is 0.28 m and 0.71 m, while the ANSYS model predicted a cracked zone length of
0.2 m and 0.6 m, respectively. For a load level of 315 kN, the method diagnosed a
cracked zone length of 1.05 m at mid-span when the actual length was 1 m, Fig. 3c.
Additionally, when considering Fig. 3d, the diagnostic chart shows a rise at the
location of the two mount ends, which accurately reflects the location of the crack area
on the top surface of the beam at the two mount ends. The accuracy of the diagnostic

Fig. 1 Crack in the middle of span and two ends of the beam (load level 157 kN)
Study on Determining the Length of the Cracked Zone … 263

Fig. 2 Crack in the middle of span and two ends of the beam (load level 373 kN)

method is given in Table 1. According to Table 1, the method’s overall accuracy

in diagnosing cracked zone length is greater than 95% for each load level. Thus, it
can be seen that the displacement curvature can be used to accurately determine the
length of the cracked zone at the beam’s mid-span.

5 Conclusions

The purpose of this study is to propose a method for diagnosing the location and
length of the crack area in reinforced concrete beams using only the curvature of
the deformed shape as input data. The diagnostic method accepts as input only
two states of deformed shapes (uncracked and cracked). From the actual external
displacement, this data can be analyzed. Additionally, damage thresholds and three
accuracy measures are introduced. The following conclusions were drawn from the
study.
The research findings demonstrate that the deformed shape curvature method is
capable of accurately diagnosing the location and length of the crack zone in rein-
forced concrete beams with varying degrees of damage, corresponding to varying
loads. According to the results of the accuracy analysis based on the evaluation
indexes A, B and C, the deformed shape curvature method can diagnose the cracked
zone length with the lowest overall accuracy of 95% for the load level investi-
gated in this study. This enables the method to be used in practice for inspecting
264 T. M. Ha et al.

(a) Displacement curvature difference index (b) Displacement curvature difference index
(P=50 kN in comparison to P=157 kN) (P=50 kN in comparison to P=280 kN)

(c) Displacement curvature difference index (d) Displacement curvature difference index
(P=50 kN in comparison to P=315 kN) (P=50 kN in comparison to P=373 kN)

Fig. 3 Diagram illustrating the cracked zone’s diagnosis. a Displacement curvature difference
index (P = 50 kN in comparison with P = 157 kN). b Displacement curvature difference index
(P = 50 kN in comparison with P = 280 kN). c Displacement curvature difference index (P =
50 kN in comparison with P = 315 kN). d Displacement curvature difference index (P = 50 kN in
comparison with P = 373 kN)

Table 1 Accuracy of the diagnostic method

Load L (m) L crack (m) L pred (m) A (%) L pred,out (m) L 0,crack (m) L0,pred (m) B (%) C (%)
level
373 4 1 1.05 95 0.05 3 2.95 98 98
kN
350 4 0.8 0.91 88 0.11 3.2 3.09 97 95
kN
315 4 1 1.05 95 0.05 3 2.95 98 98
kN
280 4 0.6 0.71 85 0.11 3.4 3.29 97 95
kN
245 4 0.6 0.71 85 0.11 3.4 3.29 97 95
kN
210 4 0.6 0.71 85 0.11 3.4 3.29 97 95
kN
175 4 0.2 0.31 65 0.11 3.8 3.69 97 95
kN
157 4 0.2 0.28 71 0.08 3.8 3.72 98 96
kN
Study on Determining the Length of the Cracked Zone … 265

and diagnosing reinforced concrete beam damage, and it can be extended to other
members.
The deformed shape curvature method is used exclusively in this study to diagnose
ideal two-support reinforced concrete beams. The displacement curvature method
should be investigated further in the future with beams with varying boundary
conditions, particularly beams in a reinforced concrete frame.

References

1. Stubbs N, Osegueda R (1990) Global nondestructive damage evaluation in solids. Anal Exp
Modal Anal 5(2):67–79
2. Pandey AK, Biswas M, Samman MM (1991) Damage detection from changes in curvature mode
shape. J Sound Vib 145(2):321–332
3. Doebling SW, Farrar CR, Prime MB (1998) A summary review of vibration-based damage
identification methods. Shock Vib Dig 30(2):91–105
4. Chen X, Zhu H, Chen C (2005) Structural damage identification using test static data based on
grey system theory. J Zhejiang Univ A 6A:790–796
5. Lee ET, Eun HC (2008) Damage detection of damaged beam by constrained displacement
curvature. J Mech Sci Technol 22:1111–1120
6. Abdo MA-B (2012) Parametric study of using only static response in structural damage detection.
Eng Struct 34:124–131
7. Yazdanpanah O, Seyedpoor SM (2013) A crack localization method for beams via an efficient
static data based indicator. Comp Meth Civil Eng 4:43–63
8. Ha TM, Fukada S (2017) Nondestructive damage detection in deteriorated girders using changes
in nodal displacement. J Civ Struct Heal Monit 7:385–403
9. Ono R, Ha TM, Fukada S (2019) Analytical study on damage detection method using
displacement influence lines of road bridge slab. J Civ Struct Heal Monit 9(4):565–577
Seismic Response of a Reinforced
Concrete Frame with Reduced Stiffness

Huu Anh Tuan Nguyen, Trong Tinh Le, and Dinh Nhan Dao

1 Introduction

The stiffness of reinforced concrete members depends on the cracked state and
loading history of the members as well as the elastic–plastic properties of concrete and
steel reinforcement. Factors affecting the effective stiffness of reinforced concrete
members may also include transverse reinforcement, longitudinal reinforcement
ratio, concrete strength, cross-section shape, and cross-section aspect ratio [1]. Anal-
ysis of reinforced concrete structures using the full elastic stiffness may be inap-
propriate because the structural stiffness could be reduced following the formation
and development of concrete cracks. This reduction occurs even when the building
is subjected to static loads under normal operating conditions and becomes more
concerned when strong impacts such as seismic loads have to be dealt with. A
reduction in stiffness would have a negative effect on the over strength, displace-
ment ductility, and collapse limit states of a building under seismic actions [2].
Using the full elastic stiffness in seismic analysis of a concrete building could
underestimate the building response in terms of interstory drift and overestimate
the performance level relating to plastic rotations [3]. Although nonlinear dynamic
analysis could yield a comprehensive insight into the seismic response of structures,
it requires complex modeling and designers in depth knowledge of advanced struc-
tural dynamics and earthquake engineering [4]. A much simpler approach to partially
improve the conventional linear elastic analysis is introducing stiffness reduction
factors to reinforced concrete members.
A very first formula for calculating effective moment of inertia of cracked flexural
members was proposed by Branson in 1963 [5]. Several improved forms of this
formula have been incorporated into concrete design standards of some countries

H. A. T. Nguyen (B) · T. T. Le · D. N. Dao

University of Architecture Ho Chi Minh City, HCMC, Ho Chi Minh City, Vietnam
e-mail: [Link]@[Link]

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2023 267
R. V. Rao et al. (eds.), Recent Advances in Structural Health Monitoring
and Engineering Structures, Lecture Notes in Mechanical Engineering,
[Link]
268 H. A. T. Nguyen et al.

Table 1 Stiffness reduction factor for modeling RC elements [11, 12]

FEMA 356-2000 TS 500-2000
Beam Column Beam Column
α n α α n A
<0.3 0.5 <0.1 0.4
0.5 0.3-0.5 0.6 0.4 0.1-0.4 0.4-0.8
>0.5 0.7 >0.4 0.8

in which the effective moment of inertia is a function of the ratio of the cracking
moment and applied moment [6–9]. The European seismic design standard Eurocode
8 states that if a more accurate analysis of the cracked elements is not performed,
the elastic flexural and shear stiffness properties of concrete elements are permitted
to be taken as one-half of the corresponding stiffness of uncracked elements [10].
Both American and Canadian concrete standards take a stiffness reduction factor of
0.35 for conventional beams and 0.7 for columns regardless of the axial compression
ratio [6, 7]. A number of design guides and standards consider the stiffness reduction
factor for beams to be constant while that for columns vary linearly with the axial
compression ratio of the columns. For instance, provisions for reinforced concrete
beams and columns as per the FEMA 356 guideline and Turkisk standard TS 500 are
summarized in Table 1 in which n and α are the axial compression ratio and stiffness
reduction factor, respectively [11, 12].
The paper proposes a method to find the effective nonlinear stiffness of reinforced
concrete beams and columns. A case study frame subjected to seismic loading is
investigated in which the stiffness reduction factor for each frame member is calcu-
lated via pushover analysis with input parameters including geometrical dimensions,
reinforcement area, axial compression force of the member, and the nonlinear stress–
strain relationship of concrete and reinforcing steel. The frame response based on
the full elastic stiffness is compared with that considering stiffness reduction factors.

2 Methods

2.1 Proposal of a Method for Determination of Nonlinear

Stiffness

Pushover Models for Beam and Column Elements. Consider a typical frame panel
consisting of span-length beams and story height columns of a rigid frame with
moment-resisting joints. Figure 1 presents the deflected shape and bending moment
diagram of the panel due to lateral loads applied to the frame, which would be obtained
from a conventional static analysis. It can be seen that the bending moments at two
ends of a member are more or less the same. The column bends in double curvature
Seismic Response of a Reinforced Concrete Frame … 269

Fig. 1 Deformation and bending moment of a typical frame panel

with contraflexure points at approximately column height. The beams also bend in
double curvature with contraflexure points at approximately midspan.
From an observation of Fig. 1, the nonlinear pushover analysis models for a beam
element and a column element are proposed as shown in Figs. 2 and 3, respectively.
These models are developed in OpenSees, an open-source simulation software [13],
using nonlinear stress–strain relationships of concrete and reinforcement (Fig. 4)
together with the geometrical dimensions and reinforcement areas of the members.
For the beam analysis model, M and θ are the average values of the bending moment
and the rotation angle at the two ends of the beam, respectively. A pushover curve
that shows the relationship between the bending moment and rotation angle at the
ends of the beam as the rotation angle increases monotonically is to be calculated
(Fig. 2).
For the column analysis model, M is the average bending moment at the two ends
of the column, and u is the relative lateral displacement between two floor levels.
A pushover curve is to be constructed for each column element, which shows the
variation of the lateral load Q against the displacement u as u increases monotonically,
and the column’s axial force P (due to gravity loads) is kept constant (Fig. 3).
Material Models. Figure 4a depicts the stress–strain behavior of concrete in uniaxial
compression according to a constitutive model developed by Scott et al. [14], which

Fig. 2 Beam: a moment diagram, b loads and deflected shape, and c pushover curve
270 H. A. T. Nguyen et al.

Fig. 3 Column: a moment diagram, b loads and deflected shape, and c pushover curve

Fig. 4 Stress–strain curves for a concrete and b steel reinforcement

is available in OpenSees and was utilized in this research for pushover analysis of
beams and columns. The concrete model as per EN 1992-1 [15], drawn with thick
dashed lines in Fig. 4a, is quite consistent with Scott’s model. The main parameters
that define this model include compressive strength of concrete, f cm , strain corre-
sponding to compressive strength, εc1 , and strain when concrete begins to crush,
εcu . The behavior of reinforcing steel is assumed to be ideal elastic–plastic with key
parameters including yield strength, f sy , and elastic modulus, E s , as shown in Fig. 4b.
The steel yield strain can be computed from these two parameters as εsy = f sy /E s .
Calculation of Stiffness Reduction Factor. It is possible to determine the yield
point in the pushover curve corresponding to when the reinforcement reaches the
yield strain [14, 15]. The effective nonlinear stiffness of the beam, K nl,beam , and
column, K nl,col , can be taken as the slope of the secant line joining the origin of the
pushover curve to the yield point:

K nl,beam = My /θy (1)

Seismic Response of a Reinforced Concrete Frame … 271

K nl,col = Q y /u y (2)

In which M y and θ y are the moment and rotation angle corresponding to the yield point
of the beam (Fig. 2c), Qy and uy are the lateral force and displacement corresponding
to the yield point of the column, respectively (Fig. 3c).
From basic principles of structural analysis [16], the elastic stiffness K el,beam and
K el,col of the beam element of Fig. 2b and column element of Fig. 3b, respectively,
can be expressed as

K el,beam = 6E c Ig /L (3)

K el,col = 12E c Ig / h 3 (4)

where E c is the modulus of elasticity of concrete, I g is the gross moment of inertia of

the uncracked section, L and H are the length of the beam and column, respectively.
The stiffness reduction factor can be computed as the ratio of the effective nonlinear
stiffness to the corresponding elastic stiffness.

2.2 Case Study Frame Description

The case study frame is a ten-story reinforced concrete structure shown in Fig. 5a.
The cross sections of the 6.3-m-span and 7.9-m-span beams are 250 × 450 mm and
250 × 550 mm, respectively. The cross sections of the edge columns are 400 ×
700, 400 × 600, and 300 × 450 mm, and of the middle columns are 500 × 750,
400 × 650, 400 × 400 mm with larger columns at lower stories. The concrete’s
properties are f cm = 28 MPa, E c = 30 GPa, εc1 = 0.002, and εcu = 0.0035. The steel
reinforcement has f sy = 400 MPa and E s = 200 GPa. The total gravity load per story
amounts to 1500–1910 kN. For seismic loading, the design response spectrum for
type D ground, behavior factor q = 3.9, and DCM ductility class (medium ductility)
as per Eurocode 8 (EC8) was used. The building is classified as importance class II,
and the peak ground acceleration is ag = 0.0856 g with g being the acceleration of
gravity. A preliminary finite element (FE) model of the frame using elastic rigidity
E c I g of uncracked gross sections was created in SAP2000 software [17]. Figure 1
illustrates the first two mode shapes with natural periods of T 1 = 3.32 and T 2 = 1.13 s
as acquired from the frame modal analysis. The response to earthquake loading was
computed using modal response spectrum analysis where modal responses were
combined via the SRSS rule [10, 17]. In the modal response spectrum analysis, 12
modes of vibration were taken into account with the sum of the effective modal
masses being 98% of the total mass of the structure.
272 H. A. T. Nguyen et al.

Fig. 5 Case study frame: a geometry, b mode shape 1, and c mode shape 2

3 Results and Discussion

3.1 Stiffness Reduction Factor

Using the internal forces resulted from frame analysis with elastic stiffness, rein-
forcement calculation was performed in accordance with Eurocode 2 [15]. The area
of longitudinal reinforcement obtained for each frame member was then utilized in
the determination of nonlinear effective stiffness of the member.
Beams. A comparison of the stiffness reduction factor for beam elements calculated
by different methods is presented in Fig. 6a. While design standards consider the
stiffness reduction factor for beams to be constant, the proposed method revealed
that this factor depended on many parameters including the internal forces, rein-
forcement, and cross-sectional size of the member. The stiffness reduction factor as
per the proposed method was found to fluctuate from 0.314 to 0.523 with an average
value of 0.414 which was closest to the value suggested by the Turkish standard TS
500. Moreover, the 10-th percentile stiffness reduction factor calculated using the
proposed method was 0.344 which closely matched the value of 0.35 recommended
by the ACI 318 and CSA A23 standards. The 10-th percentile value can be considered
as a reasonable and conservative value for design as 90% of the stiffness reduction
factor values would be above the 10-th percentile value.
Columns. Let n = P/Ac f cm be the axial compression ratio where P and Ag are,
respectively, the axial force and cross-sectional area of a column. For the case study
frame, the axial compression ratio was in the range 0.14–0.64. The variation of the
stiffness reduction factor against the axial compression ratio is shown in Fig. 6b. It can
be seen that the EC8-based effective stiffness, which was independent of any factors,
Seismic Response of a Reinforced Concrete Frame … 273

Fig. 6 Stiffness reduction factor for: a beam and b column

was lowest for almost all columns of the frame, thus being the most conservative
value. The stiffness reduction factor recommended by the FEMA 356 and TS 500,
which depended only on the axial compression ratio, increased with increase in the
compression force then remained constant. The stiffness reduction factor resulted
from the proposed method varied from 0.531 to 0.817 depending on many factors
including the axial force, member dimensions, and area of provided reinforcement.
The 10-th percentile stiffness reduction factor acquired from the proposed method
was 0.592. This value agreed well with the experimental data of Haselton et al. [18]
which revealed that for a typical column, the elastic stiffness was about 1.7 times
the secant stiffness to yield, i.e., the stiffness reduction factor was approximately
0.588. The average stiffness reduction factor as per the proposed method was 0.697,
matching the value of 0.7 given by the ACI 318 and CSA A23 standards for all axial
compression ratios.
Unlike the FEMA 356 and TS 500, the variation of the stiffness reduction factor
found from the proposed method had both increasing and decreasing segments
(Fig. 6b), which can be explained as follows. When the compression force was small
enough, the tensile stress from the bending moment caused cracks over the column
section, hence small effective stiffness of the column. Increasing the compression
force could reduce concrete cracks and increase the column effective stiffness factor.
For the columns of the investigated frame, the effective stiffness got highest values
when the axial compression ratio was in the range 0.40–0.48. However, when the
compression force was further increased beyond this limit, the compressive strain
in concrete (due to compression force and bending moment) was found to exceed
the εc1 value, putting the compressive concrete zone into the softening region of the
stress–strain curve of Fig. 4a. As a result, a lower effective stiffness was obtained.
274 H. A. T. Nguyen et al.

Table 2 Natural periods and base shear ratio

Elastic This paper EC8 ACI 318, CSA A23 FEMA 356 TS 500
Natural period T 1 (s) 3.32 4.40 4.22 4.60 4.06 4.32
Natural period T 2 (s) 1.13 1.46 1.47 1.53 1.41 1.45
Base shear ratio (%) 1.58 1.56 1.56 1.55 1.56 1.55

3.2 Seismic Response of Frame with and Without Stiffness

Reduction

The stiffness reduction factor identified previously was applied to the linear elastic
FE model of the frame as a multiplier of the full elastic rigidity E c I g of the frame
member. The modal analysis was reconducted to get the updated natural periods and
mode shapes. The same design spectrum was used for calculating the earthquake
action and frame response according to EC8 for each scenario of stiffness reduction.
Natural Periods and Base Shear Force. Table 2 presents the first two natural periods
T 1 , T 2 and the base shear ratio which was the base shear force normalized by the total
building weight. Although the natural mode shapes of the frame with and without
stiffness reduction were almost the same, the reduction in stiffness increased the
natural periods by 22–39% for the first mode and 25–35% for the second mode.
Interestingly, the base shear force associated with the original frame (i.e., without
stiffness reduction) and the base shear forces following various stiffness reduction
methods were approximately the same. This is because the T 1 values from all inves-
tigated cases fell into the long period range of the EC8 design spectrum where the
spectral acceleration was constant and equal to the lower bound of 0.2ag . Since the
first mode contributed the most to the overall response, the difference in total base
shear among investigated cases would be minimal. The story shear force distributing
along the building height was also similar across the original frame and the frames
with reduced stiffness.
Displacement and Drift. There are a number of reasons for lateral displacement in
tall buildings to be of interest. These may include rigidity requirement, limitation
of stress in structural members, comfort of occupants on upper floors, estimation
of required gap between building blocks to avoid pounding, etc. Compared with
the elastic stiffness case, the stiffness reduction cases increased the peak lateral
displacement of the investigated frame by 52–92% with the largest increase pertained
to the ACI 318 and CSA A23. The displacement predicted by the proposed method,
which was 76% greater than that based on the elastic stiffness, was more conservative
than the results from the EC8, FEMA 356, and TS 500 (see Table 3 and Fig. 7a).
Figure 7b demonstrates the distribution of seismic-induced interstory drift ratio
(IDR), defined as the relative lateral displacement between two consecutive floors
divided by the story height, along the building elevation. It should be noted that the
IDR is an important indicator of structural performance [10, 11, 19]. The maximum
values of IDR estimated by the model using the full elastic stiffness and the models
Seismic Response of a Reinforced Concrete Frame … 275

Table 3 Displacement and interstory drift ratio

Elastic This paper EC8 ACI 318, CSA A23 FEMA 356 TS 500
Peak displacement 62 109 101 119 94 106
(mm)
Peak IDR (%) 0.23 0.41 0.36 0.44 0.34 0.39

Fig. 7 a Lateral displacement and b interstory drift ratio

using the reduced stiffness can be seen from Table 3. Using the stiffness reduction
factor in the linear elastic analysis model could increase the peak interstory drift
ratio by 48–91%. Among the investigated stiffness reduction methods, the proposed
method resulted in the second largest IDR. Prediction based on the ACI 318 or CSA
A23 seemed to be most conservative for the frame under consideration.
Damage Limitations. Interstory drift thresholds have been introduced in building
codes to limit damage to non-structural components. Sensitivity of structures to
second-order effects (P-Delta) is also dependent on the drift index [10]. In order to
satisfy the damage limitation requirement as per EC8, the IDR multiplied by the
behavior factor q shall not exceed β/ν in which β is taken as 0.005 for buildings
having brittle non-structural elements attached to the structure, 0.0075 for ductile
non-structural elements, and 0.010 for non-structural elements not interfering with
the structure or without non-structural elements. The factor ν is taken as 0.5 for
buildings with class II importance and the corresponding β/ν values amount to 1.0,
1.5, and 2.0%. For the case study frame, the peak q(IDR) associated with the elastic
stiffness, proposed method, EC8, ACI 318, FEMA 356, and TS 500 was 0.89%,
276 H. A. T. Nguyen et al.

Table 4 Check damage limitations

Type of non-structural Acceptability of frame using stiffness values from
elements Elastic This paper EC8 ACI 318, CSA A23 FEMA 356 TS 500
Brittle materials Yes No No No No No
Ductile materials Yes No Yes No Yes No
Not interfering, Yes Yes Yes Yes Yes Yes
without

1.60%, 1.40%, 1.72%, 1.33%, and 1.52%, respectively. When evaluated using the
elastic stiffness, the building frame would be deemed suitable for all types of non-
structural elements. By contrast, when the stiffness reduction as per the proposed
method, ACI 318, CSA A23, and TS 500 was taken into account, the frame could
not satisfy the damage limitation state for non-structural elements of either brittle or
ductile materials (see Table 4).

4 Conclusion

In this research, a pushover analysis-based approach was proposed to determine

the effective nonlinear stiffness for each element of a reinforced concrete frame.
Depending on many parameters including the member’s internal forces and rein-
forcement details, the stiffness reduction factor varied across the frame members. It
was revealed that the stiffness reduction factor for columns did not always increase
with increase in the axial compression ratio. The 10-th percentile value of the stiffness
reduction factor, which was found to be 0.34 for beams and 0.59 for columns, can
be used for all elements to simplify the design. The range of values of the stiffness
reduction factor acquired from the proposed method was in good agreement with
contemporary design standards.
For the case study frame, the ACI 318 and CSA A23 produced the most conser-
vative prediction about the interstory drift, followed by the proposed method. The
use of full elastic stiffness in structural analysis could lead to unrealistic estimates
of earthquake response. Applying the stiffness reduction factor to the linear elastic
analysis model of the frame was found to increase the interstory drift ratio by up to
91% and alter the evaluation of frame acceptability in terms of damage limitation. On
the other hand, since the base shear force corresponding to various stiffness reduction
methods was practically the same, the EC8-based stiffness reduction constant, due
to its simplicity, could be used in strength design of reinforced concrete members.
Seismic Response of a Reinforced Concrete Frame … 277

References

1. Godínez-Domínguez EA, Tena-Colunga A, Velázquez-Gutiérrez I, Silvestre-Pascacio RE

(2021) Parametric study of the bending stiffness of RC cracked building beams. Eng Struct
243:112695
2. Cando MA, Hube MA, Parra PF, Arteta CA (2020) Effect of stiffness on the seismic perfor-
mance of code-conforming reinforced concrete shear wall buildings. Eng Struct 219:110724
3. Das S, Choudhury S (2019) Influence of effective stiffness on the performance of RC frame
buildings designed using displacement-based method and evaluation of column effective
stiffness using ANN. Eng Struct 197:109354
4. Dao ND, Nguyen-Van H, Nguyen TH, Chung AB (2020) A new statistical equation for
predicting nonlinear time history displacement of seismic isolation systems. Structures
25:177–190
5. Branson DE (1963) Instantaneous and time-dependent deflections of simple and continuous
reinforced concrete beam. HPR Publication No.7, Part 1, AHD, U.S.B of Public Road
6. ACI 318-19 (2019) Building code requirements for structural concrete and commentary.
American Concrete Institute, Farmington Hills, MI
7. CSA A23.3 (2014) Design of concrete structures. Canadian Standards Association, Rexdale
8. AS 3600:2018 (2018) Concrete structures. Standards Australia, Sydney
9. NZS 3101:2006 (2006) Concrete structures standard. Part 1—the design of concrete structures.
Standards New Zealand, Wellington
10. EN 1998 Eurocode 8 (2004) Design of structures for earthquake resistance. European
Committee for Standardization, Brussels, Belgium
11. FEMA 356 (2000) Prestandard and commentary for seismic rehabilitation of buildings. Federal
Emergency Management Agency, Washington, D.C.
12. TS 500-2000 (2000) Requirements for design and construction of reinforced concrete
structures. Turkish Standard Institute, Bakanliklar, Ankara
13. OpenSees Homepage. [Link] Last accessed 20 July 2021
14. Scott BD, Park R, Priestley MJN (1982) Stress-strain behavior of concrete confined by
overlapping hoops at low and high strain rates. ACI J Proc 79(1):13–27
15. EN 1992-1-2 Eurocode 2 (2004) Design of concrete structures, part 1-1: general rules and rules
for buildings. European Committee for Standardization, Brussels, Belgium
16. Hibbeler RC (2017) Structural analysis, 10th edn. Pearson Prentice Hall, Upper Saddle River,
NJ
17. CSI (2017) Analysis reference manual for SAP2000, ETABS, SAFE and CSiBridge. Computers
and Structures, Inc., Berkeley, CA
18. Haselton CB, Liel AB, Taylor-Lange SC, Deierlein GG (2016) Calibration of model to simulate
response of reinforced concrete beam-columns to collapse. ACI Struct J 113(6):1141–1152
19. Rastegarian S, Sharifi A (2018) An investigation on the correlation of inter-story drift and
performance objectives in conventional RC frames. Emerg Sci J 2(3):140–147
Investigation of Potential Alkali–Silica
Reaction of Different Types of Aggregate
in Mortar with and Without Fly Ash

Nguyen Thi Bich Thuy and Nguyen Trong Lam

1 Introduction

Alkali-aggregate reaction (AAR) is a reaction in concrete, which is classified into

alkali–silica reaction (ASR) and alkali–carbonate reaction (ACR). ASR is more
widespread than ACR. ASR is a chemical reaction between the alkali hydroxides in
concrete pore solution and silica in activate aggregate. Normally, the alkali hydroxide
was derived from the alkalis present in the used cement. The reactive silica in aggre-
gate usually exists as amorphous or poorly crystallized structures. The product of
the action is alkali–silica gel composed of Na, K, Ca, and Si. The alkali–silica gel is
hydrophilic and around and within the aggregate particles. After absorbed moisture,
its volume increases significantly. Thus, it generates a pressure to disrupt the fabric of
concrete [1]. The mechanism of the ASR in concrete is presented in Fig. 1. Generally,
ASR occurs in the long-term stage of concrete. Therefore, the consequences that it
brings are very large and difficult to maintain.
There are three main factors affected on the alkali–silica reaction in concrete:
the alkali requirement in ASR or total alkalis present in concrete, the reactive silica
component on the aggregate, and the presence of moisture in concrete structure. The
sodium equivalent is calculated by using a following equation [1]:

Na2 Oeq = %Na2 O + 0.658%K2 O (1)

where the 0.658 is the ratio between the molecular weight of Na2 O and K2 O.

N. T. B. Thuy (B)
Ho Chi Minh City Open University, Ho Chi Minh City, Vietnam
e-mail: [Link]@[Link]
N. T. Lam
Hanoi University of Civil Engineering, Hanoi, Vietnam

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2023 279
R. V. Rao et al. (eds.), Recent Advances in Structural Health Monitoring
and Engineering Structures, Lecture Notes in Mechanical Engineering,
[Link]
280 N. T. B. Thuy and N. T. Lam

Fig. 1 Schematic representation of the mechanism of the ASR in concrete [2]

In order to inhibit the ASR, the properties of materials should be concerned.

Generally, mineral admixtures, such as fly ash, slag, and natural pozzolans were
used in concrete [3, 4] and the sodium equivalent of used cement exceeds 0.6%,
according ASTM C150 [5]. However, the active silica content in aggregate cannot
be changed. Therefore, the potential ASR of aggregate needs to investigate before
using in concrete.
This study investigates the potential ASR of four types of aggregate. The influence
of fly ash on the expansion due to ASR of mortar bar containing different aggregates
also is examined. The test results provide an information and show a potential risk
of ASR in concrete using tested aggregates.

2 Experimental Details

2.1 Materials and Mixture Proportions

Binders including Portland cement type I (OPC) and low CaO fly ash (FA) were
used in this study. Chemical compositions of cement and fly ash are given in Table 1.
The sodium equivalent values (Na2 Oeq ) of cement and fly ash are 0.42% and 1.71%,
respectively. Blaine fineness of cement and fly ash are 3700 cm2 /g and 3300 cm2 /g,
respectively.
Four aggregate types were investigated the potential ASR in this study, namely
limestone (L), andesite (A), rhyolite (R), and sandstone (S). The chemical compo-
sitions of aggregates are given in Table 1. It can be seen that andesite, rhyolite, and
sandstone are rich in silica.
Two series mortars, non-FA mortar and FA mortar, were examined in this study.
Fly ash replaced (FA/b) 30% by weight of cement. Water to binder (w/b) and aggre-
gate to binder (A/b) ratios are 0.45 and 2.75, respectively. In each series, w/b, A/b,
and amount of aggregates with different size were same. Aggregate ratios of #8, #16,
#30, #50, and #100 were 10, 25, 25.25, and 15, respectively. The mix proportions of
mortar are presented in Table 2.
Investigation of Potential Alkali–silica Reaction … 281

Table 1 Chemical compositions of binder and aggregates

Chemical Binders Aggregates
compositions OPC FA Limestone (S) Andesite (A) Rhyolite (R) Sandstone (S)
(% by weight)
SiO2 19.34 62.10 17.31 55.82 56.32 58.13
Al2 O3 4.89 19.87 1.23 17.54 17.14 14.02
Fe2 O3 3.54 5.15 0.25 7.78 6.35 6.10
CaO 65.13 2.21 44.02 6.98 8.68 6.87
MgO 1.12 1.34 1.43 3.32 3.14 2.56
Na2 O 0.15 0.77 0.27 3.43 2.89 3.11
K2 O 0.42 1.43 0.41 1.78 4.12 1.21
LOI 2.05 5.86 – – – –

Table 2 Mix proportions of mortar

Series FA/b w/b A/b Aggregate (g) Aggregate with different sizes (%)
#8 #16 #30 #50 #100
Non-FA mortar 0 0.45 2.75 1320 10 25 25 25 15
FA mortar 30 0.45 2.75 1320 10 25 25 25 15

2.2 Test Methods

To investigate the potential ASR, four aggregate types were tested by the accelerated
mortar bar test, according to ASTM C1260 [6]. This method was measured the
expansion of mortar bar containing aggregate exposed in the sodium solution at 80 °C
during 14 days. Because the specimens were submerged in the sodium solution, the
alkali content of cement and fly ash was not a significant factor in affecting expansion.
Specimen dimension was 25 × 25 × 285 mm. After mixing 1 day, specimens were
demoulded, submerged in water at 80 °C for 24 h, and measure an initial reading. The
mortar bar continually exposed to the 1 N NaOH solution at 80 °C and conducted
subsequent comparator readings periodically for 14 days. Based on the expansion of
specimens at 14 days in the sodium solution, the potential alkali of aggregate was
classified to 3 cases. The first, the expansions of more than 0.20%, the aggregate
indicative of potentially deleterious expansion. The second, the expansions between
0.10 and 0.20% that are known to be innocuous and deleterious in some cases. And
the third, the aggregate is innocuous behavior when the expansions are less than
0.1%.
282 N. T. B. Thuy and N. T. Lam

3 Results and Discussion

3.1 Expansions of Mortar bar Containing Different

Aggregate Types

The results of the expansion of mortar bar containing four types of aggregate are
shown in Fig. 2. It can be seen that the expansion of mortar used sandstone and
rhyolite are higher than the limited expansion at 14 days, corroding ASTM C1260.
Sandstone and rhyolite are classified to potential of the risk of ASR in Portland
cement mortar. The expansion of specimens used andesite at 14 days is between
0.10% and 0.20%. It is innocuous and deleterious of ASR in Portland cement mortar
in some cases. And, the expansion of specimens containing limestone at 14 days is
less than 0.10%. It is deleterious of ASR in Portland cement. Based on the chemical
compositions of four aggregates, the rich silica aggregates lead to a higher potential
in ASR when compared to the low silica aggregate (limestone).
It is noted that the ranges of chemical compositions of the rich silica aggregate
are equivalent, but their silica reactions are different. When considered aggregate
type in potential of ASR, it should be focused on the type and quantity of reactive
mineral in rock [1]. Future investigation is still need to clarify the effect of mineral
component in rock on the ASR of mortar.

0.40
SFA0
0.35 RFA0
0.30 AFA0
LFA0
0.25
Expansion (% )

Limited expansion at 14 days

0.20

0.15

0.10

0.05

0.00
0 2 4 6 8 10 12 14
-0.05
Time after submerging in sodium solution (days)

Fig. 2 Expansion of non-FA mortar bar

Investigation of Potential Alkali–silica Reaction … 283

0.40
SFA30
0.35 RFA30
AFA30
0.30
LFA30
0.25
Expansion (% )

Limited expansion at 14 days

0.20

0.15

0.10

0.05

0.00
0 2 4 6 8 10 12 14
-0.05
Time after submerging in sodium solution (days)

Fig. 3 Expansion of fly ash mortar bar

3.2 Effect of Fly Ash on the Expansion of Mortar Due to ASR

Figure 3 shows the expansion due to ASR of fly ash mortar series. All mixtures have
the expansion at 14 days after submerging in sodium solution less than 0.05%. When
compared to the classified potential of ASR in ASTM C1260, the risk of ASR of
mortar containing reactive aggregates becomes innocuous. The reducing expansion
ratio of mortar due to ASR by using fly ash is the percentage between the expansion
of non-FA mortar and that of fly ash mortar, as shown in Eq. (2).

E Non−FA − E FA
RE = × 100% (2)
E Non−FA

where RE is the reducing expansion ratio, E Non-FA and E FA are expansion at 14 days
of non-FA mortar and FA mortar, respectively.
The expansions due to ASR of mortar are significantly reduced by using fly ash,
seen in Fig. 4. The reducing expansion ratios of mortar used rich silica aggregates are
higher than that of mortar used limestone. The using fly ash to suppress expansion
due to ASR is proposed by three mechanisms [7]. First, the alkali content in mortar
containing fly ash is lower when compared to that in mortar used cement-only.
Second, some of the alkalis from the pore solution are removed by binding into
the low C/S ratio hydration products. And third, the permeability and diffusivity of
concrete are reduced due to the pozzolanic reaction and filling effect of fly ash. In
this study, the mortar specimens were exposed to the sodium solution. Therefore, the
alkali content in mortar is not a major factor.
284 N. T. B. Thuy and N. T. Lam

100
88.10 87.89
90 83.76
Reducing expansion ratio (% )
80
70 64.77
60
50
40
30
20
10
0
Sandstone Rhyolite Andesite Limestone

Fig. 4 Effect of fly ash on the reducing expansion ratio of mortar bar

4 Conclusions

The following conclusions can be drawn:

1. The rich silica aggregates lead to a higher potential of ASR in mortar when
compared to low silica aggregate such as limestone.
2. The aggregates with similar range of chemical compositions have different alkali–
silica reaction. Therefore, the chemical compositions of studied aggregates are
not strongly effect on the ASR in mortar.
3. The expansion of mortar due to ASR is suppressed by using fly ash as replacing
cement material. By using ASTM C1260 to investigate the potential of ASR of
aggregate, the mechanism of the effect of fly ash mainly due to the pozzolanic
reaction of fly ash.

5 Future Study

In order to investigate the effect of different types of aggregates on the ASR in mortar,
the mineral component and structure of aggregate should be examined deeply. The
mineral components of aggregate should be considered both type and content of
reactive silica mineral.
Investigation of Potential Alkali–silica Reaction … 285

References

1. Glasser FP (1992) Chemistry of alkali-aggregate reaction, the alkali-silica reaction in concrete.

Van Nostrand Reinhold, New York, pp 30–35
2. Figueira RB et al (2019) Alkali-silica reaction in concrete: mechanisms, mitigation and test
methods. Constr Build Mater 222:903–931
3. Monteiro PJM (1997) Influence of mineral admixtures on the alkali-aggregate reaction. Cem
Concr Res 27:1899–1909
4. Haifeng W, Dingan W, Zhen M (2019) Effect of fly ash and limestone powder on inhibiting
alkali aggregate reaction of concrete. Constr Build Mater 210:620–626
5. ASTM C150 (2003) Standard specification for Portland cement. Annual Book of ASTM
Standards. ASTM International, West Conshohocken, PA
6. ASTM C1260 (2008) Standard test method for potential alkali reactivity of aggregate (mortar-bar
method). Annual Book of ASTM Standards. ASTM International, West Conshohocken, PA
7. Rachel D (1997) The role of fly ash composition in reducing alkali-silica reaction. Portland
Cement Association
A Novel Proposal in Applying Big Data
for the Bridge Management System

Nhi Ngo-Kieu , Thao D. Nguyen, Lam Q. Tran, Canh M. Le,

Luan Vuong-Cong , Hung Nguyen-Quoc , and Toan Pham-Bao

1 Introduction

Ho Chi Minh City is region with thousands of bridges because the city’s topography
is divided by many rivers and canals. Bridges facilitate traffic between different parts
of the city, as well as between the city and other localities in the region.
The role of bridges is closely linked to all economic, social, and security activities
and closely related to the lives of all people in the city. Therefore, making sure they
are “healthy” is a very heavy task. There are two activities to ensure healthy bridges:
(1) monitoring and detecting deterioration due to damage and (2) maintenance.
This article focuses on the first activity. According to national regulations in
Vietnam, health monitoring is carried out by two measures: patrol and inspection.
Patrol measures carried out by patrol teams. The patrol mission is to detect struc-
tural damage and phenomena that can affect the bridge structure. The method of
implementation is visual observation. Patrols are carried out on a daily basis, and
as a result, surface damage is detected in a timely manner. The disadvantage of this
method is that it does not allow access to places that are hidden from sight. And
the biggest disadvantage is that it does not allow the assessment of factors related to
bearing capacity.

N. Ngo-Kieu · T. D. Nguyen · L. Q. Tran · C. M. Le · L. Vuong-Cong · H. Nguyen-Quoc ·

T. Pham-Bao (B)
Laboratory of Applied Mechanics (LAM), Ho Chi Minh City University of Technology
(HCMUT), 268 Ly Thuong Kiet Street, District 10, Ho Chi Minh City, Vietnam
e-mail: baotoanbk@[Link]
Vietnam National University Ho Chi Minh City, Linh Trung Ward, Thu Duc City, Ho Chi Minh
City, Vietnam
T. D. Nguyen · L. Q. Tran
Ho Chi Minh City Department of Transportation, District 1, Ho Chi Minh City, Vietnam

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2023 287
R. V. Rao et al. (eds.), Recent Advances in Structural Health Monitoring
and Engineering Structures, Lecture Notes in Mechanical Engineering,
[Link]
288 N. Ngo-Kieu et al.

Fig. 1 Current bridge monitoring measures around the world

The inspection is organized with given loads of position and magnitude. Behav-
ioral parameters such as deflection and deformation are measured. Thus, the bearing
capacity of the bridge can be assessed. This measure allows to evaluate the bearing
capacity of the structure. The main disadvantage of this method is the high cost
of performance. The performance of inspection often requires stopping traffic, thus
affecting the activities of society. Therefore, the State Regulations require the inspec-
tion cycle of bridges from 3 to 5 years [1], but it is limited due to restricted budget.
Therefore, the inspection is only applied for priority bridges such as Saigon Bridge
when absolutely necessary. This situation makes the second task, the decision to
“cure” the bridge difficult.
In the last decade, an additional intermediate method was carried out, which is to
monitor the bridge’s fluctuations during actual operation and is called the structural
health monitoring (SHM). This measure in the world is currently only implemented
with cable-stayed bridges or key bridges. The actual vibration signal is mainly picked
up by the accelerometers. Thus, there are 3 measures in the world today (Fig. 1).
The inspection process mainly consists of static tests. Dynamic tests only use
free decay vibration caused by pulses. Theoretically, the properties obtained from
the dynamic state provide more information about the structural situation than the
static state. Vibration signals will give more parameters of the structure if the signals
contain many different load states. Therefore, the vibration data obtained by the SHM
form will be of better quality than the signal obtained only in the damped state. In
addition, the vibration signal under real traffic makes inspection less expensive than
other measures.
Due to the difficulties in monitoring the bridge system, and the advantages of the
measure using actual vibration data, laboratory of applied mechanics (LAM) began
to research the data collection and the characteristics of the bridge system in Ho
Chi Minh city. From 2006 to 2009, we carried out a research project to install a
continuous automatic strain measurement system on 100 measuring points at Saigon
Bridge. The strain measurement signals are collected to a center station at the bridge,
then transmitted via the Internet to the management units. The system has worked
well and continuously for 2 years of implementing the project. Figure 2 is the screen
to monitor the traffic image synchronization signal.
This is the first work of SHM system in the approach of big data. Following the
above research work, with the support and cooperation of the Ho Chi Minh City
Department of Transport, LAM has continued to conduct 2 pilot projects in 2011
and 2019 to generate big data on actual oscillate of nearly 40 bridges. The biggest
A Novel Proposal in Applying Big Data … 289

Fig. 2 Traffic image synchronization signal monitor screen

difference between our bridge health monitoring program and the world’ currently
operating is taking a long time and performing the monitoring for the majority of
the bridges instead of focus on each bridge as in the world. With the reality of
limited finance, our method will have to be completely different. Instead of a sensor
system fixed on the bridge and collected continuously 24/24, we organize the form
of portable sensors, which is a semi-manual method of data collection. The signal
is recorded at selected times. Table 1 show the characteristics of vibration signal
recorded between SHM and the study, for the comparison of the measuring method
between the fixed systems of SHM and the proposal of the LAM.

Table 1 Characteristics of signal recorded between SHM and the proposal of the LAM
Method Sensor Signal Number Number Number Number of Bridge
status record of of of measuring structure
time observed observed observed points per type
bridges spans pillar span
Current Fixed 24/24 1 2–3 2–3 All Cable
SHM install stayed and
system suspension
bridge
This Portable Finite >30 All All 3 All types
study install time to
choose
290 N. Ngo-Kieu et al.

Although less than one-tenth of the total bridges under management of the Ho
Chi Minh City Department of Transport is implemented, these are already the first
big data source to be developed for bridge at the present time. This data is used
for the artificial intelligence program (AI) which is being developed for transport
management in the Ho Chi Minh city.
In parallel with studying how to organize data collection covering the entire
bridge network, LAM also conducts research on fundamental problems in the field of
machine learning (ML), looking for specific features, and investigates their sensitivity
[2–5] apply deep learning such as wavelet [6] and CNN [7].

2 The Organization of Data Collection

The following is a presentation of the projects (Table 2) in phase 1 (2011–2012)

and phase 2 (2019–2020) that the research team implemented with the approval
and cooperation of the Ho Chi Minh City Department of Transport. Location of
measuring points on the bridge is shown in Fig. 3.
Direct collection system includes sensor and computer (Fig. 4). The signals
obtained from the sensor after measuring at each point in bridge (Fig. 5) will be
saved in the computer.

Table 2 Size of measurement organization

Phase Number of Locality Bridge Number of Measurement Structure
bridges (ward) structure measuring parameters
type batch
1 38 2, 9, Thu Simple 4 Acceleration Span, pillar,
Duc supported abutment
Districts beam,
continuous
box girder
2 34 2, 9, Thu Simple 4 Acceleration Span
Duc, Binh supported
Chanh beam,
Districts continuous
box girder
Phase Number of measuring Number of measuring Number of samples at 1 point in 1
points directions direction each measurement
Span Pillar Abutment Span Pillar Abutment
1 1 1 1 3 3 3 60,000 samples
2 3 1 1 3 3 3 200,000 samples
A Novel Proposal in Applying Big Data … 291

Fig. 3 Vibration measurement on bridges of the project

Fig. 4 Acceleration sensor (left) and data acquisition computer (right)

Fig. 5 Data collection (deck, pier, and abutment)

292 N. Ngo-Kieu et al.

Fig. 6 Two main tasks of AI

implementation content

3 Applying AI in Bridge System Management

3.1 Orientation and Tasks

With more than 500 bridges under direct management and many others indirectly
managed, the Ho Chi Minh City Department of Transport quickly brought up the
idea of using information technology and together with LAM of Ho Chi Minh City
University of Technology took initial steps in applying AI techniques to bridge system
management. A simply way, the content of artificial intelligence, includes two tasks
(Fig. 6).
To be able to create artificial intelligence in the management system, two tasks
must be performed:
• Creating data sources which are big, rich, and time-spanning. This data source
allows the AI system to recognize and learn from experience.
• Researching the identification techniques for the system to recognize, then make
a decision. These algorithms are called machine learning algorithms (ML). In the
recognition math part, the core task is to study to find the features. The problem
of finding the features is a very difficult one. This feature may be relevant in one
case, but completely impotent in another.

3.2 Results

3.2.1 Big Data Creation

From Table 1, the actual vibration data to date of bridges covers the following
characteristics:
• Bridge structure
• Operating time
• Element types
• Positions on span
• Direction of oscillation
A Novel Proposal in Applying Big Data … 293

Fig. 7 Non-stationary signals with red representation

• Signal recording history (already 8 times in 10 year period)

• The number of samples at 1 measuring point is up to 200,000 samples with 100
signals.
The data must be checked for stationarity and roughly processed by filters for noise
cancelation, clarified before becoming input to the following processes (Fig. 7). The
above rich features meet the quality for the performance of task 2 (Fig. 6), that is,
performing the study of machine learning algorithms (ML).

3.2.2 Researching on Recognition Techniques (ML)

The study of recognition techniques can be divided into two problems: foundation
of matching features and identification algorithms.
In the above two types of problems, the research problem of finding suitable
identification features is the (basic) premise problem. If the features do not match,
then the second problem (i.e., the identification algorithm) will not be able to give
the correct result, and in many cases, it will not give the result. Until now, the most
commonly used features are the natural frequency, the mode shape.
Our actual data studies show that these characteristics do not reflect the deteri-
oration of the bridge structure. We have tried to study other characteristics such as
spectral moment [8], correlation [5, 9], energy dissipation [2, 4], wavelets [6, 10, 11],
… For the second problem, besides the traditional methods, we have studied using
ANN neural networks [10–12] and recently using deep learning neural networks
(DNNs) [7].
294 N. Ngo-Kieu et al.

Table 3 Structural damage limits and inspection limits

Region Structural damage limits [13] Inspection limits
I No damage No inspection
II Possible small damage (plaster cracks) and No inspection or inspection on specified
no effect to load-bearing structural parts period
III Probable damage to load-bearing structural Inspection on right time
parts
IV Damage to load-bearing parts Early inspection
IV+ Destruction Instant inspection

3.2.3 Practical Application

One of the constraints of implementing our bridge measurement projects is to come

up with a method of preliminary assessment of the bridge. As shown in Fig. 1, the
actual vibration measure often has the goal of assisting in the implementation of
the inspection procedure. The conclusions on assessing the condition and bearing
capacity of the bridge structure by inspection have high reliability and are recognized
by compliance with the State Regulations. However, the inspection methods due to
more expense and difficulty not suitable for tight budgets of developing country. The
solution is not to apply the measure to all bridges and to follow a specified period
(from 3 to 5 years) in the standard. The proposed solution is a test measure with
conditional execution based on many factors. The most important factor is that the
healthy condition of bridge.
In order to advise for the Ho Chi Minh City Department of Transport on inspecting
bridge, we have proposed to classify a inspection limits of bridge (Table 3) based on
structural damage limits [13].
The measurement results and calculation of the vibration parameters: natural
frequency, damping coefficient, impact factor.
The disadvantage of the damage limits is that the concepts are not quantified. This
makes direct use difficult because it depends on the classification view of experts,
difficult to apply to the AI process. To quantify the inspection limits in Table 3, based
on vibration parameters (features), we have proposed the following:
• Using Features

In order for the regulator to be able to apply the classification process (Table 4), we
have to comply with the following 3 things:
• Using the features specified in the State Regulation [1], specifically for oscil-
lations: first natural frequency (f z and f x are vertical and horizontal frequency,
respectively), impact factor (IF), damping ratio (ξ ).
• The limit value of each feature is subject to the State Regulations.
• The inspection limits of bridge are raised depending on the number of different
features reaching the limit value.
A Novel Proposal in Applying Big Data … 295

Table 4 Proposed method to

Level Prestressed concrete Reinforced
classify bridge span
concrete—steel beam
I f z > 6 Hz f z > 15 Hz
II 4 < f z ≤ 6 Hz 10 < f z ≤ 15 Hz
III 3 < f z ≤ 4 Hz 8 < f z ≤ 10 Hz
IV 2.5 < f z ≤ 3 Hz 7.5 < f z ≤ 8 Hz
IV + f z ≤ 2,5 Hz f z ≤ 7,5 Hz
Increase 1 level f x = nf z (n: positive integer)
IF > 1.25
ξ > 0.01

• Classification results of project are shown in Table 5.

4 Conclusions

This article presents the research on damage and condition identification of bridge
structures over the 10 years from 2010 to 2021 by the laboratory of applied mechanics.
The results of study create the premise to allow the application of AI and big data
in management for bridge system in the Ho Chi Minh City. Specifically, the studies
have yielded the following positive results:
• Introduced portable signal collection process, no need to build fixed sensor
systems. From here, it is possible to perform regular healthy monitoring for the
bridge system of the city.
• Introduced new monitoring method as a supplement to bridge monitoring process.
The result of applying the above two things is
• Changed the bridge inspection and maintenance from periodic mode to condi-
tional mode. The benefits of the conditional mode are to repair and maintain the
right objects, in a timely manner, effectively improve the safety of the bridge
system, and allocate financial resources reasonably, to the right objects and save
the national budget.
• To proposal to the classification of bridge spans based on structural damage limits
with an improved contribution by quantifying the concepts of inspection limits.
With the introduction of this quantification, the classification work can be auto-
mated and introduced into the program using AI in the management of the bridge
system.
• To initially build a storage of actual vibration data, as big data for positively
performing AI in management of the bridge system.
296 N. Ngo-Kieu et al.

Table 5 Number of classified span in project of phase 2

STT Bridge Number of measured spans Inspection limits
I II III IV IV+
01 Ca Tre 1 3 3
02 Giong Ong To 1 5 5
03 Giong Ong To 2 16 8 6 2
04 Giong Ong To 3 13 5 5 2 1
05 My Thuy 2 5 3 2
06 Ong Hoa 1 1
07 Sai Gon 1 32 31 1
08 Sai Gon 2 21 27 4
09 Ben Noc 3 3
10 Chum Chup 2 2
11 Go Cong 3 2 1
12 Ong Tan 1 1
13 Trao Trao 3 2 1
14 Huyen Thanh 1 1
15 Kinh 2 2
16 Rach Ham 1 1
17 Bui Dinh Tuy 2 2
18 Son 1 1
19 Dinh Bo Linh 2 2
20 Phu An 2 2
21 Van Khanh 1 2 2
22 Van Khanh 2 2 2
23 Nguyen Huu Canh Overpass 14 10 3 1
24 Bay Nhao 2 2
25 Binh Phu 3 2 1
26 Vinh Binh 17 12 5
27 Linh Xuan Overpass 6 4 1 1
28 Binh Phuoc 1 Overpass 6 5 1
29 Binh Phuoc 2 Overpass 6 3 3
30 Song Than 1 Overpass 6 1 4 1
31 Song Than 2 Overpass 6 1 3 1 1
32 Thu Duc 1 Overpass 8 5 2 1
33 Thu Duc 2 Overpass 8 5 2 1
34 Ba Cua 7 7
Project 212 24 103 73 10 2
A Novel Proposal in Applying Big Data … 297

• To novel research on machine learning platforms (feature selection, algorithm

selection) for monitoring the health status of bridge structures.

Acknowledgements We acknowledge the support of time and facilities from Ho Chi Minh City
University of Technology (HCMUT), VNU-HCM for this study. We would also like to thank the
Ho Chi Minh City Department of Transport for allowing to survey vibration of the bridges.

References

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model for bridge condition assessment. In: Structural health monitoring and engineering
structures. Lecture notes in civil engineering, vol 148. Springer, Singapore, pp. 331–341
3. Nguyen TQ, Nguyen TD, Tran LQ, Ngo NK (2020) A new insight to vibration characteristics
of spans under random moving load: case study of 38 bridges in Ho Chi Minh City, Vietnam.
Shock Vibr 1547568
4. Nguyen TD, Nguyen TQ, Nguyen TN, Nguyen-Xuan H, Ngo NK (2020) A novel approach
based on viscoelastic parameters for bridge health monitoring: a case study of Saigon bridge
in Ho Chi Minh City–Vietnam. Mech Syst Sig Process 141:106728
5. Ngo NK, Nguyen TQ, Vu TV, Nguyen-Xuan H (2020) An fast Fourier transform–based
correlation coefficient approach for structural damage diagnosis. Struct Health Monit
1475921720949561
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based on wavelet analysis and deep learning for identification of multiple-cracked beam
structures under moving load. Measurement 162:107862
7. Ngo-Kieu N, Nguyen-Da T, Pham-Bao T, Nguyen-Nhat T, Nguyen-Xuan H (2021) Deep
learning-based signal processing for evaluating energy dispersal in bridge structures. J Zhejiang
Univ-Sci A 22(8):672–680
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Shock Vibr 4985134
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for evaluation of stiffness degradation of beams under moving load. CMC-Comput Mater
Continua 61(1):27–53
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11. Nguyen SD, Ngo KN, Tran QT, Choi SB (2013) A new method for beam-damage-diagnosis
using adaptive fuzzy neural structure and wavelet analysis. Mech Syst Sig Process 39(1–2):181–
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Enhanced Vibration Serviceability
of Multi-bay Floors Using Tuned Mass
Dampers

Huu Anh Tuan Nguyen, Emad F. Gad, John L. Wilson, and Nicholas Haritos

1 Introduction

Long-span composite floors comprised of hot-rolled steel beams and concrete slab
on metal decking have several advantages over traditional reinforced concrete floors
in terms of erection speed, strength-to-weight ratio, and construction cost. The low
stiffness and damping of composite floors may, however, increase their vulnerability
to vibrations caused by various human activities including walking excitation. It
has been found that the fundamental frequency of most composite floors can be
in resonance with a multiple of the pace frequency and the natural frequencies of
human body organs [1–3]. Limiting the level of vibration to the specific acceptance
criteria is hence crucial for ensuring the comfort of occupants or the functionality of
floor-mounted equipment. Several design guides for human-induced floor vibrations
have been introduced, which discuss the characterization of the excitation force,
the methodology to estimate the floor response and the maximum vibration limits.
Contemporary guidelines on floor vibrations normally specify acceptable vibration
levels for human comfort in terms of acceleration or velocity. The vibration criteria
are based on either peak, root-mean-square (RMS), or root-mean-quad (vibration
dose) values. Furthermore, these limits vary with the individual, the person’s activity
and orientation, the surrounding environment and the characteristics of the excitation
source [1, 3, 4]. Since human comfort is a complex phenomenon, a level of vibration
may be tolerable for certain persons but unacceptable for others. The relationship
and degree of consistency among vibration quantifiers have also been investigated
[2, 5, 6].

H. A. T. Nguyen (B)
University of Architecture Ho Chi Minh City, HCMC, Ho Chi Minh City, Vietnam
e-mail: [Link]@[Link]
E. F. Gad · J. L. Wilson · N. Haritos
Swinburne University of Technology, Melbourne, Australia

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2023 299
R. V. Rao et al. (eds.), Recent Advances in Structural Health Monitoring
and Engineering Structures, Lecture Notes in Mechanical Engineering,
[Link]
300 H. A. T. Nguyen et al.

There are several known remedial measures for mitigating structural vibrations
including stiffening methods, utilization of non-structural elements and relocation.
The structural stiffness can be increased by adding posts with or without damping
elements, increasing slab thickness or beam depth, providing a queen post hanger
to the bottom flange of a beam. Floor vibrations can be improved by increasing
the damping of the floor system with non-structural elements such as furnishings
and interstory full-height partitions. Relocation of the vibration source or sensitive
occupants can sometimes be useful [1, 7, 8]. In spite of being able to treat new
floors in the design stage, the above-mentioned methods might be unfavorable when
applied to existing floors. For example, adding columns or full-height partitions
would reverse the original architectural idea of an open-plan office layout. Stiffening
structural members would be intrusive when requiring the members to be jacked up
prior to adding the new materials.
Another vibration rectification measure is using tuned mass damper (TMDs). A
conventional TMD is comprised of a mass attached to the primary structure through
a spring and damping device. TMDs have been proved to be effective in control-
ling horizontal motion of tall buildings under wind gust loadings and earthquake
excitations [9]. Formulas for optimum TMD parameters have been introduced in the
relevant literature, aiming at minimizing the displacement or acceleration response
of the primary structure [10–12]. Several types of TMD have also been explored for
human-induced floor vibration applications with some degree of success. A TMD
in the form of a concrete filled steel box and steel plates suspended by springs and
viscous dampers was used to alleviate the vibration of a cantilevered ballroom floor
[13]. A pendulum TMD successfully controlled excessive vibrations of a laboratory
test floor [14]. An active damper system has been explored to reduce high levels of
vibrations caused by crowds of people jumping during concert events [15]. A large
multiple TMD system with each TMD weighing up to two tons was installed on a
gymnasium floor in order to lessen the vibrations caused by crowd-induced rhythmic
vibrations [16].
A conventional TMD with a mechanical spring and dashpot is, however, not
practically suitable for office floors where the vibration level that can cause human
discomfort is too small. A new TMD in the form of a cantilever sandwich beam,
which is more sensitive to low levels of vibrations, has been developed specifically
for office floor applications. The new damper system was installed on a single bay of
an actual office floor and performed well in a series of onsite tests [17]. In this paper,
the sandwich beam TMD concept is extended to control multiple bays of a long-
span office floor of steel–concrete composite construction. In addition, the effect of
several tuning options for the TMD system on the response level and acceptability
of the case study floor is numerically investigated.
Enhanced Vibration Serviceability of Multi-bay Floors … 301

2 Materials and Methods

2.1 Finite Element Model of Case Study Floor

Floor Description. Figure 1 illustrates the framing layout of a floor in an existing

office building. The floor structure is comprised of concrete-metal decking slab span-
ning 2.7 m between secondary steel beams with span of up to 16.2 m. The secondary
beams are in turn supported by steel girders spanning between the columns which are
intermittently braced around the perimeter of the building. The floor zone of interest
consists of six bays located within gridlines 1-7-B-C, where vibration levels due to
normal walking need to be minimized in order to ensure comfort of the floor occu-
pants in a premium office environment. These bays, denoted as (1)–(6) in Fig. 1, are
those considered to be critical. Each of the investigated bays has a middle corridor
virtually constituting a walking path along the bay span and crossing the bay center.
A finite element (FE) model of the floor as shown in Fig. 2 was built using
SAP2000 software [18]. The model considered the stiffness differences in the two
directions of the orthotropic composite slab, the steel beam offsets, and the reduced
weight of the slab with ribs compared with a solid slab, etc. The columns attached
to the floor were assumed to be fixed one story below and above the floor under
consideration. The gravity load constituting the mass used in the modal analysis was
taken as the dead load plus a representative live load of 0.4 kPa as recommended by
design guides for office floors. Also, a damping ratio of 2% can be assumed for an
open-plan electronic office [1, 3].

Fig. 1 Framing plan of case study floor

302 H. A. T. Nguyen et al.

Fig. 2 FE model of floor system

Table 1 Dynamic load

i αi φi
factors and phase angles [3]
1 0.436(if p − 0.95) 0
2 0.006(if p + 12.3) −π /2
3 0.007(if p + 5.2) π
4 0.007(if p + 2.0) π /2

Modeling of Walking Excitation. Contemporary guidelines [1, 3, 4] suggest using

a Fourier series to represent the vertical dynamic force produced by successive steps
of a person walking:
[ ]
{
4
( )
F(t) = Q 1 + αi sin 2πi f p t + φi (1)
i=1

where Q is the static weight of the pedestrian, f p is the step frequency, α i and φ i are
the dynamic load factor and phase angle of the ith harmonic component, respectively.
In this paper, a standard pedestrian weight of 760 N and the α i and φ i values given
in Table 1 were used as recommended by the SCI P354 design guide [3].
Since the forcing function (1) is for a stationary walk, i.e., walking on the same
spot, enhancement was needed to take into account the translation of the excitation
force from one end of the floor span to the other end during a walking event. This was
done by incorporating a half-sine function, which was a simplified representation of
the fundamental modal displacements along the span, into the stationary force. The
half-sine function was in the form of u(x) = sin(π x/L) where u(x) was the unity
normalized amplitude at position x from one end of the span and L was the span
length. Let vp be the walking speed then x can be replaced by vp t and u became a
function of time. The modified walking force can therefore be written as:

{
4
( ) ( )
F(t) = Q αi sin 2πi f p t + φi sin π v p t/L (2)
i=1
Enhanced Vibration Serviceability of Multi-bay Floors … 303

in which vp can be computed from f p using the following relationship [3]:

v p = 1.67 f p2 − 4.83 f p + 4.5 (3)

It should be noted that the static component was already subtracted from (2) so
that only the dynamic variation of the force was used in the time history analysis.
The forcing function (2), which represents a walking event, can be applied to the
center point of the floor bay as a time-varying concentrated force.

2.2 Modeling of Tuned Mass Dampers

The cantilever sandwich beam TMD concept developed by the authors in a previous
project [17] was extended and tried on this case study floor. Figure 3a shows a
schematic diagram of a four-arm TMD of which each arm is a sandwich beam having
a rubber core constrained between two steel plates and a concentrated mass at the
tip. The TMD can be installed within the limited space of about 150 mm of the raised
floor without causing any architectural or structural intrusions. For structural analysis
convenience, the TMD can be simplified as a single-degree-of-freedom system with
a mass md , frequency f d and damping ratio ζ d , see Fig. 3b. The material properties
and dimensions of the damper’s components can be selected so that the expected
values of md , f d and ζ d can be obtained [17]. However, a detailed discussion on
the construction of the damper is outside the scope of this paper which focusses on
numerical investigation of damper’s tuning strategies for the multi-bay floor.
For the case study floor, it was proposed that a multi tuned mass damper system
be installed within the raised floor space on six bays on the basis of retaining an
open-plan office environment. Three four-arm dampers with twelve sandwich beams
were provided for each bay of the investigated floor zone (Fig. 4). The damper with
parameters md , f d , and ζ d was modeled in SAP2000 as a linear damper element. The
assignment of damper parameters for various tuning options is presented in Sect. 3.2.

Fig. 3 A typical TMD (two transverse arms not shown for clarity)
304 H. A. T. Nguyen et al.

Fig. 4 Distribution of dampers on floor plan

3 Results and Discussions

3.1 Floor Modal Properties

An observation of various mode shapes obtained from the FE modal analysis could
assist in recognizing the vibration mode that would be most critical to the bay of
interest. For the floor without dampers, Fig. 5 shows the modal displacement contours
of some natural modes with maximum modal displacements located around the
central area of the investigated bays. The dominant frequencies can be identified as
5.12 Hz (mode 2) for the first bay, 6.09 Hz (mode 8) for the second bay, 5.56 Hz (mode
5) for the third bay, 5.17 and 5.32 Hz (modes 3 and 4) for the fourth bay, 5.17 Hz
(mode 3) for the fifth bay and 5.85 Hz (mode 7) for the sixth bay. Since these critical
natural frequencies were less than 9 Hz, the case study floor can be classified as a low-
frequency floor which might experience a resonant build-up response due to walking
excitation [1, 3]. In the context of footfall-induced vibrations, the term “resonant”
refers to when a harmonic or an integer multiple of the step frequency matches the
floor natural frequency.

3.2 Damper Configurations

From an observation of the floor natural frequencies and mode shapes, three options
of configuring the damper system as presented in Table 2 were proposed. The first
option involved tuning the dampers on the six bays to four frequencies ranging from
5.17 to 6.09 Hz which closely matched the dominant frequencies of the bays. For
the second tuning option, dampers of 5.17 and 6.09 Hz frequency were utilized. The
Enhanced Vibration Serviceability of Multi-bay Floors … 305

Fig. 5 Natural mode shapes and frequencies

Table 2 Frequency of TMDs

TMDs option f d (Hz) of dampers installed on
Bay 1 Bay 2 Bay 3 Bay 4 Bay 5 Bay 6
1 5.17 6.09 5.56 5.17 5.17 5.85
2 5.17 6.09 6.09 5.17 5.17 6.09
3 5.56 5.56 5.56 5.56 5.56 5.56

third tuning option, which was the simplest one, related to the use of only 5.56 Hz
dampers in all six bays.
For simplicity in damper construction, the TMD’s frequency can be adjusted
by changing the amount of mass at the tip of the sandwich beams whereas other
dimensions of the damper were unchanged in different tuning options. The equivalent
mass md of each four-arm damper was estimated at 128 kg, 110 kg, 100 kg, and 92 kg
associated with the damper frequency f d of 5.17 Hz, 5.56 Hz, 5.85 Hz, and 6.09 Hz,
respectively. The equivalent viscous damping ratio ζ d of the TMD was taken as
4.5%, which was based on the authors’ experience in testing off-the-shelf rubber for
dampers in previous projects [17]. It should be noted that this damping level was
lower than the otherwise suggested optimum values [10–12] due to restrictions in
the inherent damping of the rubber used. The whole damper system weighs about
2060 kg for the first option, and 1980 kg for either the second or the third option. The
total weight of the TMD system is equivalent to an additional uniformly distributed
load of about 0.026 kN/m2 that the investigated floor zone has to bear. This additional
load is minimal considering safety factors have been used in strength design of the
floor.
306 H. A. T. Nguyen et al.

3.3 Response to Walking

For the floor model either with or without dampers, time history analysis was
performed for a large number of load cases in which the step frequency f p varied
from 1.50 to 2.20 in 0.05 Hz increments. The investigated range of step frequencies
covered the pacing rates commonly found in practice [1, 3]. The response at the
center of the floor bay, i.e., the midpoint of the walking path, was collected for each
analysis case. For instance, Fig. 6a shows the acceleration time history of the center
of the first bay without dampers due to walking at 1.70 Hz pacing rate whose third
harmonic closely matched the critical natural frequency of the bay. Figure 6b illus-
trates the response history of the same bay subjected to a 1.65 Hz walking activity
after the floor model was added with the single-frequency dampers (TMDs option
3).
Also, plotted in Fig. 6 is the rolling RMS acceleration trace in which each aRMS
point was calculated from a set of acceleration values a(t) as:
/
( T
1
aRMS = a(t)2 dt (4)
T 0

in which the integration time T was taken as 1 s for response due to walking. The
peak of the rolling RMS is referred to as the maximum transient vibration value
(MTVV) which can be checked against the acceptance criteria recommended by the
guidelines [3, 19]. For example, the MTVV found from Fig. 6 was 0.026 m/s2 for
the floor without dampers and 0.016 m/s2 for the floor with dampers. It should be
noted that the 1.70 Hz and 1.65 Hz pacing rates were found to be most critical to the
bay without and with dampers, respectively (Fig. 7).
For each of the six investigated bays, a response spectrum associated with each
TMD scenarios was constructed as presented in Figs. 7, 8 and 9. Each data point in
the spectrum was derived from an appropriate time history analysis, similar to the
one displayed in Fig. 6. The response spectrum shows the variation of the MTVV
against the step frequency f p . It can be seen that the response spectrum of the original

Fig. 6 Bay 1 acceleration time history: a without TMDs and b with TMDs option 3
Enhanced Vibration Serviceability of Multi-bay Floors … 307

Fig. 7 Bays 1–2 response spectra

Fig. 8 Bays 3–4 response spectra

Fig. 9 Bays 5–6 response spectra

floor in the vicinity of resonance with high peak was flattened and lowered by the
TMDs.

3.4 Evaluation of Floor Acceptability and Damper

Effectiveness

The most critical step frequency which produced the maximum MTVV can be
different across the floor without dampers and the floor with dampers as shown
in Figs. 7, 8 and 9 and Table 3. This is because the natural frequencies of the floor
changed after the floor was installed with dampers. Figure 10 presents a comparison
of the maximum MTVV of the floor without dampers and that with dampers in three
tuning scenarios. The maximum MTVV can be compared with tolerable thresholds
308 H. A. T. Nguyen et al.

Table 3 Most critical step frequency f p (Hz)

Scenario Bay 1 Bay 2 Bay 3 Bay 4 Bay 5 Bay 6
Without TMDs 1.70 2.05 1.85 1.75 1.70 1.95
TMDs option 1 2.05 2.10 2.10 2.05 2.20 2.05
TMDs option 2 2.05 2.10 1.80 2.05 1.95 1.80
TMDs option 3 1.65 2.05 2.10 1.65 1.65 2.05

Fig. 10 Maximum response

to check the floor acceptability for human comfort. The limit of 0.02 m/s2 is normally
recommended for low probability of adverse comment in an office environment [4,
19].
Without dampers, the maximum MTVV found on the investigated floor zone was
in the range 0.021–0.026 m/s2 , and all the six bays were deemed unsatisfactory for
human comfort. The response level of the first bay, which was the most lively bay,
can be decreased by 58% using either the four-frequency or two-frequency damper
systems (TMDs options 1 and 2). The investigated floor zone equipped with one of
these two damper systems was found to be in the range 0.011–0.016 m/s2 . For the
floor with the single-frequency dampers (TMDs option 3), the maximum MTVV
varied from 0.015 to 0.018 m/s2 and a response reduction of up to 42% can be
obtained. In other words, all the three damper options could enable the vibration
levels of the floor bays to satisfy the acceptance criterion specified for a premium
office.

4 Conclusion

A multi damper system has been proposed to control the walking-induced vibrations
in multi bays of a long-span floor. Being compact and adding minimal weight to
the existing structure, the dampers can be distributed within the raised floor space
in the least intrusive manner. The effectiveness of three configurations of TMD
tuning was examined. A reduction of up to 58% in acceleration response can be
Enhanced Vibration Serviceability of Multi-bay Floors … 309

obtained when the dampers were tuned to four frequencies covering the range of
the critical natural frequencies of the bays under consideration. Approximately the
same response mitigation can be achieved when the dampers were tuned to two
frequencies which were the lower and upper bound of the natural frequency range of
the bays. In the third tuning scenario, all dampers were tuned to a single frequency
which was approximately the average of the critical natural frequencies of the six
bays involved. The single-frequency damper system, which had the same weight
as the two-frequency system and was 4% lighter than the four-frequency system,
resulted in a lower reduction in response compared with the two other systems. The
two-frequency damper system can therefore be considered most effective among the
three options investigated. However, the single-frequency configuration was still be
able to decrease the response of all six bays to the limit for comfort of occupancy,
hence successfully enhancing the vibration serviceability of the case study floor.

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Investigation of the Collapse of the Steel
Space Truss Roof Induced by Wind
Action

Tran-Hieu Nguyen , Quoc-Cuong Nguyen, Nhu-Hoang Nguyen,

Van-Cuong Nguyen, and Anh-Tuan Vu

1 Introduction

In recent years, Vietnam has been seriously affected by natural disasters. In 2020,
Typhoon Molave (known in Vietnam as Typhoon No. 9) swept through the central
provinces of Vietnam, destroying more than 56,000 houses, collapsing several large-
scale constructions, causing heavy damage to people and properties. On October 28,
2020, a part of the roof of coal storage collapsed due to the impact of the typhoon. The
incident caused the loss of the life of workers and halted the production operation of
the plant. In the context of climate change as well as unpredictable natural disasters,
it is important to find out the causes of the collapse in order to propose measures to
strengthen existing constructions as well as avoid repeating the above incident.
The literature review indicates that many studies on the collapse of constructions,
especially large-span steel roof structures, have been conducted. For example, in
2010, Brencinh [1] investigated the causes of the collapse of an industrial steel
shed. The study showed that a series of human mistakes as well as a lack of control
procedures are the reasons for this incident. In 2013, Augenti and Parisi [2] carried
out a buckling analysis of large-span planar trusses that are failed down during the
erection phase. In this study, a three-dimensional numerical model that takes into
account factors such as the geometry and material nonlinearities, the effect of purlins
and temporary bracing was developed to evaluate the safety state of the structure.
The results indicated that the temporary bracing does not ensure the overall stability
of the structure under wind action.

T.-H. Nguyen (B) · Q.-C. Nguyen · N.-H. Nguyen · A.-T. Vu

Hanoi University of Civil Engineering, Hanoi, Vietnam
e-mail: hieunt2@[Link]
V.-C. Nguyen
CCU Ltd., Hanoi, Vietnam

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2023 311
R. V. Rao et al. (eds.), Recent Advances in Structural Health Monitoring
and Engineering Structures, Lecture Notes in Mechanical Engineering,
[Link]
312 T.-H. et al.

Another study was implemented by Piroglu et al. in 2016 [3] to find out the cause
of the partial collapse of a double-layer grid structure after exceptional snowfalls. In
the same year, Fu and Parke [4] developed three-dimensional finite element models
according to different collapse scenarios. Based on the obtained observations, some
methods to reduce the risk of progressive collapse for this kind of structure were
advised. Next, the influence of the structural behavior of MERO joints on the collapse
of a long-span steel trusses roof in North Italy was carried out by Pieraccini et al.
in 2017 [5]. Then, the buckling of tube bars of a space roof truss was investigated
by Vatansever [6]. Moreover, seven failures that occurred from 2004 to 2017 were
reviewed in [7], and the main causes of these failures were summarized.
In 2020, Tufekci et al. [8] conducted a numerical investigation of the failure of
a steel roof truss in Turkey. In this study, the commercial finite element analysis
software ABAQUS was used to simulate the behavior of the structure under severe
weather conditions like strong wind or heavy rain with the aim of finding the main
cause of the collapse. Recently, a study on the robustness of a double-layer space
structure was carried out by Piana et al. [9]. By alternately removing the most stressed
bars in the structure and monitoring the changes of the stress in the remaining bars,
the behavior of the structure when occurring local damages is clarified.
A number of the collapse of large-span steel roof structures that have recently
occurred in Vietnam can be listed as the failure of the roof of the 250-seat hall in
2019, the partial collapse of the steel space truss of coal storage in 2020, the buckling
collapse of the steel rafters of an industrial building in the construction phase in 2021,
etc. However, the understanding of the causes of these incidents is still very limited.
This study aims to find out the main reason for the collapse of the steel space
truss under the heavy wind of Typhoon Molave in 2020. For this purpose, the study
consists of two phases. Firstly, a site investigation is carried out, and observations are
reported. In the second, a numerical model is developed to simulate the behavior of
the structure under wind action. The results obtained from the numerical modeling are
compared with the findings collected from the site investigation. Finally, a probable
reason for the collapse is presented.
The rest of the article is organized as follows. Section 2 describes the details of
the collapse. The findings collected from the site investigation are also reported in
this section. Section 3 introduces the procedure to develop the numerical model.
Next, obtained results and discussions are presented in Sect. 4. In the end, Sect. 5
concludes the article.

2 Description of the Collapse of the Roof Structure

2.1 Overview of the Roof Structure

The coal storage where the failure happen is located in a heavy industrial plant in
central Vietnam. The coal storage consists of an outdoor yard and four vaulted sheds
Investigation of the Collapse of the Steel Space Truss … 313

arranged in parallel. The collapse has occurred at the largest vaulted shed with a span
of 87 m and a height of 43 m. This vault is separated into five blocks in which two
blocks at the ends (Block 1 and Block 5) have a length of 152 m, and three middle
blocks (from Block 2 to Block 4) have a length of 144 m. Expansion joints with a
length of 500 mm are arranged between two adjacent blocks.
The roof structure is a MERO-type double-layer grid with a depth of 2.8 m. The
space truss consists of tubular members connected together through MERO joints.
Each joint is a steel spherical ball linked to members via bolts. This kind of joint
is widely used in double-layer grids due to its zero eccentricity as well as its ease
of erection. Nine tubular sections used in this structure include D76 × 4; D88.9 ×
4.5; D114.3 × 5; D139.7 × 6; D168.3 × 6.3; D193.7 × 8; D219 × 8; D219 ×
12; and D244.5 × 20. Seven types of MERO nodes have diameters of 110, 140,
160, 180, 200, 220, and 240 mm, respectively. The bolt diameter varies from 16 to
56 mm. Members, balls, and sleeves are made from steel with the yield strength f y
= 345 MPa, except for cones made from steel with the yield strength f y = 245 MPa.
All bolts are grade 10.9 having the tensile strength f ub = 1000 MPa and the yield
strength f yb = 900 MPa.
This structure is designed according to Vietnamese standards. In more detail, the
load actions are determined based on the standard TCVN 2737:1995 [10] as follows:
dead load DL = 16.5 daN/m2 including the weights of profiled sheeting, purlins,
sag rods, and cleats; live load for maintenance LL = 30 daN/m2 ; dust load DST =
50 daN/m2 ; mean wind pressure W 0 = 125 daN/m2 (mean wind speed in 3 s, return
period 20 years V 0 = 45.2 m/s); and territory category B; two actions caused by
temperature changes T 1 = +30 °C and T 2 = −25 °C; the reference peak ground
acceleration agR = 0.0519 g. The aerodynamic coefficients of the roof are calculated
based on Diagram Number 4 of Table 6 in Ref. [10]. According to the meteorological
report, the maximum value of the wind speed at the time of the incident reached
41 m/s, which is lower than the design value.
This structure is analyzed using the commercial software SAP2000 considering
the perfect elastic behavior of the material and then checked the strength and displace-
ment conditions according to TCVN 5575:2012 [11]. The diameters of MERO balls
are determined using Eq. 5.3.3-1 and Eq. 5.3.3–2 of the standard JGJ 7-2010 [12].
Several critical joints are re-checked the stress condition using the finite element
analysis software SIEMENS NX8.5.

2.2 The Collapse of the Roof Structure

At 11:30 (local time) on October 28, 2020, a part of the roof structure was collapsed
due to the impact of Typhoon Molave. This typhoon has been recognized as the
strongest typhoon in Vietnam in the last 20 years. The collapse partially occurred in
Block 2, 3, and 4 as presented in Fig. 1. Two remaining blocks in the ends had local
damages in some locations but still maintained overall stability. Three adjacent sheds
were still safe after the typhoon. As can be observed in Fig. 1, the double-layer grids
314 T.-H. et al.

Fig. 1 View of the partial collapse

of Block 2, 3, and 4 were broken into two parts, in which the part on the windward
side (Zone 2 and Zone 3) was failed down due to the impacts of the self-weight and
the positive pressure of the wind, while the part on the leeward side (Zone 4 and Zone
5) was uplifted due to the suction pressure of the wind. Zone 1 did not fall down but
it lost its bearing capacity.
A site survey was carried out some days after the collapse. At the time of the survey,
the collapsed part was disassembled. Some photos taken during the site survey are
presented in Fig. 2. It is clearly seen that in Block 1 and Block 5, the profiled sheet
cladding is torn, and some tubular truss members were buckled (Fig. 2a); some
connecting bolts were broken (Fig. 2b).

3 Numerical Modeling

In this section, a nonlinear finite element (FE) analysis is performed to assess the
safety level of the double-layer grid structure. Only the collapsed part (Block 2,
similar to Block 3 and Block 4) is simulated in the model. Two blocks at the ends of
the construction are not considered in this study. The three-dimensional FE model
containing 8122 members is developed using the software SAP2000 as shown in
Fig. 3.
Investigation of the Collapse of the Steel Space Truss … 315

Fig. 2 Observations during the site survey

Fig. 3 Finite element model of the collapsed structure

The material properties of members are as follows: the modulus of elasticity E

= 200,000 N/mm2 ; the yield strength f y = 345 N/mm2 , the ultimate strength f u =
510 N/mm2 , Poisson’s ratio ν = 0.3, and the density ρ = 7850 kg/m3 . Tubular truss
members are modeled as pinned frames which ensure that only axial forces exist
inside the members. MERO balls are replaced by joint forces applied at nodes. The
structure is pinned at base joints. The model is developed with the aim of investi-
gating the collapse due to the wind action, therefore only the dead load (DL) and the
316 T.-H. et al.

Fig. 4 Definition of hinge

transversal wind load (WX+) are introduced in the model, and other loads are not
considered in this study.
Connecting bolts at the ends of truss members are presented in the model using
the feature Hinge provided in the software SAP2000. Specifically, eight Hinge types
are defined in the model corresponding to eight bolt diameters used in the structure.
Figure 4 displays steps for defining hinge M16 for bolts with a diameter of 16 mm.
All hinges are set to force controlled (brittle) type with axial P. The maximum
allowed force for each hinge type is specified as the design tensile strength of
the corresponding bolt which is determined according to TCVN 5575:2012 [11]
as follows:

[N ]tb = f tb Abn (1)

in which: [N]tb is the design tensile strength of an individual bolt; f tb is the design
tensile strength of the bolt material (f tb = 500 N/mm2 for bolt Grade 10.9); Abn is
the net cross-sectional area of one bolt.
The option “hinge loses all load carrying capacity when maximum force is reach”
is chosen to mimic the bolt fracture when the axial force exceeds the maximum
allowable force. All members are then assigned the corresponding hinge at their two
ends.
The initial geometrical imperfection of the structure is introduced in the model
using the feature “modify undeformed geometry” as shown in Fig. 5. The shape of
the initial geometrical imperfection is based on the eigenvector that is found from
the modal analysis, while the magnitude of the imperfection equals the allowable
displacement of the structure (L/250 = 348 mm).
Parameters of the nonlinear analysis are set as presented in Fig. 6. The geometric
nonlinearity is taken into account by choosing the option “P-delta plus large displace-
ments”. In fact, the structure is subjected the wind action when it is subjecting its
self-weight. To simulate sequential actions, the feature “continue from state at end of
nonlinear case” is applied in which the analysis of the load case WX+ will be started
from the initial stress state of the load case DL. The value of the load case WX+ is
Investigation of the Collapse of the Steel Space Truss … 317

Fig. 5 Introduction of the initial geometrical imperfection

Fig. 6 Parameters of nonlinear analysis

separated into 100 steps in the nonlinear analysis in which the results of every step
are recorded for monitoring.

4 Results and Discussion

The nonlinear analysis is conducted using the personal computer having CPU Intel
Core i5-5257 2.7 GHz and 8 Gb RAM. The result obtained from the nonlinear
analysis is displayed in Fig. 7. Hinges have appeared in some D76 × 4 members
near the top of the shed. Additionally, Fig. 8 plots the increase of the axial force of
Member 8801 per each step. At Step 70, the axial force equals 78.4 kN (very close
to the maximum allowable force of the M16 Hinge) but at Step 71, the axial force
decreases to 76.7 kN, indicating the appearance of hinge. In other words, the axial
force of Member 8801 exceeds the tensile strength of the connecting bolts when the
wind pressure reaches 71% of the design value.
The fracture of connecting bolts significantly changes the structural schematic
of the double-layer grid, leading to the change of internal forces in comparison
318 T.-H. et al.

Fig. 7 Distribution of hinges in the FE model

Fig. 8 Axial forces of Member 8801 per each step

with the initial design. Consequently, the structure can be broken into two parts at
the location near the ventilation. The part on the windward side can be failed down
while the remaining one can be uplifted as visualized in Fig. 9. The probable scenario
is consistent with the real observation.

5 Conclusion

This article presents a study to find out the probable reason for the collapse of the coal
shed due to the typhoon. Particularly, this research develops a nonlinear model using
Investigation of the Collapse of the Steel Space Truss … 319

Fig. 9 Probable scenario of the collapse

the finite element analysis software SAP2000 with some advanced features such as
hinge and nonlinear analysis. The obtained results show that in some members, the
axial forces exceed the design tensile strength of the connecting bolts at their ends.
This is probably the main cause of the collapse.
The study proposes a simulation procedure to identify the location of critical
bolts in a double-layer grid structure using SAP2000. This software is widely used
by structural engineers. The proposed procedure is highly applicable in practice.
In general, this study enlarges the understanding of the collapse of the double-
layer grids, thereby proposing measurements to strengthen existing constructions as
well as preventing repeat incidents.

Acknowledgements The research is supported by Hanoi University of Civil Engineering under

Grant number 51-2021/KHXD. Moreover, the authors gratefully acknowledge the support of the
Ministry of Construction of the Socialist Republic of Vietnam under Grant number RD 16-21
“development of the design guideline for large-span structures”.

References

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computational structural engineering and control procedures. Eng Fail Anal 17(1):213–225
2. Augenti N, Parisi F (2013) Buckling analysis of a long-span roof structure collapsed during
construction. J Perform Constr Facil 27(1):77–88
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occurred in a steel space truss roof structure due to ponding. Eng Fail Anal 36:301–313
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space structures using implicit and explicit methods. Int J Steel Struct 18(3):831–842
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a long-span steel roof in North Italy. Eng Fail Anal 82:243–265
320 T.-H. et al.

6. Vatansever C (2019) Investigation of buckled truss bars of a space truss roof system. Eng Fail
Anal 106:104156
7. Kabando EK, Gong J (2019) An overview of long-span spatial grid structures failure case
studies. Asian J Civ Eng 20(8):1137–1152
8. Tufekci M, Tufekci E, Dikicioglu A (2020) Numerical investigation of the collapse of a steel
truss roof and a probable reason of failure. Appl Sci 10(21):7769
9. Piana G, De Biagi V, Chiaia B (2021) Robustness of an airport double layer space truss roof.
Curved Layered Struct 8(1):36–46
10. Ministry of Science and Technology of the Socialist Republic of Vietnam: TCVN 2737:1995
(1995) Loads and actions. Design Standard, Hanoi
11. Ministry of Science and Technology of the Socialist Republic of Vietnam: TCVN 5575:2012
(2012) Steel structures. Design Standard, Hanoi
12. Ministry of Housing and Urban-Rural Construction of the People’s Republic of China: JGJ
7-2010 (2010) Technical specification for space frame structures. Beijing
Deep Learning Damage Detection Using
Time–Frequency Image Analysis

Dung Bui-Ngoc , Hoa Tran-Ngoc , Lan Nguyen-Ngoc ,

Hieu Nguyen-Tran , and Thanh Bui-Tien

1 Introduction

Monitoring the life cycle of critical civil infrastructure is essential to ensure its
structural integrity. Recently, researchers have paid more attention to the use of
deep learning methods to solve damage detection problems. A neural network
such as CNN-based models, which has the ability to learn hierarchical features,
has shown promising results in dealing with different issues of SHM. In an SHM
system, measured vibration data is usually recorded in the acceleration-time domain;
however, this data can be converted into a time–frequency domain to identify
damaged structures [1]. The vibration signal is transformed into a time–frequency
domain by a short-term Fourier transform (STFT) and visualized on the image.
Then, an efficient image classifier from the artificial intelligence program was used
to detect damages in the structure. He et al. [2] took advantage of the comprehensive
feed-forward architecture of a 2D-CNN classifier and combined it with the transfer
learning technique to adjust the given model for damage detection. The learning
transfer techniques allow it to export pre-trained general knowledge to a given field
with big measurement data belonging to different segments. The damaged identifica-
tion workflow consists of three basic steps. Initially, the initial vibration signal is fed
to a spectral plate preprocessing unit to convert it into a time–frequency representa-
tion image and then to the input 2D-CNN models. The feature is then continuously
transmitted to two fully connected levels, followed by going through the softmax
activation function into the output level.

D. Bui-Ngoc · H. Nguyen-Tran
Faculty of Information Technology, University of Transport and Communications, Hanoi, Vietnam
e-mail: dnbui@[Link]
H. Tran-Ngoc · L. Nguyen-Ngoc · T. Bui-Tien (B)
Faculty of Civil Engineering, University of Transport and Communications, Hanoi, Vietnam
e-mail: btthanh@[Link]

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2023 321
R. V. Rao et al. (eds.), Recent Advances in Structural Health Monitoring
and Engineering Structures, Lecture Notes in Mechanical Engineering,
[Link]
322 D. Bui-Ngoc et al.

CNN has been used to identify structural damages by learning the vibration signal
data [3, 4]. Recently, the vibration signals have been transformed into images, and the
2D CNN has been used to detect the damage on these images [5]. In [6], the signal
time series is split into various segments and then converted to images; then, the
deep neural network is used to automatically train and classify the abnormal in these
images. The image localization method is also applied to the aerial vision sensors to
detect the small fraction of interest on the images [7]. In this case, time-series data
was split into sections and converted to a single dual-channel image, then applied
CNN for training and abnormal detection [8]. The video measurement data can also
be used to identify the high spatial resolution mode [9].
While CNN has been proved to be effective in solving many image-based object
detection problems, there still exist some factors that may hinder its accuracy while
dealing with damage detection. The first problem is the imbalance dataset, which
is the lack of damage training data [8]. The second problem is that the features in
the time-domain data are not clear enough to distinguish between the undamaged
and damaged state. Moreover, the insufficiency in the visualization of frequency data
poses a further challenge in distinguishing between these two states. In this paper,
to overcome the above problems, we propose a method to enhance the features
between normal and damage states by segmenting the time–frequency images using
the graph method [10]. The segmented image helps increase the discrimination
between bands in images, which helps avoid overfitting of the model. The accuracy
of the experimental results has validated the efficiency of the method.

2 Methodology

2.1 Short-Time Fourier Transformation

Time-series signal is typically represented in the frequency domain through fourier

transformation (FT). It is very effective at identifying sinusoidal components of
a time-domain signal. However, the basic building blocks of the FT and complex
exponentials oscillate over all of the time (between −∞ and +∞). For this reason,
it is difficult for the FT to represent signals that are localized in time. This informal
observation, in fact, reflects a fundamental property (uncertainty principle) of the
fourier transform.
Meanwhile, the STFT has many advantages in compared with the fourier rans-
form, such as its superiority in frequency and time localization properties. Thereby,
the short-time fourier transform (STFT) is used to overcome this limitation of the
fourier transform. STFT is considered to be a concatenation of fourier transforms of
a windowed signal frame. We separate a long signal into various segments of equal
length, followed by applying FT. The treated data will be used to generate spectro-
grams in time–frequency analysis. While the fourier transform provides frequency
Deep Learning Damage Detection Using Time–Frequency … 323

information for the whole time interval of the measured data, STFT is able to give
information on the localized frequency of a signal varied over time.
The formulation for STFT based on basis functions is given in Eq. (1) as follows:

(∞
STFT(τ, f ) = x j (t)ψ(t − τ )e−2π i f t dt (1)
−∞

With the time discretization, Eq. (1) is rewritten as follows:

{−1
n+N
STFTn, f = xk, j ψk−n e−2πi f k (2)
k=n

where x j (t) is a signal from sensor j to be transformed, ψ is the window function,

and N denotes the length of the segments. STFT visualization is represented by a
spectrogram, which is a graphic representation of STFT magnitude over time [11].
A spectrogram of STFT also shows the squared value of STFT coefficients. This
is why the energy in the time–frequency signal is considered to be equal to the
energy in STFT spectrograms. In this paper, the proposed STFT technique can be
used to convert a 1-D time-series into a 2D image of the respective time–frequency
representation.

2.2 Two-Dimensional CNN

CNN is a deep neural network with a multilayer neural network consisting of two or
more hidden layers. CNN is originally designed for image analysis or image recog-
nition, and it has been widely used for different purposes such as object identification
for images and videos, images classification, and so on [12]. The structure of CNNs
consists of three main substructures: the convolutional layers, the pooling layers,
and the fully connected layers. The input images are received by the passive layer of
the input layer before getting passed to the convolutional layers. In CNN structure,
the input data is represented as multidimensional arrays, and it can be used for any
labeled data. The convolutional layer is the backbone component of a CNN struc-
ture. It extracts the high-level features from the input image by applying multiple
different filters and capturing the characteristic features (feature maps). Each unit of
feature map is created by convolving a so-called local receptive field, which consists
of a small segment of input data. The back-propagation algorithm is then used to
train these non-fixed filters. After the convolution layer comes the pooling layer.
Several features can be extracted using convolutional operation; however, a large
set of features can lead to overfitting of the data. To solve this issue, the pooling
operation (subsampling layer) is applied to reduce the number of feature maps from
the convolution operation. The processed features are then fed to the fully connected
324 D. Bui-Ngoc et al.

Fig. 1 Procedure of the CNN-based method for damage classification

layer, which consists of activation functions to perform the classification task. The
fully connected layer will classify the image to its respective labels.

2.3 Proposed Methodology

The framework of the proposed methodology consists of two main steps, as shown
in Fig. 1. Firstly, raw time-series signals are fed to the framework as input, followed
by transforming the output-only signal into images presented as a spectrogram.
These images are then segmented using the graph method. Secondly, the segmented
images are fed to the 2D convolution neural network to extract the required features
accordingly before passing through the softmax activation function for damage
classification of damage or undamaged states.
In the first step, the time-domain input signal is segmented into several separated
or overlapped frames by multiplying it with a window function. Then fast fourier
transform (FFT) is applied to each frame to obtain the short-time fourier transform
(STFT) segments. The log-spectrum in decibels is the most common visualization
of STFT’s spectra. It can be visualized with a heat-map known as a spectrogram, a
so-called spectrogram-based image. After transforming these output-only vibration
signals into images, it will take advantage of CNN’s feature extraction and classifi-
cation capabilities. In the second step, the images are fed to the convolution neural
network to extract the desired features accordingly in order to classify the damage
states.
Since the patterns of the images generated by STFT are insufficient to distinguish
the undamaged and damaged state, the graph-based segmentation will be applied to
enhance the intensity between bands, which will lead to improved detection results
[10]. Considering the graph G = (V, E), where V is the vertex set containing pixels
in the image, E is the edge set constructed by connecting pairs of pixels. The edge
weight function can be calculated as below:

w((vi , v j )) = |I ( pi ) − I ( p j )| (3)

where I ( pi ) is the intensity of pixel pi .

Deep Learning Damage Detection Using Time–Frequency … 325

For each time–frequency image, to enhance the difference between color bands,
the image is segmented into three different channels, colored red, green, and blue,
and get the intersection of three components. The weight w of an edge can be used
as the distance between two points in the feature space, and each pixel is mapped
to the feature point. Two regions in the image will be merged if a single low-weight
edge is detected between them.
In the next step, the images are fed to the convolution neural network to extract the
desired features accordingly in order to classify the damage and undamaged states.
We constructed the CNN by adapting the ResNet. The CNN architecture contains
the convolution layer, which consists of 32 filters, followed by 19 residual bottleneck
layers. The ReLU is added for low computation. The kernel size is 3 × 3 for the
model network, and the dropout and batch normalization was used during training.

3 Results

In this section, a case study of a simply supported bridge is used to consider the
effectiveness of the proposed approach. The bridge is depicted as in Fig. 2.
Vang bridge is located at Km7+591, national road 47B, Yen Dinh district, Thanh
Hoa Province, Viet Nam. The bridge was built and has been operating since 1995.
The bridge includes four spans with the same length of 15 m. The cross-section
consists of 4 T-shaped reinforced concrete beams with a distance of 115 cm. The
height of the beam is 100 cm. Two abutments are buried ones, whereas the pier is of
two-column bent.
Because four spans of the bridge are the same, to reduce the computational cost,
only one span is chosen for damage detection. The bridge is divided into 31 elements
as Fig. 3 using beam elements. Each element consists of 06° of freedom (DOFs) with
translational, rotational displacements in x, y, and z directions.
FEM is then employed to generate data to train the network. Damage cases are
created by reducing the stiffness values of different elements. Both undamaged and

Fig. 2 Vang bridge: a the top view of the bridge; b downstream side of the bridge
326 D. Bui-Ngoc et al.

Fig. 3 Finite element model (FEM) of the bridge

damaged cases are taken into account. Totally, 145 scenarios comprising 29 undam-
aged and 116 damaged samples are generated. The initial outputs of FEM are acceler-
ations in the time domain then converted into images with damaged and undamaged
labels using spectrogram analysis of short-time fourier transform. The samples of
the image according to the damaged and undamaged state are shown in Fig. 4.
The frequency images are segmented using graph-based method to enhance
the difference between bands and states. The distances between feature points in
this experiment are calculated by Euclidean distance. All the closeness points are
then assigned to the cluster in the image. Figure 5 shows the segmented image
corresponding to the 50% damage and undamaged image.
After the segmented images are generated, all of those images are then put on the
CNN model to train it. About 80% of all the data are used for the training phase,
while the remaining 20% are for testing. During the training process, the features

Fig. 4 The images with damaged (left) and undamaged (right) labels

Fig. 5 The images segmented with the damage (left) and undamaged (right) from the frequency
image
Deep Learning Damage Detection Using Time–Frequency … 327

Fig. 6 Performance of training and validating of the time–frequency image (left) and segmented
image (right)

and labels are given for all the time-series data of the training data set. The objective
is to capture the liaison between features and class labels. The method was tested on
the two types of data, the frequency images, and segmented images, for comparison.
The performance of the training and testing process is shown in Fig. 6.
Twenty-eight samples are used for validation, including five samples for undam-
aged and 23 samples for damage. The level of accuracy is evaluated based on the test
result. The ground truth notion of positive and negative detection is used to validate
the accuracy of the proposed method. The confusion matrix for the proposed method
is shown in Table 1. The accuracy level of the method is calculated as:

(True Positive + True Negative)

Accuracy = ( )
True Positive + True Negative
+True Positive + True Negative

The obtained results shown that the accuracy of the proposed method for the
frequency image is 97% in the training phase and 94% in the testing phase. According
to the confusion matrix in Table 1 (left), this led to the overfitting because all the vali-
date samples classified but the model cannot be performed to 100%. This problem is
due to the lack of data as well as imbalance in the data. For the segmented image, the
accuracy in training phase is 92% and testing phase is 79%. Also, as the confusion
matrix in the Table 1 (right), there are 19 samples of damaged were detected, other-
wise, 4 samples were misclassified. In the undamaged state, there are three samples

Table 1 Confusion matrix for frequency image (left) and segmented image (right)
Classification Predicted Predicted
Actual 23 0 Actual 19 4
0 5 2 3
328 D. Bui-Ngoc et al.

of undamaged were detected and two samples was uncorrected. This suggested the
method can be applied to the transformed vibration data.

4 Conclusions

In this paper, we proposed a novel damage identification method using an improved

two-dimensional convolution neural network. The images converted from vibra-
tion data can be used as input for CNN to extract features from the given images.
The image segmentation technique can also help to enhance distinguishing features.
Experimental results show that the method is not only suitable but also effective for
damaged detection. The results indicated that our proposed method is able to achieve
high accuracy results in damaged detection with imbalanced data. This method is
also promising in detecting the level of damage in the structure.

Acknowledgements This work is funded by Vingroup and supported by Innovation Foundation

(VINIF) under project code VINIF.2021.DA00192.

References

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structural health monitoring. In: Conte J, Astroza R, Benzoni G, Feltrin G, Loh K, Moaveni
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civil engineering, vol 5. Springer, Cham. [Link]
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ings of the IEEE conference on computer vision and pattern recognition (CVPR), pp 770–778.
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for structural damage detection: verification on a structural health monitoring benchmark data.
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health monitoring using combination of deep neural networks. J Mater Eng Struct 7(4):619–626
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convolutional neural network. Comput-Aided Civ Inf 32:361–378
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85:567–590
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Effect of Span-to-Depth Ratio
on Strength and Deflection Reliability
of Reinforced Concrete Beams

Huu Anh Tuan Nguyen

1 Introduction

Reliability is the ability of a structure to perform as expected during its lifecycle. In

order to ensure the safety of a stucture current design codes and standards are based
on semi-probabilistic approaches which use characteristic values and partial safety
factors for materials and actions, or strength reduction factors and load factors [1–3].
Meanwhile, a full-probabilistic approach could provide an insight into the structure’s
performance. In reliability analysis, the state of a structure can be expressed as a
function of uncertainty variables [4]:

g(X ) = R − E (1)

where R is the resistance (bearing capacity, allowable deflection or vibration, etc.), E

is the load effect (stresses or internal forces, deflection or vibration response, etc.),
X contains the basic variables representing the mechanical properties of materials,
dimensions of members, various types of loads, etc. The difference between the
probability density function of the resistance and that of the load allows determination
of the probability of failure.

Pf = P(g < 0) (2)

The probability of failure Pf is hence equal to the cumulative distribution function

of g corresponding to the limit state being exceeded. The level of reliability of a
structure can be evaluated via the reliability index, β, which is commonly taken as
the ratio of the mean to standard deviation of the limit state function. It is required

H. A. T. Nguyen (B)
University of Architecture Ho Chi Minh City, HCMC, Ho Chi Minh City, Vietnam
e-mail: [Link]@[Link]

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2023 331
R. V. Rao et al. (eds.), Recent Advances in Structural Health Monitoring
and Engineering Structures, Lecture Notes in Mechanical Engineering,
[Link]
332 H. A. T. Nguyen

that during the service life of a structure the probability of failure does not exceed
the target value or the reliability index is greater than its target value. Recommended
minimum values for the reliability index for various design situations can be found in
building codes and standards such as the EN 1990 and ISO 2394 [5, 6]. For instance,
the target reliability index β for structural members of residential and office buildings
is taken as 3.8 for ultimate limit state and 1.5 for serviceability (irreversible) limit
state for a reference period of 50 years.
Depending on the limit state function, a number of approaches such as the Cornell,
Hasofer-Lind, and Rackwitz-Fiessler methods have been introduced to evaluate the
reliability index. Being able to deal with any type of probability distribution of
random variables and nonlinear limit state functions, the Monte Carlo simulation
method has seen wide applications in many engineering problems. This method
normally requires analysis of a large number of samples of random variables to
achieve accurate predictions [4]. With regard to concrete structures, reliability-based
methods have been used to model the deterioration process of concrete piles due to
corrosion, predict the punching failure of flat slabs under accidental actions such as
column removal, evaluate structural reliability of circular bridge columns subjected to
vehicular impact and explosive blast loading, assess the shear strength of deep beams,
and so on [7–10]. While studies have focused more on ultimate limit states relating to
bearing capacity and stability, serviceability limit states relating to cracking, deflec-
tion, and vibrations [11–13] also need to be considered. Guidance has been provided
by design standards and codes for calculating deflection of reinforced concrete beams
and slabs, considering concrete cracking, tension stiffening, elastic–plastic proper-
ties of concrete and steel reinforcement, shrinkage, creep, and other time-dependent
effects [1–3]. However, it was found that the ratio of long-term to short-term deflec-
tion of concrete structures can be significantly beyond the range of codes of practice
[14]. Creep deformations predicted by design codes could be relatively lower than
those measured on real structures [15].
Deflection control is of increasing interest as floor beams are being designed
with a higher span-to-depth ratio or higher slenderness ratio to meet architectural
requirements for aesthetics and use of space. This paper examines the effect of span-
to-depth ratio on flexural strength and deflection reliability of a reinforced concrete
beam. Shear design is outside the scope of this study. In particular, the limit state
functions for the bending capacity and deflection of the beam are developed and
statistical properties of random variables are identified. Monte Carlo simulations are
performed to predict the probability of failure and reliability index of the beam for
different span lengths and span-to-depth ratios. Comparisons are also made with the
Eurocode 2 procedures which follow a semi-probabilistic or partial safety factors
approach.
Effect of Span-to-Depth Ratio on Strength … 333

2 Methods

2.1 Beam Design Using Eurocode 2 [1, 16]

Ultimate Strength Design for Bending. Figure 1a shows the rectangular cross-
section of a beam subjected to bending where b, h, d are the width, overall depth and
effective depth of the section, As and Asc correspond to the areas of the tension and
compression reinforcement, and d sc is the depth of the compression reinforcement,
respectively.
Equation (3) is used to estimate the design bending capacity of the beam at the
ultimate limit state, M Rd , assuming the reinforcements have yielded, where a is the
depth of the equivalent rectangular concrete stress block determined from the equi-
librium Eq. (4). The design compressive strength of concrete, f cd , and yield strength
of reinforcement, f yd , are f cd = 0.85f ck /γ c and f yd = f y /γ s where f ck and f yk are
the characteristic compressive strength of concrete and yield stress of reinforce-
ment, γ c = 1.5 and γ s = 1.15 are the partial factors of safety for the concrete and
reinforcement, respectively (Fig. 1b).

MRd = ab f cd (d − a/2) + Asc f yd (d − dsc ) (3)

As f yd = ab f cd + Asc f yd (4)

At the ultimate limit state, the design moment M Ed of the beam is calculated from
the combination 1.35Gk + 1.5Qk where Gk and Qk are the characteristic values of the
permanent and imposed load, 1.35 and 1.5 are the partial safety factors, respectively
[5]. The required reinforcement areas can be found by letting M Rd = M Ed in the
expression (3). Also, the provided reinforcement areas should be within the limits
specified by the code [1].
Serviceability Design for Deflection. The overall deflection is to be checked using
the quasi-permanent combination Gk + ψ 2 Qk where ψ 2 is the factor for quasi-
permanent value of the imposed action, taken as 0.3 for domestic, residential, and

Fig. 1 RC Beam a cross-section, b stresses at ultimate limit state, c transformed section with
concrete uncracked, d transformed section with concrete cracked
334 H. A. T. Nguyen

office areas [5]. The determination of long-term deflection requires estimation of the
beam curvature considering creep and shrinkage effects.
An effective or “average” flexural curvature, (1/r)ef , is to be calculated based on
both the curvature for the fully cracked section, (1/r)cr , and that for the uncracked
section (1/r)uc as follows:

(1/r )ef = ξ (1/r )cr + (1 − ξ )(1/r )uc (5)

in which ξ is the coefficient taking account of tension stiffening. For sustained loads:

ξ = 1 − 0.5(Mcr /Ms )2 (6)

where M cr is the cracking moment of the section and M s is the moment associated
with the quasi-permanent combination. Each flexural curvature value is calculated
as:
Ms
1/r = (7)
E c,ef I

where I is the second moment of area of the section (cracked or uncracked as appro-
priate) and E c,ef is the effective modulus of concrete. The I values can be determined
using equivalent transformed sections where the reinforcement area is converted
into an equivalent concrete area via a modular ratio α e = E s /E c,ef with E s being the
modulus of elasticity of the reinforcement [16]. Figures 1c–d show the uncracked
and cracked transformed sections, respectively. The effective modulus of concrete
which allows for the effect of creep is given by:

Ec
E c,ef = (8)
1 + φcr

in which E c is the elastic modulus of concrete associated with the compressive

strength; φ c is the creep coefficient given by Eurocode 2 for a range of cement types,
concrete classes, and concrete ages at the time of first loading, i.e., when construction
props are removed, the load durations and notional member sizes.
The effective curvature due to shrinkage (1/r cs )ef is also calculated from the
shrinkage curvatures of fully cracked section (1/r cs )cr and uncracked section (1/r cs )uc
using the same combination rule of Eq. (5) where 1/r is substituted by 1/r cs and each
shrinkage curvature component (fully cracked and uncracked) is determined as:

1/rcs = εcs αe S/I (9)

It should be noted that I cr and I uc are used in Eq. (9) for (1/r cs )cr and (1/r cs )uc,
respectively, and S is the first moment of area of reinforcement about the centroid of
the section (cracked or uncracked as appropriate). The value of free shrinkage strain
εcs is obtained from Eurocode 2 depending on member dimensions, concrete ages,
Effect of Span-to-Depth Ratio on Strength … 335

and classes. The sum of (1/r)ef and (1/r cs )ef yields the total curvature from which
the deflection can be calculated using general rules of structural mechanics. It is
recommended that the final deflection of a beam or slab should not exceed span/250.

2.2 Reliability Analysis of Beam for Flexural Strength

and Deflection

Description of Case Study Beam. Consider a simply supported beam with a span
of L designed to carry a uniformly distributed permanent load G and imposed load
Q. The permanent load of the beam was determined from the permanent load of the
supported slab and the self-weight of the beam. The imposed load of the beam was
calculated from the imposed load of the supported slab. For general office use, the
characteristic value of the imposed load of the floor was taken as 2.5 kN/m2 . The
loads were transferred from a 150-mm-thick concrete slab to the beam with a tributary
width (beam spacing) of 4.5 m. The concrete has a characteristic compression strength
of 25 MPa. The reinforcement has a characteristic yield stress of 500 MPa and elastic
modulus of 200,000 MPa.
To study the effect of span-to-depth ratio on the reliability of the beam, span
lengths of 7–10 m and span-to-depth ratios of 10–20 were examined. The beam’s
width was taken as 300 mm for L/h = 10–14 and 350–650 mm for L/h = 15–20.
The following procedure was performed for each combination of L and L/h value:
. Firstly, the reinforcement area was calculated using the Eurocode 2 method
presented earlier with the ultimate load combination 1.35Gk + 1.5Qk and design
strength f cd and f yd of the concrete and reinforcement materials. For flexural
strength, all the investigated beams were designed according to the case of
singly reinforced sections, so Asc was excluded from Eqs. (3) and (4). Nominal
reinforcement Asc was then provided in the compression zone of the beam section.
. Subsequently, the flexural strength and deflection of the beam with provided rein-
forcement were evaluated using the probabilistic approach with random variables
as detailed below.
Limit State Functions and Random Variables. The limit state functions for flexural
strength and deflection of the beam are given by Eqs. (10) and (11), respectively where
the model uncertainties factors θ E and θ R were included to express incompleteness
and imprecision of the relevant theoretical models for load and resistance effects.
( )
0.5As f y (G + Q)L 2
gM (X ) = MR − ME = θR As f y d − − θE (10)
0.85b f c 8
L 5( )
gf (X ) = f R − f E = θR − θE (1/r )ef + (1/rcs )ef L 2 (11)
250 48
336 H. A. T. Nguyen

The statistical properties of basic random variables used in the reliability analysis
are listed in Table 1 with normal, lognormal, and Gumbel distributions [17, 18]. The
expression for flexural strength M R in Eq. (10) was derived from Eqs. (3)–(4) and the
curvatures for calculating the deflection f E in Eq. (11) were determined using Eqs.
(5)–(9). A load combination with full live load (G + Q) was used for determining the
moment M E for strength check while a quasi-permanent combination (G + 0.3Q)
was employed for calculating the beam deflection f E . For offices with a reference
period of 50 years, the live load Q can be modeled by a Gumbel distribution with a
mean value μQ of 0.6 times the characteristic value Qk and coefficient of variation
σ Q /μQ of 0.35 as suggested by the European document EUR 29410 [17]. These
values agree well with [18] which showed μQ /Qk = 0.5 and σ Q /μQ = 0.386 as
a result of combining the coefficient of variation of the sustained and intermittent
components of the live load.
Monte Carlo Simulation. A total of 44 Monte Carlo simulation cases, each with five
million trials, were performed for beam spans of 7–10 m and span-to-depth ratios of
10–20. The following tasks were conducted in each simulation case:
. Using MATLAB built-in random number generators [19] to generate independent
sample values for each of the basic variables with statistical properties given in
Table 1. Figure 2 depicts an example of the probability density functions (PDFs)
of the input variables.

Table 1 Statistical properties of random variables

Name of variables Symbol, X Mean, μX Standard deviation, σ X Distribution
Concrete fc f ck + 2σ X 0.121μX Lognormal
compressive strength
Yield stress of fy f yk + 2σ X 0.053μX Lognormal
reinforcement
Elastic modulus of Es Es 0.04μX Normal
reinforcement
Overall depth of h h 8 mm Normal
beam
Width of beam b b 8 mm Normal
Area of As , Asc As , Asc 0.02μX Normal
reinforcement
Permanent load of G Gk 0.1μX Normal
beam
Imposed load of Q 0.6Qk 0.35μX Gumbel
beam
Load effect factor θE 1 0.1 Normal
Resistance factor θR 1 0.1 Normal
Effect of Span-to-Depth Ratio on Strength … 337

Fig. 2 PDFs of input parameters for L = 9 m and L/h = 10

. Evaluating the bending strength M R , applied moment M E , deflection limit f R ,

deflection f E , safety margins (M R − M E ) for strength, and (f R − f E ) for deflection
control.
. Repeating the process for five million trials.
. Determining the failure probability Pf as the ratio of the number of trials with
negative safety margin to the total number of trials.
. Identifying the reliability index β as the ratio of mean to standard deviation of the
safety margin.

3 Results and Discussions

3.1 Beam Reinforcement and Deflection Based on Eurocode

2

Tables 2 and 3 present the required area of tensile reinforcement As and the relative
displacement f E /L, respectively, determined from Eurocode 2 procedures for different
span lengths and span-to-depth ratios. For each span length, it can be seen that As
increased with an increase in L/h and all the investigated L/h ratios from 10 to
20 resulted in an acceptable design in terms of ultimate strength. By contrast, the
deflection requirement was violated, i.e., f E /L exceeded 1/250, for L/h ratios greater
than 13.
338 H. A. T. Nguyen

Table 2 Reinforcement area

L (m) As (mm2 ) for L/h =
10 11 12 13 14 15 16 17 18 19 20
7 1150 1280 1455 1612 1826 1959 2129 2289 2443 2627 2849
8 1329 1478 1647 1833 2091 2285 2451 2656 2848 3029 3241
9 1516 1685 1881 2107 2366 2551 2786 2983 3223 3451 3658
10 1710 1899 2123 2346 2651 2831 3054 3328 3558 3778 4099

3.2 Reliability Analysis Using Monte Carlo Simulation

For each Monte Carlo simulation case with five million trials, the probability density
functions were produced for the resistance (moment capacity M R , allowable deflec-
tion f R ), load effect (moment M E , deflection f E ) as well as safety margin for bending
strength and deflection control (M R − M E , f R − f E ). For instance, the results for 9-m
beam with L/h = 10 revealed an excellent reliability in both strength and deflection
control (Fig. 3). The excellent reliability in strength was also observed in the much
slender beam with L/h = 15 (Fig. 4a–b). By contrast, a very high probability of
failure in deflection was detected in the slender beam with 70% of the trials showing
negative values of the safety margin (Fig. 4c–d).
Tables 4, 5, 6 and 7 summarize the predicted values of failure probability and
reliability index for all investigated cases. For beams with L/h = 13, the deflection
calculated by the Eurocode 2 method was right equal to the limit of span/250 (Table
3). However, this L/h ratio could result in a failure probability of 31–35% as revealed
by the probabilistic approach (Table 6). Although the shallowest beams with L/h =
20 can still be robust from a strength perspective with a failure probability of just 2
× 10–5 , the probability of failure in deflection was extremely high at 99% (Tables 4
and 6).

4 Conclusion

The presented reliability-based evaluation has revealed a different trend of variation

between strength reliability and deflection reliability in response to an increase in the
span-to-depth ratio of reinforced concrete beams. Some conclusions can be drawn
from the findings presented.
Even when the span-to-depth ratio doubled from 10 to 20, the same excellent
reliability in flexural strength remained. The failure probability was found to be in
the range of 1.4 × 10–5 to 4.7 × 10–5 which is below the target probability of 7.2
× 10–5 hence acceptable. The predicted reliability index was in the range of 4.0–4.3
which is greater than the target reliability index of 3.8 recommended for the ultimate
limit state for a reference period of 50 years.
Table 3 Relative displacement
L (m) f E /L for L/h =
Effect of Span-to-Depth Ratio on Strength …

10 11 12 13 14 15 16 17 18 19 20
7 0.0026 0.0030 0.0035 0.0040 0.0045 0.0046 0.0051 0.0055 0.0059 0.0063 0.0069
8 0.0026 0.0030 0.0035 0.0039 0.0045 0.0047 0.0051 0.0055 0.0059 0.0063 0.0067
9 0.0026 0.0030 0.0035 0.0040 0.0045 0.0047 0.0051 0.0054 0.0058 0.0063 0.0066
10 0.0026 0.0031 0.0035 0.0040 0.0045 0.0046 0.0050 0.0054 0.0057 0.0061 0.0066
339
340 H. A. T. Nguyen

Fig. 3 L = 9 m, L/h = 10: PDFs of load effect, resistance and safety margin for a, b moment, c,
d deflection

Fig. 4 L = 9 m, L/h = 15: PDFs of load effect, resistance and safety margin for a, b moment, c,
d deflection
Effect of Span-to-Depth Ratio on Strength … 341

Table 4 Probability of failure (10–5 ) in bending strength

L (m) 105 Pf for L/h =
10 11 12 13 14 15 16 17 18 19 20
7 3.73 4.44 2.98 2.66 1.76 1.74 1.34 2.10 2.06 1.96 2.24
8 3.68 4.30 2.80 2.26 1.76 1.58 1.86 1.62 1.82 1.66 1.86
9 3.71 4.70 2.84 2.48 2.02 1.80 1.60 1.82 1.18 2.02 1.72
10 3.63 4.58 2.84 2.52 1.94 1.76 1.84 1.62 1.82 1.44 1.84

Table 5 Reliability index for bending strength

L (m) β for L/h =
10 11 12 13 14 15 16 17 18 19 20
7 4.076 4.019 4.084 4.144 4.225 4.208 4.209 4.163 4.162 4.168 4.187
8 4.063 4.014 4.072 4.136 4.224 4.221 4.214 4.219 4.177 4.182 4.192
9 4.055 4.011 4.070 4.143 4.222 4.212 4.221 4.214 4.226 4.188 4.192
10 4.047 4.005 4.068 4.135 4.220 4.202 4.198 4.213 4.211 4.171 4.192

In contrast to the bending capacity, the target reliability index for serviceability
relating to long-term deflection was violated with span-to-depth ratios of 12 and
above. Negative values of reliability index could even be found with span-to-depth
ratios of 14 and above, corresponding to a failure probability of more than 62%. In
other words, there could be a high probability for a beam that is deemed perfect in
terms of ultimate strength to have excessive deflections and hence unacceptable from
a serviceability perspective. However, since the presented results were for simply
supported beams, higher span-to-depth ratios might be allowed for a continuous
beam which would be a future research object.
 342

Table 6 Probability of failure in deflection control

L (m) Pf for L/h =
10 11 12 13 14 15 16 17 18 19 20
7 0.0016 0.0189 0.1328 0.3377 0.6232 0.6897 0.8367 0.9209 0.9622 0.9849 0.9951
8 0.0017 0.0202 0.1102 0.3144 0.6201 0.7230 0.8407 0.9259 0.9674 0.9852 0.9942
9 0.0020 0.0222 0.1219 0.3517 0.6240 0.7029 0.8477 0.9202 0.9659 0.9860 0.9938
10 0.0023 0.0249 0.1349 0.3422 0.6317 0.6917 0.8219 0.9179 0.9598 0.9802 0.9936
H. A. T. Nguyen
Table 7 Reliability index for deflection control
L (m) β for L/h =
Effect of Span-to-Depth Ratio on Strength …

10 11 12 13 14 15 16 17 18 19 20
7 3.046 2.126 1.116 0.400 −0.335 −0.513 −0.979 −1.377 −1.701 −2.033 −2.369
8 3.012 2.095 1.232 0.467 −0.326 −0.606 −0.994 −1.411 −1.766 −2.051 −2.342
9 2.966 2.052 1.170 0.363 −0.335 −0.548 −1.023 −1.376 −1.753 −2.076 −2.329
10 2.912 2.001 1.105 0.390 −0.354 −0.516 −0.924 −1.364 −1.689 −1.962 −2.327
343
344 H. A. T. Nguyen

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and rules for buildings. European Committee for Standardization, Brussels
2. ACI 318-19 (2019) Building code requirements for structural concrete and commentary.
Concrete Institute, Michigan
3. AS 3600:2018 (2018) Concrete structures. Standards Australia Limited, Sydney
4. Melchers RE, Beck AT (2018) Structural reliability analysis and prediction. Wiley
5. EN 1990:2002 (2005) Eurocode—basis of structural design. European Committee for
Standardization, Brussels
6. ISO 2394:2015 (2015) General principles on reliability for structures. International Standards
Organization, Geneva
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gamma process for time-dependent reliability analysis. J Pipeline Syst Eng Pract 5(1):04013008
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in reinforced concrete flat slab buildings under accidental actions. Eng Struct 130:83–98
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Estimation Displacement of Diaphragm
Wall Using Hardening Soil Versus
Mohr–Coulomb Model

Thanh Sang-To, Minh Hoang-Le, Manh Vu-Tran, Magd Abdel Wahab,

and Thanh Cuong-Le

1 Introduction

With the development of technology and Science Computer, many powerful methods
are used to solve the complex problems in almost fields. One of them is the Finite
Element (FE) method. Over the years, this method has gained an excellent reputation
for dealing with the challenging problem in the real world effectively. It is complex
and hard to calculate the whole construction process for a big project, and hence the
FE method is an indispensable tool to support for engineers. Some FE methods such
as Abaqus [1, 2] and/or PLAXIS [3, 4] are employed popularly. In order to assess
the suitability of approaches, many studies have been conducted in recent decades.
For excavation problem, estimation of the horizontal displacement of [Link] is an
important section in this design problem. For this reason, some researchers, such
as Tan et al. [5], Hongbing [6], Tan et al. [7], Huang et al. [8], make an effort to
evaluate the behavior of soil and the concrete or steel structures. In the civil field,
high-rise buildings play an important role in social, in which constructing building’s
basements [9, 10] is vital stage.
Two models, HS and MC, are used very popularly in soil mechanics. In this study,
an investigation the effect of these two soil models on diaphragm wall displacement

T. Sang-To · M. Hoang-Le · T. Cuong-Le (B)

Faculty of Civil Engineering, Ho Chi Minh City Open University, Ho Chi Minh City, Vietnam
e-mail: [Link]@[Link]
M. Vu-Tran
Unicons Investment Construction Company Limited, Floor 5-6-7, Coteccons Tower, 236/6 Dien
Bien Phu Str., Ward 17, Binh Thanh District, Ho Chi Minh City, Vietnam
T. Sang-To · M. A. Wahab
Soete Laboratory, Faculty of Engineering and Architecture, Ghent University, Technologiepark
Zwijnaarde 903, 9052 Zwijnaarde, Belgium

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2023 345
R. V. Rao et al. (eds.), Recent Advances in Structural Health Monitoring
and Engineering Structures, Lecture Notes in Mechanical Engineering,
[Link]
346 T. Sang-To et al.

is conducted in detail. The obtained results are compared each other and then drawn
some conclusions.

2 FE Model Using PLAXIS Software

In order to estimate the lateral displacement diaphragm wall, two soil models (i.e.,
MC and HS model) are employed. First of all, a brief description of the MC model
required five primary parameters (see Table 1) is shown herein. One of the many
advantages of this analyses is that an extension of Coulomb’s friction law for the MC
yield condition is conducted. Furthermore, by doing that, any plane within a material
element is always obeyed the mentioned conditions. A full description of MC yield
condition is shown by Smith and Griffiths [11]. In which, c (cohesion) and ϕ (friction
angle) are the two factors that represented the plastic model characteristic. Figure 1
illustrates these conditions briefly in principal stress space. For dense soils, a model
parameter, ψ (dilatancy angle), is used to simulate positive plastic volumetric strain
increment.

Table 1 Parameters of MC
Symbols Unit Description
model with their standard
E kN/m2 Young’s modulus
ν – Poisson’s ratio
c kN/m2 Cohesion
ϕ (°) Friction angle
ψ (°) Dilatancy angle

Fig. 1 The description of

MC yield condition in
principal stress space by a
fixed hexagonal cone (with c
= 0)
Estimation Displacement of Diaphragm Wall … 347

Table 2 Parameters of HS model

Symbols Unit Description
m – A power law to illustrate stress-dependent stiffness
E 50 ref kN/m2 The reference stiffness modulus
E oed ref kN/m2 The reference stiffness modulus
E ur ref kN/m2 The reference Young’s modulus reloading
ν ur – Possion’s ratio

In the Hardening Soil model, it was the other way around, since the yield surface
of a hardening plasticity model can expand due to plastic straining, and hence it
is not fixed in principal stress space. In this model, there are the 2-distinct-types
of hardening (i.e., compression hardening and shear hardening). In order to model
irreversible plastic strains due to primary compression in oedometer loading and
isotropic loading, this model employed the compression hardening. Whereas, to
simulate irreversible strains because of primary deviatoric loading, shear hardening
is adopted. Several basic parameters of the Hs model are presented in Table 2. The
analyses is conducted based on the setting E = E 50 ref = E oed ref and E ur ref = 3E 50 ref .
In this work, a simulation of basement constructed excavation for high-rise build-
ings is presented. The Geotechnical Engineering software, PLAXIS version 2020,
is used to investigate for this problem. The data of this simulation are collected
information from the soil investigation in district 3, Ho Chi Minh city, Vietnam. A
brief description of the data is shown in Fig. 2 and Table 3. The stratigraphy of this
analyses consists of seven layers up to 45 m deep, in which clay layers interspersed
with two sand layer. The value of N spt from 8 to 31. The density of the soil belongs a
range of 19–20 kN/m3 (Fig. 3). The investigations determinate the groundwater level
was approximately 1 m below the surface. Figure 4 indicates the calculated mesh
of this analysis using the FE method, the horizontal and vertical boundaries of the
calculated mesh are, respectively, 50 and 220 m.
In this problem, we simulate a set of excavation phases of the high-rise building
consisting of three basements and one underground water tank. Each floor height is
about 3.25 m, and hence the total of excavation process is equal 13 m. The diaphragm
wall is a reinforced concrete structure, 22 m deep. The basement slabs have an average
thickness of 270 mm to 1000 mm. The whole excavation process is operated by semi-
top-down construction method and presented the main excavation stages in detail as
Table 4 and Fig. 3.

3 Results and Discussion

The main five excavation stages are simulated by ten phases in PLAXIS software.
The effect of each excavation phase on the lateral displacement diaphragm wall is
investigated in Fig. 5 in detail. For the displacement shape of [Link], the results
348 T. Sang-To et al.

(a) Nspt (b) Soiil layers

Fig. 2 The data of soil

Table 3 The engineering properties of the soil

Symbols Layer
Fill 1 2 3 4 5 6 7
Sand Clay Sandy clay Sandy clay Clayer Clay Fine sand Clay
sand
γ kN/m3 19 19 20 19 19 20 20 20
c kN/m2 5 19.3 28.5 21.3 10.3 33 2.8 45.5
ϕ (o ) 30 9.73 12.37 15.72 23 13.5 30 16.8
su kN/m2 – 20.1 27.6 81 – 138 – 306
E kN/m2 30E3 6030 8.28E3 40.5E3 62E3 69E3 62.8E3 153E3
ν – 0.25 0.2 0.2 0.2 0.25 0.2 0.25 0.2
Rinter – 0.5 0.8 0.8 0.8 0.8 0.8 0.8 0.8

obtained from the MC and HS analyses are quite similar generally. In addition, the
maximum of lateral displacement of the MC and HS model are 31.1 mm and 30.2 mm,
respectively.
The difference between of them is insignificant. The results reveal that both anal-
yses provide a good estimation to predict the lateral displacement diaphragm wall in
the preliminary stage. However, the fact that there are differences between the two
models at specific stages. In detail, these maximum values at two first excavation
stages of HS model are always smaller than the MC analyses. Meanwhile, the value
of displacement at the toe of retaining wall analyzed by MC model is considerably
larger than the HS in the phase 6 and 8. The use of the different stiffness parameter
Estimation Displacement of Diaphragm Wall … 349

Fig. 3 Stratigraphy and geometric structure

Fig. 4 The calculated mesh in PLAXIS

theoretically can explain the reasons for the difference of these displacements. Espe-
cially, the relationship between the stiffness parameter and stress obeys to a power
law (m) in the HS model. In other words, the model implies for example the rela-
tionship as follows E = E ref (σ /pref )m . By contrast, MC model commonly employs
the stiffness parameter like a constant for each soil layer. Therefore HS analysis is
more reasonable than the MC model to assess response between the retaining wall
and soil in excavation problem. Nevertheless, one of the many advantages of the MC
model is that it only requires five engineering properties of the soil, this led to easier
using this model, and thus it suitable to adopt in preliminary prediction in the first
assessment of a project.
350 T. Sang-To et al.

Table 4 Construction
Phases Main excavation activity
sequence
1 Construct diaphragm wall
2 Excavate to level of underside of ground floor
3 Construct ground floor
4 Excavate to level of underside of the 1st basement
5 Construct the 1st basement slab
6 Excavate to level of underside of the 2nd basement
7 Construct the 2nd basement slab
8 Excavate to level of underside of the 3rd basement
9 Construct the 3rd basement slab
10 Excavate to level of underside of the underground
water tank

Fig. 5 Lateral displacement diaphragm wall

4 Conclusion

In this study, a detailed assessment of two model soil is presented. Each model has
certain advantages and disadvantages. While HS model provides the excellent results
for predicting the lateral displacement diaphragm wall, MC model is simple and
easy to apply. Therefore the MC model is suitable for preliminary assessment of in
the excavations problem, while HS is effective for detailed calculation simulation at
actual construction stages. In sum, based on these analyzes we can see that FE method
is a powerful tool to analyze and predict what happens in complex construction
processes through MC and HS models. The results have provided an overview for
Estimation Displacement of Diaphragm Wall … 351

the evaluation of soil behavior and diaphragm wall in the excavation problem by
these models.

Acknowledgements The authors acknowledge the financial support of VLIR-UOS TEAM Project,
VN2018TEA479A103, ‘Damage assessment tools for Structural Health Monitoring of Vietnamese
infrastructures’, funded by the Flemish Government.

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An Improved Particle Swarm
Optimization Approach for Solving
the Engineering Problems

Thi Thuy Linh-Nguyen, Hoang Le-Minh, and Thanh Cuong-Le

1 Introduction

Solving the optimization problems in real work is concerned robustly and requires
more effort to develop a reliability approach. With the robust development of intelli-
gent algorithms field, solving these problems is more flexible when there are multiple
options available. Intelligent algorithms are often inspired by the observation about
swarm’s foraging in nature called meta-heuristic. Many meta-heuristic optimization
methods have been developed, such as particle swarm optimization algorithm (PSO)
[1], firefly algorithm (FA) [2], artificial bee colony (ABC) [3], grey wolf optimizer
(GWO) [4], cat swarm optimization (CAT) [5], and Jaya optimization algorithm
(JAYA) [6]. In the above algorithms, PSO is considered the most typical algorithm.
It is widely applied in many fields, from economics to engineering, because of its
simplicity and fast calculation time. The concept in PSO can be perceived as original,
and it is a rich source of inspiration for researchers to propose new algorithms in the
past two decades. The new swarm algorithms almost are established by proposing
the different approaches through simulating swarm intelligence by mathematical
models. PSO tries to assign these variables to agents in the population. The value
of the objective function, which is characterized by these random variables, is then
calculated to identify the best solution. Through each iteration, the process, which

T. T. Linh-Nguyen
Faculty of Civil Engineering, Ho Chi Minh City University of Technology—HUTECH, Ho Chi
Minh City, Vietnam
e-mail: ntt.linh85@[Link]
H. Le-Minh · T. Cuong-Le (B)
Faculty of Civil Engineering, Ho Chi Minh City Open University, Ho Chi Minh City, Vietnam
e-mail: [Link]@[Link]
H. Le-Minh
e-mail: [Link]@[Link]

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2023 353
R. V. Rao et al. (eds.), Recent Advances in Structural Health Monitoring
and Engineering Structures, Lecture Notes in Mechanical Engineering,
[Link]
354 T. T. Linh-Nguyen et al.

generates a new set of random variables through the position updating of each agent,
is implemented continuously to update the new value of the objective function.
However, besides the advantages, the PSO still has limitations. For example, the
accuracy of the PSO algorithm is not appreciated when compared to other algorithms.
Many innovative techniques have been introduced to overcome these limitations
to improve the PSO’s performance. Most techniques have the same trend: finding
a new movement strategy through velocity updating. Wu et al. [7] presented a new
method to improve the inertia weight in original PSO for solving alleviate power
fluctuation of hybrid energy storage. Ouyang et al. [8] used a new technique with
the more constrained condition to solve a particular problem. Higashi et al. [9] were
presented the rules of the velocity and position updating using Gaussian mutation.
The results show that unimodal and multimodal function was performed more effec-
tive in comparison with original PSO. Singh and Singh [10] was developed a new
method for velocity updating through the share of space search information, namely
HPSO. In this paper, we introduce a novel velocity updating strategy by adding the
terms which is considered as the new method for expanding the new search space
and more closer the local best and global best.

2 A Novel Efficient Approach for Improving PSO

In PSO algorithm, each particle is a solution candidate, and the group of particles
create an initial swarm. To find the global best in optimization problems. The process
of each particle’s movement will iteration to explore the feasible region. This move-
ment must ensure the condition that at the iteration movement (k + 1)th , the process
of position updating of each particle X i must tend to be closer to the search regions
of local best and global best; if the particle X i is satisfied with this condition, it is a
successful movement. By contrast, the particle X i will explore a new search area to
prepare for the next movement at step (k + 2)th . The process of velocity and position
updating of each particle X i at the step (k + 1)th are shown in Eqs. (1) and (2).
( ) ( )
Vik+1 = wVik + c1r1 L kbest,i − X ik + c2 r2 G kbest − X ik (1)

X ik+1 = X ik + Vik (2)

where w is a scalar number named weight of velocity, and c1 and c2 are two parameters
named learning factor. r1 , r2 are random values which having the value in range
[0, 1].
To increase the PSO’s performance, in this work, we introduce a new strategy for
velocity updating given in Eq. (3). Thus, Eq. (3) will replace Eq. (2) for calculating
the velocity updating Vik+1 at the (k + 1)th iteration. The flowchart of NEA-PSO is
shown in Fig. 1.
An Improved Particle Swarm Optimization Approach … 355
( )
Vik+1 = wVik + c1r1 L kbest,i − X ik (1 + f (k + 1)ε1 ζ1 R)
( )
+ c2 r2 G kbest − X ik (1 + f (k + 1)ε2 ζ2 R) (3)

In Eq. (3), f (k + 1) = 1 − Kβk max

where k and K max are current and max of
iteration, respectively. The parameter β is to control the convergence rate, and this
parameter can modify depending on the use’s goal. ζ1 and ζ2 are denoted as the
random parameters having value in range [−1, 1], ε1 and ε2 are scale parameters,
and in this study, we proposed ε1 = ε2 = 0.01.

Fig. 1 Flowchart of NEA-PSO

356 T. T. Linh-Nguyen et al.

R is considered as the search radius around the local best and global best.
This value depends on the upper (Ub ) and lower (L b ) boundary conditions. In this
research, R is expressed in Eq. (4).

(Ub − L b )
R= (4)
100
It can be seen that the movement of each particle in NEA-PSO will be longer than
that of PSO. Therefore, the convergence rate of NEA-PSO will be better promising
than that of PSO. Two parameters ε1 and ε2 are proposed to control the expansion
of the search space in NEA-PSO around each particle. This will help the NEA-PSO
avoid missing potential search spaces. The strategy movement closing to local best
and global best in NEA-PSO is controlled by a function f (k + 1) = 1 − Kβk max
. The
feature of this function is reduction linear as the number of iterations increases. At
the iteration registers f (k + 1) = 0, NEA-PSO will become the original PSO.

3 Numerical Examples

3.1 The First Example

To demonstrate the effectiveness of NEA-PSO. The first five benchmark test func-
tions are used as the first example. Five functions are considered unimodal benchmark
functions. For a fair comparison, both PSO and NEA-PSO algorithms have identical
initial particles N = 30. The parameter β = 0.2 is assumed to achieve the fast
convergence rate.
The coefficients of the algorithm are the same, and are described such as: The
parameters learning c1 = c2 = 2, the weight of velocity w is denoted value in range
[0.4, 0.9] and depend on each of iteration (Table 1).

Table 1 First five classical

Function Solution space f min
benchmark functions {
F1 = nk=1 xk2 [−100, 100] D 0
{ ll
F2 = nk=1 |xk | + nk=1 |xk | [−100, 100] D 0
{ ({ )2
F3 = nk=1 i
j=1 x j [−100, 100] D 0

F4 = max{|xk |, 1 ≤ k ≤ n} [−100, 100] D 0

F5 = [−30, 30] D 0
{n−1 [ ( ) ]
k=1 100 x k+1 − x k + (x k − 1)
2 2

Note that n is the dimension of function, f min is the minimum

value of the function, and S is a subset of R n
An Improved Particle Swarm Optimization Approach … 357

The comparison results are shown in terms of the convergence rate of the objective
function. Both two algorithms are run randomly ten times to evaluate the performance
of each algorithm. The comparison results are shown in Fig. 2.
Based on the performance of the convergence trend and the accuracy level in
Fig. 2, we can see that the NEA-PSO algorithm shows superiority at all of the
functions. The new strategy movement of the NEA-PSO algorithm allows finding a
better global position than PSO. Moreover, it was also registered a longer movement
in comparison with PSO. It leads to that NEA-PSO was reached a convergence rate
far faster.

Fig. 2 Convergence trends of the five benchmark functions

358 T. T. Linh-Nguyen et al.

Fig. 3 Tension/compression spring design problem

3.2 The Second Example

The tension/compression spring is employed to illustrate the performance of NEA-

PSO. This problem required determining the minimum mass of spring with three
changeable d, D, and P given in Fig. 3. The dead penalty function technique is used
as a robust tool together with NEA-PSO to solve the conditional constraints. The
mathematical formulation of this problem was expressed as follows:
Give design variables: x1 = d, x2 = D, x3 = P
Minimize: f (x) = (x3 + 2)x2 x12
Subject to:

x23 x3
g1 (x) = 1 − ≤0
71785x14
4x22 − x1 x2 1
g2 (x) = + −1≤0
12566(x2 x1 − x1 ) 5108x12
3 4

140.25x1
g3 (x) = 1 − ≤0
x22 x3
x1 + x2
g4 (x) = −1≤0
1.5
where

0.05 ≤ x1 ≤ 2, 0.25 ≤ x2 ≤ 1.3, 2 ≤ x3 ≤ 15

The performance of NEA-PSO and PSO will be compared to the results released.
Arora [11] used the usual mathematical method to solve this problem. Coello [12]
solved this problem using GA algorithm. In this paper, parameter R = 0.1 is assumed
for satisfaction with the boundary conditions for NEA-PSO. The comparison with
the results obtained from Arora’s and Coello’s study is shown in Table 2. The results
show that the NEA-PSO algorithm gives the best performance compared to the other
methods.
An Improved Particle Swarm Optimization Approach … 359

Table 2 Performance of NEA-PSO compared to the other methods

Different methods Design Variables f (x)
x1 x2 x3
Arora 0.053396 0.399180 9.185400 0.0127303
Coello 0.051480 0.351661 11.632201 0.01270478
In this work
NEA-PSO 0.052377 0.373456 10.3927 0.012697
PSO 0.05 0.3174280 14.027300 0.012719
Bold indicates our presented results

4 Conclusions

This paper was presented a new improved technique for the velocity updating process
in PSO algorithm. The new process allows creating more balance between the local
best and global best position. Moreover, the ability finding the Gbest’s position is
also improved through short radian around the local and global position. By using
a changeable parameter β that can be adjusted by the user, the convergence rate
of NEA-PSO can be controlled depending on a particular problem. The proposed
algorithm also shows the superiority of solving optimization problems with multiple
constraint conditions. The NEA-PSO algorithm shows more flexibility and high
reliability when solving real works through two numerical examples.

Acknowledgements The authors gratefully acknowledge the financial support granted by the
Scientific Research Fund of the Ministry of Education and Training (MOET), Vietnam (No.
B2021-MBS-06).

References

1. Kennedy J, Eberhart R (1995) Particle swarm optimization. In: Proceedings of ICNN’95-

international conference on neural networks. IEEE
2. Yang X-S (2010) Firefly algorithm, stochastic test functions and design optimization. Int J
Bio-inspired Comput 2(2):78–84
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Appl Soft Comput 8(1):687–697
4. Mirjalili S, Mirjalili SM, Lewis A (2014) Grey Wolf optimizer. Adv Eng Softw 69:46–61
5. Chu S-C, Tsai P-W, Pan J-S (2006) Cat swarm optimization. In: Pacific Rim international
conference on artificial intelligence. Springer
6. Rao R (2016) Jaya: a simple and new optimization algorithm for solving constrained and
unconstrained optimization problems. Int J Ind Eng Comput 7(1):19–34
7. Wu T et al (2019) A capacity configuration control strategy to alleviate power fluctuation
of hybrid energy storage system based on improved particle swarm optimization. Energies
12(4):642
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8. Ouyang Z et al (2019) An improved particle swarm optimization algorithm for reliability-

redundancy allocation problem with mixed redundancy strategy and heterogeneous compo-
nents. Reliab Eng Syst Saf 181:62–74
9. Higashi N, Iba H (2003) Particle swarm optimization with Gaussian mutation. In: Proceedings
of the 2003 IEEE Swarm intelligence symposium. SIS’03 (Cat. No. 03EX706). IEEE
10. Singh N, Singh S (2012) Personal best position particle swarm optimization. J Appl Comput
Sci Math 12(6):69–76
11. Arora JS (2004) Introduction to optimum design. Elsevier
12. Coello CAC (2002) Theoretical and numerical constraint-handling techniques used with
evolutionary algorithms: a survey of the state of the art. Comput Methods Appl Mech Eng
191(11–12):1245–1287
Application of Nonlinear Behaviour
for Concrete Material in Numerical
Simulation

Thi Thuy Linh-Nguyen, Hoang Le-Minh, T. Vu-Huu, and Thanh Cuong-Le

1 Introduction

The concrete damage is caused by (1) the formation of severe cracks at the tension
zone and (2) by crushing at the compression zone. However, at the moment, concrete
strength is measured mainly by the basic one-dimension (1D) confined compression
or tension test, which cannot evaluate the real failure of concrete in the structure
because the stress of concrete is a three-dimension (3D) stress state. The ABAQUS
software can numerically simulate the concrete plastic damage model; the model
employs the yield surface approach pioneered by Ref. [2] and finalized by Ref. [3].
Whereby the element stress is taken into consideration for all stress components to
check the plastic state.

T. T. Linh-Nguyen
Faculty of Civil Engineering, Ho Chi Minh City University of Technology—HUTECH, Ho Chi
Minh City, Vietnam
e-mail: ntt.linh85@[Link]
H. Le-Minh · T. Cuong-Le (B)
Faculty of Civil Engineering, Ho Chi Minh City Open University, Ho Chi Minh City, Vietnam
e-mail: [Link]@[Link]
H. Le-Minh
e-mail: [Link]@[Link]
T. Vu-Huu
Faculty of Civil Engineering, Vietnam Maritime University, 484 Lach Tray Str., Hai Phong,
Vietnam

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2023 361
R. V. Rao et al. (eds.), Recent Advances in Structural Health Monitoring
and Engineering Structures, Lecture Notes in Mechanical Engineering,
[Link]
362 T. T. Linh-Nguyen et al.

Fig. 1 Yield surface according to Eq. (3)

The yield surface equation, see Fig. 1, is

( )
f b0
1 f c0
−1
F= (q − 3αp + β<σmax > − γ − <σmax >) − σc = 0; α = ( ) (1)
1−α 2 ffb0co − 1

σc 3(1 − K c )
β= (1 − α) − (1 + α); γ = (2)
σt 2K c − 1

In which, <·> Macaulay operation; p is the hydrostatic stress; q is the Von-Mises

stress calculated with the principal stress σ1 , σ2 , σ3 , which are considered the effects
of the compressive damage variable dc and the tension damage variable dt . Then,
f b0 is the unconfined axial compression stress, f c0 is the confined axial compression
stress, and σmax is the maximum principal stress.
And, σc = σc (1 − dc ) are σt = σt (1 − dt ) are compression and tension stress.
K c = ρt0 /ρc0 is the ratio of the compressive stress to the tension stress at the plastic
surface, which is applied to determine the shape of the plastic plane in the plane of
deflection stress (π plane). When, K c = 1 corresponds to the yield surface proposed
by Von-Mises, K c = 2/3 is used to determine the yield surface of concrete materials
according to ABAQUS, see Fig. 2.
Application of Nonlinear Behaviour for Concrete Material … 363

Fig. 2 Plastic potential

energy function in the stress
plane p − q

Table 1 Input parameters for f b0

Kc ψ (degree) f c0 ε
the concrete plastic damage
model 0.7 35–40 1.16 0.1

The model describing the plastic behaviour of concrete is based on the independent
plastic potential energy function G, which is as follows:
/
G(σ ) = (εσt0 tan ψ)2 + q 2 − p tan ψ (3)

in which, ε = 0.1 is the definite deviation coefficient of the potential plastic surface
from the yield surface, Then, σt0 is the tension failure stress determined by the
confined axial tension test. And, ψ is the angle between the intersection lines of the
yield surface in terms of the p-plane (hydrostatic stress) and the q-plane (deviation
stress) at a state of high normal stress. ABAQUS proposes 35◦ ≤ ψ ≤ 40◦ . Other
parameters of the yield surface are given in Table 1.

2 The Behaviour of Concrete in Axial Compression

and Tension Test

The behaviour of concrete in axial compression or tension with lateral expansion

(Poisson effect) in the phase of non-cracking is linear, so it does not depend on
element size. When the concrete reaches the ultimate compressive or tensile stress,
it approaches the compression softening phase or tension softening phase. In the
finite element (FE) method, the mesh element sizes are key factors of the analysis.
So, the effect of mesh size must be addressed in the process of simulation. We offer
the computation for the values of material parameters according to Table 2 in this
study to make the suggested model easier to set up and decrease the experimental
procedure. Thus, the other concrete parameters can be directly calculated from the
364 T. T. Linh-Nguyen et al.

Table 2 Equations for calculating the characteristics of the concrete base on the average
compressive strength
Average compressive strength of the cylindrical sample f cm = f ck + 8 Mpa
( )
Average tensile strength of the cylindrical sample f tm = max 0.3 f ck
0.67 , 0.9 f
sp Mpa
( )1/3
Tangent module E ci = E c0 α E f10
cm
Gpa

Strain at the top of the sample when compressing εtm = 0.0007( f cm )0.31
Fracture energy G F = 73( f cm )0.18 N/m
( )2
Failure energy G ch = ffcm
tm
GF N/m

average compressive strength f cm and the average tensile strength f tm in the axial
compression test.

2.1 Compression Behaviour of Concrete

The nonlinear behaviour of concrete at the confined axial compression can be divided
into three states, see Fig. 3.

Fig. 3 Compressive behaviour of concrete

Application of Nonlinear Behaviour for Concrete Material … 365

Fig. 4 Compressive behaviour of concrete with characteristic crack length l eq

Stage 1: The stress–strain relationship of concrete is linear. The line segment ends
) σc = E 0 εc is defined by secant
1
at the 0.4 f cm as [4] và EC2 (2002); (then, the curve
moduli of concrete material, E c0 = 0.8 + 0.2 f cm
88
E ci , see Fig. 4.

Stage 2: The stress–strain relationship of concrete is a curve defined by [4] hoă.c EC2
(2002), as follow:
( )2
E ci fεcmc − εεctmc
σc2 = ( ) f cm (4)
1 + E ci εfcm tm
− 2 εεtmc

in which, E ci is the initial tangent module of concrete.

Stage 3: This stage represents the concrete strength decrease suggested by [5]. This
model is appropriate for numerical models that rely on meshing.
( )−1
2 + γc f cm εtm ε 2 γc
σc3 = − γc εc + c (5)
2 f cm 2εtm
pl
π 2 f cm εtm εc
γc = [ ( )]2 ; b = ch (6)
εc
2 Gleqch − 0.5 f cm εtm (1 − b) + b fEcm0

In which, leq is the characteristic crack length of the element that depends on the
mesh size, type, crack propagation; b is the ratio of the plastic to inelastic deforma-
tion εcch , experimentally, b = 0.9; G ch is the breaking energy from 10 to 25 kN/m
according to [6]; εtm is the strain with respect to the average compressive strength
f cm . Figure 4 shows the uniaxial compression behaviour of concrete with f cm = 35
Mpa witt respect to the different meshing sizes.
366 T. T. Linh-Nguyen et al.

Fig. 5 Cracking model [8]

2.2 Tension Behaviour of Concrete

In the first stage, the behaviour of concrete has not been cracked. The stress–strain
relation is linear and determined through the initial strain modulus of the concrete E ci .
The current behaviour does not depend on meshing. Then, in the tension softening
state, cracks take place, and the stress–strain curve depends on meshing (i.e., the
characteristic length of the element, le ). Cracks form and expand until the concrete
breaks. Because in FEM, leq occasionally causes the convergence problems, [7]
proposed a stress-crack width relation that does not depend on meshing, see Fig. 5
[ ( ) ]
σt (w) w 3 −c2 w w( )
= 1 + c1 e wc − 1 + c13 e−c2 (7)
f tm wc wc

GF
wc = 5.14 (8)
f tm

in which, f tm is the average tensile strength of concrete; w is the crack width at stress
σt ; wc is the ultimate crack width depending on the fracture energy G F .
In ABAQUS, the tension model of concrete can be established by the relation of
stress and crack width or stress with cracking strain or the stress and strain. They are
computed through the crack model suggested by [8], see Fig. 6, we have εtck = w/leq .
Application of Nonlinear Behaviour for Concrete Material … 367

Fig. 6 Tensile stress-crack width ratio

Fig. 7 Tensile stress-deformation ratio under the effect of leq

The strain at tension stress in the tension softening phase is calculated as follows:

εtcr = (εt − εtm ) = w/leq ⇒ εt = εtm + w/leq (9)

in which, εt is the strain of concrete corresponding to the tension softening phase

at the stress σt . Thus, the strain in the tension softening phase of concrete can be
determined by the characteristic crack length leq . The stress–strain behaviour in the
tension depends on meshing, see Fig. 7.
368 T. T. Linh-Nguyen et al.

2.3 Compression and Tension Softening Coefficients

of Concrete

Softening coefficients in compression dc and in tension dt are established based on

the stress–strain relation of concrete under compression and tension, see Fig. 9a,
b. Therefore, in the softening phase, when loads are removed, the initial elastic
stiffness decreases. In which, dc and dt are two characteristic coefficients for this
stiffness decrease, 0 ≤ dc , dt ≤ 1. The model (CDP) is based on the assumption of
pl pl
the plastic strain in the compressive and tensile behaviour of concrete. εc and εt
can be calculated directly from the stress–strain curve with compression and tension
softening known coefficients, as follows:

dc σc ch σc
εcpl = εcch − ; εc = εc − (10)
1 − dc E 0 E0

pl dt σc ck σt
εt = εtck − ; εt = εt − (11)
1 − dt E 0 E0

Typically, the softening coefficients are determined experimentally as [5], dc =

0.7, dt = 0.1. Alfarah et al. [1] proposes a method to calculate the softening coef-
ficients dc , dt without experiments. In this research, the softening coefficients are
calculated as follows:
/
ac = 2( f cm / f c0 ) − 1 + 2 ( f cm / f c0 )2 − ( f cm / f c0 ) (12)

/
at = 2( f tm / f t0 ) − 1 + 2 ( f tm / f t0 )2 − ( f tm / f t0 ) (13)

f c0 leq ( ac )
bc = 1+ (14)
G ch 2
f t0 leq ( a )
t
bt = 1+ (15)
GF 2

in which, f c0 and f t0 are the ultimate compressive and tensile strength of concrete
before cracking, as Sect. 2.1, f c0 = 0.4 f cm , f t0 = f tm . The softening coefficients,
dc , dt , are computed by Eqs. (16) and (17) as [1], see in Fig. 8.

1 [ ]
dc = 1 − 2(1 + ac ) exp(−bc εcch ) − ac exp(−2bc εcch (16)
2 + ac
1 [ ]
dt = 1 − 2(1 + at ) exp(−bt εtck ) − at exp(−2bt εtck ) (17)
2 + at
Application of Nonlinear Behaviour for Concrete Material … 369

- ratio.

Fig. 8 Damage variable d c and d t

Fig. 9 Model test of [6] and [9] using ABAQUS

3 Characteristic Crack Length

(w
The cracking energy G F = 0 c σt dw is the lower area of the tension curve of concrete
in the compression softening /tension softening state. It represents a relation between
the stress and crack opening, which causes no impact on the meshing. Consider a
370 T. T. Linh-Nguyen et al.

single crack whose width corresponds to the cracking strain εcr . The value l_ed is a
characteristic crack length to calculate the cracking strain such that led εcr = w. The
characteristic crack length leq can be taken as the square root of the shell-element
area. In the case of solid-element, led = e, in which, e is the element edge (ABAQUS
Manual).

4 Numerical Examples

The first example of this study is a model to stimulate the concrete compression
experience of [9] and [6]. Van Mier [9] and Vonk [6] conducted axial compression
test with lateral expansion (Poisson effect) of different samples with the same cross
section (100 × 100 mm) but various heights (200, 100 and 50 mm). The results show
that the shortened samples have more resilient than the longer ones. The simulation
is carried out with the element size equalling the length of the samples. It means that
the mesh has only one element whose characteristic crack length leq in the simulation,
see in Fig. 9.
The numerical results in Fig. 10 indicate that the parameters defining the yield
surface in Table 1 and the method setting the tensile and compressive behaviour of
concrete are reliable and compatible with the experimental results.

Fig. 10 Results obtained from ABAQUS compared to [9] and [6]

Application of Nonlinear Behaviour for Concrete Material … 371

Fig. 11 Model test of [10] using ABAQUS

Our second test in this research is a model to simulate the compression softening
test of [10]. The softening coefficients, dc , dt , are computed as the study of [1]. They
are the exponential function and calculated for each compressive or tensile stress in
the softening stages. In addition, dc , dt can be based on the [5], and they are constants
with dc = 0.7, dt = 0.1. The softening coefficients are determined experimentally
with the procedure of loading and unloading then reloading until the sample damages.
Sinha et al. [10] conducted an experiment to determine the compressive softening
coefficient dc by a cube concrete sample with size 25 × 125 × 125 mm, the average
compressive strength of the sample f cm = 26 (Mpa). The numerical simulation is set
up as shown in Fig. 11. The sample element is meshed with real size; the characteristic
crack length is taken as the ABAQUS Manual. The edge of the element leq = 125 mm.
The loading process is managed by a technique of displacement control for the
loading–unloading–reloading with the increment of △ = 0.06 mm for one time
increase of load as shown in Fig. 12. The concrete properties and the other parameters
using in ABAQUS are based on [1], shown in Table 3. The comparison between
numerical and experimental results shows that the compressive softening coefficient
dc is consistent to the experimental results, see Fig. 13. When the concrete works in
the softening state, the stiffness decreases compared to the initial stiffness. The new
stiffness of the element at the current stress is E = E ci (1 − dc ).
372 T. T. Linh-Nguyen et al.

Fig. 12 Process of load assignment according to [10]

5 Conclusion

This paper introduces a model to simulate a nonlinear behaviour of concrete, and

the compression and tension softening coefficient of concrete is calculated by the
exponential function proposed by [1] to present the stiffness decrease of the concrete
element in the softening stages. The comparison between experiment and numerical
result in this paper shows that the application of concrete material model for the
nonlinear analysis of concrete depends on the meshing sizes.
Table 3 Parameters are used to simulated the experiment of [10]
f cm (Mpa) E ci (Mpa) f tm (Mpa) G ch (N/mm) G F (N/mm) b ac at leq (mm) bc bt
26 29,564 2.06 20.894 0.131 0.8 7.873 1 125 306.425 2856.48
Application of Nonlinear Behaviour for Concrete Material …
373
374 T. T. Linh-Nguyen et al.

Fig. 13 Results obtained using ABAQUS compared to the experiment of [10]

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3. Lee J, Fenves GL (1998) Plastic-damage model for cyclic loading of concrete structures. J Eng
Mech 124(8):892–900
4. Béton CE-Id (1993) CEB-FIP model code 1990: design code. Thomas Telford Publishing
5. Krätzig WB, Pölling R (2004) An elasto-plastic damage model for reinforced concrete with
minimum number of material parameters. Comput Struct 82(15–16):1201–1215
6. Vonk RA (1992) Softening of concrete loading in compression. Ph.D. thesis
7. Cornelissen H, Hordijk D, Reinhardt H (1986) Experimental determination of crack softening
characteristics of normalweight and lightweight. Heron 31(2):45–46
8. Hillerborg A (1983) Analysis of one single crack
9. Van Mier JG (2012) Concrete fracture: a multiscale approach. CRC press
10. Sinha B, Gerstle KH, Tulin LG (1964) Stress-strain relations for concrete under cyclic loading.
J Proc
Particle Swarm Optimization (PSO)
Algorithm Design of Feedforward Neural
Networks (FFN) for Predicting the Single
Damage Severity in 3D Steel Frame
Structure

Thanh Cuong-Le and Hoang Le-Minh

1 Introduction

Structure damage can be predicted early, allowing for timely repair. Therefore, this
problem has received more and more attention and research in recent years. Many
methods have been proposed and proven for their effectiveness and suitability for
the application. Model-based methods, which record changes in modal properties of
the structure, such as natural frequencies and mode shapes, are widely applied for
predicting the damage structures. Normally, there are two approaches to solve this
problem. The first approach is based on inverse problem combined with the opti-
mization algorithm to minimize the objective function, which is established from
the differences between the mode shapes and frequencies registered at two states,
damaged and undamaged structures [1–3]. And the second approach is relied on arti-
ficial neural networks, support vector machines, and deep learning [4, 5]. Over the
past two decades, artificial neural networks (ANNs) techniques known have signifi-
cant growth with their applications in many fields. The process of self-improvement
of ANN uses back-propagation method, which is local search strategy using gradient
descent to adapt the weights and biases in each layer. In this work, the process of
back-propagation is replaced by PSO algorithm for optimization of the hyperpa-
rameters in FFN. There are also some research contribution based on optimization
algorithm to improve FFN [6–8].

T. Cuong-Le (B) · H. Le-Minh

Faculty of Civil Engineering, Ho Chi Minh City Open University, Ho Chi Minh City, Vietnam
e-mail: [Link]@[Link]

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2023 375
R. V. Rao et al. (eds.), Recent Advances in Structural Health Monitoring
and Engineering Structures, Lecture Notes in Mechanical Engineering,
[Link]
376 T. Cuong-Le and H. Le-Minh

2 Particle Swarm Optimization (PSO)

Kennedy and Eberhart [9] proposed particle swarm optimization (PSO), which is
a well-known optimization algorithm, and it is widely used in many fields. The
background of PSO lies on two positions exploited at each iteration called the global
best (G best ) and local best (L best,i ). Based on these position, a movement strategy
is established to ensure the balance between local best and global best. First of all,
the velocity of each candidate solution X i (i = 1, 2, . . . n) at the step of movement
(t +1)th will be updated. And the second, the new position of each candidate solution
X i (i = 1, 2, . . . n) will be calculated based on its velocity. Thus, at the (t + 1)th
iteration, the new position will be close to local best or global best. During their
movement, the solution candidates can also expand the new search spaces through
the two factors defined as learning factors c1 , c2 . The process of improvement of
PSO is implemented through iterations. If we achieve a sufficiently large number of
iterations, we will achieve convergence with an acceptable accuracy level.
The process of updating the new velocity and position of the PSO algorithm is
described in Eqs. (1) and (2).

Vit+1 = wVit + c1 r1 (L best,i − X it ) + c2 r2 (G best − X it ) (1)

X it+1 = X it + Vit+1 (2)

where r1 , r2 are random vector registered the value in range [0, 1] and w is denoted
as an inertia weight to control the velocity.

3 A Hybrid PSO-Feedforward Neural Networks

(PSO-FFN)

A neural network will start with datasets including the two parts called input data
and target data (known). Through FFN, the input data will pass through multiple
hidden nodes, and the final layer in FFN will calculate the cohesive output based on
the activation function. A feedforward neural network is a relatively simple artificial
neural network in which the connections between nodes do not form a loop as shown
in Fig. 1. They are called feedforward because information in the network only goes
forward.
Neuron of each layer lth is considered as cohesive output from each neuron in
previous layer (l − 1)th, and at the same time, it is also considered as input to the
neurons in next layer (l + 1)th. This process will be straightforward to the last layer
to produce the final cohesive output.
We define wljk as the weight for the connection from the kth neuron in the (l − 1)th
layer to jth neuron in the (l)th layer. And blj is the bias of jth neuron in the (l)th
Particle Swarm Optimization (PSO) Algorithm Design … 377

Fig. 1 Applications of feedforward neural networks

layer. With these notations, the activation f jl of jth neuron in the (l)th layer is given
in Eq. (1)
( )
{
a lj = f wljk akl−1 + blj (3)
k

where the sum is defined over all neurons in the (l − 1)th layer. And f = 1+e1 −x is
sigmoid function. Based on the FNN, the final cohesive output will be determined at
the last layer. Assume that ~
y is the desired output (target). The loss function in DNN
is calculated in Eq. (3)
( ){
1
m
II L II2
MSE = y II
IIa − ~ (4)
n row × n col j=1

where n row and n col are the number of rows and columns, respectively. And m is
the number of training data. The process of neural network training is implemented
through the weights and bias updating. And normally, this process is secured by back-
propagation based on gradient descent. In this paper, we do not use this method;
instead, PSO is employed to minimize the objective function as given in Eq. (3)
378 T. Cuong-Le and H. Le-Minh

Fig. 2 Process of optimization the loss function in FNN using PSO

as shown in Fig. 2. The best solution obtained by PSO will be considered as the
hyperparameters. Through these hyperparameter, we will establish a complete FFN
for predicting damage severities elements in steel 2D frame.

4 Application PSO-FNN for Predicting the Damage

Serverity of Columns in Steel 3D Frame Structure

This section mentions the application of PSO-FNN to determine the damage severity
of columns in steel a 3D frame structure. Thus, a 3D steel frame having geometry
with 3 m for two long sides and 3 m inner story height is shown in Fig. 3. The
Particle Swarm Optimization (PSO) Algorithm Design … 379

Fig. 3 Geometry of 3D steel

frame

columns and beams are in the same section (H-300 × 10 + 125 × 6), which are
denoted as H shape section with 300 mm height, 10 mm web thickness, 125 mm
width of flange, and 6 mm flange thickness. A finite element (FE) model having 16
elements and 12 nodes, as shown in Fig. 4, is used to simulate the structure. The data
training of FFN-PSO includes input datasets, which are defined as the mode shapes
and frequencies obtained by FE analysis at the random damage cases. And these
random damage cases are also considered as output datasets. To predict the single
damage severities, column, whose label is 9, is selected. The process of FE model
updating is used to create the training data by applying the random damage value
distributed in range from 0.1 to 0.4. Then, these damage values will be assigned to
the single column element 9 for story one to update the FE model. By this way, we
create 200 data for training FFN-PSO including input datasets, which are extracted
from FE model analysis with the first twelve frequencies and the first three mode
shapes. And output datasets are random damage value of single column, which are
defined as element 9.
The FFN-PSO uses three hidden layers to achieve a nonlinear relationship between
input and cohesive output. The number of neurons in each hidden layer is 5, 3, and 5,
respectively. Thus, the architect of FFN-PSO is rewritten in the notation [input 5 3 5
output]. The loss function (MSE) of FFN-PSO is shown in Fig. 5, and the difference
between output using FFN-PSO and target is shown in Fig. 6. The results show that
with the number of iterations T = 5000, the PSO can find the hyperparameters with
an acceptable level of accuracy. At the last of iteration, FFN-PSO registers MSE =
10–3 and the regression R = 0.95755.
We conducted three tests given in Table 1 to evaluate the accuracy and general-
izability of the FFN-PSO model. Thus, the random damage variables are assigned
to column element 9 as reduction of stiffness. Then, based on FE analysis, the first
twelve frequencies and the first three mode shapes are extracted. These data are
considered as input datasets in FFN-PSO, and the cohesive output will be determined
by the process of FFN as given in Eq. (3). The prediction results using FFN-PSO
380 T. Cuong-Le and H. Le-Minh

Fig. 4 Number of node

labels and frame labels

Fig. 5 History of MSE 10 -3 PSO-ANN

8
value over the course of
iterations 7

5
MSE

1
0 1000 2000 3000 4000 5000
Iteration

are presented in Table 2 and Fig. 7. Although there are errors between the predicted
values and the true values, the accuracy level is acceptable with a good agreement.
The largest error recorded is 0.025 for Case 3.
Particle Swarm Optimization (PSO) Algorithm Design … 381

Fig. 6 Results of output : R=0.95755

value obtained by DNN vs Data

target value Fit

Y=T
0.35

Output ~= 0.71*Target + 0.074

0.3

0.25

0.2

0.15

0.15 0.2 0.25 0.3 0.35

Target

Table 1 Reduction stiffness

Case Damaged elements Reduction of stiffness (%)
in single element 9 for
different elements Case 1 Element 9 α 1 = 32%
Case 2 Element 9 α 2 = 20%
Case 3 Element 9 α 3 = 18%

Table 2 Results of FFN-PSO for predicting the single damage for element 9
Case Damaged elements True value Prediction value Absolute error
Case 1 Element 9 0.32 0.322 0.002
Case 2 Element 9 0.2 0.218 0.018
Case 3 Element 9 0.18 0.205 0.025

5 Conclusion

In this paper, a method for hyperparameters optimization in a feedforward network

defined by [input 5 3 5 output] is presented for predicting the single damage severity.
After finding the best hyperparameter by PSO algorithm, the FFN-PSO is used to
train a dataset, including input and target. These training datasets are obtained by
the FE model updating. The results show that the FNN-PSO can predict exactly the
damage severities in element 9 for a 3D steel frame. The results obtained in this
study have proved that the application of optimization algorithms for optimizing the
382 T. Cuong-Le and H. Le-Minh

Case 1
Fig. 7 Damage 0.35
identification results for Case TRUE MEASURE

1, Case 2, and Case 3 using 0.3 PREDICTION-DNN

FFN-PSO
0.25

0.2

Damage severity
0.15

0.1

0.05

0
0 5 10 15
[Link]

Case 2
0.25
TRUE MEASURE
PREDICTION-DNN

0.2

0.15
Damage severity

0.1

0.05

0
0 5 10 15
[Link]

Case 3
0.25
TRUE MEASURE
PREDICTION-FFNPSO

0.2

0.15
Damage severity

0.1

0.05

0
0 5 10 15
[Link]
Particle Swarm Optimization (PSO) Algorithm Design … 383

hyperparameters in the feedforward network is promising, and they can be used to

improve the other complete networks such as ANN or DNN.

Acknowledgements The authors gratefully acknowledge the financial support granted by the
Scientific Research Fund of the Ministry of Education and Training (MOET), Vietnam (No.
B2021-MBS-06).

References

1. Minh H-L, Khatir S, Abdel Wahab M, Cuong-Le T (2021) An enhancing particle swarm opti-
mization algorithm (EHVPSO) for damage identification in 3D transmission tower. Eng Struct
242:112412
2. Minh H-L, Khatir S, Rao RV, Abdel Wahab M, Cuong-Le T (2021) A variable velocity strategy
particle swarm optimization algorithm (VVS-PSO) for damage assessment in structures. Eng
Comput 1–30
3. Le Thanh C, Sang-To T, Hoang-Le H-L, Danh T-T, Khatir S, Wahab MA (2022) Combination
of intermittent search strategy and an improve particle swarm optimization algorithm (IPSO)
for damage detection of steel frame. Frattura ed Integrità Strutturale 16(59):141–152
4. Anaissi A, Khoa NLD, Wang Y (2018) Automated parameter tuning in one-class support vector
machine: an application for damage detection. Int J Data Sci Anal 6(4):311–325
5. Lin Yz, Nie Zh, Ma Hw (2017) Structural damage detection with automatic feature-extraction
through deep learning. Comput-Aided Civil Infrastruct Eng 32(12):1025–1046
6. Mendes R, Cortez P, Rocha M, Neves J (2002) Particle swarms for feedforward neural
network training. In: Proceedings of the 2002 international joint conference on neural networks.
IJCNN’02 (Cat. No. 02CH37290), vol 2. IEEE, pp 1895–1899
7. Meissner M, Schmuker M, Schneider G (2006) Optimized particle swarm optimization (OPSO)
and its application to artificial neural network training. BMC Bioinform 7(1):1–11
8. Slowik A, Bialko M (2008) Training of artificial neural networks using differential evolution
algorithm. In: 2008 conference on human system interactions. IEEE, pp 60–65
9. Kennedy J, Eberhart R (1995) Particle swarm optimization. In: Proceedings of ICNN’95-
International conference on neural networks, vol 4. IEEE, pp 1942–1948
Predicting Damaged Truss Using
Meta-Heuristic Optimization Algorithm

Thanh Sang-To, Minh Hoang-Le, Magd Abdel Wahab, and Thanh Cuong-Le

1 Introduction

The truss system is a vital component in many different kinds of structures. It has
been widely employed in a lot of distinct fields, e.g. industry, high-tech agriculture,
civil infrastructures, shipbuilding, auto production, etc. Because of fatigue, ageing,
environmental effects, etc., truss systems may be reduced the level of security service
substantially, which leads to accidents in the future. For this reason, not only is early
damage prediction essential to maintain the integrity and safety of the structure, but
also it means minimizing the maintenance cost. Thus, the construction of efficient
and proper approaches to assess damage to truss structures is vital, which led to the
attend of many scholars worldwide to solve this problem.
In recent decades, the development of the computer field, including hardware
and software, allows us to process a number of huge calculations in a short time.
In addition, artificial intelligence (AI), together with modern math theory, is more
and more popular; simultaneously, they are proven effective in most fields. In which
meta-heuristic optimization algorithms have several advantages, e.g. simple, easy for
application, are used popularly. Many algorithms are well-known, such as particle
swarm optimization (PSO) [1], genetic algorithm (GA) [2], cuckoo search (CS) [3]
algorithm, grey wolf optimizer (GWO) [4] algorithm and bat algorithm (BA) [5]. All
of them are employed to solve many various optimizations, in which a lot of damage
structure problems were adopted these to search the best solution. For instance, Minh
et al. [6] and Le Thanh et al. [7] employed PSO to detect damage for truss and frame

T. Sang-To · M. Hoang-Le · T. Cuong-Le (B)

Faculty of Civil Engineering, Ho Chi Minh City Open University, Ho Chi Minh City, Vietnam
e-mail: [Link]@[Link]
M. A. Wahab
Soete Laboratory, Faculty of Engineering and Architecture, Ghent University, Technologiepark
Zwijnaarde 903, 9052 Zwijnaarde, Belgium

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2023 385
R. V. Rao et al. (eds.), Recent Advances in Structural Health Monitoring
and Engineering Structures, Lecture Notes in Mechanical Engineering,
[Link]
386 T. Sang-To et al.

system, respectively. Khatir et al. [8] adopted bat algorithm for forecasting damage
beam. Ghannadi et al. [9] used GWO algorithm to deal with the optimization problem.

2 Methodology

In this study, meta-metaheuristics optimization algorithms combine with finite

element (FE) analysis to predict position and severity damage structures. Based
on mining the difference between actual damage and FE analysis frequencies, opti-
mization algorithms are in charge to locate and measure the severity of damage
element(s).

2.1 Optimization Algorithms

As we know that genetic algorithm is the well-known optimization and artificial

intelligence (AI) field. This algorithm simulates theory evolution and is employed
to solve many problems from politics to science, from agriculture to industry, and
the most routine life activities. GA is described brief by three principles (namely
selection, crossover and mutation).
On the other hand, particle swarm optimization (PSO) is an optimization algorithm
simulated swarm behaviour. In comparison with GA, PSO is more simple and easy to
run. The structure of PSO consists of two primary sections velocity (V ) and location
(X ) each agent.
[ ]
V jd (i + 1) = ωV jd (i ) + c1 × rand × p dj (i) − X dj (i )
[ ]
+ c2 × rand × g d (i ) − X dj (i )
X dj (i + 1) = X dj (i ) + V jd (i + 1)

where ω, c1 and c2 are weight factors, while p and g are the best location of the
member and swarm at the current, respectively.
Since these algorithms were proved the efficiency in many fields, hence they are
adopted to assess structural health monitoring in this paper.

2.2 The 21-Bar Truss

A 21-bar truss is employed to investigate the damage scenarios. The location of

nodes, bars and boundary conditions are shown in Fig. 1. The coordinate nodes are
presented in Table 1. In addition, the material properties of all bars are the same,
Predicting Damaged Truss Using Meta-Heuristic … 387

Fig. 1 Schematic of the 21-bar truss

Table 1 Location of point

Node X (m) Y (m) Node X (m) Y (m)
1 0 0 7 50 0
2 8 0 8 8 10
3 16 0 9 16 10
4 25 0 10 25 10
5 34 0 11 34 10
6 42 0 12 42 10

namely Young’s modulus E = 205 MPa, mass density ρ = 7850 kg/m3 and across
area A = 7.0686 E−04 m2 .

3 Results and Discussion

In this paper, we present three damage scenarios, including single-damage and multi-
damage (from simple to complex), for structural health monitoring. Table 2 contains
information about damage scenarios in detail. Each scenario is assessed by two cases
(without noise and with noise 3%).

Table 2 Three damage

Scenarios Damage bar(s) Severity of damage (R)
scenarios
The first scenario Bar 01 R = 35%
The second scenario Bar 07 R = 35%
Bar 17 R = 25%
The third scenario Bar 05 R = 10%
Bar 10 R = 15%
Bar 14 R = 20%
Bar 20 R = 30%
388 T. Sang-To et al.

3.1 Scenario 1

See Figs. 2, 3 and 4.

Fig. 2 Location and severity damage detection results for the first scenario

Fig. 3 History of the best solution

Fig. 4 Convergence curves for the first scenario

Predicting Damaged Truss Using Meta-Heuristic … 389

Fig. 5 Location and severity damage detection results for the second scenario

Fig. 6 History of the best solution

3.2 Scenario 2

See Figs. 5 and 6.

3.3 Scenario 3

The results reveal that both methods (using GA and PSO) provide the desired results
for predicting damage structure in cases without noise, which is illustrated in Figs. 2a
and 3a in detail. We can see that both algorithms get the desired results with only 60
iterations. Nevertheless, the results of forecasting damage using the PSO are affected
significantly by noise cases. Indeed, the predicted result of the PSO is excessed by
20% in the single-damage case. In which the noise of total in all bars (expect bar 7
and 17) is 16.5% in the second scenario. In contrast, these errors when using the GA
are only 8.9% and 4%, respectively, the first and second scenarios. For this reason,
the convergence curves of the GA are better than the PSO (see Figs. 4 and 7) in most
cases.
Once the challenge of the problem increased using in the four-damage case shown
in the third scenario, the performance of the GA over the PSO is described clearly.
Specifically, the noises of total are 30.8% and 9.65%, respectively, using the PSO and
390 T. Sang-To et al.

Fig. 7 Convergence curves for scenario second

the GA for predicting damage the third scenario. Figures 8 and 9 show the location
and severity damage detection results for this scenario with noise 3% as well as the
history of the model updating. In the meantime, Fig. 10 presents convergence curves
with noise 3% of the GA and the PSO. The results reveal that the GA employed to
detect the damaged member(s) in this problem is reasonable rather than the PSO.

Fig. 8 Location and severity damage detection results for the third scenario with noise 3%

Fig. 9 History of the model updating

Predicting Damaged Truss Using Meta-Heuristic … 391

Fig. 10 Convergence curves

with noise 3% for scenario
third

4 Conclusion

With three damage scenarios shown in this study, it can be seen that the optimization
algorithm plays an essential role in structural health monitoring. A 21-bar truss with
many damage cases, namely single-damage and multi-damage, is presented in detail.
For global search, both algorithms are located well the position of damage bar(s) in
single-damage cases, but it is noted that GA is always more accurate than PSO in these
cases. In comparison with PSO, which are many errors when damage identification
with measurement noise 3%, GA provides the more competitive results for damage
identification for all scenarios. The obtained results proved that the GA is better than
PSO to solve this problem.

Acknowledgements The authors acknowledge the financial support of VLIR-UOS TEAM Project,
VN2018TEA479A103, ‘Damage assessment tools for Structural Health Monitoring of Vietnamese
infrastructures’, funded by the Flemish Government.

The authors gratefully acknowledge the financial support granted by the Scientific Research
Fund of the Ministry of Education and Training (MOET), Vietnam (No. B2021-MBS-06).

References

1. Kennedy J, Eberhart R (1995) Particle swarm optimization. In: Proceedings of ICNN’95-

international conference on neural networks, vol 4. IEEE, pp 1942–1948
2. John H (1992) Holland genetic algorithms. Sci Am 267(1):44–50
3. Yang X-S, Deb S (2009) Cuckoo search via Lévy flights. In: 2009 World congress on nature &
biologically inspired computing (NaBIC). IEEE, pp 210–214
4. Mirjalili S, Mirjalili SM, Lewis A (2104) Grey wolf optimizer. Adv Eng Softw 69:46–61. https://
[Link]/10.1016/[Link].2013.12.007
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5. Yang XS, Gandomi AH (2012) Bat algorithm: a novel approach for global engineering
optimization. Eng Comput
6. Minh H-L, Khatir S, Wahab MA, Cuong-Le T (2021) An enhancing particle swarm optimization
algorithm (EHVPSO) for damage identification in 3D transmission tower. Eng Struct 242:112412
7. Le Thanh C, Sang-To T, Hoang-Le H-L, Danh T-T, Khatir S, Wahab MA (2022) Combination
of intermittent search strategy and an improve particle swarm optimization algorithm (IPSO)
for damage detection of steel frame. Frattura ed Integrità Strutturale 16(59):141–152
8. Khatir S, Belaidi I, Serra R, Wahab MA, Khatir T (2016) Numerical study for single and multiple
damage detection and localization in beam-like structures using BAT algorithm. J Vibroeng
18(1):202–213
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Eng 23(13):2850–2865
Forced Vibration of Delaminated
Composite Beam with the Effect
of Interfacial Contact

Hadjila Bournine

1 Introduction

Every structure is subject to degradation over time especially if it undergoes dynamic

stress. The mechanisms may vary from a structure to another depending on its nature
and working environment. Among the different faults that can appear in a multilayer
composite structure comes the delamination or the disbanding of its different layers.
It basically reflects the degradation of the resin used to hold the multiple layers
together.
A number of authors have been looking into the dynamics of delaminated compos-
ites. Most of the models are based on the segmentation of the beam into undamaged
and delaminated parts (Fig. 1) [1]. The earliest models were based on the assump-
tion that delaminated segments must act according to a constraint or free model
[1–3]. The constraint model meant that the delaminated parts do not separate or slide
against each other whereas the free model meant that they vibrate separately and the
authors assumed that they had the same mode shape [2, 3]. The authors of [3] added
an axial load to the delaminated segments while most of the authors considered the
axial displacement compatibility condition. Luo and Hanagud [4] considered the
shear and rotation of section effects. Further, an interfacial contact model was intro-
duced for the first time as an arbitrary stiffness normal to the delamination interface.
Later on, The interface contact was further developed by Wang and Tong [5] into
an interpenetration model characterized by a normal force made of a combination
of a linear spring with a stiffness defined from the constitutive law of a normally
loaded infinitesimal body and a Hertz like model. Further, An extended model that
includes the tangential effects of delamination was proposed by Manoach et al. [6],
it included a shear force as well as a damping parameter, in addition to the normal

H. Bournine (B)
Université des Sciences et Technologie Houari Boumediene, Bab Ezzouar, Algeria
e-mail: hbournine@[Link]

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2023 393
R. V. Rao et al. (eds.), Recent Advances in Structural Health Monitoring
and Engineering Structures, Lecture Notes in Mechanical Engineering,
[Link]
394 H. Bournine

Fig. 1 Beam with an

embedded delamination

force proposed by Wang and Tong [5]. Other authors considered a simpler interface
contact behavior [7, 8] while the authors [7] considered the nonlinear behavior of a
beam under a varying normal interfacial force, in [7] both components of the contact
force were considered as arbitrary constants.
The energy dissipation through friction was considered by Manoach et al. [6] as an
equivalent to viscous damping whereas an energy dissipation approach is presented in
[9]. Forced vibration analysis remains very scarce, among the authors who considered
it, Kargarnovin et al. [10] with an analytical model whereas Infantes et al. [11] came
up with a numerical algorithm based on a finite element approach. Both papers
neglect the effect of the interfacial forces [10, 11].
In this paper, a generalized analytical model is developed that takes into consider-
ation secondary shear and inertial effects as well as longitudinal motion. In addi-
tion, the effect of the differential bending on the delaminated segments is also
included. The delaminated element undergoes an alternating cycle of opening and
closing modes which creates a discontinuous interfacial behavior. This discontinuity
is decomposed into a normal component and a tangential one. While the normal force
is modeled as a bilinear function based on the interpenetration constraint model the
tangential component interfacial contact is introduced as an equivalent damping term
due to friction.
The spatial part of the equation was defined analytically whereas the temporal
function was resolved numerically due to the weak nonlinearity presented by
the interfacial model. The natural frequencies are recalculated to account for the
alternating state of the interface.

2 Mathematical Formulation

2.1 Geometric Representation

In this work, a beam of length L with a rectangular uniform cross-section of thickness

h and depth b is considered. The delamination could appear between any two adjacent
layers at any depth (see Fig. 1).
Forced Vibration of Delaminated Composite Beam … 395

2.2 Interaction at the Delamination Interface

The delaminated element undergoes an alternating cycle of opening and closing

modes causing the appearance of interaction forces at the interface which leads to a
continuous change in stiffness and damping over each vibration cycle.
The first interfacial interaction introduced was by Luo et al. [4], as they considered
a piecewise linear spring for the normal force with an arbitrary stiffness that reduced
into zero force during opening and a constant one during sticking. Later on, Wang
et al. [5] worked on an interpenetration model characterized by a normal force made
of a combination of a linear spring with a stiffness defined from the constitutive law
of a normally loaded infinitesimal body and a Hertz-like model. An extended model
that includes the tangential effects of delamination was proposed by Manoach et al.
[6], it included a shear force as well as a damping parameter, in addition to the normal
force proposed by Wang [5].
At the disbonding interface, the two segments involved are affected by each other
normally and tangentially (see Fig. 2).
In this work, the normal force is a piecewise bilinear function [8] defined as
follows:

qn (x, t) = kn (w2 (x, t) − w3 (x, t)) (1)

⎧
h2
2b
h for (w2 − w3 ) < 0
+ E3
with kn (x, t) = E2 3 .
0 for (w2 − w3 ) ≥ 0
The tangential force has been proved to cause additional damping due to friction
[9], therefore qs is the distributed friction force which is modeled using a Coulomb
law of friction defined as follows
⎧
⎨0 if (w2 − w3 ) > 0
qs (x, t) = ks (h 2 γ2 + h 3 γ3 ) if (w2 − w3 ) > 0 & qs (x, t) < μqn (x, t) (2)
⎩
μqn (x, t)sgn(ẇ) if (w2 − w3 ) > 0 & qs (x, t) > μqn (x, t)

Fig. 2 Interfacial acting

forces
396 H. Bournine

where μ is Coulomb’s friction coefficient. It should be noted that sliding only occurs
when the following condition is fulfilled [9]:

bτx z (x, t) ≥ μqn (x, t) (3)

As a result qs is a bilinear function since it is a function of qn .

2.3 The Governing Equation

As shown in Fig. 1, after delamination, a representative composite beam with width

d, height h, and length L is decomposed into a combination of four beams connected
at the delamination boundaries x1 = L 1 and x2 = L 1 + L 2 , where L 1 and L 2 are the
lengths of elements 1 and 2 (and 3), respectively (Fig. 1).
We denote by m, D, J, and S the mass per length, the cross-sectional bending
stiffness, the cross-sectional moment of inertia, and cross-sectional shear stiffness,
respectively and A is the cross-sectional area of each beam segment,
The equation of motion for each one of the undamaged beams (1 and 4) is given
as [4]
⎧ ( )
∂
Di ∂ϕ + Si (γi ) − Ji ∂∂tw2 i = Mi
2
i
∂x ∂x (4)
∂(Si γi )
− m i ∂∂tw2 i + qni (x, t) = Fi
2

∂x

where the indices i = 1, 2, 3, and 4 refer to the beam segment, qni is the normal force
at the delaminated interface which only exists for the delaminated parts (i = 2 and
3).
The blending slope wi is related to the rotation of the cross section ϕi and the
shear angle γi as follows

∂wi (x, t)
= ϕi (x, t) + γi (x, t). (5)
∂x
In addition, the axial vibration (should be coupled with bending in the case of
axial loading) for the damaged segments is introduced as follows

∂ 2ui ∂ 2ui
Ai − m i = qi + Ni , (6)
∂x2 ∂t 2

where Ni = Pi + sgn(ẇ) ∫xx21 qs dx with qs is the distributed tangential force acting

along the delamination interface which only exists for the delaminated parts (i =
2 and 3) and P is the axial force due to the differential in length of the segments
resulting from deflection which was defined in [1] as
Forced Vibration of Delaminated Composite Beam … 397

E A2 h 3
P2 = − (ϕ4 (x2 ) − ϕ1 (x1 )).
L 2
E A3 h 2
P3 = (ϕ4 (x2 ) − ϕ1 (x1 )). (7)
L 2
Combining Eqs. 4 and 5 the governing equations for the undamaged segments (i
= 1, 4) under free vibration are as follows:
( )
∂ 4 wi mi Ji ∂ 4 wi m i ∂ 2 wi Ji m i ∂ 4 wi
− + + + =0 (8)
∂x4 Si Di ∂ x 2 ∂t 2 Di ∂t 2 Di Si ∂t 4

∂ 2ui ∂ 2ui
Ai − m i =0 (9)
∂x2 ∂t 2
whereas for the delaminated segments (i = 2, 3), taking into account delamination
effects, they are summarized as follows:
( ) 4
∂ 4 wi mi Ji ∂ wi m i ∂ 2 wi Ji m i ∂ 4 wi
− + + +
∂x 4 Si Di ∂ x ∂t
2 2 Di ∂t 2 Di Si ∂t 4
( 2 ) ( )
kn Ji kn ∂ w2 ∂ 2 w3 k n ∂ 2 w2 ∂ 2 w3
= (w2 − w3 ) + − − − (10)
Di Di Si ∂t 2 ∂t 2 Si ∂ x 2 ∂x2

∂ 2ui ∂ 2ui x2
E i Ai − m i = Pi + sgn(ẇ) ∫ qs dx (11)
∂x 2 ∂t 2
x1

It should be noted that the governing set of equations does not include viscous or
friction damping. These terms need to be included in the temporal function reason
why the friction force does not show in the equation is because it is an internal force
for the whole structure, therefore a term to represent it can be added to the equation
as an inherent damping term.

2.4 The Separation of Variables

For free vibration, one can assume the following separate solutions:
u(x, t) = U (x)q(t) and w(x, t) √ = W (x)q(t) with q(t) a harmonic temporal
function, i.e., q(t) = Ae jωt with j = −1 and ω the natural frequency.
Using the harmonic temporal solution, the spatial part of the equation could be
solved by the following sets of equations. The general solution for the axial motion
governing equation is given as

X i (xi ) = Ci1 sin(γi xi ) + Ci2 cos(γi xi ) (12)

m i ω2
for i = 1:4, with γi2 = E i Ai
.
398 H. Bournine

The sub-beams 2 and 3 are constantly under axial loading P due to the segment
bending. Note that P is a constant function of x, therefore, the particular solution for
beams 2 and 3 is given as follows

Ni
X i (xi ) = Ci1 sin(γi xi ) + Ci2 cos(γi xi ) + (13)
γi2

The flexural motion comes from solving the following set of ordinary differential
equations
( ) ( )
∂ 4 Wi 2 mi Ji ∂ 2 Wi 4 Ji m i 2 mi
+ ω + + ω − ω Wi = 0 (14a)
∂x4 Si Di ∂ x 2 Di Si Di

for i = 1,4 and

( ( ) )
∂ 4 W2 2 m2 J2 k n ∂ 2 W2
+ ω + +
∂x4 S2 D2 S2 ∂ x 2
(( ) ( ))
J2 m 2 m2 1 J2 1
+ ω4 − ω2 − kn − ω2 W2
D2 S2 D2 D2 D2 S2
( ) ( )
k n ∂ 2 W3 kn J k
2 n
=+ − − ω2 W3
S2 ∂ x 2 D2 D2 S2
( ( ) )
∂ 4 W2 2 m2 J2 k n ∂ 2 W2
+ ω + +
∂x4 S2 D2 S2 ∂ x 2
(( ) ( ))
4 J2 m 2 2 m2 1 J2 1
+ ω −ω − kn − ω2 W2
D2 S2 D2 D2 D2 S2
( ) ( )
k n ∂ 2 W3 kn 2 J2 kn
=+ − −ω W3 (14b)
S2 ∂ x 2 D2 D2 S2

and
( ( ) )
∂ 4 W3 2 m3 J3 k n ∂ 2 W3
+ ω + −
∂x4 S3 D3 S3 ∂ x 2
(( ) ( ))
J3 m 3 m3 1 J3 1
+ ω4 − ω2 + kn − ω2 W3
D3 S3 D3 D3 D3 S3
( ) ( )
k n ∂ 2 W2 kn 2 J3 kn
=− + − ω W2 (14c)
S3 ∂ x 2 D3 D3 S3

Solving the equations’ results in

Wi (xi ) = Ai1 cos(a1 xi ) + Ai2 sin(a1 xi )+Ai3 cosh(b1 xi )+Ai4 sinh(b1 xi ) (15)

with
Forced Vibration of Delaminated Composite Beam … 399
/
2( ) ( 2( ))2 ( )
ω m i Ji ω mi Ji Ji m i mi
(a1 ) =
2
+ + + − ω 4 −ω 2
2 Si Di 2 Si Di Di Si Di
/
( ) ( 2( ))2 ( )
ω2 m i Ji ω mi Ji Ji m i mi
(b1 )2 = − + + + − ω4 − ω2
2 Si Di 2 Si Di Di Si Di

Or

Wi (ξi ) = Ai1 cos(a1 L i ξi ) + Ai2 sin(a1 L i ξi )

+ Ai3 cosh(b1 L i ξi ) + Ai4 sinh(b1 L i ξi )

With ξi = xi /L i
The section rotation is defined as follows
ϕi (ξi ) = Ai1 a 1 cos(a1 L i ξi ) + Ai2 a 1 sin(a1 L i ξi )
,
+ Ai3 b1 cosh(b1 L i ξi ) + b1 sinh(b1 L i ξi )
(( ) )
with a1 = ( a1
J S
) ω 2 mi
Si
+ Si
Di
− a 2
1 , b1 =
ω2 i − i
(( ) ) Di Di
− 2 ( Jbi 1 Si ) ω2 mSii + DSii + b12 .for i = 1,4. Whereas for i = 2 and 3, the
ω Di −D
i
solution resembles Eq. 15. When K n = 0 and in the case of K n /= 0, the solution
for the coupled equations is given as

{
8
( )
Wi (x2 ) = A2 j vi j exp λ j x2 (16)
j=1

where i = 2, 3, A2 j are arbitrary constants to be defined from the continuity conditions

and λ j and vi j are the Eigen values and vectors of the following reduced coupled
differential equations
⎡ ⎤I I⎡ ⎤
X 20 ' II 0 1 0 0 0 0 0 0 II X 20
⎢ X 21 ' ⎥I 0 0 1 0 0 0 0 0 II⎢ ⎥
⎢ ⎥I ⎢ X 21 ⎥
⎢ X ' ⎥I 0 I⎢
0 I⎢ X 22 ⎥
⎢ 22 ⎥I 0 0 1 0 0 0 ⎥
⎢ ⎥I I⎢ ⎥
⎢ X 23 ' ⎥I −β2 0 −α2 0 C21 0 C22 0 I⎢ X 23 ⎥
⎢ ' ⎥I I⎢ ⎥ (17)
⎢ X 30 ⎥I 0 0 0 0 0 1 0 0 I⎢ X 30 ⎥
⎢ ⎥I I⎢ ⎥
⎢ X 31 ' ⎥I 0 0 0 0 0 0 1 0 II⎢ ⎥
⎢ ⎥I ⎢ X 31 ⎥
⎣ X 32 ' ⎦I 0 0 0 0 0 0 0 I⎣
1 I X 32 ⎦
I
X 33 ' I C31 0 C32 0 −β3 0 −α3 0 I X 33
( ( ) )
where Xij is the jth derivative of Xi and α2 = ω2 mS22 + DJ22 + kSn2 ,
(( ) ( ))
J2 m2 m2 1 J2 1 kn
β2 = ω4 −ω2 −kn −ω2 , C22 = ,
D2 S2 D2 D2 D2 S2 S2
400 H. Bournine
( ) ( ( ) )
kn J2 kn m3 J3 kn
C21 = − −ω2 , α 3 = ω2 + − ,
D2 D2 S2 S3 D3 S3
(( ) ( ))
J3 m3 m3 1 J3 1
β3 = ω4 −ω2 +kn −ω2 ,
D3 S3 D3 D3 D3 S3
( )
kn kn J3 kn
and C32 = − and C31 = −ω2 .
S3 D3 D3 S3

The function for ϕi (xi ) is easily recovered from deriving Eqs. (15) and (16) and
replacing in Eq. (4).

2.5 The Continuity Conditions

Since the delaminated part is inherent to the beam a number of continuity conditions
are naturally satisfied and in what follows, a summary of these conditions at x = x1 .
w1((x1 ) = w2 (x1 ) =)w3 (x1 ),( ϕ1 (x1 ) = ϕ2 (x1 )) = ϕ3 (x
( 1 ), )
∂w1 (x1 ) ∂w2 (x1 ) ∂w3 (x1 )
S1 ∂x
− ϕ1 (x 1 ) = S2 ∂x
− ϕ2 (x 1 ) + S3 ∂x
− ϕ3 (x 1 ) and

∂ϕ1 (x1 ) ∂ϕ2 (x1 ) ∂ϕ3 (x1 )

D1 = D2 + D3 − A2 u 2 ' (x1 ) + A3 u 3 ' (x1 )
∂x ∂x ∂x
Seeing how

∂ϕ1 (x1 ) ∂ϕ2 (x1 ) ∂ϕ3 (x1 )

D1 = D2 + D3
∂x ∂x ∂x
E ( 2 )
− h A2 + h 2 A3 (ϕ4 (x2 ) − ϕ1 (x1 ))
2
4L 3
Continuity of the axial displacement is given by

(h 1 − h 2 ) (h 1 − h 3 )
u 2 (x1 ) = − ϕ1 and u 3 (x1 ) = ϕ1 .
2 2
An equivalent set of equations are applied at x = x2 between the delaminated
segments and the sub-beam 4.

3 The Model Simulation

A code to recreate the calculations was prepared using two sets of boundary condi-
tions, double pined on both sides and a cantilever. The material characteristics were
Forced Vibration of Delaminated Composite Beam … 401

chosen from [10] to ensure means to a comparison with previous work. The code to
this calculation follows the following steps.
Step 1: Define the natural frequencies and mode shapes by solving for the boundary
and continuity conditions.
Step 2: Calculate the Eigen values of the temporal problem and estimate the
variation after dt.
Step 3: Simulate a forced input and recalculate the natural frequency.

4 Results and Discussion

The first element to observe is the natural frequencies. To verify the program, it
was used to calculate the first three frequencies of a cantilever beam with a single
delamination at h2 = 0.6 mm and h3 = 0.2 mm and compared to those presented in
previous works and the results are summarized in Table 1. As can be clearly seen,
there is a good agreement between these results and those presented in literature.
For the first frequency, all three models are within less than 2% error margin. For
higher modes, however, the error increases for all models, the current model improves
tremendously the frequency prediction in comparison to the other models.

4.1 Interfacial Interaction

After plotting the mode shapes, it is interesting to visualize the interaction between
the delaminated segments. Two examples are presented in Fig. 3. The first one depicts
a frequency at which the interaction varies along the interface whereas the second one
presents no interaction between the segments. The response in Fig. 3a is corrected
using Eqs. 16 and 17, in doing so the frequency shifts automatically.

4.2 The Effect of the Axial Load Coupling

The effect of the coupled axial loading is the complex part of the model, therefore it
is crucial to verify its added value. Tests with axial load and without it were carried

Table 1 Natural frequency (Hz) estimation comparison

Mode Present Experimental [13] Analytical [12] Analytical [10]
1st 15.91 16 15.96 15.87
2nd 96.06 98 94.9 95.02
3rd 234.61 223 256.26 236.35
402 H. Bournine

Fig. 3 Interfacial interaction at the delamination interface

out and as it turns out for the first Eigen value the effect is not major (Fig. 4a) while
on the 2nd Eigen value and higher ones the effect is very visible (Fig. 4b), Even more
so when the length of the delamination is increased.

5 Conclusions

The most obvious conclusion is that a delamination has a direct effect on the dynamics
of a composite beam. The inclusion of the axial load mode coupling affects visibly
the natural frequencies of the beam.
A further analysis will include the buckling of the delaminated part; therefore,
the inclusion of the axial loading is essential to this model. Furthermore, this model
is set to define the conditions for the delamination progression and its effect on the
damping properties of the beam.
Forced Vibration of Delaminated Composite Beam … 403

0.045
0.04 without P
0.035
With P
0.03
0.025
Natural frequency
0.02
0.015
0.01
0.005
0
1 0.8 0.6 0.4 5

Length ratio L2/L

1.5
without P
1.3

1.1 with P

0.9

0.7

0.5

0.3

0.1

-0.1 0.3 0.5 0.7

Length ratio l2/l

Fig. 4 The effect of the coupled axial loading as the through thickness disbanding position is varied

References

1. Mujumdar PM, Uryanarayan S (1988) Flexural vibrations of beams with delaminations. J

Sound Vib 125(3):441–461
2. Della CN, Shu D (2005) Vibration of beams with double delaminations. J Sound Vib 282:919–
935
3. Shu D, Della CN (2004) Free Vibration analysis of composite beams with two non-overlapping
delaminations. Int J Mech Sci 46:509–529
4. Luo H, Hanagud S (2000) Dynamics of delaminated beams. Int J Solids Struct 37:1501–1519
5. Wang J, Tong L (2002) A study of the vibration of delaminated beams using a nonlinear
anti-interpenetration constraint model. Compos Struct 57:483–488
6. Manoach E, Warminski J, Mitura A, Samborski S (2012) Dynamics of a composite Timoshenko
beam with delamination. Mech Res Commun 46:47–53
7. Xue J, Xia F, Ye J et al (2017) Multiscale studies on the nonlinear vibration of delaminated
composite laminates–global vibration mode with micro buckles on the interfaces. Sci Rep
7:4468
8. Bennati S, Fisicaro P, Taglialegne L, Valvo PS (2019) An elastic interface model for the
delamination of bending-extension coupled laminates. Appl Sci 9(17):3560
9. Chaogan G, Chuwei Z (2018) Specific damping capacity calculation of composite plates with
delamination based on higher-order Zig-Zag theory. J Vibroeng 20(8):2784–2795
10. Kargarnovin MH, Ahmadian MT, Jafari-Talookolaei RA (2013) Forced vibration of delami-
nated Timoshenko beams under the action of moving oscillatory mass. Shock Vib 20:79–96
404 H. Bournine

11. Infantes M, Vidal P, Castro-Triguero R, Gallimard L, García-Macías A, Polit O (2021) Forced

vibration analysis of composite beams based on the variable separation method. Mech Adv
Mater Struct 28(6):618–634
12. Valoor MT, Chandrashekhara K (2000) Compos Sci Technol 60:1773–1779
13. Okafor A, Chandrashekhara K, Jiang YP (1996) Smart Mater Struct 5:338–347
Application of Slime Mould Optimization
Algorithm on Structural Damage
Identification of Suspension Footbridge

Lan Ngoc-Nguyen , Samir Khatir , Huu-Quyet Nguyen ,

Hieu Nguyen-Tran , Dung Bui-Ngoc , Magd Abdel Wahab ,
and Thanh Bui-Tien

1 Introduction

Recently, structural health monitoring (SHM) has been used widely in the long-term
monitoring of civil transportation infrastructure such as bridges, dams, tunnels. SHM
system helps to ensure not only the integrity but also the safety of the whole struc-
ture. Its ability to detect early damages further enables inspectors and engineers to
perform structural maintenance more effectively at a lower cost. For years, enhance-
ment of SHM has been the focus of many pieces of research [1–4], which have been
able to provide improvement to the current system, especially its damage detection
capability. The current development of modern technologies, especially in advanced
optimization algorithms and artificial intelligence, has further helped to solve struc-
tural damage identification problems. Dang et al. [6] proposed the use of feature
fusion and hybrid deep learning for damage detection of large-scale infrastructure.
Different signal processing is used to extract damage features from raw sensory data
before getting elaborated with hybrid deep learning 1-DCNN-LSTM. The results
show that the proposed method not only has high accuracy in damage detection but
also reduces computational costs significantly. Duong et al. [7] proposed a combi-
nation of transmissibility and machine learning algorithm to detect damage in truss
bridge with a high level of accuracy in both damage quantification and damage local-
ization. Teng et al. [8] proposed the use of convolution neural network (CNN) for
damage identification of a steel frame. The research uses numerical data of modal

L. Ngoc-Nguyen · S. Khatir · H. Nguyen-Tran · M. A. Wahab

Soete Laboratory, Faculty of Engineering and Architecture, Ghent University, Ghent, Belgium
L. Ngoc-Nguyen · H.-Q. Nguyen · T. Bui-Tien (B)
Faculty of Civil Engineering, University of Transport and Communications, Hanoi, Vietnam
e-mail: btthanh@[Link]
H. Nguyen-Tran · D. Bui-Ngoc
Faculty of Information Technology, University of Transport and Communications, Hanoi, Vietnam

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2023 405
R. V. Rao et al. (eds.), Recent Advances in Structural Health Monitoring
and Engineering Structures, Lecture Notes in Mechanical Engineering,
[Link]
406 L. Ngoc-Nguyen et al.

strain for the training of the proposed CNN and obtains a 100% accuracy level in
damage localization of different damage scenarios. Advanced optimization algo-
rithms are also used to solve damage detection problems. Nguyen-Ngoc et al. [9]
proposed a method that combined GA with ANN to detect damage on a truss bridge
with a high level of efficiency. Tran et al. [10] used cuckoo search (CS) to improve the
training parameters of ANN in damage detection of bridge and beam structures. The
obtained results show that ANN-CS method not only helps to reduce computational
time but also improves the accuracy in quantifying and localizing damage. Khatir
et al. [11] introduced a novel damage indicator based on flexibility index to localize
damage in truss structure. The damage indicator is then combined with atom search
optimization (ASO) and salp swarm optimizer (SSA) to quantify the severity level
of damage. Experimental validation shows that the proposed method is accurate and
fast to predict the variation of damages.
In this paper, we introduced an application of slime mould algorithm (SMA)
[12]—a novel optimization algorithm, to solve the damage detection problem of a
suspension footbridge. SMA is a nature-inspired optimization that has shown supe-
riority in optimization problems [13–15]. The efficiency of the proposed method is
further compared with two other commonly used algorithms, genetic algorithm (GA)
and cuckoo search (CS) for the level of efficiency.

2 Slime Mould Optimization Algorithm

2.1 Description

In 2020, Li et al. [12] introduced a novel nature-inspired metaheuristic algorithm

called SMA. Slime mould is a unique type of eukaryotic organism that can exist not
only as a single cell body but can also combine to form a multicell lifeform. One
of the most interesting facts about slime mould is that it does not contain any brain
cells; however, it is still able to not only identify the food source but also quantify
the amount of food thanks to the forward and backward flows of its cytoplasm [16].
Based on those characteristics of slime mould, a mathematical model of SMA is
constructed which consists mainly of two parts: approach food and wrap food +
oscillation.

2.1.1 Approach Food

Food gives out the smell, which in turn becomes a source for the slime mould to get
closer to. The contraction mode for food advancing is expressed in Eq. (1):

X b (t) + vb · (W · X A (t) − X B (t)) r < p
X t+1 = (1)
vc · X t r≥p
Application of Slime Mould Optimization Algorithm … 407

−−→ −−−→
where X (t) represents the position of the slime mould at the current iteration t, X b (t)
is the individual position with the most concentration of food smell within the reach
−−−→ −−−→
of the slime, X A (t), X B (t) are two random individual positions chosen from the slime
mould which has the weight of W ,−→vc is a linear parameter that decreases
−
→   from 1to
0, and vb is a parameter with a range of [−a, a] with a = arctanh − maxt + 1 . t

−
→
The weight W of the slime mould is calculated in Eq. (2) as follows:
⎧  
−−−−−−−−−−−−→ ⎨ 1 + r · log bF−wF + 1, condition
bF−S(i)
W (SmellIndex(i )) = (2)
⎩ 1 − r · log bF−S(i) + 1 , other
bF−wF

With SmellIndex = sort(S)-sequence of fitness values enumerated, “condi-

tion” means the case where S(i) ranks first half of the population, r is the random
number between [0,1], wF and bF represent the worst and the best fitness obtained,
respectively, within the current iteration.

2.1.2 Wrap Food + Oscillation

The location of slime mould during the food wrapping process is represented in Eq.
(3):
⎧
⎨ rand(UB − LB) + LB rand < z
X ∗ = X b (t) + vb (W X A (t) − X B (t)) r < p (3)
⎩
vc X (t) r≥p

where LB and UB are the lower and upper boundaries of the search and r ∈ [0 1].
−
→
For oscillation, vb oscillates randomly between [−a, a] and tends to 0 as the
iteration increases. The pseudo-code of SMA is shown in Fig. 1.

3 Application Damage Detection of Na Xa Suspension

Footbridge

3.1 Na Xa Suspension Footbridge

For validation of the proposed method, a case study on Na Xa Bridge in Vietnam was
conducted. Na Xa is a suspension footbridge in the mountainous region of Vietnam.
The bridge consists of one main span with a length of 78 m. Total length of the bridge
is 125.83 m. The main cables systems consist of high tensile cables with a diameter
of 56 mm. Abutment systems are made of reinforced concrete of M250 grade with
the foundation placed on natural ground. The bridge gates are made of I-shaped
408 L. Ngoc-Nguyen et al.

Pseudo-code of SMA algorithm

Inputs: Population size N, number of iterations n_iter, and position of slime mould
Xi
while t<n_iter do
Calculate all slime mould’s fitness
Calculate slime mould’s weight W
for (each search of Xi) do
Update p, vb, vc;
Update positions;
Return bestFitness values and Xb

Fig. 1 Pseudo-code of SMA

steels and driven 1 m deep into the concrete. This bridge is a typical example of the
suspension footbridge in the rural area of Vietnam. The overall view of the bridge
and drawing are shown in Figs. 2 and 3.

3.2 Finite Element Model

A finite element model (FEM) of the bridge is constructed using MATLAB. The
FEM model consists of 210 nodes according to various parts of the bridge: longitu-
dinal beams, transverse beams, mains cables, tower, and the other components. The
completed bridge structure includes 312 beam elements and link elements for cables
accordingly. Boundary conditions of the bridge are fixed at both ends of the bridge,
as well as at the main cable extension connected to the ground. Material properties
of the bridge are given in Table 1.
Modal analysis of the FEM model was conducted using Stabil toolbox in
MATLAB [17]. Stabil is a toolbox for structural analysis which has been used widely
in structural researches [18] (Figs. 4 and 5). The first six natural frequencies of the
bridge are obtained with the respective mode shapes as shown below (Table 2).

3.3 Damage Detection

In real-life structure, when a structural component is damaged due to various reasons

such as fracture, corrosion, buckling, the modulus of elasticity of the component will
Application of Slime Mould Optimization Algorithm … 409

Fig. 2 Overall view of the

bridge

Fig. 3 Cross-section composition of the bridge deck

410 L. Ngoc-Nguyen et al.

Table 1 Material properties

Components Young’s Poisson ratio Density
of the bridge’s components
modulus (Pa) (kg/m3 )
Main beam 2.1 × 1011 0.3 7850
Cross beam 2.1 × 1011 0.3 7850
Main cable 1.94 × 1011 0.3 7850
Vertical 1.94 × 1011 0.3 7850
suspender
cable
Bridge tower 2.1 × 1011 0.3 7850

Fig. 4 FEM model of the bridge using MATLAB

also change accordingly. Thus, for the numerical model, damage can be simulated
by adjusting the modulus of elasticity of the affected component. In this paper, to
validate the efficiency of the proposed SMA, two damage scenarios are generated:
in the first scenario, damage is introduced by reducing the stiffness of beam element
no.1 in the FE model to 50%; in the second case, the stiffness of two beam elements
no.7 and no.10 is reduced to 70% and 80% of its initial values. Figure 6 shows the
location of the damaged beam within the structure.
Once the damage scenarios are generated, SMA is applied for the damage iden-
tification of the suspension bridge structure. To showcase its efficiency, SMA is
compared with two other widely used optimization algorithms: genetic algorithm
(GA) and cuckoo search (CS). For all the optimization algorithms, the same param-
eters of population = 400 and numbers of iteration = 100 are used. The results for
damage identification are shown in Fig. 7.
From the results obtained, we can see that in the first damage scenario, SMA
is able to detect and locate damage correctly, CS and GA have multiple errors in
identifying damage. In the second case, while in general all the three optimization
algorithms have been able to correctly detect the location of damage, SMA performs
Application of Slime Mould Optimization Algorithm … 411

Fig. 5 Mode shape visualization of the first six modes

Table 2 Natural frequencies

Mode number Frequency (Hz) Mode shape
and mode shapes of the first
six modes 1 0.529 1st vertical bending
2 0.543 2nd vertical bending
3 0.803 Torsion
4 0.936 3rd vertical bending
5 1.071 Lateral bending + torsion
6 1.273 Torsion

more accurately in identifying the level of damage. This shows that ultimately SMA
is a more effective method at not only locating the position of damage but also
detecting the level of damage accordingly.

4 Conclusions

In this paper, we proposed a novel application of a recently developed optimiza-

tion algorithm—SMA, to solve damage detection problem of a suspension foot-
bridge. Damage scenarios are generated by adjusting the stiffness of the beam. The
proposed method is then compared with other well-known algorithms GA and CS
for their damage identification capability. The final results show that the proposed
412 L. Ngoc-Nguyen et al.

Fig. 6 Damage scenario 1 (upper) and damage scenario 2 (lower)

SMA outperformed GA and CS in terms of damage quantification and damage local-

ization of the structure. Based on the results obtained in this paper, further research
regarding this issue can be investigated, such as damage detection of bridge cables
or application of SMA on other types of the bridge structure.
Application of Slime Mould Optimization Algorithm … 413

Fig. 7 Damage detection results for the two damage scenarios

414 L. Ngoc-Nguyen et al.

Acknowledgements The authors acknowledge the financial support of VLIR-UOS TEAM Project,
VN2018TEA479A103, “Damage assessment tools for Structural Health Monitoring of Vietnamese
infrastructures”, funded by the Flemish Government.
[Link]. Nguyen Huu Quyet was funded by Vingroup JSC and supported by the Master, PhD
Scholarship Programme of Vingroup Innovation Foundation (VINIF), Institute of Big Data, code
[Link].14.
This work was funded by Vingroup Joint Stock Company and supported by Vingroup Innovation
Foundation (VINIF) under project code VINIF 2021.DA00192.

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The Application of a Hybrid
Autoregressive and Artificial Neural
Networks to Structural Damage
Detection in Z24 Bridge

Hieu Nguyen-Tran , Dung Bui-Ngoc , Lan Ngoc-Nguyen , Hoa Tran ,

Thanh Bui-Tien , Guido De Roeck , and Magd Abdel Wahab

1 Introduction

Structural Health Monitoring (SHM) was designed by the civil engineering research
community to evaluate the behavior of structures and to assess the properties of
materials during the life cycle of structures. SHM involves the integration of many
components, such as sensors, data transfer, computing power and processing. The
two fundamental steps of SHM are collecting data from the sensor network affixed
to the structure and processing the measured data to evaluate the condition of the
structure [1].
Many algorithms have been developed to obtain damage-sensitive attributes from
the measured data. From the measured response, modal analysis of the structure could
be determined using the output-only approach. Those methods are based on the theory
that physical parameters including mass, damping and stiffness have a direct impact
on modal parameters of the structure [2]. Changes in physical properties may result
in significant changes in modal properties. Traditional methods using a simulated
model of the structure focused on the direct estimation of the physical properties of
the structure, such as modal properties [3].
Recently, many researchers have made use of time series models to identify struc-
tural damage. The coefficients of the autoregressive model (AR) are used as an

H. Nguyen-Tran · L. Ngoc-Nguyen · H. Tran · M. A. Wahab

Soete Laboratory, Faculty of Engineering and Architecture, Ghent University, Ghent, Belgium
L. Ngoc-Nguyen · H. Tran · T. Bui-Tien (B)
Faculty of Civil Engineering, University of Transport and Communications, Hanoi, Vietnam
e-mail: btthanh@[Link]
H. Nguyen-Tran · D. Bui-Ngoc
Faculty of Information Technology, University of Transport and Communications, Hanoi, Vietnam
G. De Roeck
Department of Civil Engineering, Katholieke Universiteit Leuven, Leuven, Belgium

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2023 417
R. V. Rao et al. (eds.), Recent Advances in Structural Health Monitoring
and Engineering Structures, Lecture Notes in Mechanical Engineering,
[Link]
418 H. Nguyen-Tran et al.

effective damage-responsive property to detect structural damage. Sohn et al. [4]

applied AR models to assess the vibration response of a bridge column. The authors
performed statistical analysis of the AR model coefficients to categorize healthy and
damaged states of the structure. This method was further enhanced and applied to
monitor the health of a fast patrol boat with a surface effect [5]. Nair et al. [6] used
the vibration signals of the ASCE reference structure as the autoregressive moving
average time series for the model. The authors developed a damage-responsive prop-
erty based on the first three AR components to categorize the healthy and damaged
states of the structure. Besides that, many statistics and pattern recognition tech-
niques, such as ANN, have been applied to classify damage-responsive characteris-
tics [7]. ANN was also widely used for seismic damage detection using frequency
domain data exclusively [8], although Nakamura et al. [9] proposed a direct analysis
method for the historical seismic response data of a building. Khatir et al. [10] further
improved the ANN using an Arithmetic Optimization Algorithm to locate and quan-
tify damage, which proved to be more accurate than the traditional ANN method and
the combined ANN-Balancing Composite Motion Optimization (BCMO). Saadat-
morad et al. [11] introduced a novel method that used a multilayer perceptron neural
network to detect beam-like structure damage. The result showed that the presented
method could detect individual structural damages with good accuracy.
In this research, a novel hybrid structural damage detection method is proposed
including the application of AR models to determine damage-responsive properties
and the use of ANN to identify possible damages. The proposed method is applied to
the case study of Z24 Bridge for validation of damage detection ability. The results
show that the hybrid AR-ANN can detect damages of the structure accurately.

2 Methodology

2.1 Autoregressive

Autoregressive modeling (AR) is one of the good techniques used to analyze time
series data. AR is often used to represent stationary time series processes. A stochastic
process (random or stationary) is a statistical phenomenon consisting of a set of
random variables arranged over time. The stationary process evolves over time
according to the laws of probability. A time series plot represents the measurements
of a variable performed over time. An AR model is defined as a time series model but
with regressed values to the previous values of the same time series. In this research,
the proposed AR models are output only, specifically autoregressive with extra input
(ARX) models or pure AR formulations. For example, on yt−1

yt = β0 + β1 yt−1 + εt (1)
The Application of a Hybrid Autoregressive and Artificial … 419

The autoregression order is the number of instant previous values in the series
data that are used to anticipate the present value. The first-order autoregression is the
previous model, written as AR (1). The AR model used to calculate a time series yt
using yt−1 , yt−2 is shown in Eq. (2) as:

yt = β0 + β1 yt−1 + β2 yt−2 + εt (2)

The model obtained is a second-order autoregression and it can be written as AR

(2). The model can also be generalized for a kth order autoregression as AR(k), which
is a multiple linear regression where the value of the series at a specific time t is a
function of the preceding values t − 1, t − 2, …, t − k.
The autocorrelation function (ACF) is defined as the correlation coefficient
between two data points in a time series. The ACF for a time series yt is denoted as:

Corr(yt , yt−k ) (3)

where k is the delay the value of time interval considered. The autocorrelation offset
1 (i.e. when k is equal or higher than 1) is the correlation between values separated
by the time interval considered. The autocorrelation delay k can also be expressed
as the correlation between the values of the intervals k.
ACF is a means of measuring the linear relationship between two observations at
a time interval. Assuming the AR (k) model given, the purpose is to measure only
the linear relationship between yi and yi−k , and the partial autocorrelation function
(PACF) is given as below:

Covariance(yi , yi−k |yi−1 , yi−2 , . . . yi−k+1 )

PACF(yi , yi−k ) = (4)
σ yi |yi−1, yi−2 ,...yi−k+1 σ yi−k |yi−1, yi−2 ,...yi−k+1

PACF is used for identifying the autoregressive order. Specifically, partial auto-
correlations which are different from 0 are indicated as lagged terms y, which in
turns can be used to anticipate the value of yt .

2.2 Artificial Neural Networks

Artificial neural networks (ANNs) have recently become a core research interest
not only in computer sciences but also in all the others industrial fields. The
(ANNs) models were inspired by human science, which studies the evolution of
the neuroanatomy of human beings in problem-solving [12]. The fundamental of the
ANNs consists of neurons which mimic the traits of the human biological neurons,
divided into different layers. Normally, an ANN structure includes an input layer,
one or more hidden layers and an output layer. A simplified model of an ANN is
shown in Fig. 1.
420 H. Nguyen-Tran et al.

Fig. 1 Structure of ANNs

ANNs are based on the learning ability of the human brain by performing convo-
luted algorithms [13]. Previous layers are connected to the next one by connections
that contain weights, which can have a positive or negative value. While neuron is
activated by positive weights, it can also be constrained by negative weights. Figure 1
shows a typical ANN network structure where inputs parameters x1 , x2 , . . . , xi are
connected to the neuron j by sets of weights (w1 j , w2 j , . . . , wi j ) on each connection.
The received signals are then multiplied by the respective connection weights to
obtain the output h j . The output is then passed through a transfer function, normally
denoted as the sigmoid function to produce the final output O( j) . . The sigmoidal
(logistic) function is defined as

1
O pj = (5)
1 + e−net pj

where O pj is the output of a neuron j given an input parameter p and a total of inputs
to the ANN (−net pj ).
The backpropagation is a commonly used algorithm for training of a feed-forward
neural network. The principle of backpropagation algorithm is to reduce the consecu-
tive errors between the possible output and the target output of the backpropagation.
The weights on each of the connections between neurons vary according to the
magnitude of the initial error. The input data is then resent to create a new output and
respective error. Transfer function is used in each neuron, and it is fully connected
to the next level node. This process is cycled until the error reaches a minimum
acceptable value. As a result, the final output is represented as model of the input at
a specific point.
The Application of a Hybrid Autoregressive and Artificial … 421

Fig. 2 Side view of the Z24 bridge

3 Applying the Method to Z24 Bridge

3.1 Z24 Bridge’s Vibration Data

The proposed method is applied to the case of Z24 Bridge for validation. The vibration
data used is taken from the Z24 Bridge measurement campaign within the System
Identification to Monitor Civil Engineering Structures (SIMCES) project. The Swiss
Z24 Bridge was a three-span prestressed reinforced concrete bridge with a width of
8.60 m and a total length of almost 60 m (see Fig. 2).
The bridge was located in the Swiss canton of Bern and connected Koppigen and
Utzenstorf. Technical descriptions of the bridge were detailed in [14].
As part of the SIMCES project, different progressive damage scenarios were
conducted on the bridge in the summer of 1998. Progressive damage scenarios
were performed within a month (see Table 1). During the damage tests, a refer-
ence measurement of undamaged condition was first constructed. Then progressive
damage measurement was taken after each step. Each scenario was conducted in 9
measured setups of 33 accelerometers in total. Temporal signals from 08 series of
8192 samples were collected at 100 Hz [15].
The undamaged data was collected on August 4, 1998, and then the bridge
damaged on August 31, 1998. The aforementioned datasets for the 99 V sensor
are shown in Figs. 3 and 4.

3.2 Obtained Results from the Proposed Method

The framework of the AR-ANN method is shown in Fig. 5.

Firstly, raw time series signals are used as input to the AR model (30) and trans-
forms only the output signal into AR coefficients. Second, these coefficients are sent
to the neural network for classification to determine the damage or healthy condi-
tion. In ANNs, the activation function used for the input and hidden layer is the ReLu
function while the Softmax function is used for the activation function of the output
layer (Fig. 6).
The training phase has a 75% share of all data and the others belong to the testing
phase. During the training process, functions and labels of the time series are provided
422 H. Nguyen-Tran et al.

Table 1 Z24’s progressive damage tests in 1998 [15]

Starting date Scenario Finishing date Type of damage
4/8/1998 Undamaged condition 26/8/1998 Concrete spalling at soffit,
24 m2
9/8/1998 Installation of pier settlement 27/8/1998 Landslide of 1 m at abutment
system position
10/8/1998 Reducing pier’s height, 20 mm 31/8/1998 Failure of concrete hinge
12/8/1998 Reducing pier’s height, 40 mm 2/9/1998 Failure of 02 anchor heads
17/8/1998 Reducing pier’s height, 80 mm 3/9/1998 Failure of 04 anchor heads
18/8/1998 Reducing pier’s height, 95 mm 7/9/1998 Rupture of 2 tendons
19/8/1998 Lifting of pier, tilt of 8/9/1998 Rupture of 4 tendons
foundation
20/8/1998 Introducing another reference 9/9/1998 Rupture of 6 tendons
condition
25 August Concrete spalling at soffit,
12 m2

Fig. 3 Data of sensor 99 V on 4 August

in the training dataset. The goal is to identify the relationship between functions and
class labels. The performance of the process of training and testing the network is
shown in Fig. 7.
The accuracy of the prediction is assessed based on a test set, using the basic
concept of positive and negative detection. The higher the precision score is, the
more accurate the model could predict.
Accuracy score is an effective tool to calibrate the prediction success in the case
where classes are very unbalanced. The convocation score represents the model’s
ability to correctly predict the positive aspects from the real ones. This contrasts
with the accuracy, which measures the number of positive predictions made by the
The Application of a Hybrid Autoregressive and Artificial … 423

Fig. 4 Data of sensor 99 V on 31 August

Fig. 5 Workflow of the hybrid AR and ANNs

Fig. 6 Partial autocorrelation (PACF) of data from sensor 99 V on 4 and 31 August

Fig. 7 Accuracy and loss of training and testing

424 H. Nguyen-Tran et al.

Table 2 Confusion matrix

Undamage’ (predicted) Damaged’ (predicted)
Undamage (actural) True Positive (TP = 18) False Negative (FN = 3)
Damaged (actural) False Positive (FP = 2) True Negative (TN = 21)

models out of all positive predictions. The F1 score is calculated based on the posi-
tive and negative detection values. It is often used as the only value that provides
prominent information about the quality of the model’s output. Mathematically, it
can be represented as:

(True Positive + True Negative)

Accuracy_ Score =
(True Positive + False Negative + True Negative + False Positive)
(6)
True Positive
2∗ (True Positive+False ∗ True Positive
Positive) (True Positive+False Negative)
F1_ Score =   (7)
True Positive
+ True Positive
(True Positive+False Positive) (True Positive+False Negative)

The confusion matrix for the proposed method is given in Table 2. The accuracy
of the proposed method is calculated as a percentage of correctly classified samples
out of the total number of samples.
Based on the performance of the method, the accuracy of the method in the
training phase is 99% and the test phase 95%. Furthermore, as a confusing matrix
in Table 2, the total number of samples is 44, of which 18 are undamaged samples,
otherwise 03 samples were misclassified. 21 damaged samples were found in a
damaged condition and only 02 samples were not repaired. We obtain results for
accuracy scores, accuracy scores, recall scores and F1 scores, which are 0.886, 0.9,
0.857 and 0.878, respectively. This suggests that a combination of autoregressive
and ANN methods can be applied to the transformed vibration data.

4 Conclusions

In this paper, the authors have proposed a damage identification method using a
hybrid autoregressive model and an ANNs network model. The coefficients of the
AR model are efficient inputs for ANNs. Experimental results show that the method
can be used to solve the damage detection problems. The final results obtained from
the case study suggest that the proposed method has produced a high level of accuracy
in damage detection of the structure. In the future research, this method can be further
improved to not only classify damage in the structure but also quantify the damage
level.
The Application of a Hybrid Autoregressive and Artificial … 425

Acknowledgements The authors acknowledge the financial support of VLIR-UOS TEAM Project,
VN2018TEA479A103, ‘Damage assessment tools for Structural Health Monitoring of Vietnamese
infrastructures’, funded by the Flemish Government.
This work was funded by Vingroup Joint Stock Company and supported by Vingroup Innovation
Foundation (VINIF) under project code VINIF 2021.DA00192.

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