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Contact Problems in Elasticity

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This series of monographs focuses on mathematics and its applications to problems

of current concern to industry, government, and society. These monographs will be of

interest to applied mathematicians, numerical analysts, statisticians, engineers, and

scientists who have an active need to learn useful methodology.

Series List

Vol. 1 Lie-Bdcklund Transformations in Applications

Robert L. Anderson and Nail H. Ibragimov

Vol. 2 Methods and Applications of Interval Analysis

Ramon E. Moore

Vol. 3 Ill-Posed Problems for Integrodifferential Equations in Mechanics and

Electromagnetic Theory

Frederick Bloom

Vol. 4 Solitons and the Inverse Scattering Transform

Mark J. Ablowitz and Harvey Segur

Vol. 5 Fourier Analysis of Numerical Approximations of Hyperbolic Equations

Robert Vichnevetsky and John B. Bowles

Vol. 6 Numerical Solution of Elliptic Problems

Garrett Birkhoff and Robert E. Lynch

Vol. 7 Analytical and Numerical Methods for Volterra Equations

Peter Linz

Vol. 8 Contact Problems in Elasticity: A Study of Variational Inequalities and Finite

Element Methods

N. Kikuchi and J. T. Oden

Vol. 9 Augmented Lagrangian and Operator-Splitting Methods in Nonlinear Mechanics

Roland Glowinski and P. Le Tallec

Vol. 10 Boundary Stabilization of Thin Plate Splines

John E. Lagnese

Vol.11 Electro-Diffusion of Ions

Isaak Rubinstein

Vol. 12 Mathematical Problems in Linear Viscoelasticity

Mauro Fabrizio and Angelo Morro

Vol. 13 Interior-Point Polynomial Algorithms in Convex Programming

Yurii Nesterov and Arkadii Nemirovskii

Vol. 14 The Boundary Function Method for Singular Perturbation Problems

Adelaida B. Vasil'eva, Valentin F. Butuzov, and Leonid V. Kalachev

Vol. 15 Linear Matrix Inequalities in System and Control Theory

Stephen Boyd, Laurent El Ghaoui, Eric Feron, and Venkataramanan Balakrishnan

Vol. 16 Indefinite-Quadratic Estimation and Control: A Unified Approach to H2 and

H"" Theories

Babak Hassibi, Ali H. Sayed, and Thomas Kailath

N. Kikuchi J. T. Oden

University of Michigan University of Texas

Ann Arbor, Michigan Austin, Texas

A Study of Variational Inequalities

and Finite Element Methods

siam

Society for Industrial and Applied Mathematics

Philadelphia

Copyright 1988 by the Society for Industrial and Applied Mathematics.

1098765432

All rights reserved. Printed in the United States of America. No part of this

book may be reproduced, stored, or transmitted in any manner without the written

permission of the publisher. For information, write to the Society of Industrial

and Applied Mathematics, 3600 University City Science Center, Philadelphia,

PA 19104-2688.

Two sections of text in Chapter 11 are reprinted from the following publications:

Dynamic Friction Phenomena," Computer Methods in Applied Mechanics

and Engineering, pp. 534-537. Copyright 1985 Elsevier Science Publishers.

Computer Methods in Applied Mechanics and Engineering, pp. 344-345.

Copyright 1983 Elsevier Science Publishers.

to reprint this material.

ISBN: 0-89871-468-0

Contents

Preface ix

Chapter 1. Introduction 1

1.1. Introductory remarks 1

1.2. Scope and outline of this study 1

1.3. Historical remarks 5

1.4. Notation and conventions 13

2.1. Introduction 19

2.2. Contact conditions 19

2.3. Incremental and linearized contact conditions 23

2.4. Signorini's problem 25

2.5. A variational formulation 28

3.1. Introduction 31

3.2. Minimization of functionals 31

3.3. Quadratic functionals on Hilbert spaces 38

3.4. Saddle points and Lagrange multipliers 43

3.5. Penalty methods 49

4.1. Introduction 55

4.2. Some properties of finite element approximations 56

4.3. Approximation of variational inequalities 60

V

VI CONTENTS

4.5. Finite element approximations of penalty formulations . . . . 67

and Korn's Inequalities 75

5.1. Introduction 75

5.2. Order properties of spaces H'(n) and H m (n) 78

5.3. Boundary spaces and trace theorems 83

5.4. Green's formulas 89

5.5. Boundary conditions 93

5.6. Korn's inequalities 103

6.1. Introduction Ill

6.2. Existence theorem for Signorini's problem 112

6.3. Interpretation of weak solutions 119

6.4. A finite element approximation of Signorini's problem . . . . 121

6.5. Resolution of contact conditions by penalty methods . . . . 130

6.6. Numerical solutions of Signorini-type problems 140

6.7. Rigid punch problems 147

6.8. Two-body contact problems 157

7.3. Mixed finite element approximations 181

7.4. A specific mixed method 188

7.5. Solution methods for the mixed finite element formulation . . 197

Problem 201

8.1. Introduction 201

8.2. A dual variational formulation 201

8.3. A resolution of dual variational formulations 205

8.4. A mixed variational formulation 207

8.5. Finite element approximations of the dual problem 211

8.6. A reciprocal variational formulation 215

8.7. A numerical method for reciprocal formulations 221

8.8. A reciprocal formulation of a rigid punch problem 225

CONTENTS Vll

formulations 229

8.10. Reciprocal methods for two-body contact problems 237

Elastic Plates 241

9.1. Introduction 241

9.2. Variational formulation 243

9.3. A penalty formulation 248

9.4. Approximations 253

9.5. Numerical studies 259

10.1. Introduction 267

10.2. The Signorini problem with Coulomb friction 267

10.3. A reduced variational inequality 272

10.4. A regularized problem 274

10.5. Finite element approximations 280

10.6. Numerical solutions to the reduced friction problem . . . . 282

10.7. Extensions to the general contact problem with Coulomb

friction 284

11.1. Introduction 307

11.2. Historical review 309

11.3. The mechanics of dry friction between metallic bodies . . . 311

11.4. Nonclassical normal contact and friction laws 317

11.5. Signorini problems with nonlocal nonlinear friction 335

11.6. Finite element approximations of the nonlocal and nonlinear

friction problem 342

11.7. Numerical solution of Signorini problems with nonlocal and

nonlinear friction 345

11.8. Quasi-static friction problems 357

Materials 369

12.1. Introduction 369

12.2. A Signorini problem for finite elastic deformation 370

12.3. Linearization by increments 377

12.4. Existence theorems in finite elasticity 381

12.5. Contact problems for large deformation elastoplasticity . . . 385

Vlll CONTENTS

13.1. Introduction 409

13.2. Stick-slip motion vs. steady sliding 411

13.3. Some frictional contact problems in elasticity theory . . . . 416

13.4. The steady frictional sliding of a metallic body 421

13.5. Dynamic stability of the steady frictional sliding 424

13.6. Finite element approximations and algorithms 425

13.7. Numerical experiments 430

14.1. Introduction 451

14.2. Kinematics of rolling contact 452

14.3. A boundary value problem for rolling contact of a rubber

cylinder 455

14.4. A variational principle for rolling contact 457

14.5. Finite element approximation and algorithms 460

14.6. Some numerical results 464

References 475

Index 491

Preface

or meeting of bodies." Even a nontechnical definition of the term thus brings

to mind a mechanical phenomenon involving solid bodies. It is not surprising,

therefore, that contact problems have always occupied a position of special

importance in the mechanics of solids. In this volume, we consider those

contact problems in the theory of elasticity that can be formulated as variational

inequalities. A multitude of results obtained through the use of this method

give rise to new techniques for solving this class of problems, techniques that

not only expose properties of solutions that were obscured by classical methods,

but also provide a basis for the development of powerful numerical schemes.

We believe this is the first truly comprehensive treatment of the problem of

unilateral contact that attempts to unify the physical problems of contact with

the mathematical modeling of the phenomena and numerical implementation

of the models. A detailed study of the qualitative features of the mathematical

model is presented, as well as approximation of the governing equations by

modern numerical methods, a study of the properties of the approximation

including numerical stability, accuracy, and convergence, the development of

algorithms to study the numerical approximations, and the application of the

algorithms to real-world problems.

The first nine chapters of the book discuss the mathematical formulation of

classical contact problems on linearly elastic bodies in which no friction is

present, along with finite element approximations and numerical algorithms

for solving problems of this type. In chapters 10 through 14, we discuss

generalizations of the theory, the complications of friction contact, various

models of dry friction, and applications to static, quasi-static, and dynamic

contact problems, including problems of large deformation, rolling contact,

and inelastic materials. Much of this latter section represents work still very

much in development and hence not fully explored from mathematical or

numerical points of view. Some concluding comments and opinions are

collected at the end of the volume.

ix

X PREFACE

A decade will have passed from when we commenced writing this volume

until its appearance in print. Our original plan was to produce a volume on

contact problems in elasticity that focused on variational inequalities in elasto-

statics with an emphasis on approximation theory, finite elements, and numeri-

cal analysis. The first eight chapters of the final product still contain much of

the content of the original draft. Many copies of this draft circulated worldwide,

and the final, expanded scope of the work reflects our response to the various

readers, reviewers, and editors encountered along the way. Much of the added

material is drawn from more recent papers and results we have developed

with our students on frictional models and more general contact problems.

Despite the regrettable delay of years of rewriting, this final version still

contains much material published here for the first time.

Several colleagues and students read portions of the manuscript and made

suggestions that improved our presentation of this subject. We wish to thank

Professor Patrick Rabier and Drs. Y. J. Song, L. Demkowicz, L. Campos,

E. Pires, and J. A. C. Martins.

We have had the help of excellent technical typists during the preparation

of various drafts of this work over a period of ten years. An early draft was

typed by Mrs. Bernadette Ashman, another draft by Mrs. Rita Bunstock, and

various revisions by Mdmse. Nancy Webster, Dorothy Baker, Ruth Dye, and

Linda Manifold. To these patient and skillful friends, we owe our sincere

thanks.

We gratefully acknowledge that our studies of contact problems, particularly

the use of finite element methods to study contact problems in elasticity, were

primarily supported by the United States Air Force Office of Scientific

Research.

N. KIKUCHI

The University of Michigan

J. T. ODEN

The University of Texas

Nomenclature and Symbols

others are defined where they first appear in the text.

A: an operator from a space V into its dual V defined by

A <s B: the identity map i from A to B is continuous and A is contained

in B.

a(u, v): a continuous bilinear form on V which is an abstraction of the

virtual work in an elastic body ft; typically, for a linearly elastic

body,

where Eijkh 1 < i, j, k, I < N, are the elasticities and u and v are

arbitrary virtual displacements.

B a constraint operator which defines an admissible set K.

C m (ft): a space of functions with continuous derivatives up to order m

defined on ft.

Eijk{: the components of Hooke's tensor; these are the elasticities of

the material.

F: a quadratic functional representing the total potential energy,

defined by

/(v): a continuous linear functional on V which is an abstraction of

the work done by applied body forces f and surface traction t

xi

Xii NOMENCLATURE AND SYMBOLS

// m (ft): a Sobolev space such that H m (ft) = W m>2 (ft) on which the inner

product

is defined.

7: a symbol to represent a numerical integration (a quadrature rule)

to approximate, e.g., an inner product

on a domain ft.

K: a subset of V consisting of displacements which satisfy the

unilateral contact conditions.

N: the unit vector inward normal to the surface of a foundation ^

Pjc(G): the space of all polynomials defined on G, the degree of which

is less than or equal to k.

Q: a space containing the range of B.

Sfc(ft): a finite element subspace of a Sobolev space, where h denotes

the representative size (diameter) of finite elements: h = maxe he,

/ie = dia(ft e ).

T, Tr, Tn: the Cauchy stress tensor, its tangential component to the surface

represented by the outward normal unit vector n, and its normal

component.

u(x): a displacement vector at a (material) point x in the body ft. An

arbitrary admissible displacement vector is denoted v.

V: the space of admissible displacements on which the virtual work

is well defined. It consists of displacement fields which satisfy

kinematical boundary conditions and which have finite energy.

V: the (topological) dual space of a normed linear space V.

W m>p (ft): the Sobolev space of order m, p, which is the space of classes of

functions with distributional derivatives of order m in I/(ft),

and which is equipped with the norm

NOMENCLATURE AND SYMBOLS Xlll

disjoint boundary surfaces F D , FF, and Fc.

y\ a trace operator from // m (ft) into H m ~ 1 / 2 (F).

Au: an increment of a displacement u.

or: a stress tensor for small elastic deformations, typically given by

o-y(u) = Eljk, duk/dx,.

</>+ (or <+): the positive part of a function </>.

ft: an open domain representing the interior of a deformable body

i n R N , J V = 1 , 2 , or 3.

fte: a typical finite element, 1 < e < E.

This page intentionally left blank

Chapter 1

Introduction

system, there exists the situation in which one deformable body comes in

contact with another. Indeed, the contact of one body with another is, in

essence, how loads are delivered to a structure and is the mechanism whereby

structures are supported to sustain loads. It is obvious, therefore, that the

character of this contact may play a fundamental role in the behavior of the

structure: its deformation, its motion, the distribution of stresses, etc.

Despite the fundamental role of contact in the mechanics of solids and

structures, contact effects are rarely taken into account in structural analysis.

The reason is that the modelling of contact phenomena poses serious difficul-

tiesconceptual, mathematical, and computationalwhich are far more com-

plex than those encountered in classical linear structural mechanics. Contact

problems are inherently nonlinear. Prior to the application of loads to a body,

the actual contact surface on which bodies meet is unknown. The boundary

conditions on this unknown surface involve unknown stresses and displace-

ments. As a result, mathematical models of contact involve systems of in-

equalities or nonlinear equations. Moreover, when friction is present, multiple

solutions of the equations describing contact can exist, and the description

of the motion of the bodies in contact becomes extremely complex.

Nevertheless, there are special formulations of many classes of contact

problems in which these classical difficulties are minimized and which provide

the basis for elegant methods of analysis. This work is devoted to the study

of some of these formulations and methods.

1.2. Scope and outline of this study. This monograph deals with the analysis

of contact problems in solid mechanics with emphasis on the problem of

equilibrium of elastic bodies in contact with both rigid and deformable founda-

tions. The first eight chapters of this work are focused on problems of

infinitesimal deformation of linearly elastic bodies and restricted to cases in

which the contact surface is lubricated so that no friction is present. In the

l

2 CHAPTER 1

deflections and buckling of thin elastic plastics which come in contact with

unilateral supports, problems involving dry friction, problems of large elastic

and elastoplastic deformations with frictional contact, a class of dynamic

contact problems in elasticity with dynamic friction effects, and rolling contact

problems. Several nonclassical friction laws are introduced and used to con-

struct rather general models of frictional contact between dry metallic surfaces.

Some concluding comments, opinions on research, and suggestions for further

work are collected at the end of the volume.

Throughout this work we emphasize the formulation of various types of

contact problems in a variational setting. We deal with various mathematical

aspects of many of these special variational formulations, with the approxima-

tion of contact problems using finite elements, and with the numerical analysis

of these problems. It is our belief that the proper and most natural framework

for studying problems of the type considered here is that provided by the

theory of variational inequalities; it is a framework supported by the rich

theories of convex analysis, optimization, and variational methods for partial

differential equations, and is ideally suited for variational methods of approxi-

mation such as finite elements. We deal with a variety of aspects of these

subjects: the development of various types of contact conditions; the detailed

formulation of appropriate variational principles; the identification of the

spaces in which these formulations make sense; when possible, the establish-

ment of sufficient conditions for the existence and uniqueness of solutions;

the approximation of variational inequalities; the proof of convergence

theorems and a priori error estimates for finite element approximations; the

description of numerical schemes for solving discrete variational inequalities,

including studies of their convergence, the actual numerical solution of many

representative example problems, and the interpretation of these results with

regard to their implications on the actual physics of the problems considered.

We complete this introductory chapter with some historical comments on

contact problems in elasticity in the next section, and then record some notation

and convections that are used throughout this work.

Following this introduction, we discuss in Chapter 2 the classical Signorini

problem in elasticity: the equilibrium of a linearly elastic body in contact with

a frictionless rigid foundation. Our primary objective in Chapter 2 is to derive,

via classical mechanical arguments, the contact conditions and what we refer

to as a primal variational inequality governing this problem. The emphasis here

is on mechanical aspects of contact without friction; a more elaborate mathe-

matical framework for such problems is constructed in Chapters 5 and 6, more

on the physics of contact is given in Chapters 11 through 14, and more on

contact conditions is given in Chapters 12 and 13.

Chapters 3, 4, and 5 contain the principal mathematical preliminaries for

our study of contact problems in elastostatics of linearly elastic materials.

INTRODUCTION 3

including discussions of basic minimization theorems for functionals on

Banach spaces, saddle point theory and Lagrange multipliers, and penalty

methods. Chapter 4 deals with finite element approximations, a brief summary

of the theory of finite element interpolation of functions in Sobolev spaces, a

major approximation theorem for variational inequalities, and a discussion of

finite element approximations of saddle point and penalty formulations.

The mathematical apparatus needed to study variational formulations of

contact problems in elasticity is given in Chapter 5. Here we describe properties

of Sobolev spaces and we derive trace theorems and Green's formulas needed

for a precise study of our major variational principles. We also derive here

Korn's inequalities that are crucial for showing the existence of solutions to

contact problems in elasticity.

With the mathematical tools established in Chapter 5 in hand, we return to

the primal formulation of the Signorini problem in Chapter 6 and present

several results on existence, uniqueness, and approximation of solutions of

such problems. A resolution of the contact condition by using penalty methods

is also described. We also give the results of several numerical experiments

designed to demonstrate the effectiveness of methods developed in the text

on representative elasticity problems. Also in Chapter 6, we discuss the formu-

lation and analysis of rigid punch problems and two-body contact problems

as extensions of the Signorini problem and we describe some numerical

solutions of this problem. We discuss in Chapter 7 Signorini problems involving

incompressible elastic materials and we develop the theory of mixed finite

element methods for such problems. Various numerical methods for solving

Signorini problems are taken up in Chapter 8 and we also investigate there

several alternate formulations of the Signorini problem.

Chapter 9 is devoted to a highly nonlinear class of contact problems: the

large transverse deflections of thin elastic plates restrained by frictionless

unilateral supports. Von Karman plate theory is used to model these

phenomena. Up to this point in our study, the nonlinearities in the problems

considered have arisen solely because of the contact conditions, the operators

appearing in the variational formations being formally linear and of second

order. In Chapter 9 we deal with unilateral problems involving nonlinear

pseudomonotone operators of fourth order. The problems considered here

admit multiple solutions. Indeed, we include in our discussion of these prob-

lems a brief study of bifurcations of unilaterally supported plates. Again,

variational principles and approximation theories are developed and several

numerical examples are presented.

In Chapter 10 we begin a study of contact problems with friction. Most of

this chapter is devoted to two special cases: first, the problem of contact on

a surface on which the normal stress is prescribed; and second, the problem

of contact on a surface on which tangential stresses are prescribed. While

4 CHAPTER 1

the combination of results obtained for each case provides many important

facts about the numerical analysis of finite element approximations of general

contact problems with Coulomb friction. We are able to derive a new algorithm

for this class of problems and to obtain estimates of the error of finite element

approximations.

In Chapter 11, we consider a more general class of contact problems with

friction. There we review the physics of friction between metallic bodies and

we derive certain nonclassical friction laws for static dry friction. These friction

laws include a nonlocal law which features a condition for impending sliding

which depends upon a weighted average of the normal stress in a neighborhood

of each point on the contact surface and a nonlinear law which takes into

account the elasticity of junctions formed on the contact surface of metallic

bodies. By appropriate choices of parameters, these laws reduce to the classical

Coulomb law of friction as a special case. We develop variational principles,

existence theorems, approximation theorems, and algorithms for analyzing

contact problems with friction, and we describe several applications to rep-

resentative contact problems.

In Chapter 12, we consider several significant generalizations of the problems

discussed in preceding chapters. These include contact problems encountered

in finite elastostatics, i.e., the large elastic deformation of hyperelastic bodies

with general contact conditions. Here many theoretical issues remain open,

but we do present very effective algorithms for solving problems of this type.

We also address the issue of discretization of contact conditions for large

motions and we explore strategies for implementing contact and friction

conditions in quasistatic, incremental procedures. Another significant depar-

ture from earlier formulations that is considered in this chapter is the inclusion

of material nonlinearities. In particular, we consider finite element methods

for large deformations of elastoplastic materials with unilateral contact and

friction. These are applied to problems of metal forming. We discuss in some

detail numerical results and procedures for handling contact and friction

conditions in several metal-forming simulations.

Dynamic friction problems are discussed in Chapter 13. There we review

and summarize new theories and results on the characterization of normal

compliance and friction on dry metallic interfaces, the development of corre-

sponding mathematical and computational models, and their application to

representative classical problems in dynamic friction: stick-slip motion, sliding

resistance, frictional damping.

The general rolling contact problem for finite deformations of a rolling

cylinder is taken up in Chapter 14. It is shown that the rolling contact problem

shares many features with static contact problems discussed in earlier chapters,

but it also exhibits some special mathematical and physical problems of its

own. Algorithms for handling the finite deformation rolling contact problem

are presented and representative numerical examples discussed.

INTRODUCTION 3

The final pages of this work contain concluding comments and some

philosophical comments on how we feel research in this general area should

proceed. There are many important classes of contact problems not considered

here, numerous open problems remaining in the classes of problems con-

sidered, and many issues touched upon here that deserve further study. A

brief discussion of some of the important areas requiring much additional

work is given in the concluding paragraphs.

problems were studied centuries before contact problems found their way into

solid mechanics. Friction effects, for example, were studied by Leonardo da

Vinci in the fifteenth century; they were described as physical "laws" by

Amontons in 1699 and extended to dynamic situations by Coulomb in 1781

(see Dawson [1] for a more complete history). The fact is that, while friction

necessarily requires contact, none of the phenomena observed by these early

scientists were conceived as involving deformable continua: friction was, and

to an extent today remains, an issue discussed with essentially rigid bodies in

mind. Contact problems in the mechanics of solids, on the other hand, did

not appear in the literature until many of the foundations of continuum

mechanics were laid down in the early nineteenth century, and these early

problems necessarily dealt with deformable bodies. In keeping with this his-

torical separation of contact and friction, we review the development of contact

theory here and postpone until Chapters 11 and 13 a discussion of friction.

The study of contact problems in elasticity began in the nineteenth century

with attempts to come forth with an acceptable theory of impact of colliding

bodies. Poisson [1] was the first to attempt such problems, but errors in his

work led to incorrect conclusions in some of the simplest applications of his

theory. Further work, also of limited success, was done by Saint-Venant [1]

and Voight [1] who attempted to formulate a theory of impact within the

framework of the theory of vibrations. In 1882, Hertz [1] successfully treated

a static contact problem in elasticity. Hertz considered the equilibrium of two

elastic bodies in contact on surfaces whose projection in the plane were conic

sections, and he obtained formulas for the contact pressure and indentation

under the assumption that the contact area was contained within an ellipse.

The results of Hertz can be applied to several special problems, e.g., the contact

of a circular cylinder or a sphere with a rigid foundation, half-cylinders on

foundations, etc. Such problems are referred to as Hertz-type or Hertzian

contact problems. For additional details, consult the original papers of Hertz

UL [2], the summary account in the treatise of Love [1], more recent texts

on impact (e.g., Goldsmith [1]), or the informative review paper of Johnson [1].

Several important contributions to the study of contact problems in elasticity

were made by the Russian school of elasticians during the first half of this

century and the 1950's. We mention, in particular, the early work of Beliaev

[1] on the stress near an elliptical contact region, the work of Dinnik [1],

O CHAPTER 1

of integral equation methods in the pioneering books on contact problems by

Shtaerman [1] and Galin [1], and the methods of complex potentials and

conformal maps developed by Muskhelishvili [1]. More complete bib-

liographies on the Russian work on contact problems can be found in the

books of Dinnik [1], Shtaerman [1], Galin [1], Muskhelishvili [1], and Lure [1].

Much of the Russian work on contact problems is concerned with rigid

punch problems (or "rigid stamp" problems, as some refer to them) in which

a rigid frictionless body (the punch) is indented into an elastic medium.

Typically, the geometry and loading in the classical punch problems is simple

and ideal and the contact surface is assumed to be known in advance. These

situations are particularly well suited for analysis by classical methods such

as those employing the theory of linear integral equations, complex potentials

and conformal maps, etc. A typical situation is, for example, the problem of

a homogeneous, isotropic, elastic half-space n = {(x 1} X2,x 3 )e[R 3 |x 3 >:0} (x,

being Cartesian coordinates) indented along the x3-axis an amount a by a

rigid punch, the contour of which is defined by

If P is the total external force applied on the punch parallel to the x3-axis,

then the contact pressure a - a(xl, x2) will satisfy the system of equations

^cc:{(xi,x2,Xj)En3\x3^0} is the contact surface. Equation (1.2) is merely

an application of Boussinesq's solution for the displacement of an elastic

half-space due to a normal unit point load at (^, 2 ,0); (1.3) is an equilibrium

condition. We must have

3

where g = {(xl5 x 2 ,x 3 )eR |x 3 = 0}. When Tc is known, (1.2) and (1.3) con-

stitute a system of linear integral equations which can be solved for cr =

<r(xi, x2) and a. A number of closed-form solutions are known for such cases;

see Shtaerman [1], Muskhelishvili [1], or the summary in Chapter 5 of Lure

[1]. If Fc is not known in advance, the problem is nonlinear and another

condition, such as the "free boundary condition" (1.4), must be included in

the analysis. Nevertheless, exact solutions for some very special cases are

known (see Muskhelishvili [l,p. 483]). An excellent treatise on the analysis

INTRODUCTION 7

of contact problems by classical methods has been written by Glad well [1].

This work also contains many additional references to papers on this subject.

The general problem of the equilibrium of a linearly elastic body in contact

with a rigid frictionless foundation was formulated by Signorini [1] in 1933,

who presented a more complete account of his theory in 1959 [2]. The first

rigorous analysis of a class of Signorini problems was announced in 1963 by

Fichera [1] and was subsequently published in full by Fichera [2]. The work

of Fichera [1] represents the first treatment of questions of existence and

uniqueness of variational inequalities arising from the minimization of func-

tionals on convex subsets of Banach spaces. These particular results apply to

problems characterized by symmetric bilinear forms (or, equivalently, a quad-

ratic strain energy functional), but they do cover cases in which the energy is

not coercive and, therefore, compatibility conditions on the applied forces

must be imposed. In particular, Fichera considered the problem of minimizing

the total potential energy functional,

by

Here W(e(v)) is the value of the strain density W at a strain e(v) produced

by a displacement v, which is characterized by the quadratic form

possess the standard symmetries, and the usual summation convention is used.

In (1.6), f denotes the applied body force per unit volume, dx = dxr dx2 dx3

the volume measure, and t the applied traction on r F = r-r c , F being the

boundary of ft and Tc the contact surface. The admissible set K used here is

a subset of the space of all continuously differentiate vector-valued functions

defined on O U dfl which satisfy a so-called unilateral contact condition v n<

0, n being the unit vector outward and normal to the boundary dfl. This

unilateral condition on elements v in K means that the normal displacement

v n cannot be positive. Fichera characterized the minimizer u of F on K as

the solution of the variational inequality

8 CHAPTER 1

for all v in K, where o-y(u) is the stress tensor produced by the displacement

field u:

(1.10)

Fichera also showed that a necessary condition on the data (f, t) in order that

there exists a solution of (1.9) is that

(1.11)

Further details on Fichera's work can be found in the encyclopedia article

of Fichera [2]. We give a simple derivation of (1.9) in Chapter 2 and review

and give several extensions of these results in Chapters 6-13.

In 1964, Stampacchia [1] presented a theory of variational inequalities valid

for unsymmetric coercive (V- elliptic) bilinear forms on convex sets in Hilbert

spaces. This was followed by the pioneering paper on variational inequalities

by Lions and Stampacchia [1] in 1967 and the important book by Duvaut and

Lions [1] on variational inequalities in mechanics and physics which appeared

in 1972. In this latter work, many important contact problems are formulated

in terms of variational inequalities, including problems with Coulomb friction

in which the friction forces are prescribed, dynamic problems, contact problems

in viscoelasticity, etc. Some general theorems on variational inequalities for

pseudo-monotone operators on convex sets in linear topological spaces were

derived by Brezis [1] in 1968 and applied by Lions [1] to several important

problems.

In the 1970's, many generalizations of and new results on the theory of

variational inequalities were published. Summary accounts of the theory can

be found in the monographs of Mosco [1], and Oden and Kikuchi [1], in the

book of Duvaut and Lions [1], in the more recent textbook of Kinderlehrer

and Stampacchia [1], in the survey article of Glowinski [2], in the collection

of papers edited by Cottle, Giannessi, and Lions [1] and in the book of

Oden [61.

Variational inequalities have also been found to provide a means for develop-

ing powerful approximation and numerical methods. Such subjects are dealt

with in, for example, the works of Mosco [1], Glowinski [1], [2], Falk [1],

Cea, Glowinski, and Nedelec [1], in the two-volume monograph of Glowinski,

Lions, and Tremolieres [1], the monograph of Oden and Kikuchi [3], and the

papers of Brezzi, Hager and Raviart [1], [2]. We shall cite additional sources

on this subject at various places throughout this work.

The development of the theory of variational inequalities led to a number

of advances in the study of contact problems in solid mechanics. In 1969,

Duvaut [1] extended existing results on the Signorini problem to linear visco-

INTRODUCTION 9

problems using a special mixed variational formulation. Fremond considered

the problem of a linearly elastic body resting on a linearly elastic half-space

and approached the problem as one of minimizing the functional

on the set

We see that the energy functional in (1.12) differs from that in (1.6) by the

surface integral over Fc. This surface integral represents the contribution to

the total potential energy of the body ft due to the normal contact pressures

T on Fc. In (1.12), v is an arbitrary (admissible) displacement field,

G:(H l / 2 (F c ))'^(// 1 (fl)) 3 is Green's operator for the elastic half-space and

g defines the initial gap between the two bodies (called, hereafter, the gap

between the bodies). Definitions and properties of the Sobolev spaces Hl(l)

and // 1/2 (F C ), etc. are given in the next section. Since G(r) n is the displace-

ment normal to the elastic half-space, the constraint v n - G ( r ) n < g means

that the normal displacement v n cannot exceed the gap relative to the elastic

half-space g - f G ( r ) - n . Boucher [1] extended Fremond's results to linear

viscoelastic materials using a slightly different energy functional in which

displacement fields of both the elastic body and the supporting half-space

appeared. Another approach was taken in Kikuchi [1], [2] to solve two-body

contact problems which also employed Green's operator G, but which

expressed the contact condition differently than Fremond.

A difficult class of contact problems in elasticity involves the large transverse

deflections and buckling of thin elastic plates in which the transverse motion

of the plate is restrained by the presence of an elastic or a rigid surface parallel

to the undeformed middle plane. Other contact problems for elastic plates

involve cases in which the plate or one of its edges is resting on a rigid or

elastic foundation or cases in which a free edge of a plate can slide against a

transverse support. Variational formulations of such highly nonlinear prob-

lems, including questions of existence and uniqueness of solutions and bifurca-

tions of solutions, were studied by Duvaut and Lions [2], Naumann [1], [2],

John and Naumann [1], John [1], Do [1], [2], and Ohtake, Oden, and Kikuchi

[1]. The numerical analysis of certain problems of this type by finite element

methods was discussed by Ohtake, Oden and Kikuchi [2].

Variational methods for the study of rigid punch problems were also devised

by Duvaut [3]. For example, problems of the type described by (1.2)-(1.3)

10 CHAPTER 1

with p as defined in (1.1). A given number P is the total applied force to the

punch, and (3 is an arbitrary admissible depth of indentation. In this formula-

tion, the displacement u and the depth of indentation are obtained as the

minimizer to the functional (1.14). Several generalizations of the variational

formulations of the rigid punch problem are obtained in Kikuchi [7], [8] and

Kikuchi and Song [1]. There, rigid punch problems involving moments as well

as forces are analyzed. Johnson [1] has extended some of the results of Duvaut

[3] to elastoplastic foundations.

Essentially all of the work on contact problems we have mentioned up to

this point does not include the effects of friction. Duvaut and Lions [1]

formulated a restricted class of contact problems with Coulomb friction under

the assumption that the contact area and the contact pressure are known. The

particular problem of contact of an elastic body with a rigid foundation can

be approached by seeking minima of the energy functional

coefficient of friction, or is the contact pressure, v r is the tangential component

of displacement on the boundary, and [VT^VT' VT. Even when cr and Fc are

prescribed, the contact problem characterized by (1.16) is complicated by the

fact that F is not Gateaux differentiate. The physically more meaningful case

in which a is viewed as unknown (or as a function of the unknown displacement

field u) involves formidable mathematical difficulties, not all of which have

yet been resolved. Some positive results in this direction have been obtained

for special cases by Necas, Jarusek and Haslinger [1]; see also Duvaut [4].

The development of variational inequalities for contact problems with non-

classical friction laws was undertaken in a series of papers by Oden and Pires

[1], [2], [3], [4], Pires and Oden [1], [2], Demkowicz and Oden [1] and Oden

and Martins [1]. These works introduce special nonlinear friction laws as well

as nonlocal friction models in which sliding occurs at a point on the contact

surface at which the local shear stress is proportional to a weighted average

of the normal stress in a neighborhood of each point. Also, interface models

INTRODUCTION 11

which simulate elastoplastic effects in friction have been factored into vari-

ational principles for contact problems by Oden and Pires [2] and Oden and

Martins [1]. We discuss these and related issues in more detail in Chapters

10-13.

A study of variational methods for a broad class of contact problems has

been undertaken by Kalker [1], [2]. In particular, Kalker [1] lists a variety of

variational principles for contact problems, identifies several solved and unre-

solved questions, and gives an extensive bibliography on the subject. In

conjunction to the rolling contact problem, friction problems have been studied

by many authors as listed in a survey paper by Kalker [3]; in particular, details

of rolling contact with dry friction can be found in Oden and Lin [1], Kalker

[4], [5], [6], Johnson [1], [2], [3], and Carter [1]. We discuss these topics

further in Chapters 13 and 14.

Similar work, aimed at using variational ideas as a basis for developing

discrete models of contact phenomena, was contributed by Panagiotopoulos

[1] [2], [3], who, among other things, presented a numerical scheme for

solving Signorini's problem with friction based on stochastic optimization

concepts. In addition to the applications discussed by Panagiotopoulos, several

finite element methods for treating contact problems with friction have been

proposed in the engineering literature. As typical examples, we mention the

papers of Goodman, Taylor and Brekke [1], Chan and Tuba [1], [2], Hardy,

Baronet, and Tordion [1], Ohte [1], Tsuta and Yamaji [1], Francavilla and

Zienkiewicz [1], Hughes, Taylor, Sackman, Curnier, and Kanoknukulchai [1],

Fredriksson [1], Paczelt [1], Schaeffer [1], and Herrmann [1]. These authors

employed incremental analyses to control nonlinearities due to contact and

to model friction effects. Many of the techniques developed in these papers

are based on Lagrange multiplier or penalty formulations for handling the

contact constraint on the displacement field u, i.e.

where g is a given function representing the normalized gap between the elastic

body and the foundation. In Lagrange multiplier formulations, the multiplier

associated with (1.17) is the contact pressure. In other formulations, authors

frequently employ thin "bond," "film," or "interface" elements to model a

boundary layer around the contact surface. As shown by Okabe and Kikuchi

[1], these in fact correspond to penalty methods for handling the constraint

(1.17) in which the element thickness corresponds to the penalty parameter.

Contact problems involving large deformations and inelastic behavior are

dealt with sparingly in the literature. Contact problems in finite elasticity have

been studied by Oden et al. [1], [2], Haggblad and Sundberg [1], and others.

General slideline algorithms for treating the geometric problem of colliding

bodies have been given by Hallquist [1] and Hughes, Taylor et al. [1], [2] and

have been critically examined by Guerra and Browning [1]. Contact and impact

12 CHAPTER 1

of papers on the numerical analysis of such problems edited by Eringen [1].

The application of finite element methods to contact problems involving large

inelastic deformations has been considered by several authors, and we mention

the papers of Kikuchi [8] and Guerra and Browning [1] where additional

references can be found.

There have been relatively few attempts at developing a complete approxima-

tion theory and numerical analysis of finite element methods for contact

problems in elasticity. The first results in this area were presented in the 1977

thesis of Kikuchi [2] and later in the widely circulated report of Kikuchi and

Oden [1]. Other results on convergence of finite element methods for Signorini

problems were presented by Loppin [1], Hlavacek and Lovisek [1], Haslinger

and Hlavacek [1], [2], [3], Oden, Kikuchi and Song [1], and Kikuchi and

Song [2], [3]. A study of finite element methods for unilateral contact of thin

plates undergoing large transverse deflections as given in the papers of Ohtake,

Oden and Kikuchi [1], [2], and forms the basis for Chapter 9 of the present

study.

A study of convergence of finite element approximations of certain classes

of contact problems with friction was presented by Campos, Oden, and Kikuchi

[1] and Pires and Oden [1], [2] and Martins and Oden [1]; also, Haslinger

and Hlavacek [1] provided a numerical analysis of finite element approxima-

tions of the special friction problem studied by Necas, Jarusek, and

Haslinger [1].

It should be noted that there is a large volume of work on friction, contact,

and wear in the engineering literature, and that a wide variety of schemes,

both experimental and computational, have been devised to study such

phenomena. The large treatise of Bowden and Tabor [1], for example, rep-

resents a classical treatment of the physics of friction; while the National

Bureau of Standards Monograph on the Mechanics of Pneumatic Tires edited

by Clark [1] is a frequently referenced source on practieal solutions for contact

and friction problems encountered in tire design. Also, the mechanical

engineering monographs edited by Browne and Tsai [1] and Cheng and Keer

[1] on rolling friction and on solid contact and lubrication contain papers

with widely varying approaches to these problems and numerous references

to other work on these subjects. We shall provide a more complete bibliography

on this subject in Chapters 11 and 13.

A detailed critique of the experimental and theoretical literature on dynamic

friction phenomena, with particular emphasis on stick-slip motion, chattering,

friction damping, dynamic sliding resistance, was compiled by Oden and

Martins [1], In this work, new interface models of normal compliance and

dynamic friction were proposed which capture many important features of

such dynamic friction phenomena. Some of these results and additional refer-

ences are summarized in Chapters 11 and 13. Recently, existence theorems

INTRODUCTION 13

for elastodynamic and viscoelastic contact problems with friction have been

contributed by Martins and Oden [2].

Models of the general rolling contact problem, with finite elastic and visco-

elastic deformation, friction, and inertia effects, were developed by Oden,

Becker, Lin and Demkowicz [1], and finite element solutions of a number of

special cases were analyzed. These highly nonlinear problems can involve

regular and noncompact bifurcation problems, the latter corresponding to the

emergence of standing waves in rotating cylinders. Rolling contact problems

of this type were studied by Oden and Lin [1], and some of their results an

additional references are given in Chapter 14.

The reader may find more complete lists of related work on contact problems

and of their analysis by variational and numerical methods in the key references

cited in this section. We shall also list other sources in the discussions that

follow.

1.4. Notation and conventions. Throughout this work, we employ notation

and conventions which are standard in modern mathematical literature on

solid mechanics and partial differential equations. Vectors and tensors are

denoted by boldface characters and index notation is used to describe their

Cartesian components. We also use the summation convention of summing

on all repeated indices. Thus, a vector v and a tensor T have components u,

and Ty, respectively, and 1 ^ i, j^ N, with N generally equal to 1,2, or 3.

We frequently deal with certain spaces of functions defined on a bounded

open domain ft in IRN, where IR N =r lili W ^ is tne real nne > an d> generally,

N=l, 2, or 3. The boundary of ft is denoted F. Suppose that a Cartesian

coordinate system is established in R N and that a point in UN is given by

x = (xi, x 2 , , X N ). We will sometimes use multi-index notation to denote

partial derivatives of functions u = M(X) defined on ft; thus,

points on only one side of F. To measure the smoothness of F, we may use

the following scheme:

(i) We cover F with a collection { U ^ , U2, , UM} of open subsets of IRN,

F e U f l i L/r, such that

coordinate system x = (x l 5 x2, , X N ) into local coordinate systems yr =

(yn,yr2,- ,>VN): yr = A r (x), r=i,2, , M.

(iii) We assume that there exists an a > 0 and a (3 > 0 such that, locally,

the smoothness of the boundary F can be described in terms of hypersurfaces

14 CHAPTER 1

(iv) Let C M (5), 0</c<oo, 0< A < 1, denote the Holder class of functions

defined on the closure of the set S^RN. Thus, C M (S) is the subspace of

Ck(S) consisting of those functions cf> whose derivatives Da<f> satisfy, for all

0^|a|^/c, the Holder condition with exponent A, i.e., there is a constant C

such that

where ||-1| denotes the Euclidean norm on UN. Then the regularity of Tr is

assumed to be determined by choosing k and A so that

(v) The class of all such sets satisfying the above conditions is denoted (k'A,

and, if (iv) holds, we say that H e <** or H is of class (/c'A.

Note that if Oe <#0>1, (1 is said to be a Lipschitzian domain.

Occasionally, we will make reference to the well-known function spaces:

C m (n)= the linear space of functions v with partial derivatives Dav

( = (,, a2, - , a N )) of all orders 0^ a|^m continuous on

H, m an integer 5:0.

c(a)= n~ =0 c m (n).

C(O) = {ueC m (n)|support of v = closure {xen|u(x)^0} is compact

in ft}, 0<m<oo.

(H) = the space of test functions defined on (1 (i.e., C^(fl) equipped

with the well-known locally convex topology).

Q)'(l} = the space of distributions and the topological dual of S>(O).

L P (O) = the space of equivalence classes of measurable functions v for

which Jn v(\)\pdx<oo, Lebesgue integration being implied,

and equipped with the norm

The spaces Si(O) and 3)'(l) are not metrizable. The spaces L P (H) are Banach

spaces, reflexive whenever Kp<oo, and L2(O) is a Hilbert space equipped

with the inner product (w, y)z,2(n) = Jn uvdx (M, v being real-valued).

INTRODUCTION 15

be a nonnegative integer and p a real number satisfying 1 < p < oo. The Sobolev

space Wm'p(l) of order (m, p) is the linear space of functions (or equivalence

classes of functions) in L p (l) whose distributional partial derivatives Dau of

all orders a| such that 0< a ^ m are in L P (O):

The spaces Wm'p(l) are Banach spaces when endowed with the norms

It is also possible to define fractional Sobolev spaces W*'p(l), where 5 is

a nonnegative real number, using the interpolation theory of Banach spaces.

For example, the space W s>p (ft), s>0, can be identified with the completion

of C m (fl) in the so-called Slobodetskij norm,

Sobolov norms can be introduced which are equivalent to this norm.

We also denote

functions defined on the boundary F of fl or on a portion F! of F. For these

spaces, we use the notation L P (F), L p (r,), W5-P(F), W'P(F,), etc., s being a

nonnegative real number.

The so-called negative Sobolev spaces are topological duals of the Sobolev

spaces defined above. In particular we denote, for s>0,

where p'-p/(p-l), Kp<<x>. The norm || ||*p>n in the dual space W~s'p'(fl)

of Wo p ((l) is defined in the usual way by duality:

16 CHAPTER 1

i.e., if ge W~s'p'(a), then g(v) = (g, u)S(p>ft for every ve W^p(fl). We shall

denote the dual space of a general Banach space V by V, and its norm || || *

by

only the special Sobolev spaces for which p = 2. In these cases, we use the

notation

etc. The spaces Hm(l) are Hilbert spaces, equipped with the inner products

such as

so that

When the domain of the function is clear from the context, we will use the

simpler notation for the norms || ||m,p,n, I I ' l| m ,n> etc., given by

etc.

We next recall the fundamentally important imbedding theorem. Let A c+B

represent the fact that the identity map from A into B is continuous and

compact.

THEOREM 1.1. (Sobolev-Kondrasov imbedding theorem). Letfte^*1'.

Then:

(i) J / p > l and kp<N, then W^Cft) <^Lq(l) for q defined by

l/q = l/p-k/N.

(ii) / / p > l and kp = N, then Wk'p(tl) ^Lq(Sl) for q such that

\<q< +00.

(iii) //>> 1 and kp> N, then W^p(^l) qjC' M (n), where

INTRODUCTION 17

// m (n), we use the notation

etc.

For additional details on properties of the spaces described in this section,

see for example, Adams [1], Kufner, John, and Fucik [1] or Necas [1].

We conclude this chapter with a response to a common question: Why do

we need spaces such as L p (ll) or // m (fl) to study contact problems in elasticity?

Primarily because continuum mechanics and variational formulations furnish

us with integral statements of the physical principles of mechanics which make

sense only for certain classes of admissible functions. A key consideration in

determining whether a given function is admissible is its regularity: how smooth

the function is. Not only do the spaces I/(O), Hm(H), etc. arise naturally in

weak or variational statements of boundary-value problems in mechanics, but

also they provide an elegant and systematic framework for quantifying the

concept of regularity: if, for example, it is known that u e // 2 (fi), then a

specific minimum degree of regularity of the function u can be inferred.

Moreover, this quantification of regularity is fundamental to the error analysis

of approximate methods such as finite elements; indeed, errors are naturally

measured in some appropriate Sobolev norm and rates of convergence depend

upon the order of the space and the regularity of the solution. We use these

spaces and these properties throughout this work.

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Chapter 2

Signorini's Problem

in the formulation of contact problems in solid mechanics and the basis for

many generalizations which we discuss in subsequent chapters, is the so-called

Signorini problem describing the contact of a linearly elastic body with a rigid

frictionless foundation. Our aim in this chapter is principally one of orientation:

we describe the equations and inequalities governing the equilibrium of an

elastic body undergoing "small" deformations whose motion is constrained

by the presence of a rigid, lubricated, frictionless foundation which may come

in contact with the body during its motion. We construct the contact conditions

and associated inequalities, and we then comment on generalizations.

We shall pay special attention to the variational aspects of the problem,

and we will show that the solution of the classical Signorini problem is also

the solution of a variational inequality that arises naturally from the principle

of virtual work. However, we do not dwell on the detailed structure of the

variational formulation here; we postpone until Chapter 6 a complete descrip-

tion of the variational or weak problem and the precise identification of the

spaces in which this problem is properly posed.

a set fl of material particles x. We wish to describe the motion of the body

relative to a fixed spatial frame of reference with respect to which the Cartesian

components of a point in IR3 are denoted yt, 1 < i < 3. When the body occupies

its reference configuration in R3, we assign a label (x,, x 2 , x3) to each material

particle x in such a way that the label x, coincides with the coordinate yf of

the position of the particle. Having made this identification, we do not distin-

guish between the material particle x and its labels (x l 5 x 2 , x3), and we write

x = (xj, x 2 , x3). The motion of the body is then characterized by equations

giving the position >>, of each particle at each time f >0:

19

20 CHAPTER 2

to the fixed spatial frame at time t are given by the functions

We will assume that the functions %t are differentiate with respect to the x,

and t, that (2.1) is locally invertible, i.e.,

and that (2.1) can be inverted to give the x, in terms of the positions >>,:

illustrated in Fig. 2.1: there is located above the body (i.e., at a position yf

SIGNORINI'S PROBLEM 21

such that ^3^X3, f = 0) a rigid and absolutely fixed body & which will be

called the foundation; ZF is to be conceived as an unbounded, semi-infinite

region in R 3 , the presence of which limits the extent to which the body can

displace in the y 3 -direction. We are interested in the deformation of the body

brought about due to its motion from its reference configuration to another

configuration at a fixed time f, > 0 at which some portion of the material

surface of the body comes in contact with the foundation &. For this purpose,

we can (and shall) ignore the dependence of the functions Xi> X^\ and M i>

1< / < 3 , on time t.

To simplify matters, suppose that the surface S of the foundation is defined

parametrically by the equation

and that the material surface Fc of the body Cl which contains that portion

of the total surface F of the body which comes in contact with 9 in the current

configuration is defined by the particles for which

where, for the moment, t/> and $ are assumed to be smooth functions and

*l>(y\ > ^2) <j>(yi, y-i) for all points ( y l , y2) in the projection of Fc on the y ^ ,

y2 plane (here the notation <j>(y\,y2) is understood to mean that the rule

defining the surface Fc is used to define a new function on points lying in the

projection of Fc on the yl, y2 plane). Then, if (xj, x 2 , x3) is a particle on Fc,

its displacement must satisfy

and

displacements of a body constrained by a fixed rigid foundation. Additional

contact conditions are to follow.

We obtain a formally simpler version of (2.5) by rewriting (2.4) in the form

22 CHAPTER 2

where

considerations. However, this condition must also be compatible with the state

of stress on the contact surface Fc. Let T = T(>>i,}> 2 ,}>3) denote the Cauchy

stress tensor at the particle (xl,x2,x3) whose position is (y\tyi,y3) and let

n = (HI , 2, "3) denote the unit outward normal to Fc. If T)j(y) are the Cartesian

components of T at y = (^i,^,^) = x( x ), 1 ', 7 3, then the normal and

tangential components of T at a particle on the material surface F are,

respectively,

where x = (xi, #2, to), Xt being defined in (2.1), x = (*j, x 2 , x3), and the usual

summation convention on repeated indices is used. Next we make two funda-

mental observations: first, if no tractions are applied on Fc, a compressive

normal stress must be developed at the points of contact, Tn is zero if no

contact occurs; second, if the foundation surface 5 is frictionless, the tangential

components of stress TT. at x e Fc must be zero. Thus, we must have for x e Fc,

Observe that in every case that (2.8) and (2.11) hold, we must have

Collecting these results, we arrive at the general contact conditions for the

case of a frictionless rigid foundation:

generalizations and further details are given.

SIGNORINI'S PROBLEM 23

2.3. Incremental and linearized contact conditions. Let us suppose that the

body is displaced relative to its current configuration by a small amount

characterized by small increments AM, in the components of the displacement

vector. Then the kinematical contact condition (2.5) assumes the form,

wherein x = (xj, x 2 , (/>(*i, *2)) e T c . If the increments Aw, are small, the value

of 0 at x, + w, + Au, can be approximated by retaining terms linear in Aw, in

an expansion of ifj about yt - x, + M ; :

Now we observe that the components JV, of a unit vector normal to the

surface S of the foundation at the position (y}, y2, y3) are given by

simplifying, we arrive at the condition

where G(x, u) is a measure of the "gap" between the body and the foundation

prior to the addition of the increments Au:

to (2.17) the corresponding contact conditions (2.11) on stress components,

with T evaluated at y + Au.

We refer to (2.17) as an incremental kinematical contact condition; it is useful

in describing constraints on the motion of the body in terms of perturbations

24 CHAPTER 2

we shall see in Chapter 12, it is also useful in approximating the kinematics

in certain contact problems involving finite deformations. For example, if we

view the motion of a body as the result of a sequence of infinitesimal displace-

ment increments and if u"(x) is the accumulated displacement of particle x

after n such increments, then AM, must satisfy the kinematical condition,

11 and 12.

Linearized conditions. We next seek an approximation to conditions (2.13)

for which each function is given in terms of the particles x (or the "initial"

coordinates *,) which is linear in the components of displacement and which,

therefore, should be valid under the physical assumption that the body under-

goes "small" displacements relative to its reference configuration. An obvious

linearization of (2.5) follows immediately from (2.17):

However, this form of the linearized contact condition is not convenient for

our purposes because it involves the component of u normal to the surface S

of the foundation ^ and not the material surface Fc. Fortunately, for problems

involving infinitesimal deformations and for S and Fc sufficiently smooth, the

geometry of the body in its current configuration can be distinguished from

that in its reference configuration only to within terms involving infinitesimals

raised to powers of higher order. Thus, the surfaces 5 and Fc are necessarily

very close initially and are essentially parallel in the sense that N and G in

(2.20), respectively, can be replaced by the unit vector n normal to Fc and a

gap g normalized with respect to the surface Fc rather than G.

To verify this assertion, let us assume that the functions </ and if/ have

continuous first partial derivatives and bounded second partial derivatives

everywhere in their respective domains. Then, from (2>6),

where O ( - ) denotes terms of quadratic order and higher in |w,|, |u,J etc.

Retaining only linear terms, we have

SIGNORINI'S PROBLEM 25

Thus, introducing (2.21) and (2.22) into (2.8) (or (2.5)), dividing by V/|, and

using the notation (2.23), we arrive at the simplified constraint condition,

;

The normalized initial gap between 5 and Fc, defined by the function g in

(2.25), is regarded as part of the given data in contact problems since it can

obviously be calculated from the given functions $ and </>.

Now since <//-(/> = O(|u 3 |), u,,(x) = u,,(y) + O(\unJ un\), and g(x) =

g(y)+ O(|w 3 |w 3 ,,|), it is permissible within our linear approximation to write

(2.24) in the form

Finally, let T denote the Cauchy stress at the particle xe Fc. Then, r n (x) =

Ty(x),-j, l ^ i , 7=s 3, (i.e. rn(x}= Tn(\(\)) denotes its normal component at

x). Thus, the contact conditions (2.13), for the case of infinitesimal motions,

reduce to

where T r = T n rnn.

studied in 1933 by Signorini [1]. We begin by considering the deformation of

a body unilaterally supported by a frictionless rigid foundation, as shown in

Fig. 2.2, and subjected to body forces f and surface tractions t applied to a

portion F F of the body's surface F. The body is fixed along a portion F D of

its boundary and we denote by Fc a portion of the body which is a candidate

contact surface. The actual surface on which the body comes in contact with the

foundation is not known in advance but is contained in the portion Fc of F. We

confine our attention to infinitesimal deformations of the body.

26 CHAPTER 2

Let v = (t>j) = (u,, v2, v3) and T = (T,-,), 1 < i, j < 3, denote arbitrary displace-

ment and stress fields in the body. A stress field T = T(X) is in equilibrium at

a particle x on the interior of H if

kinematic boundary conditions on FD if

Similarly, if t is the traction applied on FF, the stress produced there must satisfy

displacement field v are given by the linear equations

The mechanical properties of the body are characterized by a constitutive

equation which gives the stress T at each particle as a function of the strain e

at that particle:

SIGNORINI'S PROBLEM 27

This constitutive law characterizes a Cauchy elastic material. Since e(l is defined

in terms of the displacement gradients by (2.28), the constitutive equation can

also be written in terms of the functions vtj, and we will also use the notation

displacement gradient tensor at x.

Now let u denote a specific displacement field of the body, the material of

which is characterized by (2.30), that corresponds to an equilibrium state of

the body for given data: body forces f, surface tractions t, and initial gap g.

If, at this equilibrium configuration, the body comes in contact with the

frictionless foundation, then from (2.27) and the above equations it is clear

that u satisfies the following system of equations and inequalities:

Here oy.(x, Vu), <rn(\, Vu) denote the tangential and normal components of

stress vector (or traction), respectively, written in terms of Vu, at a particle

xer c .

The system (2.31) characterizes Signorini's problem for the material defined

by (2.30). In virtually all of our subsequent developments,1 we shall be

concerned with hyperelastic Hookean materials, for which the response func-

tions in (2.30) take on the specific form

where Eijkl(\) are the components of Hooke's tensor at x and have the symmetry

properties.

Then Signorini's problem (2.31) becomes one of finding the displacement field

1

Some exceptions are discussed in Chapter 12 where inelastic materials are studied and in

Chapter 14 where finite deformations of elastic bodies are studied.

28 CHAPTER 2

u such that

problem (2.34) is now considered which plays a fundamental role in subsequent

studies.

Let V denote a normed linear space of real, vector-valued, measurable

functions defined on O. For our present purposes, it suffices to assume that

the functions v in V and their domain O are sufficiently smooth that all the

operations we have in mind are well defined. In particular, we require that V

be such that for any u, v e V, the virtual work Jn cry(u)e i;/ -(v) dx Jn E^u^Vij dx

is well defined, that ve V implies v = 0 on FD, and that V is partially ordered

by a relation < so that the symbolism "un ^ un on the boundary segment Fc"

for some u, v e V has meaning. We will discuss specific properties of V in

Chapter 5 where we show that for linearly elastic materials it is appropriate

to choose V as a subspace of the Sobolev space H^fi). For the present, it

suffices to take v and 1 to be smooth, e.g., vte Cl(&), He C1'1.

Suppose that vn = v n is well defined for ve V. Then the contact conditions

enter the present variational formulation through the introduction of a subset

K of V defined by

Now let u be a solution of the Signorini problem (2.34) and suppose that

u V so that u is also in the set K. Let v be an arbitrary element of K. Then,

if o-y(u) is defined by (2.35) l5 the virtual work produced by the actual stress

corresponding to u and the strain etj(\-u) produced by the (virtual) displace-

ment v-u (which, incidentally, satisfies the boundary conditions on F D ) is

SIGNORINI'S PROBLEM 29

We next assume that o"j/(u) and v-u are such that the following integration

by parts (Green's) formula is valid:

Since vt and w, vanish on FD and u is the solution of (2.34), we have, for all

veK,

Also, on F c ,

Signorini's problem (2.34). We also refer to (2.38) as the primal variational

principle for the Signorini problem; unlike standard variational principles in

solid mechanics, we obtain an inequality in problems of this type owing to

the constraint u e K.

We emphasize that we have ignored many fundamental questions in arriving

at (2.38). For example, if u is a solution of (2.38), in what sense, if any, is it

a solution of (2.34) ? If v e V, in what sense is vn = u,n, on F or vn - g < 0 to be

interpreted, etc.? We address these and related questions in some detail in

Chapter 5.

We also remark that the above ideas are easily generalized to a more abstract

setting. Let V be any reflexive Banach space, K a nonempty closed convex

subset of V, and A a possibly nonlinear operator mapping V into its dual V.

30 CHAPTER 2

that

inequality for u. We discuss the role of inequalities of the type (2.39) in convex

analysis and optimization theory in the next chapter.

Chapter 3

Minimization Methods

and Their Variants

the minimization of functionals on reflexive Banach spaces, especially on

Hilbert spaces. Our aim here is to review briefly some of the major theorems

that are of use in subsequent studies; hence, we do not furnish proofs of most

of the results but, instead, refer the reader to other sources for more details.

In particular, we summarize here some of the basic theorems of convex analysis,

saddle point theory (Lagrange multipliers), and penalty methods.

Let

V be a reflexive (real) Banach space with norm || ||,

K be a nonempty closed convex subset of V,

F:K-*R be a real functional defined on K.

Find u E K such that

This is the minimization problem for the functional F relative to the set K.

It is informative to interpret many of the mathematical notions to be

discussed here in terms of physical concepts familiar in solid mechanics. For

example, K can be thought of as the set of all admissible displacements

satisfying the essential (kinematics) and the kinematic contact conditions. A

reflexive Banach space V is the abstraction of the space of motions for which

the corresponding strain energy of the elastic body is finite, and its dual space

V can contain various applied body forces and tractions. An example of a

functional F defined on such spaces is, of course, the total potential energy,

which consists of the (total) strain energy and the potential energy of the

31

32 CHAPTER 3

the form

where a ( - , - ) and /() are bilinear and linear forms, respectively. In this

setting, the bilinear form a(u, v) represents the internal virtual work produced

by the displacement field u, and v is an arbitrary virtual displacement. The

linear form/(y) then represents the virtual work done by external forces and

-f(v) is the corresponding force potential. Constraint operators B, to be

introduced later, are an abstraction of constraints on the admissible displace-

ments such as those restricting the values v - v n of the normal displacement

in contact problems or the change in volume (JBv = divv = 0) in problems

involving incompressible materials. The partial ordering "^" introduced in

3.3. is a generalization of the inequality u(x)< u(x) which is applied at a

point x of a domain H for sufficiently smooth functions u and v.

The principal issue here is to establish sufficient conditions under which the

problem (3.1) has a solution. Ultimately, we will also want to characterize

such solutions when they exist. Toward this end, we introduce some definitions

which will enable us to specify concrete properties of F.

Weak semicontinuity. A function F: K -> R is said to be weakly lower semicon-

tinuous on K (or, more specifically, weakly sequentially lower semicontinuous)

if, for any sequence {uk}<=- K with the property that {uk} converges weakly to

u e K, we have

The functional is weakly upper semicontinuous if limsup k _,.oo F(w fc )< F(M).

If w fc - u strongly in K and (3.2) holds, F is said to be lower semicontinuous;

upper semicontinuity is defined in an analogous way.

In (3.2), "lim inf" signifies the limit inferior of the sequence {uk}; "lim sup"

is the limit superior. Recall that {uk} converges strongly to u if and only if

linife^oo ||w fc -w|| =0; {uk} converges weakly to u whenever

It is common practice in optimization theory to regard the co-domain of

the functional F being minimized as the extended real line R = R U {o}. Then

we require that F be proper, by which we mean Ff^+oo everywhere, and

nowhere takes the value -oo. We.then solve the minimization problem on the

effective domain of F:dom F = {ue V\F(v)< +00}.

Convexity. A functional F: K -IR is convex if and only if

MINIMIZATION METHODS AND THEIR VARIANTS 33

F is said to be concave.

Differentiability.A functional F:K-*U is G-differentiable(or Gateaux

differentiate)at a point u e Kthere exists a linear functional DF(w)V

such that, for every ve K,

V'x V (i.e., if ge V, we write g(v) = (g, v)). Higher order derivatives are

defined in an analogous way. We call DF(u) the gradient of F at u and

(DF(u), v) the Gateaux derivative of F at u in the direction v.

Coercivity. A functional F: K - R is said to be coercive if and only if

there exists a real number R>Q such that F(v)> F(uQ) for all v such that

\\v-u0\\>R.

We are now in a position to record the generalized Weierstrass minimization

theorem.

THEOREM 3.1. Let F be a real functional defined on a nonempty closed convex

subset K of a reflexive Banach space V. Moreover, let either of the following

conditions hold:

(i) F i5 weakly lower semicontinuous on K and K is bounded, or

(ii) F 15 weakly lower semicontinuous and coercive on K.

Then F attains its minimum value on K; i.e., there exists at least one ue K such

that (3.1) holds.

In virtually all applications that we wish to consider, K is unbounded.

Hence, condition (ii) is of special importance* in subsequent developments.

The problem of testing a given F for coercivity generally reduces to establishing

an estimate of the type

where C0> 0, C, >0, and a > ft. Clearly, if (3.3) holds for all v<=K,F will be

coercive on K. In many important cases, the weak lower semicontinuity of F

can be established using the conditions listed in the next two theorems.

THEOREM 3.2. Let F:/C-IR satisfy the following conditions:

(i) F i5 convex,

(ii) F i'5 G-differentiable on K.

Then F is weakly lower semicontinuous on K.

THEOREM 3.3. Let F:K-+R be G-differentiableThen the following are

equivalent:

(i) F15 convex,

34 CHAPTER 3

(Hi) F(v)-F(u)>(DF(u),v-u)Vw, veK.

Moreover, if F is twice G-differentiable, then the above conditions are also

equivalent to

(iv) (D2F(u)(v), u>>0 VveK.

By combining and adding to some of these results, we obtain:

THEOREM 3.4. Let F be a real, coercive, convex, G-differentiable functional

defined on a possibly unbounded, nonempty, closed convex subset K of a reflexive

Banach space V. Then F attains its minimum value on K. If, in addition, F is

strictly convex, the minimizer is unique.

Remark 3.2.1. Several remarks are in order concerning the results established

up to this point.

First, we note that the conclusions of Theorem 3.1 hold if K is only weakly

sequentially closed, i.e., if K has the property that if {uk} is any sequence

drawn from K which converges weakly to u e V, then u e K. The identification

of convex constraint sets K is of course fundamental to the theory of variational

inequalities. There are, however, many problems in solid mechanics for which

the underlying set K is nonconvex. Such situations arise, for example, in finite

elasticity theory and some examples are studied in Chapter 12; see also Ball

[1] and Oden and Kikuchi [2].

For proofs of Theorems 3.1-3.4, see, for example, Vainberg [1] or Ekeland

and Temam [1, Chaps. 1, 2] or Oden [7].

Remark 3.2.2. If F: K -> IR is G-differentiable, then its gradient A( ) = DF( )

is a map from V into V; if A: V-+ V is the gradient of a functional F, A is

said to be potential. The second derivative, (D2F(u)(v), v) is bilinear on V;

D2F:VxV^V.

If DF satisfies condition (ii) of Theorem 3.2, then DF is a monotone operator.

Hence, the gradient of any convex G-differentiable functional is monotone.

If the strict inequality (>) in (ii) holds for u ^ v, DF is strictly monotone;

similarly, if F is strictly convex and G-differentiable, DF is strictly monotone.

Remark 3.2.3. If F: K -(R is G-differentiable but not convex, then, of course,

more general conditions than those listed in Theorems 3.2 and 3.3 must be

met to guarantee the weak lower semicontinuity of F. Conditions for the weak

lower semicontinuity of nonconvex functions have been given, for example,

by Ball [1], Ekeland [1], and Oden and Kikuchi [2]. As an example of a

generalization of (ii) of Theorem 3.3, Oden [2] has shown that F is weakly

lower semicontinuous whenever

I u ||, || v || =s fji < oo, and U is a Banach space in which V is compactly embedded.

MINIMIZATION METHODS AND THEIR VARIANTS 35

Oden [2] points out that any operator DF satisfying (3.4) is pseudomonotone

in the sense of Brezis [1] and Lions [1].

Remark 3.2.4. We remark that a necessary and sufficient condition for (weak)

lower semicontinuity is that the epigraph of F,

We shall now describe some results which are most easily appreciated when

we take for the codomain of F the extended real line PS = U U {00}. Suppose

F: V-|R is convex but not G-differentiable on all of V. Then many of the

ideas concerning the minimization of differentiable functionals can be extended

if F is subdifferentiable at points in V. Specifically, the set dF(w)c: V of all

linear functionals g such that

subgradient of F at u. If F is differentiable at u, then dF(u) = {DF(w)}, in

agreement with condition (iii) of Theorem 3.3. This further leads to an obvious

generalization of Theorem 3.2: if a functional F:K-*U is subdifferentiable

on K, then the functional F is weakly lower semicontinuous on K. A sufficient

condition for subdifferentiability is given in the following theorem, a proof of

which can be found in Ekeland and Temam [1, p. 22].

THEOREM 3.5. Let F be a convex functional from a reflexive Banach space V

into IR, and let F be finite and continuous at a point UE V. Then F is subdifferenti-

able on the interior of its effective domain dom F = {v e V\F(v)< +o}, and, in

particular, F is subdifferentiable at the point u.

Another interesting sufficient condition for weak lower semicontinuity of a

functional is the following:

THEOREM 3.6. Let f be a convex lower semicontinuous function from !Rm into

(-00, +00] such thatf^ +00. Suppose that, for e e (L q (O)) m , q > 1, a functional

F is defined by

and is such that F ^ +00.

Proof. Following Brezis [2, p. 160], we note that the convexity of F and th

fact that F ^ +00 are obvious. To show lower semicontinuity of F it suffices

to prove that the level set

36 CHAPTER 3

Suppose that {en} is a sequence in (Lq(fl))m such that F(e,n)<\ and {en}

converges to e0. Then there exists a subsequence of {en}, denoted again by

{en}, which converges to e0 almost everywhere in ft.

On the other hand, / is convex on R m ; thus, by the Hahn-Banach theorem,

ae(IR m )' and feeR exist such that

Iimmf n -,oo/(e n )^/(e 0 ) almost everywhere on O.

By Fatou's lemma (see, e.g., Royden [1, p. 83]) /(e0) is integrable and

The major results are summarized in the following theorem.

THEOREM 3.7. Let K be a subset of a normed linear space V and let F be a

G-differentiable functional mapping K into R. Ifu is a minimizer of Fin K, then

u may be characterized in one of the following ways:

(i) If K is a nonempty closed convex subset of V, then

(ii) IfK is a nonempty closed convex subset of Vand u e int K (int K = interior

o f K ) , then

translated by a vector w with respect to the origin), then

Partial proof. Since some of these results are of special importance in later

developments, we will outline the essential ideas in the proof.

MINIMIZATION METHODS AND THEIR VARIANTS 37

If u is a minimizer of F, then

that u + evzK. Then (DF(u),u + ev-u) = (DF(u), ev)>Q. Since e is

arbitrary, this implies (DF(u), t>) = 0 for every u e K

(iii) For any se [0, oo), H> + S ( M - w ) e K for any w e /C. Take v = w and then

y = >v + 2 ( M - w > ) in (3.9)2. Then (DF(u), w-u)>0 and (DF(u), u- w)>0,

which imply (3.9)j; (3.9)2 follows from (ii).

(iv) and (v) Let K = {w} + M, where M is a linear subspace of V. Then

w - v e K implies v e M. Since -u also belongs to M, we have (3.10). Inequality

(3.11) then follows by taking w = 0. D

Inequality (3.7) is referred to as a variational inequality; it characterizes a

minimizer of any G-differentiable functional defined on a nonempty closed

convex set K. The convexity of K is essential; however, in so far as F is

concerned, only the existence of a minimizer and the G-differentiability of F

have been assumed in Theorem 3.7.

In concluding this section, we point out an important but easily established

generalization of the characterization (3.7) of minimizers.

THEOREM 3.8. Let K be nonempty, dosed, and convex and suppose F:K^

V->IR is of the form F = Fl + <^> where Fj and 4> are convex and lower semicon-

tinuous and F, is G-differentiable on K. Then, if u is a minimizer on K,

It is noted that if we consider the function 4>: Hl(l)-*n defined by

for a given smooth function g, <E> is certainly not G-differentiable, but is convex

and lower semicontinuous. Indeed, even though the following limit may exist,

However, convexity and lower semicontinuity of <J> are easily established. For

38 CHAPTER 3

F, + 4> becomes essential.

The second form in (3.12) might also be useful for developing computational

algorithms for finding minimizers, since the term (DFi(v), v-u) is linear in

the solution u.

presented in the previous section that is of special relevance in our study of

contact problems involving linearly elastic bodies concerns the case in which

F is a quadratic functional on a convex subset of a real Hilbert space V. We

shall investigate this case in more detail in this section. In particular, we now

consider a class of minimization problems in which F is of the form

bilinear form from V x V into IR and / is a bounded linear functional on V,

i.e., for every u, v e V,

In addition, let Q be another Hilbert space and let us introduce a continuous

linear operator B from V onto Q:

Here | | denotes the norm on Q, C is a constant, and Rg (B) denotes the range

of B. The transpose B* of B is defined by

From the classical closed range theorem (see, e.g., Yosida [1, pp. 205-208])

and properties (3.15) assumed of B, it can be concluded that the following

condition holds:

3 a e R, a > 0, such that

MINIMIZATION METHODS AND THEIR VARIANTS 39

Here * denotes the norm on the dual Q' of Q. Condition (3.17) essentially

expresses the fact that B* is bounded below as a linear operator from Q' into

V. Hereafter, in conditions such as this, we shall write "sup u6 v" with the

understanding that v ^ 0; i.e. the supremum is taken over all nonzero v in V.

Partial ordering on Q. Our next step in formulating an abstraction of a

constrained minimization of the type encountered in contact problems is to

introduce a partial ordering < on the Hilbert space Q.

We first recall the definition of a cone ^ in a linear space V. A nonempty

subset ^ of V is a cone if and only if A$ <= <# for A > 0; ^ is a cone with vertex

at the origin if and only if u e ^ implies AM e ^ for A >0. A cone with vertex

MO e V is the translation u 0 + ^ of a cone ^ with vertex at the origin.

A cone ^ of a linear space V is said to be proper if and only if

(i) ^ is a cone with vertex at the origin,

(ii) < is convex.

The importance of a proper cone is that it permits us to introduce an ordering

on elements of the linear space V. In particular, if ^ is a proper cone, we

introduce the relation

defines a total ordering of V. We describe this ordering by the symbolism ^

and write

This ordering prompts us to refer to <# as the positive cone in V and to denote

it by <#+. Likewise, the cone <_ = - (+ is the negative cone in V and we write

M<uOM-ye^_ (or v - u e <#+).

Conversely, the introduction of any total ordering > on V defines the proper

positive cone,

The introduction of a positive cone ^+ in V makes it possible to add to the

purely linear structure of V inequalities such as u > 0, u < 0, etc. In particular,

the partial ordering (3.18) is compatible with the structure of a linear space in

the sense that

cone <#* can be defined in the dual space V of V- by

40 CHAPTER 3

It is not difficult to show that <#* is closed even if <#+ is not. If %>+ is closed

in V, then <#+ and <#* are related as follows: if u e V is such that

then u e <#+, i.e., u^O. This result depends strongly on the closedness of <#+.

We shall now consider a method for defining the positive and negative parts

of a vector in a Hilbert space. If Q is a Hilbert space with inner product ( , ) ,

and if <<o+ is a closed positive cone in Q, then the positive part p+ of a vector

p e Q will be defined as the projection of p onto <#+, that is, p+ shall be

characterized by the variational inequality (recall (3.9))

Using these definitions and the fact that p+e <&+, we easily verify that

If Q = L 2 (ft), and if the partial ordering relation ^ is defined according to

p^q means that p(\)^q(\) a.e. in ft,

then the positive cone

is closed and convex. To show that L+(ft) is closed, it suffices to note that

every convergent sequence in L 2 (ft) contains an a.e. pointwise convergent

subsequence. Then we also have the characterization,

This can be easily verified by substituting p+ defined above into the left-hand

side of the variational inequality (3.23).

It is important to note that the definition of the positive part of a vector

depends strongly on the topology of the space Q. For instance, C+ =

(v //'(ft) | v(\) > 0 a.e. in ft}. Then for p e //'(ft), p+ in Q = L 2 (ft) need not

be the positive part of p with respect to Q = //'(ft) in (3.23).

Constrained minimization problem. With the above conventions now estab-

lished, we can introduce an abstract form of an inequality constraint on

minimizers of the functional F of (3.13). For the operator B in (3.15) and g

given in Q, we define the set K c V by

MINIMIZATION METHODS AND THEIR VARIANTS 41

Since B is linear and continuous, and since the positive cone in Q is closed,

we easily verify that X is a closed convex set in V. The set K represents the

constraint set in the following constrained minimization problem:

Given F of (3.13), find u e K suchthat

following facts.

THEOREM 3.9. Let (3.13), (3.14), and (3.15) hold and let K of (3.26) be

nonempty. Then there exists a unique solution u to the minimization problem

(3.27). Moreover, this minimizer is the unique solution of the variational inequality

its Gateaux differentiability follows from the assumption (3.14): for every

w, v e V,

where || ||* is the norm of dual space V of V. The assertions thus follow

immediately from Theorems 3.4 and 3.7.

We note that the identity (3.29) implies that

theorem to cases in which the bilinear form a( , ) is nonsymmetric. If a( , )

is nonsymmetric, the variational inequality (3.28) does not represent the

characterization of the minimizer of a functional F.

To study such cases, we assume, instead of (3.14), that constants M and m

exist such that

We note that the results we derive below can be established using weaker

conditions than these, but conditions (3.31) are sufficient for all of the applica-

tions we have in mind. Under these assumptions, we have (see, e.g., Lions

and Stampacchia [1] and Kinderlehrer and Stampacchia [1]):

42 CHAPTER 3

THEOREM 3.10. Suppose that (3.15) and (3.31) hold, and that the set K of

(3.26) is nonempty. Then there exists a unique solution u to the variational

inequality

Before proving this theorem, we shall establish a basic lemma. Let a one-

parameter family of bilinear forms a,( , ) on V x V be defined by

where a 0 ( ' , ' ) and b( , ) are the symmetric and antisymmetric parts of a( -, ):

LEMMA 3.1. Suppose that for some T, 0< T< 1, the variational inequality

T < f < r + f 0 , tQ<m/M.

Proof. Let w be an aribtrary element of V and define f,(w) e V by

the problem.

Let us define the correspondence between w and the solution of this last

inequality by a map T: V- K:

Suppose, for the moment, that T has a fixed point UQ: TuQ = u0. Then, for

the choice w = u0, we have

But the fact that a solution exists to this last inequality is precisely what we

set out to prove. Thus, it suffices to show that T has a unique fixed point for

certain values of t.

MINIMIZATION METHODS AND THEIR VARIANTS 43

Toward this end, let M, = Twl and u2 = Tw2 for wlt w 2 e V, i.e., ul and u2 are

solutions of (3.34) for choices w = Wi and w = w 2 , respectively. Then

i.e.,

This shows that if t - r< t0 where t0< m/M, then the map T is a contraction,

and, therefore, admits a unique fixed point. D

Proof of Theorem 3.10. Consider inequality (3.33) for the case r = 0. This

has a unique solution by virtue of Theorem 3.8 since a 0 ( ' , ' ) is symmetric.

Applying Lemma 3.1, we establish the existence of a unique solution to (3.33)

for tl<m/M. Another application of Lemma 3.1 reveals the existence of a

unique solution for a t ( - , ) where tl<t2<tl + t0,t0< m/M. Continuing in this

way, we apply Lemma 3.1 a finite number of times to conclude that a unique

solution to (3.33) exists for T = 1. But a,( , ) = a( , ). Hence, Theorem 3.10

is proved.

those discussed in the previous section arise in constrained minimization

problems: we seek a minimum of F subject to the constraint that the minimizers

lie in a convex set K, the specification of the constraint on minimizers of F

being equivalent to specifying the constraint set K. As is well known, con-

strained minimization problems can be reformulated as saddle point problems

using the method of Lagrange multipliers. Such formulations usually may

make it possible to seek minima of functionals in linear spaces rather than

closed convex sets.

Let

V and Q' be Banach spaces with norms || || and | *, respectively,

K and N be nonempty closed convex subsets of V and Q', respectively,

and

L : X x N - > R b e a real functional defined on K x N.

We recall that a pair (u, p) e K x N is a saddle point of L if and only if

44 CHAPTER 3

hold:

is G-differentiable,

is G-differentiable,

is strictly convex (and therefore

weakly lower semicontinuous),

is concave and upper

semicontinuous.

Then, in analogy with Theorems 3.1 and 3.4, we have the following theorems

on the existence and characterization of saddle points.

THEOREM 3.11. Let conditions (3.37) hold. In addition, suppose that either K

and N are bounded or L is coercive in the following sense:

and

THEOREM 3.12. The conclusions of Theorem 3.11 also hold if condition (3.39)

is replaced by the condition

THEOREM 3.13. Let (3.37), and (3.37)2 hold and let 4 > : K x J V - > I R be such

that there exists v K, q->$>(v, q) is concave and for every <je N, v-*3?(v, q)

is convex. Then, i f ( u , p ) is a saddle point of thefunctional L+4>, it is characterized

by the pair of variational inequalities

and ( d L / d v ) ( u , p ) and (dL/dq)(u,p) denote the gradients of L with respect to

v and q for fixed q and v, respectively, evaluated at (u,p).

MINIMIZATION METHODS AND THEIR VARIANTS 45

Proofs of Theorems 3.11,3.12 and 3.13 can be found in Ekeland and Temam

[1, Chap. 6]; see also Oden [7]. Notice that u- L(v, q) and q-* L(v, q} need

not be convex or concave, respectively, in order that (3.42) hold. Again, several

generalizations are possible.

Application. Let us now return to the constrained minimization problem

(3.27) discussed in the previous section:

where the ordering relation "<" is defined on the dual space Q' as in (3.21).

The Lagrangian L for this problem is defined by

(3.43) is equivalent to the saddle point problem

indicates that the saddle point (u, p) of (3.46) can be characterized by the system

(3.47). A key step is given in the next lemma.

LEMMA 3.2. Suppose that conditions (3.14) and (3.17) hold. Then

to the functional v-* L(v, q} for arbitrary fixed q e N, and that vq satisfies the

equation

46 CHAPTER 3

that a positive constant a exists such that (recall (3.17))

where || ||* is the norm on the dual space V of V. Thus, if |g|*-+oo, then

|| vq || -> +00, and, therefore,

THEOREM 3.14. Suppose that (3.14) and (3.17) hold. Then there exists a

unique saddle point (u,p)e Vx N of the functional L defined by (3.45), where

N is defined by (3.44). Moreover, (u, p) is also the unique solution of the abstract

boundary value problem (3.47).

Perturbed Lagrangian approach. In establishing the above result, we make

direct appeal to Theorem 3.12. However, an alternative approach can be used

which provides an attractive basis for certain approximation methods to be

taken up later. This involves the notion of a perturbed Lagrangian, in which

the behavior of L( , ) with respect to the multipliers q is "regularized" by

the addition of a term which enforces the coercivity of L(v, ) for any v. The

idea is to introduce the perturbed Lagrangian functional L e ( - , - ) which is

defined, for any real e > 0, by

Let j'.Q^Q' denote the Riesz map for the Hilbert space Q; i.e., for every

deQ', a qQQ exists such that [d,q] = (q0,q)Q and j(q0)= d. Then saddle

points (ue,pe) of Le satisfy

It is clear that all conditions in Theorem 3.11 are satisfied for the perturbed

Lagrangian Le. Thus there exists a unique saddle point (ue, pe) e Vx N satisfy-

ing (3.50) for each parameter e>0. Since (ue,pe) is the saddle point of Le,

MINIMIZATION METHODS AND THEIR VARIANTS 47

Hence,

In view of (3.14), this last result means that a constant M > 0 can be found

such that

Thus, condition (3.17), which follows from the continuity and surjectivity of

B, gives

The next step is classical. The solutions (uE,pE) obtained as saddle points

of the perturbed Lagrangian Le as e approaches zero form sequences {ue} and

{pe} with the parameter e as an index. From the above arguments, these

sequences are uniformly bounded in V and Q (i.e., ||ue||<M, |/>e|*< M Ve>

0). In Hilbert spaces, closed balls are weakly sequentially compact. Thus there

must exist subsequences, also denoted {UE} and {pE}, which converge weakly

in V and Q to elements u and p, respectively: ue*u, pe-*p. Moreover, due

to the continuity and linearity of a( , v) and [ , Bv] if we pass to the limit in

(3.50) as e-0 (with ( u e , p ) entries in the weakly convergent subsequences

just identified), we obtain

yields

Summing up, we have shown that the weak limit (u, p) of the subsequences

of saddle points (w e ,/O of the perturbed Lagrangian is a solution of (3.47)

and is, therefore, a saddle point of L. The uniqueness of this saddle point in

Vx N implies the convergence of the original sequences {u} and {pe} as well

as subsequences of {UE} and {pe}.

48 CHAPTER 3

where j is, as before, the Riesz map from Q to Q'. Thus, in view of the

definition (3.23), the positive part of pe in Q' is

variational problem involving a single unknown ue for each e > 0:

characterized by (3.51) and (3.52).

In (3.51) the positive part of the functional j(Bue-g) is taken in the dual

space Q' in order to find the Lagrange multiplier PE, while the original

constraint Bit g < 0 is defined in Q. Thus, the inequality ^ is satisfied in the

dual sense in the saddle point method. However, if we modify the admissible

set N of the Lagrange multiplier and the perturbed Lagrangian L defined by

(3.44) and (3.49), respectively, by setting

and

i.e.,

MINIMIZATION METHODS AND THEIR VARIANTS 49

formulation involving a single unknown ue:

instead of (3.52). We will see in the next section that problem (3.53) also arises

in penalty formulations of constrained minimization problems.

Remark 3.4.1. A detailed analysis of saddle point problems for the case

and for the more general setting in which B is not surjective can be found in

Oden and Kikuchi [4] and for B neither linear nor surjective in Oden [2].

Remark 3.4.2. Condition (3.17) plays a fundamental role in the study of

constrained minimization problems. The importance of conditions such as this

in studying the consistency and stability of finite element methods for such

problems was first recognized by Babuska [1] and such conditions formed the

basis of the theory of approximation of saddle point problems advanced by

Brezzi [1]. We refer to (3.17) as a Babuska-Brezzi condition for problem (3.47).

Remark 3.4.3. The theory developed here can be further generalized by

removing the assumption that Rg (B) = Q. If B is not surjective, then B* may

have a nontrivial kernel. However, all of the results carry over immediately

to the case in which the space Q' is replaced by the quotient space Q'/ker B*

when the range of B is closed in Q. Then, under the conditions of Theorem

3.14, the solution (u, p) of (3.47) is unique in Vx Q'/ker J3*; i.e, p is unique

up to an arbitrary element in ker B*.

Note that in this case, condition (3.17) is replaced by

where

for (v, q}& Vx N. For additional information on this case, see Oden [2], Oden

and Kikuchi [4], or Fortin [1].

constrained optimization problems which avoids the necessity of introducing

additional unknowns in the form of Lagrange multipliers. Suppose that we

50 CHAPTER 3

belong to a convex set K <= V. The idea behind penalty methods is, roughly

speaking, to append to F a "penalty functional" P which increases in magni-

tude according to how severely the constraint is violated. In other words, the

more a candidate minimizer v e V violates the constraint, the greater the penalty

that must be paid.

Let F be a coercive weakly lower semicontinuous functional defined on a

reflexive Banach space V and again denote by K a nonempty, closed, convex

subset of V. We seek minimizers of F in K. The penalty method for this

problem consists of introducing a new functional, Fe, depending on a real

parameter e > 0, of the form

(i) P: V-*U is weakly lower semicontinuous,

(ii) P(u)>0, P(u) = 0if and only if veK.

In most instances, we also expect P to satisfy

(iii) P is G-differentiate on V.

The functional F is defined on all of V; in view of the properties of F and

P, Fe is coercive and weakly lower semicontinuous. Hence, in accordance with

Theorem 3.1, for each e > 0 there exists a uee V which minimizes Fe:

Cf

(3.58)) generate a sequence ue which converges to a solution u of the original

minimization problem. This is easily resolved. Since ue minimizes F,

that F is coercive implies that a constant C > 0 exists, independent of e, such

MINIMIZATION METHODS AND THEIR VARIANTS 51

sequence, also denoted {u}, and a w e V such that ue*u (weakly) in V.

Finally, we use the nonnegativeness of P and the lower semicontinuity of F

to obtain

It remains only to show that the weak limit u lies in K. Toward this end,

let DI denote a fixed member of K. Then

so that

THEOREM 3.15. Let F: V-IR be coercive and weakly lower semicontinuous,

K be a nonempty, closed, convex subset of the reflexive Banach space V, and

P: V-IR a penalty functional satisfying (3.55). Then, for every e>0, there exists

a solution ue to (3.57). In addition, there exists a subsequence {ue} of such

solutions which converges weakly to ue V, where

Moreover, if F and P are G-differentiable, the ue satisfy (3.58) for each e > 0

and the limit u satisfies the variational inequality

constrained minimization problems (3.43):

penalty functional P satisfying (3.55). A natural choice in this case is

52 CHAPTER 3

by (3.23). It is clear that for this choice, conditions (3.55) for penalty functional

are satisfied. Moreover, it is possible to show that P is G-differentiate on V

and, in fact,

Indeed, for every u and v,

i.e.,

Thus, we have

This means precisely that the functional P is Frechet (and thus Gateaux)

differentiable on V, and its gradient DP(u) is given by

minimizer of Fe of (3.54) and (3.57) is

4

MINIMIZATION METHODS AND THEIR VARIANTS 53

(3.65) as precisely the problem (3.53) characterizing the component uf of the

saddle point of the perturbed Lagrangian Le. The following theorem, therefore,

follows either from Theorem 3.14 or from the results of the previous section.

THEOREM 3.16. Suppose that (3.14) and (3.17) hold. Then the unique solution

ueK of the constrained minimization problem (3.62) can be obtained as the

limit of the sequence {ue}& V as e -> 0 of the solutions of the penalized problem

(3.65).

In view of (3.47), if we identify the perturbed or regularized Lagrange

multipliers p by

ated with the constraint Bv - g < 0. Using arguments similar to those employed

in the analysis of the perturbed Lagrangian, we have:

THEOREM 3.17. Suppose that (3.14) and (3.17) hold. Then the sequence

{(Ue,Pe)} obtained from (3.65) and (3.66) converges to the saddle point (u,p)e

V x N of the Lagrangian L of (3.45), as e - 0.

As a final result, we shall establish that {(M E ,P E )} of (3.65) and (3.66), in

fact, converge strongly to ( u , p ) in VxN and we will obtain the rate of

convergence of \\ue -u\\ and \pE -p\* in terms of the penalty parameter e.

THEOREM 3.18. Suppose that (3.14) and (3.17) hold. Let ( w , p ) e VxN be

the saddle point of the functional L( , ) of (3.45), let u be a solution of (3.65)

for given e > 0, and let pE be given by (3.66). Then

and

respectively, we have

54 CHAPTER 3

Therefore,

and

The estimates (3.67) and (3.68) show that the sequence { ( u e t p e ) } of the

penalized solutions, i.e., the saddle points of the perturbed Lagrangian L6,

converges to (M, p) strongly in VxQ' as e-0.

General properties of penalty methods for more general problems can be

found in Oden [6] and Kikuchi [5]; the latter work contains estimates of the

rate of convergence of more general penalty approximations. For applications

to constrained problems in elasticity and fluid mechanics, see Oden and

Kikuchi [4], Oden [7], and Oden, Kikuchi, and Song [1].

Chapter 4

on the theory of finite element approximations of variational inequalities. We

review, in particular, the theory of finite element interpolation of functions in

Sobolev spaces and we derive general error estimates that establish conditions

for the convergence of finite element approximations to the actual solutions

of certain general classes of variational inequalities. These estimates provide

a basis for determining asymptotic rates of convergence of the approximations

as the mesh size h tends to zero.

Most of our discussion here focuses on finite element approximations of

abstract variational inequalities of the type,

Find

which satisfy (3.31) and B is a continuous linear operator from V onto another

Hilbert space Q, as described in the previous chapter. We shall also consider

finite element approximations to two other formulations, the saddle point

and penalty formulations:

and

55

56 CHAPTER 4

and j: Q - Q' is the Riesz map. The notation and results of Chapter 3 are used

throughout this chapter.

As is well known, there is an extensive literature on finite element methods

for the numerical analysis of a wide range of problems in mechanics and

mathematical physics; see, for example, the.voluminous bibliography by Norrie

and de Vries [1]. Accounts of the mathematical theory of finite element

approximations of elliptic equations can be found in the books of Ciarlet [1],

Oden and Reddy [1]; for a summary, see Oden and Carey [4]. Elaborate

accounts of the approximation and numerical analysis of variational

inequalities are given in the two-volume work of Glowinski, Lions, and

Tremolieres [1] and the monograph of Glowinski [1]. A major approximation

theorem for elliptic variational inequalities was established by Falk [1] and

some applications and extensions of Falk's results were reported by Kikuchi

[1], [2], [3], Oden and Kikuchi [1], [3], Brezzi, Hager, and Raviart [1],[2],

and Pires and Oden [1]. We will cite additional sources relevant to the present

work in the discussions to follow.

4.2. Some properties of finite element approximations. Our first step toward

an approximation theory for variational inequalities by finite element methods

is to briefly review some of the results of Ciarlet and Raviart [1] and Ciarlet

[1] on the interpolation theory of finite elements. The problem is this: given

a function u in a Sobolev space Wlc+1'p(O), fe^ 1, 1 </?<oo, and an interpolant

uh of u constructed using finite elements over which u is approximated by poly-

nomials of degree k, estimate the interpolation error u uh in a Sobolev norm on

Wm'q(tt), 0<m^k, 1 < g <oo. These estimates are, in general, asymptotic in

the sense that they hold as /j-0, h being an appropriate mesh parameter

(typically h is the diameter of the largest element in the finite element mesh).

The principal ideas are summarized as follows:

1. Let H be a convex polygonal domain in R N and suppose that we construct

a partition Qh of O into a number E = E ( h ) of subdomains {He}. These domains

are referred to as finite elements if

For an element H e , we denote

FINITE ELEMENT APPROXIMATIONS 57

for simplicity in notation and write G for H e ). We introduce a space P(G)

of local basis functions ({/ such that 3Pk(G)^ P(G) where ^(G) is the linear

space of polynomials of degree </c on G. In addition, we introduce a set

D(G) of linear functionals on P(G) which are P(G)unisolvent; i.e., if D(G} =

{/, 11 < i < M, /,: P(G)- R}, the specification "/,(</0 = , = constant" uniquely

determines an element of P(G); indeed /,(/0 = 0, 1 ^ / < M , => <^ = 0. The set

D(G) is the space of degrees-of-freedom of element G. If v is any smooth

function defined on G, its finite element interpolant over G is

3. Each element G e Qh is regarded as the image of a master reference

element G under an affine invertible map T: G-* G (in the case of curved

isoparametric elements, T is a perturbation of an affine map). We denote

A A A - A A A A A

degrees of freedom, n = I = , /,(t>)0,, etc. The map T will be of the form

(*i > X2,' ' ' , ^N ) e G, and x = (xi, x 2 , , XN ) e G. Using these conventions,

we easily prove that

A

v = v T, etc.

Using the results described in step 3 above, it is not difficult to prove the

following interpolation theorem for finite elements:

A A A

interpolation functions, and D(G) a set of P-unisolvent degrees of freedom in

which partial derivatives of order <s are prescribed. For integers k > 0 and m > 0

58 CHAPTER 4

Let G be any finite element which is the image ofG under a bijective affine map

andletveWk+l>p(G).FinallyJetUGe(Wk+l'p(G), Wm'p(G)) be a projection

map such that

A A A A A

Then there exists a constant C, depending only on G, P(G), and D(G), such that

wherein h0 = dia (G) and pG = sup {dia (5): 5 is a sphere contained in G}.

The first complete proof of interpolation results of this type for Lagrange

and Hermite elements in 1RN was due to Ciarlet and Raviart [1] who also

extended them to curved isoparametric finite elements [2]. Theorem 4.1 rep-

resents a further refinement of the original work and is due to Ciarlet [1], [2].

If aN is the volume of the unit sphere in R N , then dia (fl e )=s o~Nh". Also

note that \v\k+l<p<[le< |H|fc+iip,ae, ||-|U+i.p.n. being the Sobolev norm on

Wk+l'p((le). Moreover, if 5 h (H)c: Wm'q(Sl) is the linear space spanned by the

global finite element basis functions obtained by "connecting" elements

together in the usual way, and if 0^(0) S h (ft), we may define an operator

II: Wk+l'p((l) + Sh(tl) such that n/> = />VpG0 k (n) and n|ft = nfte. Then, for

u e Wk+l>p(Cl),

THEOREM 4.2. Let the conditions of Theorem 4.1 hold. Moreover, let all

refinements of the finite element mesh be regular in the sense that

and let II: Wk+l'p(Cl)-> Wm'p(Sl) satisfy Up = p Vpe^tt), n|fte = nfte. Then

element approximation of functions in the Hilbert spaces Hr(Cl) = W'2(fl).

FINITE ELEMENT APPROXIMATIONS 59

Let veHr(CL) and suppose r</c; then the elements in the finite element

subspace 5^(0) <= Hm(l) can approximate v no better than that which would

be possible using complete polynomials of degree r. It follows from (4.5) that,

in this case, as h -> 0, we have

The estimate (4.6) is the standard interpolation estimate for finite element

methods under the assumption of regular or quasi-uniform mesh refinements.

In view of (4.6), we will hereafter assume that the finite element spaces

5^(H)c // m (fl), generated using piecewise polynomials of degree <k, are

endowed with the following asymptotic interpolation property: For v e f/ r ((l),

there exists a constant C, independent of v and h, and an element </>/, e Sh((l),

such that

integers. However, as Babuska and Aziz [1, Chap. 4] have shown, the interpola-

tion property (4.7) for finite element approximations may hold for m e R, r e IR,

and m < r , provided that the finite element space Sy,(O) satisfies the inverse

assumption : for every s such that 0<m-e^s<m, the inequality

holds for the constant C independent of h and all (f>h e 5/,(O). If the inverse

assumption holds on Sh(fl), the inverse inequality,

is valid for 5 j < s 2 ^ m , and the constant C is independent of h and all (f>h.

Furthermore, if the domain fl is smooth, a function ge// r ~ 1 / 2 (F) can be

approximated by the traces of a function <,, e Sh(fl) with the following interpo-

lation property: for the constant C independent of g, h, and $/, e S/,(ft),

where -y is the trace map from Hm(l) into Hrn~l/2(Y). In the following analysis,

we shall use the interpolation properties (4.7) and (4.10) and the inverse

inequality (4.9) with the understanding that m and r are arbitrary real numbers.

Because we intend to analyze approximations of variational inequalities,

we need to introduce interpolation properties, due to Falk [1], valid for

functions in closed convex subset of H m (ft): Let S be the set of all nodal

points in the finite element model, and let g E Hm(tt) D C(f}). Then we have:

60 CHAPTER 4

THEOREM 4.3. Let (f)h e Sh(l) be a unique element such that (f>h = v on 2 for

a given function v e Hr(Cl) fl C(n). Let

and

constant independent ofh and <f>h, and 0< m < r:

The proof of the above theorem follows from Falk [1] and the interpolation

theory on the whole space Hm(fl) and Sh(l). In the following analysis, we

use the notation Vh to express a finite element approximation of V such that

Ho(fl) c Vc // m (a). Thus, Vh may be a subset of the space Sh(fl) introduced

above.

tion of approximation of elliptic variational inequalities by finite element

methods. Our aim here is to describe a general approximation theorem for

variational inequalities which will play an important role in some of our

subsequent studies.

We will consider such approximations in the abstract setting described in

3.3: find w e K such that

Q, and Q is partially ordered as in (3.18). We denote by A the continuous

linear map from V into V defined by

in this section.

FINITE ELEMENT APPROXIMATIONS 61

dimensional subspace Vh of V constructed using finite element methods, and

a nonempty, closed, convex subset Kh of Vh which need not be a subset of

K. We then consider as an approximation of (4.14) the discrete problem of

finding uh e Kh such that

Note that the definition of the set Kh is ambiguous at this stage, because its

precise definition depends upon characteristics of the constraint and the type

of finite element approximation. The parameter h is related to the dimension

of Vh and corresponds to the mesh parameter described in the previous section.

It suffices to consider approximations by families of finite dimensional spaces

with the property that

As a last preliminary, we assume that V is densely embedded in a Banach

space H equipped with a norm |||-|||. The injection i of V into H is assumed

to be continuous, so we have

With the problem and hypotheses now established, we are at the point where

we can consider an important result due to Falk [1] which gives an estimate

of the error u-uh.

THEOREM 4.4. Suppose that (4.15) and (4.20) hold, and that the solution

u K of (4.14) satisfies the regularity condition

Then, ifuh e Kh is the solution o/(4.18), there exists a constant C> 0, independent

ofh, such that

Proof. For every vh e Kh and v e K,

Also,

62 CHAPTER 4

The estimate (4.22) now follows from Young's inequality (e.g., ab<ea2+

b2/4e, e>0) and the fact that for positive a, b, c, a < 6 + c implies that

v/a<v/fe + x/c. D

Remark 4.2.1. If Kh c: K, then we can set v = uh in (4.22). Then (4.22) reduces

to the simpler estimate

(4.14) and (4.18) reduce to the equations

Then Au-f = 0 and estimate (4.22) reduces to the classical result for linear

elliptic problems

friction problems in Chapter 11; see Theorem 11.5.

We observe that the arbitrary vh appearing in (4.22) must belong to Kh. An

estimate of the interpolation error on Kh can generally be made using (4.13).

Remark 4.2.2. The estimate (4.22) and its variations in Remark 4.2.1 will

be applied to obtain the rate of convergence for finite element approximations

of the variational inequality (4.14). However, for certain problems the determi-

nation of the rate of convergence can be very difficult even though convergence

of the method can be proved. In such problems, the following convergence

analysis is helpful in justifying the approximation: Suppose that the closed

convex constraint set K c V is approximated by a closed convex set Kh <= V

such that

respect to h, since the bilinear form is coercive. Then there exists a subsequence

FINITE ELEMENT APPROXIMATIONS 63

we use the properties (4.24) to obtain

for every ve K. This shows that w*e K is the solution of (4.14) and that this

solution is a unique solution. Thus, it has been established that the sequence

uh converges weakly to u = u* as h -> 0.

Now the estimate (4.23) yields

for the choice v = u G K. The coercivity of the bilinear form (4.15), thus, implies

that the sequence uh converges strongly to u e K, i.e.,

requirements (4.24) on the approximation Kh of the constraint set K. A similar

convergence result has been contributed by Cea [1].

In the special case in which the bilinear form a ( - , ) is symmetric, the

variational inequality (4.14) is equivalent to the constrained minimization

problem,

In such cases, an error estimate in terms of the error in the total potential

energy F(u) =|a(u, t>) -/(u) can be obtained which is more convenient to use

in numerical experiments.

THEOREM 4.5. Let the conditions of Theorem 4.4 hold and suppose that the

bilinear form ( - , - ) is symmetric. Let F ( v ) = \a(v, v)-f(v), u e V. Then, for

every v e K and vh e Kh,

Proof Using identity (3.29) with u = uh and v = u and taking the limit as

6 - 0, we obtain

64 CHAPTER 4

On the other hand, convexity and differentiality of F imply that for any v e K

Remark 4.2.3. If Kh c K, we can set v = uh in (4.25) to obtain

front the question of finite element approximation of saddle point (or mixed)

formulations of the type given in (3.46) or (3.47). Using the notation introduced

in 3.3, we consider the abstract system,

Throughout our analysis we assume that conditions (3.14) and (3.15) are in

force:

(i) B e ( V, Q) is surjective,

(ii) a(-,-):VxV-*Uis continuous and coercive.

FINITE ELEMENT APPROXIMATIONS 65

the set N (such that Vh -> V and Nh -> N as Ji -0 in some sense). Note that

Nh may not be contained in N. The finite element approximation of the saddle

point problem (4.26) is as follows:

Q is densely and continuously imbedded in a Hilbert space H with norm ||| ||.

The space H now plays the role of the pivot space, i.e., we identify H with its

dual and use this identification to pass from functions to functionals in specific

applications. Thus,

THEOREM 4.6. Suppose that conditions (4.27) hold and that there exists a

number ah > 0 such that

Then there exists a unique solution (uh,ph)E Vh x Nh of the finite element approxi-

mation (4.28) of the saddle point problem (4.26).

Proof. This follows from Theorem 3.12. D

Our next task is to obtain an estimate of the errors || u uh \\, ||| p ph ||| under

the assumption that

THEOREM 4.7. Let (u,p)e V x N and (uh, ph) eVhxNh be solutions of (4.26)

and (4.28), respectively. Suppose that (4.27), (4.29), (4.30) and (4.31) hold.

Then there exist positive constants C\, C2, and C3 such that

and

66 CHAPTER 4

In this last step we have used the last inequalities in (4.26) and (4.28) to show

that

Thus, applying (3.14), we have

This is almost the desired result, (4.32); but we have not yet used the critical

condition (4.30). Toward this end, we again apply (4.34) to obtain, for each

qheNh, vhe Vhi

The inequality (4.32) now follows from (4.35), (4.33), and Young's inequality

(ab<ea2+b2/4e, e>0). D

FINITE ELEMENT APPROXIMATIONS 67

\\\ph -p\\\ by using a duality argument.

THEOREM 4.8. Suppose that the conditions of Theorem 4.7 hold and that, for

each v e V, an element v^ e Vh exists such that

According to Yosida [l,p. 206], the open mapping theorem guarantees that

if Rg(B) = Q, then a constant c > 0 exists such that for each </> e Q a v^ e V

exists such that Bv(t, = (f> and ||uj| < c|</>|. Thus, \(f>\'1 ^ cHuJI' 1 , </>^0. Hence,

for any vh e Vh,

Theorems 4.6 and 4.7 above can be obtained by slight modification of the

analysis in Kikuchi [9], see also Oden, Kikuchi, and Song [1]. In some

applications, the result in Theorem 4.7 enables us to study the "stability

condition" (4.30) using the norm |||-||| rather than the dual norm *.

properties of finite element approximations of the penalty formulation (3.65),

introduced as an alternate description of the constrained minimization (3.62).

The notation and setting of the problem are the same as those in 3.5 and

4.3; i.e., we are interested here in approximations of the problem

68 CHAPTER 4

is, in fact, also the minimizer of the penalized functional F e (u) =

\a(v, v) -f(v) + (l/2e)\(Bv - g)+|2 on all of V. Under the conditions established

in 3.5, the sequence of solutions {ue} obtained for each e > 0 converges in

V to the minimizer u of the original function F which satisfies the constraint

Bu ^ g. The quantity

conditions, the sequence {pe} converges to p in the space Q' as e-0.

To approximate (4.38), we proceed as before by constructing a family of

finite dimensional subspaces Vh of V which approximate V as the mesh

parameter h tends to zero. A direct approximation of (4.38) on Vh leads to

the discrete problem

g)+, Bvh] exactly in numerical applications, so an approximation of this term

is needed. For instance, in contact problems this term may assume the form

of the boundary integral, JFc (ueh* n - g) + tv n ds, and a numerical quadrature

scheme is introduced to evaluate this integral. We shall investigate abstractions

of such approximate penalty terms for the finite dimensional problem sub-

sequently.

Let {Qh} be a family of finite dimensional subspaces of the space Q intro-

duced in the previous section; i.e., Q = Rg(B), Be^(V, Q). Suppose that

Q c; H = H' c; Q', as before. Then / [ , ] will denote an abstract quadrature

operator satisfying the following conditions:

(ii) If lim/,.,0 vh = v in V and lim/,^0 <lh = 9 in Q', then

FINITE ELEMENT APPROXIMATIONS 69

(iii) For CQ^ a positive cone in Qh, we define </> for </>h e Qh by

on the data g e Q. In particular, we require that

The question which naturally arises at this point is "where does the space

Qh enter the formulation?" It so happens that intrinsic to any finite element

penalty method is a space Qh of approximate Lagrange multipliers. We will

show below that an appropriate finite dimensional space Qh is determined by

each choice of Vh and quadrature operator / [ , ] .

With these preliminaries now established, we pose the following finite

element approximations of (4.38):

Given e > 0, find ueh e Vh such that

Let us assume for the moment that (4.41) can be solved for a unique uEh in

Vh. Then as our approximation peh of the Lagrange multipliers associated with

the constraint Bueh - g < 0 we will take the unique peh in Q^ satisfying

for all vh e Vh. As will be seen later, this relation contributes to the characteri-

zation of the space Qh. Note that with (4.42) in force, (4.41) can be written

A mixed method. Let {ueh} and {pKh} denote sequences of solutions to (4.43)

(peh being defined by (4.42)) obtained for a fixed mesh as e tends to zero.

We will now demonstrate that the sequence {(ueh,pEh}} converges to a pair

(uh, ph) e Vh x Qh which is a solution of the system

where

Clearly, (4.44) describes a type of mixed finite element method in which the

approximate rule / [ , ] is used in place of the exact scalar product when

evaluating the penalty term.

70 CHAPTER 4

THEOREM 4.9. Suppose that (4.27) and conditions (4.39) hold and let peh be

defined by (4.42). In addition, suppose that there exists a number ah>Q such that

Then the sequence {(ueh,peh)} converges to the pair (uh,ph) satisfying (4.44) as

e-0.

Proof. Equation (4.43) and condition (4.46) yield

Since it is clear from (4.27) that the sequence of numbers \\ueh\\ is uniformly

bounded in e, the uniform boundedness of \\\peh\\\ m e follows from this last

inequality. Thus, there exists a convergent subsequence of {peh} in any

topology. Introducing these convergent subsequences {(ueh,peh)} into (4.43)

and taking the limit as e - 0 yields

that the limit ph of a convergent subsequence of {peh} satisfies (4.44)2. The

definition of peh leads directly to the fact that

We next show that

imply

for every vhe Vh such that I[(Bvh-g)+, (Bvh-g)+] = Q. Passing to the limit

e -+0 yields (4.47). Therefore, for qh e Nht

FINITE ELEMENT APPROXIMATIONS 71

The uniqueness of the solution (uh,ph) of (4.44) implies that the full

sequences {uBh} and {peh} converge to uh and ph, respectively, instead of only

subsequences of {ueh} and {peh}- 0

Our ultimate objective is to determine estimates of the errors ||ueh u\\ and

HIp eh -jp|||. As an intermediate step, we will next develop estimates of \\ueh - uh\\

and\\\pEh-ph\\\.

THEOREM 4.10. Let the conditions of Theorem 4.9 hold and let (ush, pEh) and

(uh> Ph) be solutions of (4.41) and (4.44), respectively, pEh being given by (4.42).

Then there exist positive constants C\ and C2, independent of e, such that

Thus

72 CHAPTER 4

We now find estimates of \\uh -u\\ and \\\ph -p\\\, where (u,p)e Vx N is the

solution of the saddle point problem (4.26). Let

THEOREM 4.11. Let (u,p) and (uh,ph)e VhxNh be solutions of (4.26) and

(4.44), respectively. Suppose that all conditions in Theorem 4.9 and (4.51) hold.

Further suppose that there exists a positive number ah such that

and

for every vheVh, qhe Nh, and q e N, where C,, i = 1, , 4, are constants

independent ofh and (u,p).

Proof. Equations (4.26) and (4.44) imply

and [q-p, Bu-g]>Q Vqe N, we are able to deduce the following relation:

FINITE ELEMENT APPROXIMATIONS 73

Thus, for arbitrary qh e Nh and vh e V/,,

and

Using this result and the triangle inequality, we obtain (4.53). Combining

(4.56) and (4.58), using (3.14) and applying Young's inequality gives (4.54). D

As a supplementary result, we note that by employing arguments similar to

those used in the proof of Theorem 4.7 we can obtain an estimate of \ph -p\*.

THEOREM 4.12. Suppose that the conditions of Theorem 4.10 and (4.36) hold.

Tlien there exists a constant C such that

Combining all results in Theorems 4.9, 4.10, and 4.11, and applying the

triangle inequality, we can get estimates

respectively.

The results given in this section represent generalizations of those of Oden,

Kikuchi, and Song [1], [2], Kikuchi and Song [2], and Kikuchi [9].

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Chapter 5

Green's Formulas, and Korn's

Inequalities

5.1. Introduction. The preceding chapters have dealt with certain classes

of abstract constrained minimization problems and their approximations

which, we will ultimately show, have direct application to contact problems

in elasticity. In this chapter, we complete our development of mathematical

preliminaries by establishing several key results of a concrete analytical flavor.

The considerations here have to do with more detailed questions of analysis:

for specific cases of variational problems in elasticity, what forms do the

functions ( - , ) > /() F ( - ) , B, etc. assume, what are their mathematical

properties, in what spaces do the displacements, stresses, and contact pressures

belong, how are these spaces related, and, in other words, what precisely is

the mathematical framework for contact problems in elasticity?

These and related questions lead us herein to the study of various properties

of Sobolev spaces, trace theorems, Green's formulas, and, finally, of Korn's

inequalities which are crucial in the study of the existence of solutions to

variational problems in linear elasticity. Trace properties of Sobolev spaces,

for example, are essential if we are to define precisely kinematic contact

conditions on the candidate contact surface Fc. Since such contact conditions

involve inequalities, we must consider the meaning of partial orderings in

Sobolev spaces as an extention of the ordinary ordering defined by inequalities

of real numbers. Green's formulas for functions in Sobolev spaces are needed

to characterize and interpret weak or generalized solutions of variational

problems and to assess the relationship of such solutions to classical solutions.

In other words, their use demands a consideration of the regularity of solutions.

Furthermore, trace theorems and Green's formulas are used to assess which

of many various boundary conditions may be taken into account in a given

variational formulation of a boundary value problem. Finally, Korn's

inequalities enable us to establish well-posedness of variational formulations

75

76 CHAPTER 5

and are crucial in the proof of the existence of solutions to variational boundary

value problems.

To set the stage for this study, we begin by considering the deformations

of a hyperelastic body He R N subjected to applied body forces f and surface

tractions t. The fact that the body is hyperelastic means that there exists a

differentiable stored energy function w, representing the strain energy per unit

volume of material, which characterizes the mechanical behavior of the material

of which the body is composed. The function w is assumed to be given as a

function of the material gradient Vv(x) of the displacement field v at x and

possibly, of the material particle x, and we express this fact by writing

the total potential energy of the body is defined by the functional

work done by the external forces f and t. For example, if f and t are sufficiently

smooth measurable functions of x, / will assume the form

where FF is the portion of the boundary F of the body on which tractions are

applied and ds is an element of surface area. However, we will frequently find

it advantageous to view / as purely a given linear functional on V which may

not be generated by measurable functions f or t.

The precise definition of the space V will, in general, depend upon the form

of the strain energy function w. In the present chapter, we confine our attention

to "small" deformations of Hookean bodies for which the strain energy is

given as a quadratic form in the infinitesimal strain tensor e:

In (5.3), the functions Eijk, are the elasticities characterizing the material. We

assume that these functions satisfy the following conditions:

ORDERINGS AND TRACE THEOREMS 77

When (5.3)-(5.5) hold, we may take V as a subspace of H^ft) such that

where

The product space H ! (n) is a Hilbert space equipped with the inner product

and associated norm

When (5.3) and (5.4) hold, the total potential energy functional assumes

the form,

Thus, F is well defined on the subspace V of the Sobolev space H^O) whenever

/is continuous; i.e., whenever/belongs to the topological dual V of V. Then

|/(v)|<C|M|, and F(v)<((M/2)||v|| 1 + C)||v||1 for all veV.

Moreover, for 6 > 0,

with

78 CHAPTER 5

G-differentiable on V and, for all u, ve V,

The remainder of this chapter is devoted to the study of various properties

of the forms a ( - , ) and /(), the space V, and to sets K<= V defining contact

constraints on the motion of linearly elastic bodies.

5.2. Order properties of spaces H^ft) and Hm(fl). The class of problems^

we have identified for study are naturally posed in the setting of Sobolev

spaces. It is important to record certain of their properties which have special

significance in the analysis of contact problems. Our first step is to define a

partial ordering relation ">". Let ft' be a subset of ft, ft'<=ft. A function

w e //'(ft) is said to be nonnegative on ft' in the sense of //'(ft), or simply

" w > 0 on ft' in //'(ft)," if there exists a sequence {wm}e W1>X>({1) such that

let {u m }eC+ be a sequence converging to ue//'(ft). Then vm>Q on ft' in

//'(ft), for each m e N. This implies the existence of a sequence {v^} e W'>00(ft)

such that t>(x)>0, xeft', and vkm^> vm in //'(ft) as fc-oo. But then

Hence, vkm- v in //'(ft), which means that t>>0 on ft' in //'(ft), i.e., C+ is

closed. Likewise, if veC+, vke Wl'(l), vk(\)^0 for xeft', and vk-*v in

//'(ft), then avk(\) > 0 and avk -> av for a > 0, a e R. Therefore, av e C+ for

a > 0; in other words, C+ is a positive cone with vertex at the origin in //'(ft).

It follows that ">", as defined above, is a partial ordering on //'(ft). Indeed,

if ("ml, {vm}, {wm}e W''(ft) and um-*u, vm^>v, wm->w in //'(ft) as m-*oo,

then we have

(i) M m (x)s=i> m (x) => M m (x)-u m (x)>0, xeft', => w - u > 0 on ft' in

//'(ft); i.e., u-v is nonnegative on ft' in //'(ft);

ft' in //'(ft);

(Hi) For we //'(ft), if M > U on ft' in //'(ft) then ti + w > t > + w on ft' in

//'(ft).

ORDERINGS AND TRACE THEOREMS 79

(iv) If a > 0, a e R, and u > u on ft' in //'(ft), then aw > ay on ft' in //'(ft).

Frequently, we omit the qualifying phrase "on ft' in //'(ft)" for simplicity

and just write u > 0, u > v, etc. when no confusion is expected.

We can replace the requirement of strong convergence of {um}e W 1>00 (ft)

by weak convergence in the definition of the ordering ">" on //'(ft). Suppose

that

It is well known (see Mazur's lemma in, e.g., Yosida [1, p. 120]) that for any

weakly convergent sequence {um} in a reflexive Banach space with limit u,

there exists a sequence {vk} of convex combinations,

such that {vk} converges strongly to u. Clearly, u f c (x)>0, xeft'. Hence, u > 0

on ft' in //'(ft). Conversely, if (5.13) holds, then w > 0 since every sequence

strongly convergent in //'(ft) also converges weakly. That is, (5.15) provides

an equivalent definition of the ordering ">" on //'(ft) in that it implies w > 0 .

THEOREM 5.1 (Kinderlehrer and Stampacchia [1]). Let ft be a bounded

domain in IRN, and let ft'c ft. For u e //'(ft),

(i) i / M > 0 on ft' in //'(ft), then w > 0 a.e. on ft', and

(ii) i / w > 0 fl.e. o ft, f/ie w > 0 on ft in //'(ft).

Proo/ (i) If {tij converges to u in //'(ft)(w m (x)>0,xeft', u m e W'-(ft)),

then {um} also converges strongly to u in L 2 (ft). But then it is known that

there exists a subsequence [um] which converges to u almost everywhere in

ft; i.e., M m >(x)>0 and um<->u a.e. in ft', which implies w > 0 a.e. in ft'.

(ii) Let {um}<= W''(ft), w m (x)>0, satisfy um^u in //'(ft) and um^u a.e.

on ft in a pointwise sense. We will always have max ( u m , 0 ) > 0 (pointwise);

also, by hypothesis, u = max (u, 0) a.e. on ft, where

Note that we//'(ft), but we do not know at this point whether or not

max (u, 0)e //'(ft). In the present proof, however, we need only have

max (u, 0) e L 2 (ft). We will show later that, in fact, max (u, 0) does belong to

//'(ft). Continuing, we now have

max(i/ m ,0) is uniformly bounded in //'(ft), since um is uniformly bounded

in //'(ft). Thus there exists a subsequence {um} of (max (um, 0)} which conver-

ges weakly to some u e / / ' ( f t ) as m-oo. Since {max(t/ m ,0)} converges to u

80 CHAPTER 5

in L 2 (ft), M must, in fact, coincide with M. We have thus shown the existence

of a sequence {wm} of Wl'(ft)-functions such that w m (x)>:0 and um^u in

//'(ft). But this is precisely what is meant by M > 0 on ft in //'(ft). D

Thanks to Theorem 5.1, we see that in //'(ft), if ft' = ft we need not

distinguish the set C+ defined by (5.14) from the set

Thus, we will use the order notation suggested by (5.14) and (5.16) interchange-

ably in subsequent discussions.

We next consider a function max (M, 0) for a given function u e H'(ft). We

shall investigate whether or not max (u, 0) e //'(ft).

LEMMA 5.1 (Kinderlehrer and Stampacchia [1]). Let t^> d(t) be a C ! (R)-

function such that 6' is uniformly bounded; say, |0'(0| MO- Let ft be an open

bounded set of UN and let !</><oo. J/ue Wl'"(ft), then 6(u)e Wl'p(ft) and

Proof. For any u e Wl'p(ft), there exists a sequence {wm}e C'(ft) such that

w m - M in W 1>p (ft) and um^>u a.e. in fl. Since the mapping 6 is continuously

differentiate, 0(w m )e Cl(&). Moreover, since &' is uniformly bounded

This shows that 6(um)-* d(u) in L P (O). On the other hand, we have a.e. in fl,

in Lp(il), since O'(um) is bounded uniformly in m. The second term converges

to zero a.e. on ft. However, the second term of the right-hand side is uniformly

bounded with respect to m in L p (ft). Thus, this term converges to zero in

L p (ft) by the Lebesgue theorem and, therefore, 6'(um)umti-* 6'(u}u in L p (ft).

The distributional derivative 0(w),, is the limit in 3)'(ft) of (B(um)),j. Let

(j> e 2)(ft) be a test function. Then, clearly,

or

ORDERINGS AND TRACE THEOREMS 81

Since 9' is uniformly continuous, 0(u),,= d'(u}u,i a.e. in ft. D

Using this lemma, the following result can be established:

LEMMA 5.2 (Kinderlehrer and Stampacchia [1]). Let w e Wl'p(tl). Then

Proof. For each ye[-l, 1], define

Define

(see Lemma 5.1). Since ^ E (U)-|M| as e-0 pointwise a.e. in ft, 0 y E (w)->|u

in L p (ft). In addition, we have

Hence

82 CHAPTER 5

In particular,

THEOREM 5.2 (Kinderlehrer and Stampacchia [1]). Let ft<=RN and let

we Wl'p(Cl), !</><oo. Then max(w,0)e Wl-p(fl) and

Proof. From Lemma 5.2, max (w,0) = (M + |w|/2e Wl'p(l),

and

carries over to functions ueHm(l), m>2. The function ueHm(l) is non-

negative on H'cH in the sense of Hm(L) if there exists a sequence {M,}E

W^Sl) such that

Properties similar to those listed in Theorem 5.1 may be shown to hold for

functions in Hm(tl). However, if w e Hm(fl), m > 2, the function max (w, 0)(x)

defined by

may not belong to JF/ m (fl)! Consider, for example, M(X) = X in H2(-l, 1). It

is clear that max (u, 0)^ H2(-\, 1) since (max(w, 0))' is not C 1 at x = 0.

However, the set

is closed in H m (a).

ORDERINGS AND TRACE THEOREMS 83

5.3. Boundary spaces and trace theorems. For the components vt of admis-

sible displacements belonging to the Sobolev space Hl(Ct), it is possible to

assign a precise meaning to extensions of such components to spaces of

functions defined on the boundary if we are to deal with boundary conditions.

We will now show several properties of such spaces of "boundary values" of

H'(n)-functions.

The spaces Z/(F), W fc>p (r). Recall, in particular, that we describe the smooth-

ness of the boundary F of a bounded domain (I by introducing a finite open

cover {(/ r }ff=i of F and a set {Ar}?Ll of coordinate transformations satisfying

properties (1.18). Suppose that such a construction is available which com-

pletely characterizes F. Then a subset G <= F will be referred to as a zero subset

of F if the sets G'r^UN'1 defined by

have zero measure in IR*"1 for each r. Moreover, we will say that a function

u is defined almost everywhere on F if the points of F at which u is not defined

form a zero subset of F. Continuing, let a function u be defined almost

everywhere on F. Then u is said to belong to L P (F), 1 <vp<oo, if each of the

functions ur defined by

is a Banach space when equipped with the norm

with {0 r }fli a partition of unity subordinate to the cover {/r}?ii, for any finite

cover, since any other cover with the same properties leads to an equivalent

norm on I/(n). Similarly, the space Wk>p(r) fc>0, 1 < /> < oo, F e C f c ~ u , which

is a subspace of LP(T), is defined as the set of all (equivalence classes of)

functions w e L p ( f l ) such that w r e Wk>p(Sr), r = l , - - - , M . Then Wk'p(r)

becomes a reflexive Banach space for !</><oo with the norm

84 CHAPTER 5

We again emphasize that the norms defined in (5.22) and (5.24) appear to

depend upon the particular covering {U r } we have chosen for F. However, it

can be verified that these various norms defined in (5.22) (or (5.24)) are all

equivalent for any choice of covering and family of local coordinate systems

(for the case of a C-boundary see Lions and Magenes [1, p. 35]).

Spaces Lp(2) or W^CL) are defined as above for an open subset 2 of F.

For the subsequent analysis, we shall only be interested in the spaces L2(F)

and //1/2(F), i.e., LP(F) and W^T) for the choices p = 2 and k = 1/2.

The space H^2(L). Let the boundary F consist of the union of the closure

of two or more open subsets FD and 2, e.g., F = FD U 2. In general boundary-

value problems with mixed boundary conditions, we frequently encounter

cases in which we must deal with traces of Hl(fl)-functions on such boundary

segments. In some instances, the space //1/2(2) is inappropriate for dealing

with such traces. One difficulty is that the extension by zero of a function in,

say, H 1/2(2) to all of //1/2(F) is often impossible. Indeed, //1/2(F) is the image

under the trace operator of Hl(l), but one can easily construct functions on

F which are not traces of functions in Hl(fl). For example, if <f> = constant

on 2 and </> = 0 on F0, then <f> is not the trace of a function in Hl(l) (ft cz R 2 ).

These technical difficulties will be resolved by introducing a special subspace

of H 1/2(2) given in Lions and Magenes [1, Chap. 1]. To define this space, we

first introduce a function p on 2 which has the properties:

(i) p is sufficiently smooth,

(ii) p is positive on all of 2,

(iii) p vanishes on the boundary 32 of 2,

(iv) p vanishes on 32 at a rate

Then the space //oo2(2) shall be defined as the subspace of H 1/2 (2) given by

Thus, functions v in //oo2(2) must decay rapidly enough at 32 for the product

p~l/2v to be an L 2 (2)-function. An inner product and norm can be defined

on f/oo2(2) according to

When assigned this inner product, H^o2(2) becomes a Hilbert space strictly

contained in H1/2(2) with finer topology which is such that the imbedding

Hio2(2)c: H1/2(2) is continuous. Again, the norm on ffoo2(2) appears to

depend upon the choice of the function p, but we may verify that all such

norms are equivalent.

ORDERINGS AND TRACE THEOREMS 85

The dual of H^ 2 (2) is "larger" than that of //1/2(S) in the sense that a

functional 1e (f/oo 2 (l))' can be represented in the form

where we define

To appreciate the role of f/oo 2 (2), we recall the classical trace theorem for

the Sobolev space //'((I):

THEOREM 5.3 (trace theorem I). Let O e c#'1 and let y be the operator defined

by

H\l] onto // 1/2 (F).

Proof. See, for example, Lions and Magenes [1, p. 33], Aubin [1, p. 10], or

Necas [1, Chap. 2]. 0

The operator y in Theorem 5.3 is called the trace operator. A key property

of y is that it is surjective as a map from //'(O) into H 1/2 (F) with ker y = Ho(fl).

This surjectivity may be lost when we pass to the space H 1/2 (2) defined on a

subset 2 of F.

Indeed, let F D denote a nonempty open subset of F and let V denote the

subspace of H'(O) given by

H l / 2 ( Y ) to F D :

Properties of y\ have been studied by Baiocchi and Capelo [1]; see also

Hanouzet and Joly [1]. In particular, we note that:

(5.31) The trace operator y| mapping V into Hoo2() is continuous, linear,

and surjective for C-boundary dS.

It is noted that y is not surjective from V into H 1/2(2).

Trace results for elasticity problems. We continue our examination of trace

properties and boundary spaces, now turning towards results of special import-

ance to problems in elasticity theory. Our first result concerns the existence

of a unit normal n to the boundary of a domain.

86 CHAPTER 5

THEOREM 5.4. Let He <#0>1. Then a unit vector n, outward and normal to the

boundary F, exists almost everywhere on F, that is, nt e L(F), i = 1, , N.

Proof. By using the system of local charts of the boundary F, the boundary

F is represented by the form

Then the unit vector n outward normal to the boundary can be given by

Because O e <#'1,/,. is Lipschitz continuous, and therefore dfr/dyr exists a.e.,

as in L(Sr), r = 1, , M, and hence is measurable. D

Details of a proof of Theorem 5.4 can also be found in Necas [1, Lemma

2.4.2], It is clear that for H e <#'1, the normal component of displacement

vn = v n can be unambiguously defined on the boundary for v e V. Indeed, if

tyeH^ft), then we can set un = y(u,)i almost everywhere on F. Moreover,

for every v 6 L2(F) the decomposition

where

L^DxL^F), and

where

ORDERINGS AND TRACE THEOREMS 87

We next consider the decomposition of H 1/2 (F) following the plan of L2(F).

Suppose that fie < # 1>I ; that is, suppose that each component n, of the unit

vector outward normal to the boundary F is Lipschitz continuous with uniform

constant on F. Then, applying properties of products of functions in Sobolev

spaces (Grisvard [1]), we have

where

That is, the decomposition v-{u n ,v r } is an isomorphism from H 1/2 (F) onto

H 1 / 2 (F)xH I r / 2 (F) (i.e., HV /2 (F) is closed in H 1/2 (F) and H 1/2 (r) = H1T/2(r)8

{ve H 1/2 (F)|v= vnn, vn e H 1/2 (F)}). Hence

Therefore, the trace theorem, Theorem 5.3, can be replaced by the following

"decomposed" trace theorem:

THEOREM 5.5 (trace theorem II). Let the domain fie < # 1>1 . Then there exist

uniquely determined linear continuous maps yn of H^ft) into f/ 1/2 (F) and yT

o/H'(fi) into HV /2 (F) such that

where

Furthermore, for a given (h, g) e H 1/2 (F) x HV /2 (F), there exist a ve H'(ft) and

a constant C such that

Passing to the duality arguments, it can be argued that q6H~ 1 / 2 (F) is

decomposed by {qn, q r } e H~1/2(F) x Hr' /2 (F) so that

where Hr 1/2 (F) is the dual space of HT /2 (F). The decomposition q^{^ n ,q T }

is again an isomorphism from H~ 1/2 (F) onto H~1/2(F) x Hr 1/2 (F). We note that

88 CHAPTER 5

//1/2(F) and HV 2 (F) are densely and continuously imbedded in L2(O and

Lr(F). We introduce the inner products,

*

In view of Theorem 5.5, let us denote by FD a nonempty open subset of

the boundary F, and let yD be the trace map which associates ve H^fl) with

the restriction of y(v) to H 1/2 (F D ), y:H 1 (n)^H 1/2 (F). As in (5.30), let

Then, in view of (5.31), there exists a surjective linear continuous map y^: V-

Hio2(2), where 2 = int (F-F D ). Thus, in a manner similar to Theorem 5.5, we

have

THEOREM 5.6 (trace theorem III). Let the domain fte < # 1>l . Then there exist

surjective linear continuous maps

such that

We now define a partial ordering relation "s:" in the space Hio2(2). Let

v E Hoo2(2) and let Fc be contained in 2. Then the function v is nonnegative

on Fc in the sense ofH^(L}, or simply v^O on Fc in //oo2(2), if there exists

a sequence {vm} of Lipschitz continuous functions such that

closed positive convex cone on //oo2(2)

Thus we have

THEOREM 5.7. Let the domain (1 e c#1>1 and let g be given in //oo2(2). Thn

with the ordering > on H1/2(S) defined above, it is meaningful to define the set

The case in which Fc is strictly contained in 2 (and dFc is smooth) is of

special interest. Then

ORDERINGS AND TRACE THEOREMS 89

We then define on Hl/2(Yc) an ordering > in the usual way, and construct

the closed convex subset of K defined now by

where g is given data in // 1/2 (F C ) and yCn is the normal trace operator from

V onto H 1/2 (r c ). Moreover, by arguments similar to those used in the dis-

cussion of Theorem 5.1, we find that we need not distinguish between "u >0

in H 1/2 (r c )" and " u > 0 a.e. on Fc."

We will refer to the sets K in (5.51) and (5.52) frequently in subsequent

discussion since they characterize contact constraints in Signorini problems

in elasticity.

5.4. Green's formulas. In the preceding sections, we have established several

properties of spaces of admissible displacements u and their traces on segments

of the boundary. In the present section, we consider properties of spaces of

stress tensors and their boundary values and we derive some general Green's

formulas which play a key role in the analysis of contact problems in elasticity.

We first provide a brief summary of some general properties of Green's

formulas for linear operators on Hilbert spaces due to Aubin [1], [2], and

then specialize these results so as to apply to problems in linear elasticity.

We begin by introducing five spaces: 2), V, H, Z, and y (and their duals

2\ V, H\ Z', and #") such that

2> is a linear topological space contained in V and dense in H,

,.,.,. V, H, Z, and y are Hilbert spaces, with V contained in H with

a finer topology,

H is a pivot space, i.e., H is identified with its dual (H = H').

Also, we denote by V0 the closure of 3) in V. Then we have the inclusions

The space 2 is an abstraction of the usual space S)(O) of test functions

(i.e., S>(ft) = C*(ft) with the standard locally convex topological structure)

and V will ultimately be identified with the space V of admissible displace-

ments; y, we will find, corresponds to a space of stresses and Z will correspond

to a space of boundary values containing traces of elements of V.

We next introduce a continuous linear operator A from V into y, and denote

by AQ its restriction to V0:

90 CHAPTER 5

tively. Then the formal adjoint A* of the operator A is defined by

Next we introduce the space &"(A$) and its inner product ( ( , ) ) defined by

and

Here ( , ) # and ( , )H are the inner products defined on Hilbert spaces #"

and H, respectively. With these conventions and notations in force, we can

establish the following fundamental theorem:

THEOREM 5.8 (abstract Green's formula). Suppose that V0 is the kernel of a

surjective map y e Jz?( V, Z] from V onto a Hilbert space Z. Then there exists a

uniquely determined operator TT e 3?(&"(A*), Z'} such that the abstract Green's

formula

Proof. Since y is surjective, there is a right inverse 5 e (Z, V) of y. Then

Si y is a projection (i.e., a continuous linear operator satisfying (S y)2 = (S- y)

whose kernel is V 0 > and its transpose y* - 8* is a projection of V onto

V = ( k e r 6 - y) = {u*e V'\(u*, u) = 0 Vueker 5- y}.

We next shall show that for any T(=3"(A$), (j*A$-A*)re VQ, where; is

the injection map of V into H and j* is its transpose. Indeed, for re #"(^o)

arid v e V0, we have

dettote the operator

Then,

ORDERINGS AND TRACE THEOREMS 91

It remains to be shown that the operator TT does not depend upon the choice

of the right inverse 5 of y. For this purpose, note that if 7reS?(#"(Ao)> -2>')

satisfies Green's formula (5.59), we have

y* is injective, and we have

for any 8. Hence, (5.59) holds for any choice of 8. The fact that TT is uniquely

determined is also verified. D

The operator y in Theorem 5.8 is an abstraction of the trace operators

described earlier.

Before considering applications of Theorem 5.8 to the operators of elasticity,

we record some additional properties of A0, A*, and the space y"(A*). Let

G(A$) denote the graph of Aj,

form

tfxH.

If an element (r, fc)e f" x H is orthogonal to G(A0), we have

that is, h = A$T&H. Thus re SP'(A$) and (T, h) = (r, A$T) e G(Aff). Therefore

G(A) = G(A 0 ) . It follows that G(A$) is closed. This means that

(5.62) 9"(A*) is a Hilbert space with the inner product ( ( , )).

Green's formulas for stresses. As a concrete application of the theory just

presented, we take

92 CHAPTER 5

operators A, A* and y we have

withH 1/2 (r) = (// 1/2 (r)) N and

We can easily verify that the spaces (5.63)-(5.65) satisfy the hypotheses (5.53)

and (5.54).

We now take for the spaces y and &"(A*) stresses on H defined by

where

The spaces y and & become Hilbert spaces when endowed with inner products

( - , - ) and ( ( - , - ) ) defined by

f

is a seminorm on the space ST. Clearly, the space & is the set of all symmetric

stress fields and 3~ is the subspace of stresses the divergence of which is in

L2(O). By standard arguments and an application of Theorem 5.8, we have

THEOREM 5.9 (trace-theorem for stress I). Let He C6'1. Then there exists a

uniquely determined linear continuous mapping IT from ZTinto H~ 1/2 (F) such that

ORDERINGS AND TRACE THEOREMS 93

and such that the following generalized Green's formula holds for every TE 2T

and every veH'Cfl):

Our next step is to consider the decomposition of the virtual work on the

boundary into two parts: the first is the work due to forces acting in the normal

direction and the other is that due to forces in the tangential direction. Toward

this end, we record the following theorem:

THEOREM 5.10 (decomposition theorem). Let fte^1'1. Then there exist

uniquely determined maps irn of 9~ into H~l/2(Y) and TTT of V into Hr 1/2 (O

such that

Similarly, we can extend this result to the space

using the trace map TT|, instead of H'((l) and TT, that is,

THEOREM 5.11 (trace theorem for stress II). Let Oe <#'1. Then there exists

a uniquely determined linear continuous mapping TT^ from 3~ into (Hoo 2 ())'

such that

and

Moreover, if ile < # u , TT^ can be decomposed into operators 7r^n and TT\T such

that

Results similar to those given in 5.3 and 5.4 have been obtained by

Hiinlich and Naumann [1].

mulas described in the previous section set the stage for the study of variational

94 CHAPTER 5

We will give a general method for providing various types of boundary

conditions in a way compatible with the theory laid down thus far.

We will confine our attention here to boundary conditions that arise naturally

in the minimization of certain convex, lower semicontinuous energy functionals

on closed convex subsets of Hilbert spaces. If we demand that the energy

functional be convex and lower semicontinuous, then, as noted in Chapter 3,

we are guaranteed that it (the functional) will be weakly lower semicontinuous,

and this property is critical in establishing the existence of minimizers satisfying

the constraints. In turn, these requirements restrict the choices of boundary

conditions that can be made for the variational boundary value problem

characterizing the minimizes

For our present purposes, we will assume that the total potential energy of

an elastic body subject to certain boundary conditions is given by the functional

where the elasticities EijM satisfy (5.5). In this case, the work done by the

external forces/eV is assumed to be of the form

and

and y is the trace operator mapping V onto H1/2(F). The boundary conditions

will enter our formulation through various choices of the functional /.

Let K be a nonempty closed convex set in V and suppose that there exists

a solution u e K to the problem

inequality

ORDERINGS AND TRACE THEOREMS 95

Suppose that

Then substitution of v = uw, for arbitrary weHj(ft), into (5.86) leads to the

equality

Since cr l7 (u) v -e L 2 (ft), we can now apply Green's formula (5.73), and reduce

inequality (5.86) to

Inequality (5.90) describes general and abstract boundary conditions for

problems in elasticity. We shall now consider several special cases of (5.90)

obtained for particular choices of the functional /. Illustrations of these

examples are given in Fig. 5.1.

(i) Dirichlet boundary conditions (Fig. 5.1(a)). Suppose that the displace-

ments u of points on the elastic body are prescribed as g, i.e.,

or equivalently,

extended real line IR = IRU{oo}. Then we can take / to be the indicator

function for the set of functions v satisfying the boundary conditions:

96 CHAPTER 5

FIG. 5.1. Examples of boundary conditions obtained as special cases of the general formula (5.90).

ORDERINGS AND TRACE THEOREMS 97

98 CHAPTER 5

-7r(cr(u)) is the subdifferential of / y. Since the minimizer u of F produces

finite energy, we must have y(u) = g; hence, (5.94) is a description of the

boundary condition y(u) = g on F (in H 1/2 (F)).

(ii) Neumann boundary conditions (Fig. 5.1(b)). If there are no kinematical

restrictions, and if the elastic body is subjected to applied surface tractions t

(or tn or t r ) on F, then this boundary condition is realized by taking

Equivalently, we can also set

where

for given functions teL 2 (F), f n eL 2 (F), and tTeL2T(r). Since / is now

differentiate, inequality (5.90) can now be reduced to the equality

i.e.,

(iii) Boundary conditions of the third type (Fig. 5.1(c)). Let us consider the

case in which elastic springs are attached uniformly to the boundary of the

body. This condition can be represented by

where

or more simply,

ORDERINGS AND TRACE THEOREMS 99

Since / and JT are differentiable, substitution of (5.100) into (5.90) yields the

general condition

i.e.,

(iv) Nonlinear boundary conditions of the third type; normal direction (Fig.

5.1(d)). Suppose that the elastic body O is supported unilaterally on the

Winkler foundation (i.e. on a blanket of continuously distributed springs) with

100 CHAPTER 5

the normalized gap g, and that the surface of the foundation is lubricated so

that no tangential forces can be developed. For this situation, we set

jn is a finite convex and continuous function on R; and that ./ n (<^)eL 1 (r)

for < e Hl/2(Y). Thus, the functional / is also finite and weakly lower

semicontinuous on Hl/2(T) (see Theorem 3.6). Moreover, if <f>^jn(<f>) is

differentiate on R, then / is also G-differentiate. Thus, for the choice (5.110),

inequality (5.90) yields

i.e.,

defined on F.

The limiting case of (5.112) as/l- +00 corresponds to the Signorini's boundary

condition (Fig. 5.1(e)) discussed at some length in Chapter 2:

conditions (5.113) will be given in Chapter 6; here we are content to provide

only an intuitive argument. From (5.112), we have

ORDERINGS AND TRACE THEOREMS 101

Under the assumption that 7r n (or(u)) is uniformly bounded for any /C>0,

passing to the limit <-*+oo yields

i.e.,

as asserted.

(v) Nonlinear boundary conditions of the third type; tangential direction (Fig.

5.1(f)). Suppose that a uniformly distributed system of springs and sliders is

attached to the boundary in such a way as to resist tangential motions, as

indicated in Fig. 5.1(f). In this case, for gn given in // 1/2 (F), we set

therefore, the functional J is finite, convex, G-differentiable and continuous

on H 1/2 (F), as shown in Theorem 3.6. Substitution of (5.115) into the inequality

(5.90) yields

where

That is,

X"

102 CHAPTER 5

with |7rr(cr(u))| always ^4, these holding for any e>0. Passing to the limit

as e - 0, we have

Likewise, the second member of (5.120) can also be written in the form

which is quite similar to the condition of quasi-static Coulomb friction. Indeed,

if we set

where v > 0 and p e L2(F). Passing to the limit as e -> 0, we have (see Fig. 5.1g)

to be the absolute value of the normal stress irn(v(ii)), the form (5.124) becomes

the expression of the quasi-static Coulomb friction law.

ORDERINGS AND TRACE THEOREMS 103

(Figs. 5.1(h), (i)). As a final example, we set

where

Once again, the functional / is finite, convex, and differentiable. The choice

(5.125) yields the corresponding boundary condition

If / 2 - >00 > then the body is supported by a rigid foundation as well as con-

tinuously distributed springs (Fig. 5.1(i)).

5.6. Korn's inequalities. We have established that the total potential energy

F defined by (5.1) is a well defined, G-differentiable functional on the Sobolev

space H^ft), and that the admissible set for the Signorini problem described

in Chapter 2 can be precisely characterized as a nonempty closed convex

subset of H'(n). Furthermore, by applying a general form of Green's formula,

a variety of boundary conditions can be obtained which include the contact

conditions for Signorini problems. According to the theory of constrained

minimization problems given in Chapter 3, a remaining question that must be

resolved before we can guarantee the existence of a solution to such variational

problems in linear elasticity is whether or not the total potential energy F is

coercive on the admissible set K, that is, we must determine if

where || ||i is the norm on H1^). The answer to this question is based on

so-called Korn's inequalities, discussed below, which play a fundamental role

in elasticity theory.

We first assume that a domain (1 satisfies the segment property in the sense

of Agmon [1, Def. 2.1]: a domain fl is said to satisfy the segment property if

there exists an open covering {Ur}^=l of fl and corresponding vectors y r such

that

We will also consider the possibility that the domain O may be unbounded.

104 CHAPTER 5

Zygmund inequalities for singular integral equations following Govert,

Fichera, and Ting. We begin by recording the following lemmas, proofs of

which can be found in, e.g., Stein [1, p. 39] and Ting [1].

LEMMA 5.3. Suppose that a function f satisfies:

(i) /(Ax) = A/(x), VAe(0,oo) and xR N .

(ii) For the unit sphere SN'1 of R N , /L 1 (S N ~ 1 ) and J S N-./(X) <fr = 0,

v = Euclidean measure on SN~l.

(iii) Let sup|x_x1s5|/(x)-/(x')| = v(S), |x = X'| = l, then

Following Stein [1, p. 57], let us next introduce the Riesz transform RjU of

ueL p (R n ), for l<j<N, Kp<oo,

where CN = r(N 1 )/7r N ', JV1 = (N + l)/2, and Y ( N l ) is the gamma function.

LEMMA 5.4. The Riesz transform Rj defined by (5.130) is such that the

following hold for each j,

(i) Rj: LP(UN)^> LP(UN) is bounded, i.e., a constant C(N, p) exists such that

For additional details and properties of these transforms, refer to Stein [1,

Chaps. 2 and 3].

ORDERINGS AND TRACE THEOREMS 105

Then there exists a positive constant C, independent of functions v, such that

^((dVi/d^ + Ovj/dXt)), 1 < i, j<N.

Proof. Let uf be an arbitrary element of Wo'p(CL) for 1 < i < N. So as to enable

us to apply Theorem 5.12, we extend i>, by zero to all of RN and obtain a

function, also denoted u,, which belongs to L P (IR N ), !</?<oo. Since Wo p (ft)

is the closure of C*(ft) with respect to the || ||1>pin-norm, C^(il) is dense in

Wo' p (H). Therefore, it suffices to establish (5.134) for veC*(a) and then to

arrive at the result by continuity.

We recall the identity,

sides by A and applying (5.132) and (5.133), we obtain

Finally, applying Rk again to both sides of this equation and using (5.132) gives

i.e.,

for some positive constant C. The theorem now follows from continuity after

successive applications of the inequality,

Remark 5.5.1. For the case p = 2 and a smooth boundary, Lions [4] showed

that the above theorem can be proved by a simple integration by parts. Indeed,

106 CHAPTER 5

Noting that

We now restrict the domain H to be bounded and Lipschitzian. Then O has

the cone property: there exists a finite open covering {Ur}^L0 of H and a cone

F(0, /?, a)} with vertex 0, radius R, and interior solid angle w, such that every

point of F is the vertex of a translate of the cone which lies in ft. We first

recall the following property of singular integral equations:

LEMMA 5.5. Let v-* i/>(v)e!R be a continuous and bounded function defined

on the unit sphere SN~l, and let its first derivatives be bounded, where v = {*>,-},

vt (A:,- ->>,)/|x-y| for \, yeUN. Then there exists afunctionfe Ll(SN~l) such

that

and

V tj

Proof. Mikhlin [2, p. 60] and also see Ting [1, p. 300].

THEOREM 5.13 (Ting [1]). Let the domain H be bounded and Lipschitzian in

UN. Then there exists a positive constant, independent of v, such that

Proof. Let the functions {i?^(x)}flo be a partition of unity over O subordinate

to the covering {t/r}fi0 such that the support of TJO(X) is contained in O and

has positive distance from the boundary Y. Since C 2 (ft) is dense in W 1>p (ft),

it again suffices to show (5.139) for veC 2 (ft). Because 17^ = 1 in H and

2T

?rl?rJ = ( l 7 r ^ r ) , j = O i n (1,

ORDERINGS AND TRACE THEOREMS 107

for some positive constant C. Thus, to show (5.139), it suffices to show that

For r = 0, the inequality (5.140) follows from (5.134). Thus, we consider

r = 1, , M. Let < denote the functions

defined for each fixed index r. In view of our assumptions on the domain O,

there exists a cone F(x, R, to} with vertex at x 6 Ur fl O, lying in Ur U H. Define

a unit vector v by

so that x + pv e F(x, R,<o) for 0< p < R. Since we can define R and Ur so that

Uij(\+ Rv) 0, we have

the set (o such that

108 CHAPTER 5

where

by parts gives

Indeed,

where dS is the Euclidean measure on the surface of the set F(x, R, <o)-

F(x, e, a)). Noting that e 0 (y)i/f(v) has its support within the cone F(x, R, v),

w e h a v e

ORDERINGS AND TRACE THEOREMS 109

Let

and

Then after defining Cmj, Cmi, Kmj and Kmi similarly, we have

Applying Lemmas 5.3 and 5.4, and Minkowski's inequality, we can conclude

that

Summing over indices i and j, and using inequality (5.137), we obtain (5.140)

for a fixed r. Thus now (5.139) has been proved.

We remark that by contradiction and an application of the above theorem,

we can establish the following corollary. We postpone details of the proof of

this corollary to the next Chapter (see Lemma 6.2).

COROLLARY 5.13.1. Under the same conditions in Theorem 5.13, there exists

a positve constant C > 0 such that for all ve W 1>p (fl), Kp<oo,

whenever

Korn [1], [2] and were proved by various means by Friedrichs [1], Mikhlin

[1], Govert [1], Fichera [2], Ting [1], Necas [1], and Duvaut and Lions [1].

The proofs by Friedrichs and Mikhlin are based on the properties of solutions

of the auxiliary problem

110 CHAPTER 5

The proofs by Govert, Fichera and Ting are based on the results of singular

integral equations, and are somewhat simpler than available proofs by other

methods. The proofs of Korn's inequalities by Necas, Duvaut, and Lions

employ similar methods and are easily extended to a much wider class of

operators. Indeed, their methods can be used to show coercivity of quite

general strongly elliptic systems. However, their approach makes use of

stronger assumptions on the smoothness of the boundary. In the present study,

we have used the approach of Ting [1], since it applies to the slightly more

general case of functions belonging to Wi'p(fl), 1 </?<+oo.

Chapter 6

contact problems of the Signorini type in elasticity theory. We also outlined

there in rather descriptive terms a variational principle which provided an

alternative weak formulation of Signorini problems. With the more elaborate

mathematical apparatus established in Chapters 3, 4 and 5 now in hand, we

return to Signorini's problem for a more detailed investigation of properties

of solutions.

In particular, we shall lay the mathematical framework for a variational

statement of Signorini's problem and take up the question of existence and

uniqueness of solutions in 6.2. We also provide interpretations of weak

solutions and discuss their relationship to the classical solution given earlier

by the system (2.34) in 6.3. Section 6.4 discusses finite element approximations

of Signorini's problem using either three-node triangular or four-node quadri-

lateral elements. A priori error estimates and asymptotic rates of convergence

are obtained for the primal formulation of the Signorini problem. A solution

method is also introduced which is based on the projectional SOR (successive

over-relaxation) method for handling the unilateral constraint.

In 6.5, a finite element approximation is developed for the (exterior)

penalty formulation of the Signorini problem using 9-node isoparametric

quadrilateral elements. Error estimates and asymptotic rates of convergence

are established and a numerical scheme is developed which employs a success-

ive iteration algorithm for solving the system of nonlinear equations reduced

from the penalty formulation. Many example problems are solved by the

penalty finite element method in 6.6.

Section 6.7 describes an extension of Signorini problems. Here a class of

rigid punch problems is discussed, i.e., the problems of indentation of a

deformable body by a rigid punch. We derive contact conditions for this class

of contact problems and provide a solution method based on Uzawa's iterative

scheme for solving saddle point problems. Finally, the extension of the

formulation of Signorini's problem to the two-body contact problem is studied

in

112 CHAPTER 6

similar to the Signorini and rigid punch problems.

and ideas discussed in Chapter 5. Throughout this chapter, we confine our

attention to problems on domains (1 <= R N with N < 3. We begin by introducing

once again the following sets, spaces, and trace operators:

being the normal trace from V.

Here V is the space of admissible displacements of a linearly elastic body (1

and K is the constraint set consisting of those displacement fields v which

satisfy the kinematical contact constraint / y| n (v)^g on the contact surface

fc c: 29 -y|n being the normal trace operator defined in (5.48). It is clear from

results presented in the preceding chapter that the set K in (6.1) is a nonempty

closed convex subset of V and of H'(ft) = (Hl(tt))N, N = 1, 2, or 3.

Let a ( - , - ) be a symmetric and continuous bilinear form of V, which

corresponds to the virtual work in the elastic body:

Again, the elasticities Eijk, satisfy (5.5). Under the assumptions that

and V.

SIGNORINI'S PROBLEM REVISITED 113

Using the above notation, Signorini's problem (2.38) can be given in the

variational form:

Find u e K :

or by

Find u 6 K:

We will now show that the energy functional F satisfies the conditions of

Theorem 3.5 and that, therefore, (6.9) or (6.10) are uniquely solvable.

Convexity of F. As shown in 3.2,

G-differentiability of F. As in 5.1 (recall (5.11) and (5.12))

H'(ft), i.e.,

discussed in 5.5. We will consider two possibilities: the cases mes (F D )>0

and F D = 0. Details of proof of the following lemma can be found in, e.g.,

Necas and Hlavacek [1].

LEMMA 6.1. Let He ^0>1. Then the following two conditions are equivalent:

(i) e,,(v) = 0 mL 2 (0), /, ; = 1, 2, 3, veH ! (n),

(ii) v(x) = a + b x x , a, beIR 3 , a.e. in O,

where x denotes the vector product and \ is the position vector of a point

(x,,x 2 ,x 3 ) in H.

Sketch of proof. Throughout this proof, it is important to treat subscripts as

fixed integer labels and not indices describing components of vectors and

tensors.

114 CHAPTER 6

(i)=(ii): Let i *j * k, 1 < ij, fc < 3, be fixed integers. Then, if e y (v) = 0 Vi,./,

we must have

(no sum)

in the sense of distributions. This is possible only when (see Schwartz [1])

for constants a,, ch dif and et. Similar relations hold for Vj and vk. Then the

condition ey(v) = (v^ + vjti)/2 = 0 yields

i.e.,

Similarly,

Thus we have

These imply

i.e.,

Similar arguments show that the conclusion also holds for the cases N = 1

and N = 2. That is,

en(ui) = 0 in L 2 (ft) if and only if t>i = a 1} a,e!R, for H ^ R 1

and

SIGNORINI'S PROBLEM REVISITED 115

and

We can therefore regard the relations in Lemma 6.1 as being valid for IRN,

1 < N < 3 (with appropriate interpretation of b x x).

A motion x+v of the body, with v e V, is (affine) rigid if and only if e,y(v) = 0.

We shall denote by R2 the set of all rigid body motions of the material body

under consideration. Formally, we define

The case that mes (F^) > 0. We start from a modification of Korn's inequality

(5.139).

LEMMA 6.2. Let fl <#0>1. Then there exists a positive constant c > 0 such that

for every v e V.

Proof. It is noted that the inequality (6.14) follows from Korn's inequality

(5.139) if the inequality

Suppose that this is not true. Then there exists a sequence {vfc} e V such that

/

subsequence which converges weakly to a limit v in H!(i) and strongly in

L2{ft). Since the functional W,

on H'(ft), i.e.,

116 CHAPTER 6

linifc-,00 ||vfc||0= ||v||0= 1 since the identity map of H'(n) to L2(O) is compact. D

The following estimates now follow from Korn's inequality (6.14):

and

mes(r D )>0.

The case YD = 0. In the event that the body fl is unrestrained from rigid

motions, additional conditions must be enforced in order to ensure the coer-

civity of E In particular, if TD = 0, then Korn's inequality (6.14) is not

applicable to prove the coercivity of F. In this case, we decompose the space

H'(H) into two parts so that H^d) is isomorphic to the set

where denotes the direct sum of two spaces, and R2 is the intersection of

H^ft) with the orthogonal complement of R2 for the L2(O) inner product:

inequality (6.14) holds for ve jR2, and, in view of the steps leading to (6.16),

F is coercive on Kfl R2.

We determine if F is coercive on K D R2 Note that R2 is finite dimensional.

If v e K n / * 2 , then, from (6.8),

Let

SIGNORINI'S PROBLEM REVISITED 117

space R2. Since F is continuous, the functional F is bounded below and

attains its infinimum on the compact subset S, i.e., there is a constant c > 0

such that

and since F is linear on R2

must hold. For v-0, the inequality (6.20) is obvious. Thus, we can conclude

that

If F ( v ) > O V v e K n # 2 , v ^ O , then there exists a constant c>0

such that F(v)>c||v||, V v e K n # 2 .

It is now clear from this result that the functional F is coercive on K if the

data (f, t) satisfy the compatibility condition (6.19).

With the major properties of the functional F : K c V ^ I R of (6.8) now

established, we call upon Theorems 3.4 and 3.7(i) to immediately obtain the

following fundamental existence theorem.

THEOREM 6.1. LetF:K^U be the potential energy functional defined in (6.8),

where K is the nonempty closed convex subset of the space V of (6.2). Let (5.4)

hold and H e (#0<1 and suppose mes (F D ) > 0. Then there exists a unique displace-

ment field u e K which minimizes F on K; i.e.,

that is,

exists in K, which is also characterized by (6.22), if the data f and t are such that

118 CHAPTER 6

We refer to (6.22) as the primal variational principle for the Signorini problem.

Observe that since the stress tensor or corresponding to the displacement field

u is, formally, defined by

where

principle of virtual work for such unilateral problems in elasticity.

The above Signorini problem can be extended to the case in which a nonzero

tangential stress

is prescribed on the contact surface. If, somehow, the tangential stress or* is

prescribed along the possible contact surface Fc in which the true contact

surface is contained, the variational statement (6.9) of the Signorini problem

must be changed to

where now,

and the bilinear form a( , ) and the linear form/( ) are defined in (6.4) and

(6.6), respectively. The nonempty closed convex subset K is defined as in (6.1).

If the tangential stress a* is smooth enough, e.g., if

Thus the same conclusions in Theorem 6.1 can be established for (6.24) if

the compatibility condition (6.19) is replaced by

f o r v e K n # 2 and v^O.

SIGNORINI'S PROBLEM REVISITED 119

solution u = u(x) of the Signorini problem is a vector-valued function satisfying

the system of equalities and inequalities,

We also found that any solution u of (6.27) is also a solution of the variational

inequality (2.38) or, equivalently, (6.23).

The question which naturally arises at this point is what is the relationship

between the solution of the variational inequality and the solution to (6.27)?

In essence, how must we interpret the weak or variational solution of (6.23)

and why and how is it related to (6.27)?

The first steps toward answering these questions are not difficult and follow

immediately from properties of F, K, and V established earlier (see 5.3 and

5.4). Consider (6.23) (or (6.27)) and note the following properties of this

formulation:

1) M, = 0 on r D c r . This boundary condition arises automatically in the

definition of V. Since Vc H ! (ft), we have y D (v) = 0, where yD:Hl(Cl) +

H 1 / 2 (r D ) is the trace operator (recall after Theorem 5.3). Hence v = 0 is

interpreted as yo(v) = Q in H 1/2 (r D ).

2) Let < f o e @ ( f t ) c V ; i = l,2, , N. Then taking v = u <{> in (6.23) yields

denotes a distributional derivative. Hence,

or

120 CHAPTER 6

This means that we can call upon Theorem 5.9 to obtain a general form of

the traction boundary condition on FF. We summarize these observations for

future reference:

THEOREM 6.2. The solution u of (6.23), or equivalently the minimizer u of F

on K in (6.22), can be characterized by

and

provided

Our next step is to consider the decomposition of the virtual work on the

boundary into two parts: the first representing the work due to forces acting

in the normal direction and the other that due to forces in the tangential

direction. We begin by returning to (6.29) and selecting v e K so that y*i(v) =

y x (u)<}> where 4>eHo 2 (2) is such that supp (<J>)<= FF. Then (6.29) yields

y|(u) + <|>, where <f> e C^(I) is such that supp (<(>) <= Fc $ = <|> n ^ 0 not identi-

cally zero on Fc, and <|>T = <(> - (<f> n)n = 0 on Fc, and applying Theorem 5.10,

we obtain

rir(v) = yjr(u) + <>, supp (4>) c Tc, 0B = 0, |> e C?(I) and applying Theorem

5.10, we obtain

SIGNORINI'S PROBLEM REVISITED 121

THEOREM 6.3. Let Oe <gu and ale ^. Then the solution u e K of (6.23)

satisfies

This completes our interpretation of solutions of the variational inequality

(6.23) and establishes its relation to the classical problem (6.27). Obviously,

if the solution u of (6.23) is smooth enough (e.g. lie C 2 (O)), then (6.31)-(6.34)

collectively imply that

That is, a sufficiently smooth solution u e K of (6.23) may coincide with the

classical pointwise solution of problem (6.27).

6.4. A finite element approximation of Signorini's problem. We shall now

describe a typical finite element method for approximating solutions of the

variational inequality (6.23). We begin by representing O by a domain f l h

consisting of simplex elements (triangles in IR2, tetrahedra in IR3) over which

each component of displacement is approximated by linear polynomials. Upon

assembling these elements, we generate a system of piecewise linear global

basis functions {<} such that if v/, is an approximate displacement field defined

over Cth, then 2 we have

element approximation of the bilinear form a ( , ) of (6.4) and the linear form

/ ( ) of (6.6) are then

2

The summation convention is extended to the case

Here, the super and subscripts do not denote the contravariant and covariant components of

vectors/tensors, respectively.

122 CHAPTER 6

{(f>a}, the evaluation of these forms on V/, yields

wherein

1 < a, ft < P. The corresponding approximation of the potential energy func-

tional F(v)=|a(v,v)-/(v) of (6.8) is

KC V. There are many ways to proceed. We will choose the following scheme.

Let

2F, 2D, and Sc = the sets of all nodal points in FF, FD, and Fc, respectively.

v" = vfn" (no sum on a), where n" = {", "> w"} is the unit outward normal

on F at the ath nodal point.

points in ih. Thus, we may use as an approximation of the constraint set K:

or, equivalently,

problem

SIGNORINI'S PROBLEM REVISITED 123

Let us suppose that ftfc <= O and let \h denote an extension to the domain

H of the function v,, defined on Clh constructed so that the value of vh in ft/A/,

is defined by constant extension in the directions normal to the boundary Yh

of Clh. To make clear this extension, consider the finite element on a part of

the boundary of f l h shown in Fig. 6.1. Within an element, a system of local

coordinates ( 17) is defined so that the edge which coincides with the boundary

is the interval (0,1) of the -axis. Suppose that the boundary of the domain

(I can be represented parametrically by

Let K,, be the set of such all extensions of functions in Kh. Then, for every

u h , v,, e Kh, the following identities clearly hold:

Moreover, we have the following result which will play an important role later.

LEMMA 6.3. Let </> 7 denote the linear interpolant of a function 0 defined on

the boundary Fc (i.e., </> 7 (x a ) = 0(x a ) for a node x" on Fc, <$>l being linear

between nodes}. Then, for every \h e

124 CHAPTER 6

in the local (17) coordinate system shown in Fig. 6.1. Multiplying the first

inequality by (1 -), the second by and adding the results, we obtain

((l-f)(v f c (0,0)-n(0)) + f(v l l (l f O)-n(l)))-((l-f)g(0) + &(l))sO f

i.e.,

As a second preliminary step, we construct a function uh e Kh which is the

solution to the following auxiliary problem:

facts that the bilinear form a( -, ) is continuous and elliptic (coercive) on the

subspace V/, of V and because the set Kh is nonempty, closed, and convex in

V,.

LEMMA 6.4. Let He (#1', let the bilinear form a:VxV-*IR be coercive and

continuous, and let

exists a positive constant C, such that, for arbitrary vh e Kh,

Proof. From (4.23) we have, for arbitrary ve K and v/, e K^,

fl(u-u fc ,u-u fc )^a(u-u fc ,u-v fc ) + a(u,v-u f c +v f c -u)-/(v-u f c +v f c -u).

Applying Green's formula (Theorems 5.11 and 5.12), we obtain

SIGNORINI'S PROBLEM REVISITED 125

Then

where

we obtain

Substituting this inequality into (6.51), applying Young's inequality, and using

the inequality

In order to construct error estimates from (6.50), we must determine interpo-

lation properties of functions in the constraint set Kh instead of V/,. To this

end, we recall a result due to Falk, Theorem 3.5.

LEMMA 6.5. Let ueH 2 (O) and let u' be the unique element of the space Vh

such that u 7 = u at all nodal points of the finite element model. Suppose that

O/, cr fi and that \h is endowed with the usual interpolation properties (i.e. (4.7)).

Then u 7 e Kh and

Proof. Applying the results in Theorem 4.3 to each component of u yields

LEMMA 6.6. Let the conditions of Lemma 6.4 and suppose that

126 CHAPTER 6

Proof. Properties (6.53) imply that un e H3/2(F) and r n (u) e H1/2(r). Apply-

ing Lemma 6.3 to each component of the displacement vector, and using the

extended interpolation properties of dual spaces established by Babuska and

Aziz [1, Chap. 4], we find that

Similarly,

and

(6.54) follows from (6.50).

Some additional results are still needed to obtain error estimates for the

finite element approximation. We next record the following lemma of Brezzi,

Hager, and Raviart [1].

LEMMA 6.7. Let a ( - , ) and ah(', ) be the bilinear forms defined in (6.4)

and (6.35),, respectively, and letf( - ) andfh( ) be the linear forms in (6.6) and

(6.35)2, respectively. Suppose that feL(ft) and teL(r F ). Then there exists

a positive constant C, independent ofh, such that

for all \h, vtheKh, where \h and wh are extensions of \h and wh into Kh,

respectively.

We now have essentially all of the ingredients needed to prove convergence

of our method and to construct an error estimate. Let uh be the solution of

the auxiliary problem (6.47) and denote by uh the extension to all of ft of the

solution u,, to (6.41). Then

SIGNORINI'S PROBLEM REVISITED 127

The coerciveness of the bilinear form a ( - , - ) and (6.55) lead to the final

estimate,

conclude the following convergence theorem for our approximation of

Signorini's problem.

THEOREM 6.4. Suppose that fie <2>1 and the solution u e K of the variational

inequality (6.23) is regular in the sense that u e H 2 (fl). Suppose that the function

g, which characterizes the distance of the body from the rigid foundation, belongs

to H 3/2 (r c ). Let uh e Kh be the extension of the approximate solution uh e Kh

of (6.41) onto the whole domain fl. Further, suppose that the bilinear form a( , )

defined by (6.4) is coercive and continuous on V, and that the linear form f( )

defined by (6.6) is continuous on V. In addition, let the data {f, t} be smooth

enough, e.g., f e L(ft) and te L(rF).

Then, the sequence of extended finite element approximations {uh} converges

in V to the solution u e K of the variational inequality (6.22) as h tends to zero.

Indeed, a constant C independent ofh exists such that

Error estimates such as these were first obtained by Kikuchi and Oden [1];

however, only suboptimal rates O(/i 3/4 ) of convergence could be proved.

Results similar to (6.57) but limited to polygonal domains for which fl = fl/,

and also with optimal rates predicted, were obtained by Hlavacek and Lovisek

[1]. The analysis given here makes use of ideas of Kikuchi [1] and Brezzi,

Hager and Raviart [1]. It is interesting to note that in the works of Hlavacek

and Lovisek [1] and Kikuchi [1], the convergence of the finite element method

to the exact solution can be proved without the use of regularity assumptions

(see Remark 4.1.2); error estimates, of course, require statements of the

regularity of u. Some regularity results on the solution u to the Signorini

problem are obtained by Necas [2] and are recorded in the following theorem:

THEOREM 6.5. For fie <1'1, let (5.5) hold, and let

Suppose that the part Yc of the boundary Y is smooth enough, and that there

exists an element u1 such that

128 CHAPTER 6

to ft*, we have

Having established the mathematical soundness of the finite element

approximation of the variational inequality (6.23), our next goal is to find a

numerical method for solving the discrete variational inequality (6.41) (or

equivalently (6.42)). We shall describe a representative iterative method with

projections into the discrete constrained set K/,. Our scheme is based on the

following classical lemma:

LEMMA 6.8. Let K be a closed convex subset of a finite dimensional Euclidean

space R". Then the Riesz projection x e K of a vector f e R " into K which is

defined by

where \\ - \\ is the Euclidean norm of R" and ( - , - ) is the inner product on R" x R".

Furthermore, the converse is also true, that is, if the projection o f f e R" into K

is denoted by \ = Pkf, then

on the closed convex set K. The consequence then follows from Theorem

3.7. D

A solution method. When the Signorini problem is described by the primal

variational principle (6.22), the admissible set K is restricted by the kinematic

boundary condition vn-g^Q on Fc. For the discrete model, this condition

assumes the form,

i.e., v" < ga at each node on the possible contact surface Fc as shown in

(6.39). Whatever strategy we employ for solving the discrete system (6.42), it

must be such that the above inequality is simultaneously satisfied with pre-

assigned tolerances. Since this inequality constraint involves only the nodes on

Fc, the iterative procedure need be applied only to those nodes in order to

SIGNORINI'S PROBLEM REVISITED 129

satisfy the constraint due to contact. The first step of our solution method,

then, is to "sub-structure" the variational inequality (6.42) into two parts:

where {u}'"} and {u^a} are the vectors of degrees of freedom of the finite

element model excluding nodes on Fc. The stiffness matrix E'^p and the load

vector f'a are also decomposed accordingly. Since there are no constraints on

the displacement u}'a, the variational inequality (6.61) yields

Indeed, taking

Now solving (6.62) for u^

we can modify the variational inequality (6.61) by one consisting of only the

degrees of freedom on F c :

Here

procedures for linear finite element analyses.

Now, for Pa>0, (6.63) is equivalent to the form

for every v]'a satisfying the constraint. Here we do not take summation in i

and a. Applying Lemma 6.8, we have

130 CHAPTER 6

follows: Let

and set

where n? is the ith component of the normal vector n at the a node. Then

define the projection of M? into KH, i.e., x" = Pku", and x satisfies the

inequality

for every y"-g^Q. Thus (6.65) makes sense. Furthermore, (6.65) suggests

the iterative method

a = 1, , P. Here P is the total number of nodes on 2 C > and summation is

not taken in i and a. We expect 'u2'" to converge to u*'a as t goes to infinity,

but we terminate the iteration if the quantity

identified with

(no summation on i and a)

for 0 < CD < 2, (6.68) becomes the successive over-relaxation method with

projection.

6.5. Resolution of contact conditions by penalty methods. It is sometimes

difficult to construct approximate functions within the constraint sets K and

K fc . In this section, we shall relax the constraint condition yL(v)-g^O by

using the penalty method discussed in 3.5. To this end, we first recall notations

and conventions given in 6.2 and 6.3. For reference purposes, we restate the

primal problem: find u such that

SIGNORINI'S PROBLEM REVISITED 131

where

We shall discuss problem (6.71) in this section under the assumption that

r c c:I.

Following the general theory for penalty methods given in 3.5, we define

where Q = Hl/2(Yc)J is the Reisz map from H 1/2 (r c ) onto (H 1/2 (r c ))', and

[ , ] denotes duality pairing on Q' x Q. Then the penalty formulation of

problem (6.71) is, according to (3.65),

and continuous. Thus the following result follows easily from Theorems 3.16,

3.17 and 3.18.

THEOREM 6.6. Let He ^ I J and let the conditions in Theorem 6.1 hold. Then:

(i) The sequence {ue} of solutions to the penalized problem (6.75) converges

to the solution u e K of the constrained problem (6.71) as e-0.

(ii) The sequence {(u c , <re)}, defined by

(iii) Moreover, there exist positive constants C, and C2 such that, for

every e > 0,

132 CHAPTER 6

tions of the penalty formulation (6.75) of Signorini's problem as an application

of the general approximation theory for penalty methods given in 4.4. For

simplicity we adopt the following notation and conventions:

Suppose that the domain (1 is exactly covered by finite elements {fle}, i.e.,

Let &k(&e) be the space of polynomials defined on fte, the order of the

complete part of which is less than or equal to k, and let

integrating the penalty terms inexactly. As an approximation of the integral

of two continuous functions / and g defined on Fc, we use the numerical

quadrature formula

where xf and wf are the coordinates of quadrature points and weights for

numerical integration, E' is the number of segments of Fc, and G is the

number of integration points within a segment. For example, if Fc is a

one-dimensional manifold, and if Simpson's rule is applied within a segment,

we have G = 3 with

he being the length of the eth segment and {xf} given in the local coordinate

system in the master line element.

The properties (4.39) of the quadrature operator "/" of (6.80), which were

assumed in the study of convergence of the penalty method (see 4.5), will

be proved in the underlying Lemma 6.9 to follow.

Under the assumption that the weights {wf} in (6.80) are nonnegative, let

the positive cone CQH be defined by

shape functions 7c{Na(x)} that are traces of the set of shape functions defining

\h. Using the quadrature operator /, we define the reduced integration finite

element approximation of (6.75) as follows:

SIGNORINI'S PROBLEM REVISITED 133

to aehQh,

the order of which is (G-1). For example, if Simpson's rule is used to define

f [ ' L Qh (~Q/i) is the space of conforming (i.e. continuous) piecewise quad-

ratic polynomials defined on Fc. Thus, the formulation (6.82) is equivalently

represented by the perturbed Lagrangian formulation

where

verify all conditions stated in each theorem. To do this, specific choices of

both finite element for Vh and numerical integration schemes / [ ] will be

considered.

Q2-(9-node; biquadratic) elements for O <= |R2. As a first example, we consider

approximations of a class of two-dimensional Signorini problems in which O

is polygonal and the spaces VH are constructed using a sequence of regular

meshes of 9-node biquadratic elements. We will choose Simpson's rule for the

integration scheme /[ ]. In this case, the approximate contact pressures rh

are continuous piecewise quadratic functions defined on the contact surface Fc.

We define the integration error ,[/, g] and its variant ,[/, g] by

and

LEMMA 6.9. Let the quadrature rule / [ ] be defined by Simpson's rule of

numerical integration and the above assumptions and conventions hold. Let \h

correspond to a regular family of finite element approximations for which the

inverse property (4.8) holds. Then, Vv h e Vh, rh e Qh,

134 CHAPTER 6

and

Proof. Within an element segment Tec, 1 ^ e ^ E', let

where for simplicity we omit an element label "e" on the coefficients. Then,

and

we have

SIGNORINI'S PROBLEM REVISITED 135

Thus

where 0" denotes the second derivative of </> with respect to the global

coordinate 5. Similarly, we have

and Simpson's rule are used to construct the spaces Vh and Qh and that the

assumptions of Lemma 6.9 are true. Then

(i) There exists a constant j3 > 0 such that, for all rhQh,

(iii) There exists a constant Cl > 0 such that, for all rh e Qh,

136 CHAPTER 6

(iv) For every ve V, there exist an element v/, e \h and positive constants C2

and C3 for h ^ 1 such that

Proof, (i) For a given rheQh, rh^ 0, take any \h e V,, such that

Applying the trace theorem and the inverse property of finite element approxi-

mation spaces, (see Ciarlet [l,p. 141]) we have

and

(ii) Since rh and vhn are piecewise quadratic within a boundary segment

(O being a polygon) we can take

Then (6.92) follows from the trace theorem and the inverse property.

(iii) Since the inverse properties are assumed to hold on y(Vh), we have

(see Ciarlet [2, p. 141])

Hence,

which is (6.93).

SIGNORINI'S PROBLEM REVISITED 137

(recall Theorem 4.3)

Next we record the fact that the convergence of the penalty-finite-element

approximation (uKht crE/I) as e ^ O for a fixed h>0 follows immediately from

the established condition (6.91) and Theorems 4.8 and 4.9.

THEOREM 6.7. Let the conditions of Lemmas 6.9 and 6.10 hold. Let Q2-

elements and Simpson's rule be used for construction of V,, and Qh. Let ueh be

the corresponding solution of (6.82) for these choices and let aeh then be defined

by (6.83). Then the sequence {(uEh, <rE&)} converges to the solution (uh.,ah) of

the following discrete mixed formulation as e-0:

Moreover, the following estimates hold for proper positive constants C{ and C2:

\h and Qh of V and Q, respectively; see 4.1. Let the superscript "/" mean

an interpolation of the function. Then, for every veH 3 (H) and r e H3/2(TC),

or Qh (Theorem 4.3) can be easily generalized to the case in which functions

v or r are defined pointwise on the domain. For flc |R2, Sobolev's imbedding

theorem1.27)

Thus estimates (6.97)2 and (6.97)4 hold for the set Nh as well as Qh.

138 CHAPTER 6

(6.81) in terms of the mesh parameter h.

THEOREM 6.8. Let Vh and Qh be constructed by Q2-elements and Simpson's

rule and the conditions of Theorem 6.7 prevail. Suppose that

0)

(ii) there exists qz H3/2(TC) such that its interpolant q1 e Qh coincides with

o~h in (6.97) and ||#||3/2(rc is uniformly bounded in h, i.e.,

Then the following estimates hold for positive constant C,, i = 1, -,5, indepen-

dent ofh and e:

and

Proof. 1) We shall apply the estimate (4.53) in Theorem 4.11. Noting that

ah = (3hl/2 and ah = f3hl/2 (see Theorem 4.11 and Lemma 6.10), we have

2) We next use the estimate (4.54) in Theorem 4.11 in order to get (6.101)2.

Direct substitution of (6.97), (6.101), and (6.91) into (4.54) implies

SIGNORINI'S PROBLEM REVISITED 139

4) Applying arguments similar to those in Theorem 4.12 (i.e., Theorem 4.8),

we can also obtain

from (6.96)2. Combining (6.96), (6.101) and (6.103), we finally arrive at the

estimate (6.102).

In view of the estimate (6.102), we will obtain the optimal O(/i 2 ) rate of

convergence if we choose the penalty parameter e so that

and Tr(3-node triangular) elements. Indeed, if u, r, g, and n are smooth

enough, the estimate

holds for positive constants C, and C2. Proofs for this can be found in Kikuchi

and Oden [2].

A solution method. The penalty approximation (6.82) of the Signorini prob-

lem is solved by the following successive iterative method. Let u'eh be the fth

approximation of the solution uEh of (6.82), and let

equations while the original formulation (6.82) is nonlinear. Furthermore, all

the terms, except the penalty, are exactly the same as the finite element

approximations for linear elasticity problems. This means that if we have finite

element codes already available, solving Signorini contact problems is a rather

simple task. The addition of a simple subroutine to the existing codes for

computing the penalty contribution to the stiffness matrix allows us to proceed

directly to the successive iteration process (6.106). We continue to iterate until

the tolerance llu^-UehHi/lliiet 1 !!! becomes sufficiently small, say 10~ 3 ~10~ 5 .

Using the notation of 6.4, especially (6.36), and (6.37) for the case flh = ft,

we have

140 CHAPTER 6

where E1^ is the stiffness matrix of the elastic body and fa is the equivalent

nodal forces computed by the applied body force and the traction. Similarly,

the penalty term can be discretized by

(6.108) /[(L-g) + ,^ n ] = (f) P^(f) ( ' ) <- (0 g>r (t: no summation),

where

and

Here E' is the number of elements on Fc, G the number of integration points

in an element, (w/, xf} the set of weights and coordinates for the quadrature

rule /[,] given in 6.5. This yields the system of linear equations for each

f, f = l,2, - ,

constant computed directly from the data, e.g.,

then a fixed number, and different parameters could then be used at different

points in a nonhomogeneous body.

Although we have no proof of convergence of the iterative method (6.111),

our experience is that in most applications it converges within few iterations.

the results of application of the methods and algorithms discussed earlier to

several test cases.

Most of these test problems are designed to test and illustrate the

methodology more than to model actual contact phenomena, and thus nominal

or nondimensionalized units are used and deformations are given in an exagger-

ated scale so as to clearly exhibit features of the deformed geometry.

Example 6.1. We first consider an infinitely long half-circular cylinder resting

on a flat foundation, and subjected to a uniform load along its top of intensity

100 (in units of force per unit area). The cylinder is constructed of a

homogeneous, isotropic, elastic material with Young's modulus E = 2000 and

Poisson's ratio of v = 0.3. Clearly this is a problem of plane strain.

SIGNORINI'S PROBLEM REVISITED 141

We will compare our numerical results with the Hertz solution (see e.g.

Goldsmith [1, Chap. IV]) which yields a contact pressure of

where F is the load per unit length, b is the half-width of contact surface

defined by

exist on the contact surface. A finite element model of this problem is illustrated

in Fig. 6.2(a) along with physical dimensions and the value of the penalty

FIG. 6.2(a). A finite element model of a Hertz problem. From N. Kikuchi and Y. J. Song [2],

Quarterly of Applied Mathematics. Copyright 1981 Brown University.

FIG. 6.2(b). Deformed configuration by Q2-elements and Simpson's rule. From N. Kikuchi and

Y. J. Song [2], Quarterly of Applied Mathematics. Copyright 1981 Brown University.

142 CHAPTER 6

FIG. 6.2(c). Pressure distributions with the Hertz solution. From N. Kikuchi and Y. J. Song [2],

Quarterly of Applied Mathematics. Copyright 1981 Brown University.

9-node biquadratic element with penalty described above, is shown in Fig.

6.2(b). A comparison of the computed contact pressure with the Hertz solution

for a full cylinder subjected to the same load is given in Fig. 6.2(c). We observe

that good agreement is obtained even though a rather course mesh is used.

Satisfactory solutions are obtained by the successive iteration scheme after

only three iterations. Again it is noted that we have not assumed any contact

surfaces and pressures. These are obtained naturally and automatically as part

of the numerical solution of the variational inequality.

Example 6.2. The second example involves a rigid circular cylinder indented

into a thick homogeneous, isotropic and linearly elastic plate with E = 1000

and v = 0.3. Using plane strain theory, we specify the depth of indentation of

the rigid circular cylinder. Let the depth of indentation be denoted d and the

SIGNORINI'S PROBLEM REVISITED 143

coordinate axes be set as in Fig. 6.3(a). Then the prescribed gap function is

taken to be

where R is the radius of the cylinder. Using the symmetry of the problem,

only half of the foundation is modeled by sixty-four 9-node biquadratic (<?2-)

finite elements as shown in Fig. 6.3(b). No body forces and tractions are

assumed to be applied. One objective of this example is to check the conver-

gence of the penalty method described earlier. Since the exact solutions u and

cr are not available, we consider relative errors EE and Eh of the strain energy

of the body defined by

FIG. 6.3(b). A rigid punch problem modeled by Q2-elements and Simpson's rule. From N. Kikuchi

and Y. J. Song [2], Quarterly of Applied Mathematics. Copyright 1981 Brown University.

144 CHAPTER 6

FIG. 6.3(c). Convergence of the penalty method (e->0). From N. KJkuchi and Y. J. Song [2],

Quarterly of Applied Mathematics. Copyright 1981 Brown University.

where "A" indicates that a fixed value of e or h is used, and F(v) = \a(v, v).

If (6.94) holds, the relative errors EE and Eh satisfy the asymptotic bounds:

The reference mesh and the penalty parameter sizes are h =| and e0=\Q 4,

where e - e0E. It is clear that our numerical results shown in Figs. 6.3(c) and

6.3(d) indicate excellent agreement between theoretical estimates of the rates

of convergence with computed rates. Moreover, these rates are experienced

for relatively coarse meshes even though the theoretical results generally

guarantee these asymptotically as h tends to zero. Again, convergence of the

iterative method is obtained within few iterations for each problem.

Example 6.3 (rigid boh in a thick plate). Consider a thick plate partially

restrained by a rigid cylinder (possibly representing a steel bolt) as shown in

Fig. 6.4(a). We let R be the radius of the hole in the thick plate and R - e be

the radius of the rigid cylinder, where e is a small positive number. At an

edge of the plate, a uniform tensile force ty is applied. Again, we suppose that

the plate is homogeneous, isotropic, and linearly elastic and take E = 1000,

v = 0.3. Let the thickness of the plate be unity and we assume a state of plane

stress prevails. The contact surface of the bodies is assumed ttf be lubricated

so that there are no frictional forces.

SIGNORINI'S PROBLEM REVISITED 145

FIG. 6.3(d). Convergence of the finite element method (Q2-elements /i-0). From N. Kikuchi

and Y. J. Song [2], Quarterly of Applied Mathematics. Copyright 1981 Brown University.

FIG. 6.4(a). Rigid bolt in a thick plate. tv = 25/unit length; E = 1000; v = 0.3; R = 2.0; R - e = 1.9.

Symmetry of the problem enables us to consider only the upper half region

of the plate. Ten 9-node biquadratic quadrilateral elements are again used in

the discrete model, as shown in Fig. 6.4(b). The computed deformed configur-

ation and the distribution of the contact pressure are given in Fig. 6.4(c). The

separation point is located at 66, and the half length of contact surface becomes

2.19 units.

146 CHAPTER 6

Fig6.4(b)m cvm,nvnnvkfmngffkng

Our results indicate that the contact pressure in thexbolt inclusion problem

resembles that of the Hertz contact pressure for a rigid cylinder indented into

a half-space for these particular geometries and material properties.

Example 6.4 (beam contact problem). Next the contact of an elastic can-

tilevered beam over a foundation is considered, the beam being modeled as

a thin body in a state of plane stress. The loading and constraint situation are

illustrated in Fig. 6.5(a). We compare some computed results with those

furnished by elementary beam theory.

Let the rigidity El of the beam be constant, and let a uniform force / be

applied to the beam. If the distance of the beam from a flat rigid foundation

is given by d, then the location of the contact interface is computed from beam

theory as

SIGNORINI'S PROBLEM REVISITED 147

The 42-element mesh of CV(4-node bilinear) elements shown in Fig. 6.5(b)

is with

According to these results contact occurs at ah = 45 cm while the result fur-

nished by beam theory is a =45.7 cm, a difference of about 1.5 percent.

6.7. Rigid punch problems. A special and important class of contact prob-

lems involves the indentation of a deformable body by a rigid "punch"; i.e.,

a rigid body of specified shape. Such problems arise in numerous practical

applications; for example, metal and plastic forming, etc. Mathematically,

rigid punch problems have certain features which distinguish them from the

standard Signorini problems discussed in the previous chapter. The contact

conditions are, in a sense, more complicated and the solution of two-

dimensional punch problems is characterized by a pair (u, a) or a triple

(u, a, 6), where u is a displacement field and a and 6 are, respectively, the

displacement of a specified point on the punch and the rotation of the punch

about the origin.

Contact conditions. For simplicity, we confine our attention to plane prob-

lems. We begin by considering a deformable body fl c |R2, such as that shown

FIG 6.5(b). Deformed configuration of the cantilever.

SIGNORINI'S PROBLEM REVISITED 149

a fixed cartesian coordinate system ( y i , y 2 ) , as shown. As in 2.1, prior to

the indentation of the punch the labels (x,, x 2 ) of the material particles

composing the body are chosen as to coincide with the coordinates of the

position occupied by the particle, i.e., in the reference configuration, xl = y\,

*2= )>2 for (x\ > X2) G ^- Also, prior to the indentation of the punch, the surface

5 of the punch, which may include the contact surface, is assumed to be given

by the curve

whereas the material surface of the body which may include the contact surfac

150 CHAPTER 6

where, for the moment, <j> and & are taken to be smooth functions. We will

choose the origin of our coordinates so that

We now assume that external forces and moments are applied to the punch

so that it is pushed into the body, as shown in the figure. We denote by a the

depth of indentation at the origin and by 6 the angle of rotation of the punch

about the origin. Then a point on the surface of the punch located at (yi, &(yi))

before indentation assumes a position ( Y l , Y2) after indentation where

Let (xi, x2) be an arbitrary particle of the body. The position of this particle

after indentation of the body by the punch is given by

Given a point (j> t , &(yi)) on the surface of the punch, let (xj, $(*i)) denote

the particle, assumed unique on the surface of the body which is displaced by

the indentation in such a way that the >>j coordinate of its current position

equals Yl. Then

We shall always assume that the surface of the punches located above or on

the surface of the body, as in Fig. 6.6, so that the y2 coordinate of the particle

(x,, </>(*i)) must exceed Y2, i.e.,

conditions

The first member of (6.126) defines a specific particle (x1} <f>(xi)) for a given

point (yit iff(yi}) on the surface of the punch. The second member of (6.126)

describes a constraint on the motion of this particle.

SIGNORINI'S PROBLEM REVISITED 151

tions. Setting cos 6 = 1, sin 6 = 0, and eliminating quadratic and higher order

terms in u{ and 6, we reduce (6.126) to the pair,

where w,(>'i) = Ui(y\, (f>(y\)), i = 1, 2. Noting that the components (nlt n2) of

a unit outward normal to the material surface Yc are given by

where

Finally, since x, and yl differ only by terms of order u , , \6\, a and higher,

we may write

(6.131) M n (x 1 ,x 2 )<g(x 1 ,x 2 )-Hi0Mxi) + 2(M + a), (*i,x 2 )er c .

This is the linearized kinematical contact condition for the class of rigid punch

problems we will consider.

We assume, as before, that the contact surface is lubricated so that no

tangential frictional forces can be developed on contact. Then, if T is the

Cauchy stress, rn Ty-n.-n,- its normal component on the contact surface, and

TT. = Ty/i; - rnnt the tangential components of stress on the boundary, we have

at each particle (x,, </>(*i)) s Fc. Here we have continued to confine ourselves

to infinitesimal deformations so that (6.131) holds and T is considered a

function of x = (xj, x2).

Let (v, j8, 0) denote a triple consisting of a displacement field v, an indentation

j8, and a rotation 6 which are arbitrary except that

152 CHAPTER 6

Choosing vn so that the first term vanishes and vTi = uTi ewT., e > 0 and w

arbitrary, gives

On the other hand, if we set vTl = WT, and t;n = g + n2(xiO + a)-n^O + wn,

wn =s 0, we have

problems involving infinitesimal deformations are

solving plane rigid punch problems involving applied forces and moments.

The contact boundary Fc of the foundation is assumed to be a line, and the

rectangular Cartesian coordinate system is chosen as in Fig. 6.6.

SIGNORINI'S PROBLEM REVISITED 153

Let the possible contact surface Fc be the interval (-a, a) of the x r axis,

and let the shape of the rigid punch be given by

Here the rigid punch initially touches the foundation at the origin, i.e., <(0) = 0.

Let P denote the applied force (P<0) and T the total applied moment about

the origin. If the depth of indentation is given by the absolute value of a, then

the rigid punch problem is described by the boundary value problem

the case of the indentation into the deformable body.

for every (v, /3, 5) such that t>2 ^ (3 + Sxl + g. Thus, a variational formulation

associated with the rigid punch problem (6.137) is defined as

where, as usual,

(6.140) K = {(v,0, S ) e V x [ R x R : r |(r 2 )< j8 + 5x, + g in H 1 / 2 (F C )}

where a and 0 are the depth of indentation and the rotation of the rigid punch

about the origin, and 2 = int (F - F D ) ^> f c .

154 CHAPTER 6

equivalent to a constrained minimization problem

where

Lipschitzian domain, i.e., He^ 0 ' 1 , and let Fc be the interval (-a, a) of the

x^axis as defined in (6.136). Suppose that (5.5) holds, and that the applied force

P and moment T satisfy the compatibility condition

Then there exists a unique solution (u, a, 0)eK to the problem (6.144), or,

equivalently to the variational inequality (6.138).

Proof. It suffices to show that the functional F is coercive on K, i.e.,

for every/3 e IR since (6.143) is assumed. For (3-> -oo, we must have y|( ^2) ~* ~

a.e. on Fc or \S\ -> +00. Thus F(v, /3, 5) -> -oo. For the case /3 - +00,

Therefore, we have

We now describe a solution method for the rigid punch problem (6.137) for

a given force P and moment T based on Lagrange multiplier methods. By

introducing the Lagrange multiplier q for the constraint y^tfzJ^a +ftKi+ g,

we arrive at the Lagrangian

where ( , -)r c denotes duality pairing on H 1/2 (F C ) such that for <e L 2 (F C )

andAe// 1 / 2 (F c )

SIGNORINI'S PROBLEM REVISITED 155

Because of the form of the inequality constraint on the kinematic contact

condition, the Lagrange multiplier has to be restricted by q < 0 in (H 1/2 (T C ))'.

Thus, the minimization problem (6.14) can be solved as a saddle point problem:

where

The stationary condition for the Lagrangian yields the system of equations

and an inequality:

method, is usually very effective. It involves the following strategy: for pw e JV,

a ( 0 ) lR, and 0 ( 0 ) elR, we construct the iteration procedure, i = 1, ,

(i) Solve u ( l ) V satisfying the "equilibrium equation"

that is,

(iii) Using p (l) on Fc, compute the depth of indentation 5 ( l ) and the rotation

(0

0 by

for adequately chosen positive "constants" pp, pa, and pg. We repeat the above

iteration procedure until the quantity

156 CHAPTER 6

becomes very small, say 10~3~10~5. For further details on methods of this

type, see Glowinski, Lions, and Tremolieres [1].

Example 6.5 (rigidpunch with rotation). Consider an almost incompressible

linearly elastic foundation indented by a flat rigid punch subjected to an

applied moment and force. We assume that the foundation is homogeneous

and isotropic with E = 1000 and v = 0.499. The problem is one of plane strain.

The elasticity tensor EijM is then given by

for 0< i, j, k, /< 2. Notice that the first Lame constant A becomes a very large

number for v = 0.499. Physical dimensions and other data of the problem are

given in Fig. 6.7(a). We consider four cases each involving different values of

the applied moments T but with a constant applied force P.

A finite element mesh consisting of ten 9-node isoparametric elements is

used, as shown in Fig. 6.7(b). Special considerations are needed when we

integrate numerically the term

SIGNORINI'S PROBLEM REVISITED 157

FIG. 6.7(b). Finite element model for Example 6.1. From N. Kikuchi and Y. J. Song [1],

International Journal of Engineering Science. Copyright 1980 Pergamon Press Ltd.

quadrature is used to integrate this term whilst 3 x 3 Gaussian quadrature is

required for an exact integration. For a nearly incompressible material (one

with v close to 0.5) the dilatation cannot be modeled well by coarse meshes,

and the solution "locks," i.e., the computed solution uh is nearly zero. This is

roughly because too much weight is given to the volumetric constraint for

large h. This locking can be overcome by selective reduced integration: using

a low order integration rule on the dilatational terms on the stiffness matrix.

We take up this subject in some detail in the next chapter. For additional

details, see Oden, Kikuchi, and Song [1], Oden and Carey [1], and Oden and

Jacquotte [1]. Calculated deformed profiles of the surface of the foundation

and the distribution of the contact pressure are given in Fig. 6.7(c),(d).

Note that the rate of convergence of the iterative algorithm increases with

an increase in the applied moment. Smooth surfaces for the deformed founda-

tion are obtained for T = 0, 60, and 90. But for T= 120, the left half of the

surface of the foundation is not smooth and a considerably finer mesh may

be required to obtain a smoother representation of the surface around the left

end point of the rigid punch.

Signorini problems studied previously to cases that involve the contact of two

surfaces of deformable bodies. In this case, the kinematic contact condition

is written in terms of the relative normal displacement of points on the two

158 CHAPTER 6

FIG. 6.7(c). Numerical results (1) for Example 6.1. From N. Kikuchi and Y. J. Song [1],

International Journal of Engineering Science. Copyright 1980 Pergamon Press Ltd.

problems, crack closing problems for arbitrarily shaped cracks, and others,

since the basic formulation of these problems is very similar to that of Signorini

problems.

For simplicity, we shall consider a deformable body with two surfaces which

are located close to one another but not necessarily in contact in its reference

configuration, as indicated in Fig. 6.8.

Contact conditions. We begin by describing the contact conditions for the

two-dimensional case for simplicity; conditions for the three-dimensionl case

are then straightforward. To do this, we shall assume that displacements,

stresses, and other functions used in this section are defined pointwise.

We confine ourselves to a restricted class of motions: the body fl is fixed

on a portion FD of its boundary F and finite rotations are not permitted. Our

aim is to derive contact conditions analogous to those of 2.2 for infinitesimal

deformations. We denote by F and FC the possible contact surfaces which

are portions of the boundary F. For convenience, we assume that F lies above

SIGNORINI'S PROBLEM REVISITED 159

FIG. 6.7(d). Numerical results (2) for Example 6.1. From N. Kikuchi and Y. J. Song [1],

International Journal of Engineering Science. Copyright 1980 Pergamon Press Ltd.

FC in the reference configuration, as shown in Fig. 6.8, and that the contact

surfaces are defined parametrically by

where, for the moment, $ and i/> are assumed to be smooth functions. No

summation convention is assumed on the indices a and b which represent

opposite surfaces of the contact region.

Let xa = (x, (f>(x)) be the coordinate labels of a particle A on the contact

surface Yac and x b = (xf, i^(xf)) those of a unique particle B on Ybc which has

the property that the yl -position of both particles is the same in the current

160 CHAPTER 6

ft, we have

SIGNORINI'S PROBLEM REVISITED 161

that is

where

Noting that the unit vector inward normal to the boundary Ybc is given by

under the assumption that 0(x?) > //(x), Vx. Since the two surfaces PC and

TC can be identified with their projection Fc on the y coordinate line, we can

also write (6.156) in the form

so that the contact condition is essentially of the same form as the kinematic

contact condition for the Signorini problem, except that now the relative

displacement fields are used. Thus, if T denotes the Cauchy stress tensor in

the body O, the contact condition can be represented by

On various potential contact surfaces that are not nearly parallel to a global

yi coordinate axis, we can simply establish a real coordinate system, (0,, 02),

such as that shown in Fig. 6.9, and the same representation given earlier can

be made.

A primal variational principle. As in Chapter 2 and 6.2, a primal variational

formulation of the problem for the contact condition stated above is given by

the constrained minimization problem

162 CHAPTER 6

a(u, v) the virtual work by the virtual displacement v of the body at the

equilibrium configuration given by u, and /(v) is the work done by applied

body and traction forces. The constraint set K is now defined by

where

All the mathematical analyses in 6.2 and 6.3 carry over to the above case

(6.161) or (6.162) which now represent contact of two surfaces, and we need

not provide further details.

In finite element methods based on penalty treatments of the contact condi-

tions for two-body contact, two different approaches suggest themselves.

1. Pre-discretization penalty. In this approach a penalty term is added to the

variational formulation prior to the finite element discretization. For example,

we can add to the energy functional in (6.162), the penalty

SIGNORINI'S PROBLEM REVISITED 163

methods to discretize the resulting variational boundary value problem.

2. Post-discretization penalty. In this approach, finite element models of

bodies a and b, particularly PC and FC are constructed and a discrete set of

contact conditions are reduced to constraints on nodal displacements on the

approximate contact surfaces F^, Fc'1. Then an exterior penalty is used to

handle these nodal constraint conditions.

In the pre-discretization penalty method, we begin by constructing the

penalized functional

the integrands in the boundary integrals labelled FC and Tbc are the same.

Next we discretize the domain fl as, for example, shown in Fig. 6.10. In this

case, it is necessary that the nodes opposite to one another on F^ and FC have

the same y\ coordinate. Indeed, this method effectively represents the discretiz-

ation of a single projected contact line on the local y} -axis. The evaluation

of the penalty terms in (6.167) in this case is quite simple because u" - ubn can

be defined within an element by values at only two nodes on each side of FC

and FC- After solving (6.167) by finite element methods, the contact pressure

at each node on FC and FC is calculated using the relation,

selecting the location of nodes. Suppose, for example, that the domain O is

discretized as shown in Fig. 6.11. It is clear that the locations of nodes on FC

and FC are arbitrary. Let EC be the set of all node numbers on FC- If we

approximate the contact condition (6.158) by

164 CHAPTER 6

FIG. 6.10. A discretization of the domain along the contact boundaries TC and TC using a

pre-discretization penalty method.

FIG. 6.11. A discretization of the domain along the contact boundaries Tac and Ybc using the

post-discretization penalty method.

SIGNORINI'S PROBLEM REVISITED 165

then u* = uan - ubn can be computed by finding an element which contains the

projected point of the fcth node onto the boundary Ybc along a line parallel

to the }>2-axis passing through the fcth node on FC- Once the corresponding

element segment is found, ubn = n-ub is computed using the value of the

displacement at the nodes in this element segment. For example, the third

node on FC in Fig. 6.11 is projected vertically into the third element on r>

Suppose that the fcth node on FC corresponds to the eth element on FC, and

suppose that the eth element consists of two nodes (x*, A(xf)) and (xf, A(x*))

on FC- Then the projected point of the /cth node has the coordinates (x*, x),

where

under the assumption x* < x*. The kinematic contact condition at the kih node

becomes

where

Since both ubn(xl, <A(*0) and ubn(x\, $(x\}} are normal displacements at nodes

on FC, (6.171) represents a finite element approximation of the contact condi-

tion which is well defined in terms of displacements of nodes on the respective

contact surfaces of O.

It is noted, however, that the approximation (6.171) of (6.158) is based on

the premise that a preferred boundary, FC is projected onto the other contact

line. Thus there is a possibility that the kinematic contact condition (6.158) is

not satisfied along certain portions of the boundary, as illustrated in Fig. 6.12.

A contact condition similar to (6.171) is not generally applied to nodes on

FC, to avoid a so-called "locking" phenomenon: Consider the situation

166 CHAPTER 6

a line A if both nodes Q and R contact the boundary FC- This implies that

the approximation (6.158) should be defined by using nodes only on either

Tac or Tbc.

For these reasons, the projected boundary FC is sometimes referred to as

the slave boundary and is subjected to the contact condition (6.158), the fixed

surface FC, being called the master boundary. This "master-slave" strategy

then acquires some features of an elaborate scheme proposed by Hallquist [1].

If a finite element approximation Vh of V is introduced, the second approach

leads to a discrete formulation of the form

where

Here P' is the number of nodes on FJ. In this case, the values identified with

become the equivalent nodal contact force at the fcth node on Tac.

We shall briefly outline an algorithm for determining the corresponding

element which contains the projected point of a node on FC for plane problems:

Step 1. Store element connectivities of line elements on the boundary FC

so that the coordinates of two end nodes of each line element can be obtained

from the data of a finite element model of the domain O.

Step 2. Scan elements on FC and locate the elements containing the projection

of each node in 2c- For the node whose yi coordinate is x*, we carry out the

routine:

a) e = 0

b) e = e + l

c) Using element connectivity of the eth element on FC, find yl coordinates

of two end points, say x\ and x\.

SIGNORINPS PROBLEM REVISITED 167

e) If both signs are positive or negative, return to b).

f) If one sign is positive and the other is negative, store the element number

e and the computed ratio 0 = (x\ - x\)/(x\ - x\}.

g) Go to step a) and re-initialize process for fc = k+ 1.

Once corresponding elements are found for nodes on FC, it becomes possible

to evaluate the penalty term, and then the additional stiffness matrix due to

the penalty can be easily obtained. Recall that by the normal "vector n" at

node, we mean the normal to a line drawn between nodes on the F^-element

on which this node is projected. Let n = n^ + n2\2 at the /cth node on Fc, and

let the node numbers of the corresponding element on F6 be denoted by fc,

and k2. Then the penalty term is written

where v^nt = Vhn(x^9 (xf)), gfc = g(x*), etc. If the /cth node is a contact node,

then the additional stiffness matrix contribution is given by

one remaining issue is the determination of the distribution of contact pressure.

To illustrate how this can be done, suppose that a piecewise linear pressure

is assumed on an edge of 3-node or 4-node elements. Note that equivalent

nodal forces at two end nodes are computed by

where he is the length of the edge, and (p\, p2) are the values of the pressure

at two edge nodes. Applying this idea to the contact force at each node

computed by (6.175), we can compute the value of the contact pressure at

each node by solving the system of linear equations obtained by assembling

(6.179) for all edges of elements of FC-

Example 6.6 (a two-body contact problem). We solve the two-body contact

problem described in Fig. 6.14(a) applying the first approach in the above.

168 CHAPTER 6

Suppose that both bodies are characterized by the same Young's modulus and

Poisson's ratio, E = 1000 and *> = 0.499. The problem is again one of plane

strain and both bodies are almost incompressible. As in Example 6.5, we use

the reduced integrating method to avoid locking for "large" h.

Let us consider a finite element model of the two-body contact problem

using four 9-node biquadratic elements for the hollow cylinder and six such

elements for the foundation as shown in Fig. 6.14(b). The computed deformed

geometries are shown in Fig. 6.14(c). The hollow cylinder suffers quite severe

deformations while the surface of the foundation is indented only 4 percent

of the vertical motion of the cylinder.

As indicated in Fig. 6.14(c), we compute a significant displacement in the

horizontal direction on the contact surface. This suggests that the approxima-

tion of the unilateral contact condition (6.158) may be inadequate since the

assumption x x\ may not be valid. One way to compensate for such errors

is to relocate the nodes on FC according to

FIG 6.14(b). Finite element model for Example 6. FIG 6.14(b). Finite element model for Example 6.

170 CHAPTER 6

SIGNORINI'S PROBLEM REVISITED 171

172 CHAPTER 6

where x" is the new location, x? is the original location, and (?,?) is the

displacement of the nodes computed by the assumption x? = xf. If we recalcu-

late the deformation after shifting the nodes on FC, we generally reduce

substantially large discrepancies in the contact conditions. However, it is noted

that rather large differences M ? - M ? in the displacement in the horizontal

direction would not affect the size of the contact area or the contact pressure.

For the example in Fig. 6.14, corresponding to a plane strain problem, we

next investigate three-dimensional effects on the contact area and pressure.

Exploring the symmetry of the problem, only a quarter portion of the structure

is discretized by 8-node trilinear brick elements as shown in Fig. 6.14(d). The

planes x, z and y, z are symmetric surfaces on which the sliding condition is

applied. The bottom surface is also assumed to be sliding without friction.

The side view of the model is also given in Fig. 6.14(e). The side view of the

deformed configuration is shown in Fig. 6.14(f) which is quite similar to Fig.

6.14(e) after prescribing the displacement on the top surface as in the two-

dimensional example. Again, most of the deformation is realized in the elastic

ring. However, if we magnify the displacement of the elastic foundation,

three-dimensional effects can be easily observed, see Fig. 6.14(g). The center

surface which is on the x, z plane experiences the largest deformation. The

profile of the computed contact pressure is given in Fig. 6.14(h).

Chapter 7

Incompressible Materials

elasticity can be formulated as a constrained minimization problem, the objec-

tive being to minimize the total potential energy subject to the contact constraint

wn < g on Fc. We now turn our attention to a more difficult subclass of Signorini

problems in which an additional constraint is imposed: that of incompressibil-

ity of the material of which the body is composed. For infinitesimal deforma-

tions, this constraint is manifested in the requirement that the displacement

field be solenoidal, i.e., div u = 0, so that our analysis covers as a special case

of the classical Stokes problem of steady, incompressible, viscous flow.

Following this introduction we discuss several formulations of the incom-

pressible Signorini problem, including a formulation of the problem as a

variational inequality and a saddle point formulation using the ideas discussed

in Chapter 3. Portions of these studies amount to direct applications of the

theory laid down in Chapter 3, but we are also able to establish certain key

conditions here which play a fundamental role in the study of the numerical

stability of corresponding finite element approximations. Specifically we

describe a Babuska-Brezzi condition for the existence of solutions to saddle

point problems and we subsequently take up the implications of this condition

on the behavior of discrete approximations.

Sections 7.3 and 7.4 are devoted to finite element approximations of Signorini

problems for incompressible materials. There we derive error estimates for

mixed finite element approximations and we discuss the role of the discrete

Babuska-Brezzi condition in the selection of stable and convergent numerical

schemes. Finite element approximations of contact problems for incompress-

ible materials were studied using various penalty and mixed methods by Oden,

Kikuchi and Song [1], Song, Oden and Kikuchi [1], Oden and Kikuchi [1],

[2], and Kikuchi and Song [1], Mixed finite element approximations of

incompressible flows (Stokes problem) were studied by Oden and Wellford

[1], Oden [4], Glowinski and Pironneau [1], Bercovier and Pironneau [1],

Oden and Jacquotte [1] and many others. Our analysis of these problems in

173

174 CHAPTER 7

the present chapter generalizes and extends the results obtained by these

authors.

is sometimes convenient to represent the strain tensor e,-, (=(t>,j + t>;,)/2) as

the sum of a deviatoric strain e and a volumetric strain eu in the form

infinitesimal element of material volume: e,, = (dv - dvQ)/dvo, dv and dvQ being

current and initial volume elements, respectively. In terms of the displacement

vector v, we have simply

where div ( ) denotes the divergence operator. The deviatoric strain represents

that part of the deformation for which no change in volume occurs; i.e.,

equation of the form

where n is the second Lame coefficient (the shear modulus) and K is the bulk

modulus of the material. Clearly, for an isotropic incompressible material, we

will have

linearly elastic isotropic solid for which (7.3) holds with

and ft c RN. Using notation similar to that in Chapter 6, we pose the following

variational principle for a contact problem of Signorini type for a material

obeying (7.3) and (7.4): Find a displacement field u such that

In this case,

SIGNORINI'S PROBLEM FOR INCOMPRESSIBLE MATERIALS 175

with

in (5.47) and elsewhere. Since the divergence operator div:H 1 (n)-L 2 ((l) is

linear and continuous, the constraint set K is again closed in V and is convex.

Recall that the displacements v of the body are zero on a fixed portion FD

of the boundary F. If mes F D > 0, then a direct application of Korn's inequality,

(6.14), reveals that a constant m > 0 exists such that

in that

with M = \\n\\ L([i). Finally, when (7.7) holds, the functional / defined in (7.6)

is bounded on V. Thus, all of the conditions of Theorem 3.4 hold, and we

immediately have the following result:

THEOREM 7.1. Let He ^l'1 and let mes F D >0. Suppose that (7.4) and (7.7)

hold. Then there exists a unique solution ue K to the variational inequality (7.5).

Equivalently, u is also the unique solution to the constrained minimization problem

lation of problem (7.5) which provides a framework for several powerful

methods of approximation of problems of this type. Specifically, we shall use

the method of Lagrange multipliers to "relax" the constraints div u = 0 and

yL(u)=sg.

First let us establish some convenient notation and conventions. Throughout

this chapter we will use the notation

for ve V, where y^n is the operator defined in (5.48) and we shall assume that

pairing on (H 1 / 2 (F C ))' x H 1 / 2 (F r ). For the constraint "div u = 0 in L2((l)", we

176 CHAPTER 7

with its dual, and for the contact constraint " ^ g in H 1/2(FC)" we introduce

multipliers ere (//1/2(FC))'. Physically, p represents the hydrostatic pressure in

the material (i.e., the hydrostatic part of the stress tensor) and cr represents

the contact pressure.

With these conventions in force, and with the saddle point theory discussed

in 3.4 in mind, we pose the following "mixed" boundary value problem

for Signorini problems for incompressible materials:

We easily verify that problem (7.14) is equivalent to the following saddle point

problem:

where

sufficient to guarantee the existence of a unique solution to problem (7.16)

hold for fixed (q,r): the function v-L(v, q, r) is convex, G-differentiate,

and coercive; for fixed v, (q, T) -> L(v, q, r] is concave (linear) and continuous.

To show coercivity of (q, r)- L(\, q, T), we must generally show that

SIGNORINI'S PROBLEM FOR INCOMPRESSIBLE MATERIALS 177

condition of Lemma 3.2 holds. In the present case, this condition assumes the

following form:

and B*:Q'x(H 1 / 2 (r c ))'-*' its transpose:

that, therefore, B has closed range in U and, in fact, is surjective.

THEOREM 7.2. Let fl be an open bounded Lipschitzian domain in R N with a

boundary T consisting of three mutually disjoint open manifolds YD, Fc and F F

such that r = r D U r c U r F , r D n r c = 0, mesr D >0, and mesr F >0. Let

(7.4) hold. Then there exist positive numbers a and ft such that the Babuska-Brezzi

condition (7.19) holds.

Proof. A detailed proof of this theorem was given by Oden, Kikuchi and

Song [1] which made direct use of the results of Temam [1, Chap. 1] on the

Navier-Stokes equations. This proof is lengthy and technical and requires the

proof of several auxiliary results. The reader is referred to these sources for

complete details.

For simplicity and clarity, and also for more completeness of this exposition,

we shall provide a simple constructive proof for the case of a two-dimensional

^2>1-domain due to Babuska and Aziz [1, p. 172]. We begin by considering

an auxiliary problem. In particular, we shall first show that for every q e L2((l)

and re (H 1 / 2 (r c ))' there exists a displacement field ueH 1 ^) such that

a constant C > 0 exists such that

Our proof requires five steps; four to prove (7.20) and (7.21) and a final simple

manipulation to complete the proof.

178 CHAPTER 7

Agmon, Douglis and Nirenberg [1]): for given qe L2(fl) and O satisfying the

conditions stated, there exits a unique $, e H2(l) such that

2) Next, we choose an / //1/2(O such that

and

This choice o f / is possible because d<j>Jdn e Hl/2(T) and mesF F >0. Then

a regular solution $2 e H2(Cl) exists to the Neumann problem

with

3) Let ^ satisfy

and

where d/Br means the tangential derivative along F. Since $t and </>2 are in

H2(O), d^/dr and <9A/an are in H1/2(r). We recall the fact that for a given

fe Hl/2(T) there exists a (biharmonic) function ^e //2(H) such that

SIGNORINI'S PROBLEM FOR INCOMPRESSIBLE MATERIALS 179

and

and

4) We next set

5) Finally, with (7.20) and (7.21) now established, we note that for arbitrary

q Q, r(// 1 / 2 (r c ))', and u given by (7.20),

We now can establish immediately the following existence theorem using

Theorem 3.14.

THEOREM 7.3. Let the conditions of Theorems 7.1 and 7.2 hold. Then there

exists a unique triple (H, p, cr) e V x Q x Nsatisfying (7.14). Moreover, (u,p, a)

is the saddle point of the functional L of (7.17).

A penalty formulation. Another popular formulation for incompressible

materials is obtained by the (exterior) penalty method which has very close

relation to the Lagrange multiplier formulation. Since we have already studied

the penalty method for the unilateral contact problem in 6.5, we shall briefl

describe the penalty formulation to resolve the incompressibility constraint

div u = 0. Applying the theory described in 3.5, we define the Lagrangian

180 CHAPTER 7

the shear modulus of the body. Then the variational inequality (7.5) is approxi-

mated by the saddle point problem

If we put

Recall that Q = L 2 (H) = Q'. We shall also denote by Wthe space (/T1/2(rc))'.

Since the Babuska-Brezzi condition (7.19) holds, the developments in 3.4

lead to the following conclusions:

THEOREM 7.4. Suppose that the conditions of Theorems 7.1 and 7.2 hold. Then:

(i) There exists a unique solution (e, cr e )e Vx N to (7.26) for every fixed

positive number e0.

(ii) The sequence {(ue, pe, cre)} e V x Q x N converges strongly in V x Q x W

to the solution (u,p,cr)eVxQxN of the saddle point problem (7.14), or

equivalently (7.16), as the penalty parameter e0 tends to zero.

The penalty method can be applied to both constraints divu = 0 and

- g < 0 by using as a penalized functional,

SIGNORINI'S PROBLEM FOR INCOMPRESSIBLE MATERIALS 181

for two penalty parameters e = e 0 //A and 5 = 50/V> eo>0, 5 0 >0. Then the

constrained minimization problem (7.10) is approximated by the unconstrained

minimization problem,

The Babuska-Brezzi condition described earlier holds under the stated condi-

tions. Thus, we can conclude that the solution U F of the penalty approximation

converges strongly to the exact solution u e K as e0- 0 and S0- 0. Furthermore,

the functions

(7.14) in the appropriate norms as e 0 H0 and <50->0.

THEOREM 7.5. Suppose that the conditions of Theorems 7.1 and 7.2 hold.

Then:

(i) There exists a unique solution u E e V to the penalty formulation (7.29)

and equivalently, to (7.30).

(ii) The sequence {(u e ,p E , <r e )} constructed by (7.29) and (7.31) converges

strongly in V x Q x W to the solution (u, p, a) e V x Q x N of the mixed formula-

tion (7.14) as eo^O and 5 0 -0.

7.3. Mixed finite element approximations. A mixed finite element

approximation of the Signorini problem for incompressible materials is

obtainec) by formulating problem (7.14) on appropriate finite dimensional

subspaces of V and Q and on approximations of the set N constructed using

finite element methods. We shall now consider a class of conforming mixed

methods constructed using finite dimensional spaces

182 CHAPTER 7

for all qh e Qh and all \h e Vh, wherein 2 is the interior of F - FD and vhn = vh n.

In (7.34) and throughout this section, it is assumed that Cl coincides with its

finite element approximation lh for all h.

Since Qh is constructed using conforming finite elements, the traces (or

restrictions) of functions in Qh on the boundary Fh = F are in // 1/2 (F C ). In

the present study, we shall demand that the approximation Nh of the set N

be such that

we introduce formally as a mixed finite element approximation of (7.14) the

following discrete problem:

Most of the key properties of the "continuous problem" (7.14) are preserved

on subspaces Vh and Qh with one major exception: the discrete spaces must

be such that a form of the Babuska-Brezzi condition (7.19) holds. For approxi-

mate methods of the type (7.36), this condition assume a form completely

analogous to (7.19):

There exist positive numbers ah and (3h such that

condition between the finite dimensional sets Qh and Nh and the finite

dimensional space Vh which provides for the solvability of the discrete

equations of each fixed mesh. For the discrete problem, other forms of this

condition can be imposed, these being obtained by strengthening or weakening

the topology on the spaces V and Q (e.g., replacing the L 2 -norm of qh in

(2.37) by the //'-norm or the //"'-norm and appropriately changing the norm

on v h ). We give an alternate form of this condition below.

Our primary objective at this point is to estimate the error inherent in the

approximation (7.36). It is possible to obtain an error estimate for such a

mixed method (7.36) of Brezzi [1], Brezzi, Hager and Raviart [1], and others.

However, it is known that such direct methods are usually inadequate for this

SIGNORINI'S PROBLEM FOR INCOMPRESSIBLE MATERIALS 183

optimal order in h and, what is worse, condition (7.37) may hold only for

parameters ah and fth which depend strongly on the mesh size h, a property

which generally signals poor behavior (and instability) of the method. For a

more restricted class of problems (specifically, the Stokes problem in two

dimensions) Bercovier and Pironneau [1] have shown that optimal rates of

convergence for mixed methods of the general type considered here can be

obtained by replacing (7.37) by an alternative discrete Babuska-Brezzi condi-

tion in which the norm (topology) on qh is lifted while that on v,, is lowered

in the manner mentioned earlier. Our next theorem makes use of a similar

device and extends the results of Bercovier and Pironneau [1] to Signorini

problems for incompressible materials:

THEOREM 7.6. Let (u, p, <r)e Vx Qx N be a solution of (7.14) and

(uh,ph, ah)eV^hxQhxNhbea solution of (7.36). Let p e H'(O) and let positive

numbers ah, f$h, and yh exist such that the following discrete Babuska-Brezzi

condition holds:

where

184 CHAPTER 7

1) Setting \ = VH in (7.14), and subtracting (7.36),, we obtain

Thus, replacing v/, by v,, -uh and rearranging terms, we have, for any \h in V/,,

where we have used the fact that (-p,d\vuh) = (p-qh,div (u-uh)) for any

qh Qh. Likewise, (7.14)3 and (7.36)3 can be used to obtain the inequality

In (7.46) and (7.47), of course, v h , qh, and rh are arbitrary elements of V/,,

Qh, and Nht respectively.

2) Using (7.9), (7.45), (7.46), (7.47), and the Schwarz inequality, we have

for T N,

(qh-ph,di\vh) + [Th-o-h, vhn] = (qh-p,divvh) + [Th-o; vhn] + a(u-uh,vh)

for arbitrary (vft, qh, rh) e. \h x Qh x Nh. It follows from this result and assump-

tion (7.38) that

SIGNORINI'S PROBLEM FOR INCOMPRESSIBLE MATERIALS 185

inequality a2+ 6 2 < (a + b)2 for a, b e R + , we can arrive at the estimate (7.39).

Estimates (7.40), (7.41), and (7.42) then follow from (7.49) and the triangle

inequality

We noted that the terms \\p-qt, ||o,r> arjd \\p~qt, ||o,i> appear in the estimate

(7.39), since the integration-by-parts formula (7.46) has been used in the

Babuska-Brezzi condition (7.38).

For a concrete application of these estimates, suppose that we consider

regular families of finite element approximations of the spaces V and Q and

the set N which are of the form

of order less than or equal to k, and Sc is the set of all nodal points on the

manifold f c . Applying the interpolation theory of 4.1 and the result of Falk

[1, Thm. 4.3], the following asymptotic estimates can be obtained:

s<k, and we have used the convention that

the form

for a 0 , /30, Jo, 5, A e R. Then the following a priori error estimates for mixed

finite element approximations can be obtained immediately from Theorem 7.6.

THEOREM 7.7. Let the conditions of Theorem 7.6 hold and suppose that

186 CHAPTER 7

In addition, let (7.51)-(7.55) hold. Then there exist positive constants C,,

/ = 1, , 10, independent of the mesh size h, such that

for every r e N.

Arguments similar to those used in the proof of Theorem 4.7 yield an estimate

of llp-Pfc||o+lk-Oj,||*/2.r c -

THEOREM 7.8. Under the same conditions in Theorems 7.3 and 7.4, we have

for proper positive constants Cn, C12, and C13 independent ofh.

Proof. Applying the surjectivity of the constraint operator B defined by

such that the Babuska-Brezzi condition (7.19) holds, it follows from (7.44) that

An examination of the estimates (7.56) and (7.57) reveals that the behavior

of the "stability parameters" ah, /3h, and yh as functions of h represents a

SIGNORINI'S PROBLEM FOR INCOMPRESSIBLE MATERIALS 187

critical factor in the accuracy and stability of such mixed finite element

methods. Indeed, these results show that it is desirable to choose, if possible,

finite element approximations which yield a/,, (3h, and yh independent of h

(e.g., 6 = A = 0 in (7.44)). In the next section, we shall focus on this particular

aspect of our theory for a representative class of two-dimensional mixed finite

element methods.

Remark 7.3.1. The finite element approximations described above are based

upon the assumption that all \h, qh, and rh are continuous in fl and F c , and,

that "conforming elements" are used for all approximations. Now, if we

introduce a nonconforming approximation to the hydrostatic pressure qh,

identity (7.34) is clearly not applicable nor is the alternative Babuska-Brezzi

condition (7.38). In such cases, we can still obtain error estimates, but these

are obtained using orginal form (7.17) of the Babuska-Brezzi condition.

If (7.37) is employed, we can derive the following estimates using a proof

similar to that of Theorem 7.6: for v,, e \h, qh^Qh, and rh e Nh,

holds, the finite element approximation (7.50) exhibits the following asymptotic

rates of convergence:

for some positive constants C,, C2, and C3 independent of the mesh size h.

An advantage of the nonconforming approximation of the pressure can be

realized when a perturbed Lagrangian formulation to (7.36) is considered.

188 CHAPTER 7

pressure, (7.36) is modified by

element Cle independent of the value of the pressure peh in other elements.

Then peh satisfying the second equation can be substituted into the first. The

resulting equations have only two unknowns, ueh and aeh. The corresponding

global stiffness matrix then has a form very similar to finite element approxi-

ation obtained by the penalty formulation (7.26). As shown in Oden and

Kikuchi [4] and Oden, Kikuchi and Song [1], this approach has become very

popular, and is referred to as a "selective reduced integration" owing to its

equivalence to an underintegrated penalty method. Further details can be

found in the volume edited by Reddy [1]; see, in particular, the papers of

Oden [6] and Oden and Jacquotte [1], [2].

element method of the type analyzed in the previous section, we now consider

a class of two-dimensional problems for which <?2-elements (C 9-node

biquadratic quadrilaterals) are used for the space V,, of displacement approxi-

mations and Ql-elements (C 4-node bilinear quadrilaterals) are used for the

space Qh of approximations of the hydrostatic pressures. To approximate the

contact pressures rh, we use conforming PI-elements (C 2-node piece wise

linear line elements).

Our principal objective here is to demonstrate an analysis of the stability

condition (7.38) for these choices; i.e. we wish to determine if stability para-

meters ah, fih, and yh exist in this case such that (7.38) holds and, if so, how

these parameters depend upon the mesh size h. For this purpose, it suffices

to consider problems set on geometrically simple domains. Hence, we shall

assume that (1 is rectangular, as indicated in Fig. 7.1, and that a uniform mesh

of rectangular elements is used. The boundary segments IV, Fc, and FD for

this model problem are indicated in the figure. For these choices of domains

and spaces, we may formally set

SIGNORINI'S PROBLEM FOR INCOMPRESSIBLE MATERIALS 189

We shall study condition (7.38) in three steps, one for each of the three

parameters and each covered by an independent lemma. To do this, suppose

that the rectangular domain O shown in Fig. 7.1 is divided into a uniform

mesh of squares, and that the coordinates transformation between an element

H e and the master square element is given by

for -!<<!, -1<17<1, h is the size of element O e , and (xe, ye) is the

centroid of fl e . The coordinate system (x, y) is used for each element, and

(17) is used for the master element. Then the integrations of a continuous

function / over fl c or the master square are related by

where /(, 17) is the value of the function / at the point (x, y) corresponding

to the above coordinates transformation.

190 CHAPTER 7

LEMMA 7.1. Let Vh and Qh be defined by (7.62) for a uniform mesh of square

elements covering the domain O shown in Fig. 7.1. Let

where M is the set of all nodal points located at corners of elements on the

boundary of the domain. Then there exists a positive constant a0) independent

ofh, such that

Proof. 1) Our proof makes use of the fact that Simpson's rule for numerical

integration will integrate the inner product (Vqh, \h) exactly for our particular

choices of elements. Let /[ ] denote the quadrature formula corresponding

to Simpson's rule in both the x and y directions within an element such that

where {w,} and {(, 17,)} are weights and the integration points in the master

element. Then, for every qh e Qh and vh VM, integration by parts yields

that is,

7.2. Let the labels by n and m indicate points spaced along the x and y

directions, respectively, and let

SIGNORINI'S PROBLEM FOR INCOMPRESSIBLE MATERIALS 191

where v h = uhi+ vh\ in Oe, and u'h - u h (,, rjj), etc. Then

Since qh is conforming, we have

192 CHAPTER 7

for proper constants qit Q<i<3. Since Simpson's rule can integrate quadratic

polynomials exactly, we can conclude that

we thus have

It now follows from the inverse inequality that, for some constant C > 0,

The proof given in the above lemma essentially follow^ the work by Bercovier

and Pironneau [1, Prop. 1] in which other choices of finite elements for Vh

and Qh are also discussed as well as our choice of (7.62).

Remark 7.4.1. According to Bercovier and Pironneau [1], the combinations

shown in Fig. 7.3 satisfy the alternative Babuska-Brezzi condition (7.64), that

is:

The displacement \h and the pressure qh are approximated by quadratic

and linear polynomials in an element, respectively (Fig. 7.3(a)).

A composite element consisting of four 4-node elements for the displace-

ment v,,, and \h is approximated by a bilinear polynomial in each 4-node

element. The pressure qh is then approximated by a bilinear polynomial in

the composite element (Fig. 7.3(b)).

An element consisting of four 3-node elements for the displacement v,,,

and vh is approximated by a linear polynomial in each 3-node element. The

SIGNORINI'S PROBLEM FOR INCOMPRESSIBLE MATERIALS 193

FIG. 7.3. Conforming finite elements for displacement and pressure. From M. Bercovier and O.

Pironneau [1], Numerische Mathematik. Copyright 1979 Springer-Verlag.

(Fig. 7.3(c)).

Remark 7.4.2. If nonconforming elements are used to approximate the

pressure qh, the identity (7.34) is not applicable. Then (7.38) is not applicable.

In this case, we again derive error estimates based upon the original Babuska-

Brezzi condition (7.37), as discussed in Remark 7.3.1. Figure 7.4 shows the

combination of \h and qh which satisfies the Babuska-Brezzi condition (7.37)

for a positive constant ah independent of the mesh parameter h.

LEMMA 7.2. Let the conditions of Lemma 7.1 hold and let rh be given on a

part 2 of the boundary T. Then there exists a positive constant (3>0 such that

where

194 CHAPTER 7

then

Noting that

we have

so that, upon applying the inverse property of such finite element approxima-

tions, we have, for vhn & 0,

SIGNORINI'S PROBLEM FOR INCOMPRESSIBLE MATERIALS 195

of the same degree as vhn on the boundary Fc, Simpson's rule need not be

used in the proof of inequality (7.68). In this case, the choice vhn = rh on each

boundary segment of Fc is possible, and then (7.68) easily follows from a

proof similar to that of Lemma 7.3. Thus, it is not difficult to prove that the

elements shown in Fig. 7.5 satisfy the discrete Babuska-Brezzi condition (7.68).

Now it is an easy matter to derive the stability condition (7.38) by a direct

application of Lemmas 7.2 and 7.3.

THEOREM 7.9. Let \h, Qh, and Nh be defined by (7.62) for a uniform mesh

of rectangular finite elements covering the domain O shown in Fig. 7.1. Then

there exist positive constants a 0 , /30, and y0 such that

FIG. 7.5. Conforming finite elements for displacements and contact pressures.

196 CHAPTER 7

where

respectively. Then

Applying Lemmas 7.1 and 7.2 and (7.24) to each term of the above inequality

yields (7.70) or equivalently (7.71). D

Since rh is approximated by a piecewise linear polynomial, crh belongs to

N as well as Nh. Then it is possible to take

in the estimate (7.56), for the above choice of finite elements. Putting k = 2 in

Theorems 7.7 and 7.8, we can obtain the following error estimates of the finite

element approximation.

COROLLARY 7.9.1. Under the same conditions in Theorems 7.3, 7.8, and 7.9

with k = 2,

and

IIP ~ <7/i ||o,rF and \\p-qn ||o,rc have to be estimated in order to use the alternate

SIGNORINI'S PROBLEM FOR INCOMPRESSIBLE MATERIALS 197

polynomial, at best we have

can derive a bound of C7i3/2 for p e H 2 (O). This feature yields the fractional

powers 7/4 and 3/4 in (7.72).

It is also clear that the contact pressure a can be interpolated by a continuous

piecewise quadratic polynomial, i.e., in general,

(see (7.40)). In this case, Nh could be constructed by the trace of \h; Lemma

7.3 also holds. Thus, all the results in Corollary 7.9.1 are valid. Because of the

regularity of p, we cannot expect improvement of the rate of convergence. If

we drop the incompressibility condition from the definition of the constraint

set, and if only the unilateral contact condition is treated by mixed finite

element methods, deleting all terms related to the pressure p in the above

derivation leads to the bounds,

7.5. Solution methods for the mixed finite element formulation. Using the

notation of 6.4 and 6.5, we shall briefly discuss solution methods of the

mixed finite element approximation (7.36). Defining global shape functions

{</a(x)|, {^(x)}, and {rfa(\)} for the displacement, the hydrostatic pressure,

and the contact pressure, respectively, we have

Approximating \h, qh, and rh similarly, (7.36) reduces to the discrete system

198 CHAPTER 7

where

approximation (7.36) yields the discrete nonlinear problem (7.77)-(7.79).

One possible method for the numerical solution of (7.79) is Uzawa's method

described in Chapter 6. This method is based upon the equivalent algebraic

relations

(i: no summation),

I (i: no summation).

Applying these to (7.77)-(7.79) we obtain

for any p", pa, and p a >0. Here summation is not taken on a and i. The

operator "min" indicates the minimum value. If cra < 0, then (7.79) yields

since r a = cra efa ^ 0 for sufficiently small e > 0 and for every fa. Since

cra < 0 is required, we have to restrict ara to be nonpositive. This yields the

operator "min." The following iterative method is suggested by the structure

of (7.81): for adequately chosen numbers pf, p", pa > 0, and initial approxima-

tions u", pa, and V", compute

SIGNORINI'S PROBLEM FOR INCOMPRESSIBLE MATERIALS 199

is expected to be rapidly convergent.

Another method is constructed by introducing the "slack variable"

which implies

Suppose that s a <0 is given. Then (7.77), (7.78) and (7.79) yield the system

of linear equations

Solving this for a given sa, we obtain u", pa, and cra. Then we check o-a,

a = 1, , K: If cra <0, then aa satisfies the constraint, and sa = 0 must be

set at the next iteration. If cra > 0, then the constraint is violated. Thus we

reset sa using (7.77) at the next iteration. Using the new approximation of the

slack function sa, we solve the system of linear equations (7.85), and obtain

M?, p", and aa. This process is continued until a desired accuracy is attained.

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Chapter O

for Signorini's Problem

principles for Signorini's problem in elasticity, following the development of

the primal variational principle described in Chapter 6. These include dual

principles, in which a complementary energy formulation is used, mixed

principles of the Reissner type, and what we refer to as a reciprocal variational

principle in which the problem is formulated in terms of a surface (boundary)

integral on the contact surface Fc.

Again, these principles are given as existence theorems for several distinct

variational inequalities corresponding to different but equivalent formulations

of Signorini's problem. Each provides a basis for quite different interpretations

of solutions and for different finite element approximations.

principle which generalizes the well-known principle of complementary energy

for problems in linear elasticity so as to include contact constraints. Similar

dual principles for the Signorini problem were studied by, e.g., Valent [1].

As in 6.2, let us assume that the domain O be of class c1'1 so that the unit

vector n normal to the boundary F of the domain Cl is a Lipschitz function.

Suppose that Y consists of mutually disjoint open manifolds, Fc, FD, FF, and

F N such that

The boundary Fc includes the true contact surface of the body fl which is

fixed along F D . Surface tractions t will be applied on FF, and F N is a free

surface (i.e., F N can be regarded as part of F F whereon t = 0).

201

202 CHAPTER 8

and

Here the given data {f, t} are assumed to belong to L2(H) x (H1/2(rF))', and

the space 3~ is defined by (5.66):

Operators IT, TTT, and irn are the trace operators for stress given in Theorems

5.10 and 5.11, and their existence is assured by the condition TG^". Recall

that if T6C(a), then

K* means that

Next, we consider the inverse of the constitutive law <ry = EijMeM. When

conditions (5.5) hold, the fourth-order tensor E = [Eijkl] is invertible a.e. on fi

and we denote its inverse by C = [Cyw]. Then strain is related to stress by

Next, let u denote the solution of the Signorini problem (6.27) and denote

ALTERNATE VARIATIONAL PRINCIPLES 203

i.e., o-j, is the actual stress field corresponding to u. Then, for any T e K* fl CXH),

we have

Since the displacement field u is the solution of our problem, u|ro = 0, and since

We refer to (8.7) as the dual variational principle for the Signorini problem

(2.38). We will now describe a more precise formulation of (8.7).

Letge// 1 / 2 (r c ), and let

where <</, ^>r c =Jr c <fcM* for <f>eL2(Yc) and />e H 1/2 (F C ). Clearly, (8.9)

can also be described in terms of the constrained minimization problem,

where

for every a, TG ST. The equivalence of (8.9) and (8.10) follows from Theorems

3.4 and 3.7(i).

204 CHAPTER 8

of solutions are given in the next result.

LEMMA 8.1. For each (f, t)eL 2 (a)xH~ 1/2 (r) such that

for every FE R2, R2 being the space of rigid motions (recall (6.13)), there exists

a T 6 3~ such that

u6H ! (ft)/K 2 such that

for every veHl(l)/R2. Here u and v are cosets modulo R2 with respect to

representative elements u and v, respectively, and eij(u) = 2(uij + ujii). Set r,-, =

e 0 (u)e L 2 (ft). Taking v = <|>, <|>e 0(ft) in (8.15), we conclude that

in the sense of distributions on ft. Since ft e L 2 (ft), TI:/J e L 2 (ft), i.e., T e &. By

the generalized Green's formula (5.73),

LEMMA 8.2. Let fte^0'1. If mes(r D )>0, then K* is nonempty for any

(f,t)eL 2 (ft)x(H 1/2 (r F ))'. Alternatively, let fte^1'1 and suppose that

mes(r D ) = 0. Then K* is nonempty, if (f, t)eL 2 (ft)x(H 1 / 2 (r F ))' satisfies

Proof. For the case that mes(r D )>0, a functional t D e (H 1/2 (r D ))' can

always be chosen so that

Lemma 8.1.

For the case that mes (F D ) = 0, we cannot use the above construction. From

(8.16) and the fact that fte^1'1, there exists (t c ) n e(// 1/2 (r c ))' such that

ALTERNATE VARIATIONAL PRINCIPLES 205

(t c ) n <Oin(H 1 / 2 (r c ))'and

Lemma 8.1 implies the nonemptiness of K*. D

We easily verify that K* is closed and convex. By the above lemma, the set

K* is nonempty if either mes(r D )>0 or if mes(r D ) = 0, (8.16) holds, and

He < # M . Strict convexity and G-differentiability of F* on K* also follow from

(8.6). Thus, we have

THEOREM 8.1. Let fte^1-1. // mes(r D ) = 0, let (f, t)L 2 (O)xH~ 1 / 2 (r F )

satisfy

for every r e K 2 such that yLOO^O in Hl/2(Tc). Further, suppose that (8.6)

holds. Then there exists a unique solution cr e K* to the variational inequality

(8.9) and cr is also the unique minimizer of F* in K*.

Proof. In view of the results already established, it suffices to show that the

functional F* defined by (8.11) is coercive on K*. From (8.11) and (8.6), for

any reK*,

\\t\\r -*+00 if and only if \\v\\y -> +00 where & - {T{J e L 2 (O) | r(> = T,,, 1 < ij < N}

is a Hilbert space, see (5.66). Then

exists a solution a e K* to the dual formulation (8.9) of Signorini's problem

(2.38). The constraint

section, we relax this constraint by using penalty methods of the type discussed

in 3.5.

Let

206 CHAPTER 8

and let

for T e 3~. It is easily verified that the functional T -* P(T) is convex and

G-differentiate on 3~. Indeed,

and

the functional P defined by (8.21) is a penalty functional for the set K*.

Following the general theory of penalty methods ( 3.5) a penalty formula-

tion of the constrained problem (8.10) can be defined by the minimization

problem

where

THEOREM 8.2. Under the conditions stated in Theorem 8.1, there exists a

unique solution tre e K* to the dual penalty problem (8.25), or equivalently (8.27).

Moreover, \\<re\\g- is uniformly bounded in e if 0 < e < 1.

Proof. The existence of a solution ore e K* follows from arguments similar

to those in Theorem 8.1. We need only prove the uniform boundedness of

ALTERNATE VARIATIONAL PRINCIPLES 207

fore<l.

Because of the uniform boundedness of {||cFe||^} in e, we can extract a

convergent subsequence from {0%}, the weak limit of which is a solution of

the original constrained problem (8.9) or (8.10):

THEOREM 8.3. Under the same conditions as in Theorem 8.1, the sequence

{cre} converges to oreK* which satisfies the variational inequality

as e -> 0.

Proof. From the variational inequality (8.27), we have for reK*,

{crj. Since the functional T-> a*(i, T) is weakly lower semicontinuous, passing

to the limit as e ^ O in (8.29) yields

We next show that the limit o-e Kj belongs to K*. For every re K*, (8.27)

implies

i.e.,

Because of uniqueness of the solution to the variational inequality (8.28),

the limit of all convergent subsequences of {crE} is unique. This implies the

original {CTE} must converge to the limit

8.4. A mixed variational formulation. We next consider a "mixed"

variational formulation in which both displacements and stresses are treated

as unknown.

208 CHAPTER 8

Suppose that (u, cr) is the classical solution of the Signorini problem (2.31):

for symmetric matrices or = [cr,y] and e = [e0], and let Cijkl and EiJU satisfy (8.6)

and (5.5). Then for every (v,T)eC 1 (ft)xL 2 (H) such that v = 0 on TD, vn<g

on Tc, and Tfj = rjl5 we have

and

and let

for

We now recall the admissible set K of (6.1) for Signorini's problem discussed

in 6.2, and the space tf for stresses on the body:

and

ALTERNATE VARIATIONAL PRINCIPLES 209

where

Using the above notation, (8.32) and (8.33) can be rewritten in the form

Alternatively, if we define

i.e., ((d/du)L(cr, u))(v) can be identified with the duality pairing on (H'({l))'x

H'(ft),

210 CHAPTER 8

Then ((d/da)L(a, U))(T) can be identified with the duality pairing on S^'x5^

according to

The first inequality in (8.43) implies (8.32) and the second inequality implies

(8.33). In fact, from the first inequality in (8.43), we obtain

and using (8.44), we obtain

for every weK, which is precisely (8.32), i.e., (8.41 ) 2 . Similarly, from the

second inequality in (8.43),

the limit 0 - 0 gives

of the functional L of (8.42) under the assumptions stated above.

From (8.6),

Applying Korn's inequality (6.17) for the case that mesr D >0, we have

ALTERNATE VARIATIONAL PRINCIPLES 211

Thus,

directly applicable.

Having established these results, the following theorem for the existence of

a saddle point (cr, u) e y x K follows immediately from Theorem 3.14.

THEOREM 8.4. Let fls < # 1>1 and let (5.5), (8.6), and (8.36) hold. Suppose that

mes FD > 0. Then there exists a unique solution (or, u) e tf x K to the saddle point

problem (8.43). Moreover, (or, u ) e 5 ^ x K is also a solution of the variational

problem (8.41).

We remark that the interpretation of the solution (or, u) of (8.41) as a weak

solution of the Signorini problem (2.31) parallels that discussed in detail in

6.3.

8.5. Finite element approximations of the dual problem. Let V/,, K/,, and Sh

be finite element approximations of V, K, and y, respectively, such that K/, is

a closed convex subset of \h. Suppose that there exists a positive number

ah > 0 satisfying

Further, let us suppose for simplicity that the domain O of the problem is

exactly covered by finite elements. Then, with these conventions in force, we

introduce the following finite element approximation of (8.41):

Find (<rh,uh)ShxKh:

where

LEMMA 8.3. Let (a, u) and (vh,uh) be solutions to problems (8.41) and

(8.51), respectively. Then the following estimate holds for every The^T\Sh,

212 CHAPTER 8

v^eK,,, and v e K :

Applying (8.54),

construct the following estimates.

THEOREM 8.5. Let (a,u) and ((rhtuh) be solutions of (8.41) and (8.51),

respectively and let cr^L2(F), i = 1, , N. Suppose that Sh^y and that

(8.50) holds. Then there exist positive constants Ci andQ, independent of (cr, u)

and (cr/,,11,,), such that

and

ALTERNATE VARIATIONAL PRINCIPLES 213

Because of feL 2 (il), Green's formula (5.73) implies

Then

2) Applying (8.50),

After substituting (8.60) into the inequality (8.61) and applying Young's

inequality, we obtain the estimate (8.56). Here we have used the fact that

Va + b < \Ta + \fb for ct>0, b>0. Then (8.57) is easily concluded from

(8.60). D

Let us now introduce interpolation properties of finite element approxima-

tions, following 4.1. Let

and

214 CHAPTER 8

where ^ fc (n e ) is the space of all polynomials, the order of the complete part

df which is equal to k defined on fl e c fl, e = 1, , E, and 2C is the set of

all nodal points on the boundary Fc. It is clear that Sh c y. Making use of

the interpolation properties listed in 4.1, we see that interpolants v 7 \h and

j'eSa of veH k + 1 (n) and TeH k (ft), respectively, can be found such that

THEOREM 8.6. Letk^l, and let fie <#0>1. Let (a, u) and (a/,, u/,) be solutions

o/(8.41) and (8.51), respectively, and let the interpolation properties (8.65) hold

for \h and Sh. Further, suppose that Kh is defined by (8.64) and that

where ah is the positive number appearing in the stability condition (8.50) and

h is the mesh parameter. If areH k (n) and uH f c + 1 (ft), then numbers C,,

i = 1, , 4, exist, independent ofh, such that

and

Proof. It suffices to note that neL(r) since fte < tf fl . Estimates (8.67) and

(8.68) then follow from (8.56), (8.57), (8.65), and (8.66).

We have obtained error estimates for the finite element approximation (8.51)

in terms of parameters k and 8. We now consider particular choices of finite

elements for Vh and Sh, and obtain 8 for each case.

Examples. Let flc R 2 be divided into triangular elements, and let k = 1; that

is, the components of vh are linear polynomials and th is a constant function

on each finite element fl e . Then

Taking

ALTERNATE VARIATIONAL PRINCIPLES 215

On the other hand K,, c K since k - 1. Then taking vn = uhn in (8.67) yields

Therefore

Similar arguments can be applied for the choice of k = 2 with triangular

elements. That is, if \h is approximated by a conforming piecewise quadratic

polynomial, and if rh is interpolated by a nonconforming piecewise linear

polynomial, then

Zienkiewicz [1, p. 201]). Taking TMj = eij(vh) at the integration points reveals

the existence of ah = C > 0 such that

special variational formulation which differs considerably from those discussed

216 CHAPTER 8

the elasticity operator appearing in standard variational statements of equili-

brium problems in linear elasticity. This particular formulation is characterized

by a variational inequality involving integrals on only the candidate contact

boundary Fc in which the true contact area is contained.

To fix ideas, it is convenient to first investigate certain aspects of the

unconstrained problem, i.e., the principle of minimum potential energy for a

body without the complications of contact conditions. For this purpose, we

assume that (5.5) holds, mes (r D )>0, and H <#0>1. Then Korn's inequalities

of Lemma 6.1, the results of 6.2, and Theorem 3.4 guarantee the existence

of a unique solution u e V of the problem

for

used to define a linear operator A:V- V bysetting

which is the gradient of the strain energy functional \a(\, v). In view of (8.72),

the operator A is linear, continuous, and V-elliptic;

ALTERNATE VARIATIONAL PRINCIPLES 217

G = A"1: V'- V. Indeed, if f and g are arbitrary elements of V, then

Returning to (8.76) and (8.77), we observe that since (8.76) can be written

in the abstract form

Sobolev's imbedding theorem (1.27) and the trace theorems in 5.2. Let a

functional /e V be defined by,

ve H'(n) and if N = 2, Sobolev's imbedding theorem and the trace theorems

imply that

Thus, whenever

(8.75) can be replaced by (8.85).

Note that if JV = 2, then H'(n) C(ft) by (1.27). This means that if a, is

a given point in the domain O, then the form

inside the domain cannot be considered in our variational arguments on H'(fl)

for N = 2.

218 CHAPTER 8

Let us now return to the Signorini problem. In the present study, the

kinematical restriction on possible deformations is given by

instead of

If g(0) = 0, i.e., if the gap function takes on a zero value at the origin, the

new constraint physically represents the situation in which the rigid support

(more precisely, a rigid body or punch) is indented into the body and its initial

depth of penetration is specified as a. If the shape of the rigid punch is

arbitrary, the contact surface and pressure are unknown a priori, even though

the depth a of indentation of the rigid punch is given. Thus, Signorini's

problems include a class of rigid punch problems if the constraint is defined

within some given constant a.

Now the stress condition for the Signorini problem is given by

where crn is the normal stress on the boundary F. Combining the kinematical

and stress contact conditions, we have

of the contact condition (8.87), that is, (8.87) is equivalently written

on rc, when crn and un are defined pointwise on the boundary Fc.

We now focus on the reciprocal structure of the contact condition (8.87), i.e.,

pressure) an, say un = ^(a-n), (8.89) assumes the standard form common to

variational inequalities. We will now develop a variational formulation

embodying such a "reciprocal" contact condition using the inverse operator

G described above.

Suppose that the generalized force /e V consists of three components: the

body force feL 2 (H), the boundary traction te (H 1/2 (r F ))', and the contact

pressure which is unknown a priori. From this point onward,

we will denote by p the contact pressure which equals o~n on Fc. Since the

ALTERNATE VARIATIONAL PRINCIPLES 219

generalized force / can be decomposed as follows:

Here, ueH^ft) if feL 2 (H), t (H 1/2 (r F ))', and pe (f/ 1/2 (r c ))'. Then, if

fie ( # u , the normal trace of u, i.e.,

where

inequality

where

and

Here ( - , -)r c is the duality pairing on (H 1 / 2 (r c ))'x J/ 1/2 (r c ), and the partial

order "^s" follows from (3.19), in 3.1. We refer to (8.95) as a reciprocal

variational inequality.

Since G is positive definite on V, the variational inequality (8.95) is

equivalent to the following constrained minimization on KR:

where

differentiable, and coercive on KR. It is also clear that the set KR is a closed

convex and nonempty subset of (H 1/2 (F C ))'. Thus, we have

220 CHAPTER 8

THEOREM 8.7. Let mes(r D )>0 and let fte c1>1. Suppose that (5.5) holds.

Suppose that G is the inverse of the operator A defined by (8.77).

Then there exists a unique solution pe KR to the problem (8.95), i.e.,

One of the advantages of the formulation is that the problem itself is reduced

to one involving functions defined only on the contact surface Tc. It is then

often possible to approximate the system using considerably fewer unknowns

than with the formulations derived previously. Moreover, the inverse operator

G does not depend upon the applied force (f, t) and the gap function g between

the elastic body and the rigid foundation. This property can be used to

advantage in designing economical solution methods for cases in which a large

number of loading conditions and initial gap functions need to be considered.

Remark 8.6.1. It is necessary to distinguish between the operator A: V- V

defined by (8.77) and the operator s&:\-*\' defined by

formally given by

in the sense of distributions on ft. The operator si then is called the formal

operator determined by the duality pairing (A(u), v) of (8.77).

Let us define the set

which defines the difference between A(u) and jtf(u). Here ( , )o denotes the

inner product on L 2 (ft). Roughly speaking, the difference < represents the

boundary conditions which are imbedded in the definition of the functional

A(u). In Theorem 5.12, we observed that

for the case in which V = H^ft), e.g., FD = 0. Thus the inverse G of A is not

simply the inverse of the differential operator ^(-) defined by (8.100). More

details on arguments such as these can be found in the book of Showaiter [1],

ALTERNATE VARIATIONAL PRINCIPLES 221

numerical solutions obtained using the reciprocal variational inequality (8.95)

and the projectional SOR method. As shown previously, the Signorini problem

can be represented by the following variational inequality involving the Green's

operator:

where

and

Here p is the contact pressure, f and t are applied body forces and tractions,

the subscript "n" denotes quantities associated with the outward normal unit

vector n to the boundary F, and the Green's operator G is the inverse of the

linear positive definite operator A defined by (8.77). In general, explicit closed

forms for Green's operator are not available except for a few simple cases

such as for semi-infinite domains. Thus, it must generally be approximated

numerically.

Suppose that f i h = n < = I R 2 . First, the bilinear form (8.77) is discretized by

finite element methods and a "discrete operator" [A] is obtained:

components of v/, and uh, respectively, and [A] is the positive definite matrix

on the set

The total number of nodal points of the finite element model is assumed to

be P, and 2 D is the set of all nodal points on the boundary F D . Then the

approximation of Green's operator [G] is identified with the inverse of [A] on

the set RD. A

Noting that the variational inequality (8.103) is defined only on the boundary

Fc, the approximation of (8.103) becomes

222 CHAPTER 8

where

and Mc is the total number of nodal points on the possible contact surface Fc.

The inequality (8.109) can be solved by the projectional SOR method, which

assumes the form

(i) Choose the initial trial vector {P1} as an approximation of {P} so that

reached, where

Since the matrix [G] is positive definite on RD, the compliance matrix [C]

for the unilateral contact is also positive definite. Then, as shown in Glowinski,

Lions and Tremolieres [1], the projectional SOR method described in above

converges as the number of iterations t -> oo on the constraint set Rh for any

value of the iteration parameter <o such that 0 < a> < 2.

It is also clear that the discrete variational inequality (8.109) can also be

solved using the penalty method. Indeed, for penalty formulations, the vari-

ational inequality (8.109) is approximated by the equation

for an arbitrary e > 0, where {P*} is defined by P^, = max (0, Pe,} for 1 < i ^ Mc.

The nonlinear equation (8.114) can then be solved by the successive iteration

method

Since the equation (8.115) is linear at each iteration step, (8.115) can be

resolved by standard linear system solvers. Although {P} = {0} is chosen as

the starting vector in the iteration scheme (8.115), the successive iteration

scheme usually converges within a few iterations in most applications.

In most practical problems, the size of the compliance matrix [C] for contact

is relatively small and both the projectional SOR and the penalty methods

prove to be quite efficient and effective for problems of this type.

ALTERNATE VARIATIONAL PRINCIPLES 223

We further note that the full inverse [G] of the matrix [A] is not used in

the construction of the [C] matrix described above. That is, the inverse [G]

need be obtained only for entries which are associated with the contact

conditions.

We recall that the jth column of the inverse [G] of the invertible matrix

[A] is the solution of the linear system

Moreover, since the contact pressure occurs only on the contact surface, we

need solve (8.116) only for j related to 2C. Therefore, once the upper-triangular

factor [Av] of the matrix [A] is obtained, the vector {g} and the part of the

inverse matrix [G] which is used to construct the matrix [C] are easily

calculated by using (8.116).

Example 8.1 (contact of an almost incompressible hollow cylinder). The

reciprocal formulation and the projectional SOR method described in (8.109),

(8.111) and (8.112) were used to solve the contact probem of an elastic hollow

cylinder on a rigid foundation shown in Fig. 8.1(a). The material of the elastic

ring is assumed to be almost incompressible: v = 0.499, and Young's modulus

E - 1000. The inner and outer radii are r = 4 and R = 8, respectively, and a

224 CHAPTER 8

uniform line force is applied along the top of cylinder. Using symmetry, we

take only a quarter of the cross section to define a finite element model. Ten

9-node biquadratic isoparametric elements are used as shown in Fig. 8.1(b)

and the selective reduced integration method is applied to form the stiffness

matrix in order to avoid locking solutions, as in Example 6.5. The stiffness

matrix is formed and inverted after applying the boundary condition along

the y-axis and the constrained displacement on the top surface. Then the 9x9

compliance matrix (8.108) is generated, and the variational inequality (8.109)

is solved by the projectional SOR method with w = 1.0. In these numerical

experiments, the method converged at the 12th iteration for a tolerance of

10~4. The computed deformed configuration and the contact pressure are

illustrated in Fig. 8.1(c).

The stiffness due to near incompressibility is resolved by the selective reduced

integration method using a 2 x 2 Gaussian rule to integrate the term related

ALTERNATE VARIATIONAL PRINCIPLES 225

state in the finite element approximation using the nine-node quadrilateral

isoparametric element. Other parts of the virtual work are integrated using a

3 x 3 Gaussian rule. Details of the analysis of such penalized problems for

almost incompressible materials can be found in Oden, Kikuchi and Song [1]

and Kikuchi and Song [1].

ational principle can also be constructed for more general rigid punch prob-

lems. Again, an advantage of such formulations from the point of view of

approximations is that the problem can be completely defined in terms of the

contact pressure exerted on the surface if Green's operator G for the foundation

226 CHAPTER 8

foundation, the operator G can be obtained easily.

For simplicity, only plane problems are considered here, and the possible

contact surface Fc of the foundation ft is assumed to be flat, as shown in Fig.

8.2. Both identation and rotation of the rigid punch are allowed in the present

analysis. Then, as shown in 6.7, the contact conditions on Fc are given by

(kinematical restriction), .

(stress restriction),

(frictionless condition).

Here a and 6 are the depth of indentation and the rotation of the rigid punch,

respectively, and g is the gap between Fc and the surface of the rigid punch.

Furthermore, if the rigid punch is not fixed, the total applied force and moment

have to be balanced by the total reacting force and moment, i.e.,

if o-22 and (T22x} are integrable on Fc, where P and T are given applied force

and moment around the x3-axis on the rigid punch. The force P is naturally

assumed to be positive.

Let u and cr be sufficiently smooth and let q be an arbitrary function such that

ALTERNATE VARIATIONAL PRINCIPLES 227

Then, for every q which satisfies (8.120), the following integral inequality is

obtained:

to the Green operator G of the foundation discussed in 8.5.

Suppose that the foundation ft is fixed on a portion FD of its boundary F,

and that mes (F D )>0. Then the linear operator A: V- V defined by (8.77) is

invertible and we denote A~} - G as in 8.4. Then, once the body force

feL 2 (fl), the surface traction te(H 1/2 (F F ))', and the (unknown) contact

pressure pe (H 1/2 (F C ))', are given, the displacement field u can be expressed

in the form (recall (8.90))

where

Supposejhat ueH ! (ft), its trace y(u) belongs to H 1/2 (F), and g// 1 / 2 (F c ).

Then if Fc c int (F-F D ),

Thus, in analogy to condition (8.121) for smooth u and cr, we have the reciprocal

variational inequality

where

228 CHAPTER 8

and

everywhere on Tc, and {, >Fc is the duality pairing on

Using the symmetry of G, the variational inequality (8.125) can be alterna-

tively formulated as the constrained minimization problem

where

able, and coercive on V, if mes (r D ) > 0 and if ft e (#0>1. Moreover, closedness

and convexity of the set KR in (Hl/2(Tc)Y are clear. Thus, if KR is nonempty

for given data P and T, there exists a unique solution pe KR to the minimi-

zation problem (8.128), and, then, equivalently to the variational inequality

(8.125). Before pursuing this question, we summarize the results established

up to this point.

THEOREM 8.8. Let ft e <#0>1 and let mes (F D ) > 0, let Yc be a flat surface.

Suppose that the elasticities EiJM satisfy (5.5). Then there exists a unique solution

pe KR to the variational inequality (8.125) or, equivalently, to the minimization

problem (8.128), provided the data (P, T) is given so that the admissible set KR

is nonempty.

The solution pe KR is identified with the contact pressure and the portion

of r c such that

We now provide a sufficient condition for nonemptiness of the set KR. To

this end, suppose that the rigid punch occupies an interval ( d l ) d 2 ) in the

x-axis in which the origin is included. That is, the left limit of the punch is

located at x = dl < 0, and the right limit of the punch is located at x = d2 > 0.

Let e be an arbitrary small positive number, and let Qi and Q2 be some

positive number. Define a function q on Fc = ( d l } d2) by

Here Fc has been identified with the interval (dl, d2) of the rigid punch, since

the rotation 8 of the rigid punch around the origin has been assumed to be

ALTERNATE VARIATIONAL PRINCIPLES 229

infinitesimal. It is clear that q e (f/ 1/2 (F c ))' and q > 0. Next we solve the system

Thus, if

(8.131)

then Q,e and Q2e (i.e., Q, and Q2) are positive numbers. This means that if

the data (P, T), P> 0, satisfies the compatibility condition (8.131), a function

q can be constructed on Fc as in (8.130) which satisfies constraints in KR,

i.e., qzKR.

THEOREM 8.9. If condition (8.131) is satisfied by the data (P, T), P>0, then

the set KR of (8.126) is nonempty.

Physically, the compatibility condition (8.131) means that the given moment

T should be small enough so that the rigid punch remains in contact with the

foundation after undergoing rotation.

We describe here a numerical method of the problem of a rigid punch indented

into a semi-infinite homogeneous isotropic linearly elastic foundation using

the reciprocal formulation discussed in the previous section. Only plane

problems are considered here; the semi-infinite domain (1 is identified with

the set R2d = {(x, y) e R2| 0 < y < d}.

According to Fung [1, pp. 247-248], the formula for the deflection of the

surface of the semi-infinite foundation subjected to a point load P at the origin

is

where d is the depth from the surface to the point where the vertical displace-

ment is zero. Then, if a pressure p is applied along Fc, the vertical displacement

230 CHAPTER 8

where

where

Here P and T are the total force and moment applied to the rigid punch. We

note that the operator G in (8.135) is defined by (8.133).

Let the domain Fc be divided into Mc -1 segments {Fc}^"1, and let 2C

be the set of all nodal points of Fc. Let fa be the global interpolation function

of the ath nodal point defined by

be approximated by an L 2 (F C ) function. Moreover, duality pairing ( , )r

on

c

1/2 1/2

(// (F c ))'x# (r c ) can then be computed by

Then

where

ALTERNATE VARIATIONAL PRINCIPLES 231

step function belonging to L 2 (F C ). Then (8.141) becomes

yields

where

Putting

yields

change of variables

(a: no sum),

232 CHAPTER 8

(8.146)-(8.148) become

(8.150)

(a: no sum)

and

i

The matrix GQ/3 defined by (8.144) can be explicitly obtained by using the

formula

Indeed,

where

inequality (8.152). This algorithm is again a variant of Uzawa's method:

(i) Choose an initial guess ({/>?}, al, 00 such that p\^0, I ^ a = N.

(ii) Using ({p"}, a,, 6,), t = 1, 2, , obtain the (f + l)th approximation

{#"+,} by

ALTERNATE VARIATIONAL PRINCIPLES 233

(iv) Continue iterations (ii) and (iii) until sufficiently small tolerances ep,

ea, and ee are obtained:

The above iterative scheme converges for sufficiently small iteration factors;

CD, pa, and p6, as shown in Glowinski, Lions and Tremolieres [1, Chap. 1].

Example 8.2 (a Hertz problem by the reciprocal formulation). Suppose that

a rigid infinitely long circular cylinder is indented into a semi-infinite

homogeneous isotropic linearly elastic foundation. This can be modeled as a

plane strain problem. We suppose that the boundary Fc is larger than the

width of the rigid punch, i.e., the diameter 2R of the cross section of the

cylinder, is 16 and the size of Fc is 20 in the example.

Our model of Fc consists of the twenty uniform segments with Young's

modulus = 1000 and Poisson's ratio ^ = 0.3. The depth d, see (8.132), is

assumed to be d -15. The iteration factor a) in (8.155) is set as w = 1.0. The

calculated distribution of the contact pressure is shown in Fig. 8.3 together

FIG. 8.3. Hertz problems for a semi-infinite foundation. From N. Kikuchi [4], Journal of Structural

Mechanics. Copyright 1979 Marcel Dekker, Inc.

234 CHAPTER 8

with the Hertz solution. A somewhat smaller value of the contact pressure is

obtained around the center of the punch. However, very good agreement with

the Hertz solution is obtained.

Example 8.3 (semi-infinite foundation with irregular punch). Consider the

semi-infinite foundation in Example 8.2. Suppose that either of the two rigid

punches in Fig. 8.4(a) are indented into the foundation by the application of

a force P and a moment T. In these cases, the condition (8.131), i.e., Pdl<T<

Pd2 has to be satisfied by the force P and moment T in order that a solution

exists. The forces and moments used satisfy this condition.

For Model 1, we choose as the iteration factors o>, pQ, p6 in (8.155) and

(8.156):

iterations for the cases 7=100, 7 = 500, and 7 = 750, respectively. Here

tolerances ep, ea and ee are chosen as follows:

FIG. 8.4(a). Discrete model of the semi-infinite foundation for Example 8.3.

ALTERNATE VARIATIONAL PRINCIPLES 235

Fig. 8.4(b).

Similar calculation methods are used for Model 2. Numerical results are

shown in Fig. 8.4(c).

If the linearly elastic foundation is identified with a semi-infinite domain

in the three-dimensional field R 3 , the Boussinesq solution yields the following

relation between the displacement and the contact pressure:

236 CHAPTER s

Here isotropy and homogeneity of the foundation are assumed, v is the Poisson

ratio, and JJL is the shear modulus.

Exactly the same variational form as (8.125) is obtained for this problem

for the case of a three-dimensional semi-infinite domain:

where

for a given applied force P and moments Tx and Ty on the punch. Here g is

the gap function to the foundation. A proper discretization to (8.160) yields

a form similar to (8.148) which is again solved by Uzawa's iteration method.

In the above discussion, we neglected all other stress components except

the normal contact pressure p. However, we have to deal with the case that

the tangential stress is prescribed on the surface Fc if friction effects are taken

into account for rigid punch problems. If the tangential stresses

are prescribed on the surface Fc, these produce the normal displacement

where

and A is the first Lame constant. Then the gap function g in (8.160) must be

replaced by g + vv3. The form (8.163) is derived from the Cerruti solution found

in Love [1, 166]. Some further details on friction problems are discussed in

Chapters 11 and 12.

The reciprocal method described above is quite useful for solving contact

problems if contact surfaces are almost flat and if the solutions of Boussinesq

and Cerruti provide good approximations of the displacement and stress fields.

Indeed, this approach has been widely used to determine contact areas and

pressures; see e.g. Singh and Paul [1], Hartnett [1], Kalker [2], and others.

Although the solutions of Boussinesq and Cerruti are obtained for the semi-

infinite domain whose surface is flat, they are often applied even for smooth

curved contact surfaces with good approximation. Extensions to two-body

contact problems are taken up in the next section.

ALTERNATE VARIATIONAL PRINCIPLES 237

application of the reciprocal method to two-body contact problems, we follow

Kikuchi [10] and consider contact problems shown in Fig. 8.5. Suppose that

there are no other tractions on the boundary of the second body O b except

the unknown contact pressure p on Fc. Let the equilibrium of the second

body H b be characterized by the principle of virtual work, e.g.

where

Eijk, is the elasticity tensor of H6, f 6 is the force body applied in lh, and F6

is the boundary of H6. Then, as shown in 8.6, (8.165) can be solved to yield

where N is the unit vector outward normal to the boundary F6,, G is the inverse

of the operator A defined as in (8.82) using the bilinear form b ( - , ) of (8.166),

and u is the displacement due to the body force f b ,

Using this, the contact condition (6.108) to two-body contact problems can

be represented by

238 CHAPTER 8

that is,

where n is the unit vector outward and normal to the boundary YC of the first

body ft0 and gR is the gap function between two surfaces YC and YC-

Approximating N = -n on the contact surface, we have

where

for every q < 0 on YC, if all the terms are smooth enough to have an integrable

integrand in (8.171). In general, (8.171) is represented by the duality pairing

ON

where

On the other hand, if the equilibrium of the first body fla is considered

under the assumption that the contact pressure p is known, we have the virtual

work principle,

where

and

(8.176) Va = {v6H I (n a )|y(v) = OonrS,}.

Here EjM is the elasticity tensor of the first body H fl and Ya is the boundary

of (la. Therefore, two body contact problems are formulated by the system of

inequalities

ALTERNATE VARIATIONAL PRINCIPLES 239

a saddle point (ua, p) of the Lagrangian

bilinear form if Ejk{ satisfies condition (5.5) and since G is elliptic on

(H 1/2 (Fc))' according to (8.80), it can be easily proved that (8.179) has a

unique solution (u fl , p)e V x N whenever mes(ro)>0 and mes(Fo)>0.

Therefore, the formulation (8.177) is also meaningful for two-body contact

problems.

One solution method for (8.177) is the successive iteration method: Assuming

p e N, we solve ( r u a , 'p) e N by using

for t = 1,2, . Details of the finite element approximations and of the solution

method are essentially the same as those discussed in Chapter 6 and in previous

sections of this chapter.

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Chapter 9

Deflections of Elastic Plates

in structural mechanics applications are those involving the deformation of

thin elastic beams or plates which bend or buckle out-of-plane and then come

in contact with adjacent supporting structures. These problems are highly

nonlinear: unlike the problems examined in previous chapters, the operators

appearing in the governing equations are nonlinear and of fourth order; there

frequently exist multiple solutions, and considerations of bifurcations in sol-

utions is a necessary part of the analysis.

In this chapter, we consider some representative problems in this area. In

particular, we focus on the problem of large transverse deflections, including

buckling and post-buckling behavior, of thin elastic plates subjected to trans-

verse and in-plane loads, for which the lateral motion of the plate is restrained

by the presence of a flat frictionless foundation a distance b from the under-

formed plane of the plate, as indicated in Fig. 9.1.

The classical theory of von Karman [1] provides an acceptable model of

phenomena of the type indicated in the figure. According to the von Karman

theory, the transverse deflection in tangential (in-plane) components of dis-

placement ua (a = 1,2) of a point on the middle surface of a flat elastic plate,

in equilibrium under the action of transverse loads of intensity / per unit area

satisfy the system of nonlinear partial differential equations

u = (MJ , M 2 ), t is the thickness, and <ra/3(u, w) is the membrane (in-plane) stress

241

242 CHAPTER 9

tensor:

Here 1 < a, ft, A, /A < 2, commas denote differentiations with respect to the

material coordinates xa, E is Young's modulus and v is Poisson's ratio; ft c (R2

is the middle plane of the plate while in its undeflected reference configurations.

In the case of a clamped plate, we have as boundary conditions

whereas, for a simply supported plate, fixed along F, and subjected to applied

in-plane tractions Sa on F2 (F = F, UF 2 ), we have

displacement w must satisfy the inequality constraint,

Clearly, if w > -b, then the plate does not come in contact with the foundation

and equations (9.1) hold throughout the domain ft. On the other hand, if

w = b, the plate comes in contact with the rigid foundation and there is a

transverse reaction for p = p(*i , x2) developed on the plate. Thus, p(x,, x2) = 0

if w(xl, x2) > b and p(x^, x2) > 0 if M>(XI , x2) = b, (xlx2) e ft, and we have

In the present chapter, we consider the analysis and approximation of a

class of nonlinear contact problems of the type characterized by (9.1)-(9.7).

For definiteness, we shall concentrate our attention on the problem of a simply

supported plate subjected to in-plane tractions as in (9.4), so that the model

problem under consideration is governed by the system

where

CONTACT PROBLEMS FOR LARGE DEFLECTIONS 243

FIG. 9.1. Examples of large deflections and buckling of thin plates with lateral constraints. Reprinted

in modified form with permission from K. Ohtake, J. T. Oden, and N. Kikuchi [1], Computer

Methods in Applied Mechanics and Engineering. Copyright 1980 Elsevier Science Publishers.

and o-ap(u, H>) and Mn(w) are defined in (9.2) and (9.5), respectively. We note,

however, that the methods and results we develop in subsequent sections are

easily modified so as to apply to other choices of boundary conditions.

The study of unilateral problems for von Karman plates has been considered

by a number of authors. We mention, in particular, the work of Duvaut and

Lions [2], Naumann [1], John and Naumann [1], Do [1], and Ohtake, Oden

and Kikuchi [1]. Much of present study is based on this latter work, wherein

more details of the analysis can be found. The use of finite element methods

for the numerical analysis of problems of this type has been discussed by

Ohtake, Oden and Kikuchi [2] and a summary of the methods and results in

their paper is given in the present chapter.

governing the nonlinear plate problem (9.8). Throughout this analysis, we take

244 CHAPTER 9

begin by introducing the spaces

Clearly, the spaces Z(H) and M(ft) are Hilbert spaces. For we Wm'"(fl)

and ue W m>p (n), we denote norms, as usual, by

and we endow Z(ft) and M(ft) with norms || ||2(2 and || ||li2, respectively. It

is then not difficult to show that constants Ci, c\, c2, c 2 >0 exist such that (see,

e.g. Naumann [1])

interpretation. The quantity ^A(w, w) represents the strain energy in the plate

CONTACT PROBLEMS FOR LARGE DEFLECTIONS 245

the middle surface, excluding the effects of finite rotations w,a on the net

transverse forces, and a(u, w, w) represents the potential energy of the com-

ponents of membrane stress acting in a direction normal to the undeformed

middle plane due to the rotations w,a of the middle surface. The quantity

/(w, u), of course, represents the negative of the potential energy of the external

forces / and Sa (or, equivalently, the "virtual work" done by the external

forces due to admissible (virtual) displacements w and u a ). It follows that the

total potential energy of the plate is given by the functional,

where

problems as minimizer's of the total potential energy F subject to some

constraint. For the unilateral plate problem (9.8), we take as the constraint set

from the theory outlined in Chapter 3 and considering (9.16), we are led to

the following variational principle:

The relationship between (9.19) and the "classical formulation" (9.8) is not

difficult to establish. By direct substitution, we can easily verify that any

solution of (9.8) is also a solution of (9.19). Moreover, if (u, w) e M(ft) x Z(H)

is a solution of (9.19), then an integration by parts shows that

sense. By "/>>0 in 3)'(fl)" (or in the sense of distributions) we mean the

246 CHAPTER 9

test functions. We then define a distribution pe2>'(Cl) to be nonnegative,

written p s 0, whenever (p, 0)2, ^ 0 V</> e ^(O), where < , )D denotes duality

pairing on 2>'(ft)x(n). Finally, we note that if H is Lipschitzian and

w e W4'2(a) 0 Z(n), then p e L2(n), <ra/3(u, w) 6 H'(O), and

the relationship of the variational problem (9.19) and problem (9.8) is thus

clear.

There remains the question of whether or not solutions to (9.19) exist. We

will resolve this question by calling upon a lemma which is basic to the theory

of nonlinear operators:

LEMMA 9.1 (see, e.g., Brezis [1] and Oden [2]). Let Z be a reflexive Banach

space, K a nonempty closed convex subset of Z, and T a bounded continuous

operator from Z into its dual Z' satisfying the following conditions:

(i) T can be expressed as the sum of two operators, T=T{ + T2, where T\ is

monotone: (Tlzl- Tiz 2 , z\ - z2) ^ 0 for all zi, z2e Z. T2 is completely continuous-,

i.ei if zm-^z weakly in Z, then T2zm-+ T2Z strongly in Z'.

(ii) T is coercive, i.e.,

Then, for each /e Z', there exists at least one we K such that

THEOREM 9.1. Let

for some suitable 5 0 >0. Then there exists at least one solution (u, w)e

)Vl((l)xZ(n) to the variational boundary value problem (9.19).

Proof. Our proof is divided into four steps. The first step effectively eliminates

the in-plane displacement vector u from the equations. We then verify that

the resulting operator satisfies the conditions of Lemma 9.1.

1) For arbitrary fixed z 0 e Z(H), we consider the linear elliptic problem of

determining u e M((l) such that

where

CONTACT PROBLEMS FOR LARGE DEFLECTIONS 247

calculation reveals that

2) It follows that there exists a unique solution u to (9.21) for each choice

of z0 in Z(H). This means (by the classical Lax-Milgram theorem) that a

correspondence G: Z(fl)-M(n) exists such that

for every z, z l 9 z 2 eZ(fl). This latter inequality shows that the map G is

completely continuous; since W2'2(l) is compactly embedded in W 1>4 (H) by

the Sobolev embedding theorem, any sequence wm converging weakly to w in

Z(fl) will converge strongly to w in !VM(ft) fl Z(O). Thus, if wm-^ w in Z(O),

then,by(9.22) 2 ,

3) Next, we introduce the nonlinear operator T:Z(fl)-Z'(n) defined by

the sum of a monotone operator T, and a completely continuous operator T2

and that, therefore, satisfies condition (i) of Lemma 9.1. Indeed, if

then, by (9.14),,

for all w, z e Z(H). Since W 2>2 (fl) is compact in W 1>4 (fl), whenever a sequence

wm converges weakly to w in Z(il), it converges strongly to w in W 1>4 (n).

Hence, by (9.27), T2wm converges strongly to T2w in Z'(H), which means that

T2 is completely continuous. It follows that T=T\+T2 is the sum of a

monotone operator and a completely continuous operator and, hence, fulfills

condition (i) of Lemma 9.1.

248 CHAPTER 9

small. But this follows from the fact that

where eAM ^(G A (z) i/t + G M (z), A +Jz, A z, M ). Thus, <rz,z)->+oo as ||z||2.2-*oo

provided ||S||0,r2 is small enough for (^-CaHSJlo.rj) to be positive.

Hence, T satisfies all of the conditions of Lemma 9.1 for ||S||0,r2 sufficiently

small. This completes the proof of the theorem.

mations and computations, we consider as an alternative to (9.19) a penalty

formulation of this problem. Let us again introduce the notation,

the functional,

w < -b - TTP > 0. Thus, if TTP is weakly lower semicontinuous, it will satisfy all

of the requirements listed in Chapter 3 for penalty functionals. We establish

this final property in the next lemma (cf. Ohtake, Oden and Kikuchi [1]).

CONTACT PROBLEMS FOR LARGE DEFLECTIONS 249

LEMMA 9.2. The functional TTP : Z((l) -> R defined in (9.30) is a legitimate

penalty functional: it is positive semidefinite on the set K of (9.18) and it is

weakly lower semicontinuous. Moreover TTP is Frechet differentiate on all of

Z(ft); indeed, at weZ(a),

Proof. Let us first establish some properties of the real valued function

Next, we observe that it is possible to decompose </> so that it can be

represented as the composition of a convex function tff(x) - \x2 and an increas-

ing function p(x) = (x + b)_: </>(x) = ^ p ( x ) . From this it follows that $ is

convex. Hence, J n </>(w) dx is weakly lower semicontinuous (see Theorem 3.6).

It remains to be shown that TTP is Frechet differentiate. Toward this end,

we recall that TTP(W} = Jn 4>(w} dx, where now (f>(w)^^(w + b)2., is Frechet

differentiable at w in the direction z w if and only if

definition,

Let y denote the function

250 CHAPTER 9

With x = x+ + X-.

In other words, (y - x)2 > (y, - x_) 2 , |y - x\ > \y- - x_. Therefore

Now setting 4>(w)-^(w + b)2. = y(w + b), we have (using (9.32) and the

notation (9.34))

Since TTP is convex and Frechet differentiable, it is a simple matter to show

that DTTP is necessarily a monotone operator from Z(O) into Z'(H). Thus, the

operator

where T is defined in (9.23) is also the sum of a monotone operator (7\ + Dirp}

arid a completely continuous operator T2. Hence T+DTTP satisfies condition

(i) of Lemma 9.1. Likewise

Hence, T+ DTTP is coercive, in the sense of part (ii) of Lemma 9.1, for ||S||0,r2

sufficiently small.

We list the consequences of these properties as well as some other properties

of the penalized variational problem in the next theorem.

THEOREM 9.2. (i) For ||S||0)r2 sufficiently small, there exists at least one solution

(u e , w e ) M(O) x Z(H) of the following penalized variational boundary-value

problem for each e > 0:

CONTACT PROBLEMS FOR LARGE DEFLECTIONS 251

verges strongly in M(O) x Z((l) to a solution (u, w) of (9.19) as e tends to zero.

(iii) Moreover, let w be the limit of WB as e - 0 and let p denote the linear

functional corresponding to the contact pressure on the deflected plate,

converges weakly to p in Z'(H).

Proof, (i) This part of the theorem follows immediately from Lemma 9.1

and the properties of DTTP listed earlier.

(ii) To prove assertion (ii), we will first show the existence of weakly

convergent subsequences. Since the problem (9.36)2 has a unique solution fpr

every choice of w e , it suffices to first show that sequences {vve} of solutions of

(9.36), are uniformly bounded in e. But, from (9.28) and (9.35)

Thus for ||S||0,r2 sufficiently small, || VVE ||2)2 is bounded by a constant independent

of e. The sequence {vve} must, therefore, have a weakly convergent subsequence,

which we also denote by we.

To show that the weak limit w of we is a solution of problem (9.19) with

u = G(w), we observe that

Hence,

Next we note that, z e Z(O),

252 CHAPTER 9

inequality (9.19)i. We will now demonstrate that, in fact, {we} converges

strongly to w. Indeed, since

and

and since,

CONTACT PROBLEMS FOR LARGE DEFLECTIONS 253

Here we again used the fact that {VVE} converges strongly to w in Wl'*(l).

Thus, we have shown that lim^o || w - we ||2)2 = 0; hence, {we} converges strongly

to w in Z(H).

(iii) Since

we have

denotes the subsequence weakly convergent in Z'(il), then (pe, z)-*(p, z) =

</- Tw, z) Vz e Z(ft), as asserted.

There are other properties of the penalized problem (9.36) which are also

worth noting. For example, it can be shown that if the transverse loads

/e L"(ft), l < / 3 <oo with H smooth and if Sel/(r), then solutions (u e , w e )

of (9.36) are sufficiently regular that

where 6 is a nonnegative number, 0 > 0 for 1< /3 < 2, 6 = 0 for p > 2. Likewise,

constants cf, i = 0,1,2, 3, exist such that

Proofs of estimates such as this are given in Ohtake, Oden and Kikuchi [1].

ized variational problem (9.36). The general problem we have in mind is a

rectangular simply supported plate subjected to transverse loads /e L 2 (fl) and

in-plane surface tractions 5a e L2(F2), and located a distance b from a plane,

frictionless, foundation.

254 CHAPTER 9

We partition the plate into a uniform mesh of finite elements and over each

element we approximate the admissible transverse displacements zh and the

in-plane displacements \h by piecewise polynomials. By considering regular

refinements of the mesh, we obtain in this way families of finite dimensional

spaces {Zh} and {M/,} of Z(ft) and M(ft), respectively. The finite element

approximation of (9.36) then consists of seeking (weh, ue/,) e Zh x Mh such that

of the contact pressure

(9.41), the errors

for all zh e Zh and vh e Mh. The identities (9.44) are obtained by subtracting

(9.3) from (9.41) and rearranging terms.

To provide some focus for our analysis, let us consider the specific case in

which the composite quadratic element shown in Fig. 9l2(a) is used as a basis

for constructing the subspaces Zh while the standard 8-node quadratic element

in Fig. 9.2(b) is used to approximate M! and u2 in M. Thus, if ft = Uf = 1 fte,

and fte is a typical finite element,

x2 and Q2(ft<?) is the space of biquadratics over ftc with the center node

removed (i.e., the 8-node serendipity element). The plate bending element has

16 degrees of freedom: w, w,1} w,2 at each corner and the normal derivative

w,n at the midpoint of each side. Such elements were proposed by de Veubeke

[1].

CONTACT PROBLEMS FOR LARGE DEFLECTIONS 255

FIG. 9.2. (a) A plate bending element consisting of a composite of four cubics and (b) an 8-node

quadratic element for approximation of in-plane displacements.

be assumed to hold:

(9.46)

For w e W r ' p (n)nz(n), and ueW r ' p (a)nM(O) there exists w f c e f c

and lib e M H SUCH HAT

256 CHAPTER 9

the parameter e is kept as a constant. As an example, we cite the following

result of Ohtake, Oden and Kikuchi [2].

THEOREM 9.3. Let (u e , w) e M(ft) x Z((l) be solutions of (9.36) (ueh, weh) e

Mfc x Zh be solutions of (9.41), and let Mh and Zh be such that (9.46) hold. In

addition, let there exist a positive constant A0, independent ofe and h, such that

Then, for each fixed e>0, there exist positive constants A,, i = 1, 2, 3, 4, 5,

independent ofh, such that

1) First, we estimate the error ||u -UeJd 2 - Clearly, (in view of (9.14) and

(9.44))

we obtain

CONTACT PROBLEMS FOR LARGE DEFLECTIONS 257

2) We next estimate the term a(u; w, y)-a(v; z, y). We will need two

inequalities. First, note that

,4

258 CHAPTER 9

3) We next return to the identity (9.44) established earlier. Using (9.44) and

introducing (9.53) and (9.54) into the result, we obtain

4) Let

Then

where

where

Likewise,

where

CONTACT PROBLEMS FOR LARGE DEFLECTIONS 259

Substituting these results into (9.44) and again applying Young's inequality,

we arrive at the estimate

6) By the hypothesis stated and by virtue of the interpolation property

(9.46), we have

where now

solving problem (9.19) based on the penalty finite element method (9.41) and

the results of some numerical experiments obtained using this scheme and the

elements in (9.45).

First note that the finite element approximations to we and u e are of the form

where the N, and $, are global basis functions corresponding to the elements

shown in Fig. 9.2. Thus, upon substituting these functions into (9.41) and

simplifying, we arrive at a system of nonlinear algebraic equations of the form,

K B is the bending stiffness matrix, K G (a) and K N (<j) are geometric stiffness

matrices whose elements depend on a and q, respectively, K p is the penalty

stiffness matrix, f and s generalized load vectors, and K m is the "membrane"

260 CHAPTER 9

stiffness matrix, i.e., the stiffness matrix corresponding to the in-plane deforma-

tions of the plate.

On the element level, K B is the usual stiffness matrix for linear plate bending

problems; entries of K B for the element in Fig. 9.2(a) have been tabulated by

de Veubeke [1]. The remaining matrices are of the form

9.2(a), B is a 3 x 16 matrix of derivatives of the local shape functions for the

element in 9.2(b), D is the elasticity matrix,

1) Pick a starting value for q; q D is typically the solution of the linearized

system of equations

3) Use a, to compute the matrix KG^) and form the nonlinear system

CONTACT PROBLEMS FOR LARGE DEFLECTIONS 261

Raphson method. Specifically, if we denote the left-hand side of (9.61) by

F(q,), then (9.61) reduces to

There is one major difficulty: formula (9.62) cannot be applied directly

because the penalty term K p qj is not differentiate.

We overcome this difficulty by introducing a regularization technique due

to Duvaut and Lions [2] which involves smoothing the Heaviside Step function

H. Instead of (9.60), we define, for small 6,

Then

a2 from K m a 2 = S-S G (q 1 ), etc.

In the case of buckling of the plate and the calculations of post-buckling

transverse deflections, we must also solve an eigenvalue problem. Suppose

f = 0. We then seek a critical value of the edge traction Sa which will produce

nontrivial solutions of the eigenvalue problem,

with shifting described, for example, in Bathe and Wilson [1]. The overall

procedure employed in this phase of the analysis is essentially an adaptation

of the method of Bauer and Reiss [1] to finite element approximations.

To illustrate typical numerical results, we shall describe two applications

considered by Ohtake, Oden and Kikuchi [2].

262 CHAPTER 9

FIG 9.3. Comparison of mesh size effect for the deflection of unilateral constraint plate, small

deflection model. Reprinted with permission from K. Ohtake, J. T. Oden, and N. Kikuchi [2],

Computer Methods in Applied Mechanics and Engineering. Copyright 1980 Elsevier Science

Publishers.

supported square plate of length 2a = 120mm, thickness f = 2mm, E =

7000 kg/mm 2 , v = Q.3, subjected to a uniform transverse load of intensity

q = 100, where q =fa4/Dt. Taking advantage of symmetry, we discretize only

a quarter of the plate using 4, 9, 16, and then 36 elements. For the constraint,

we select b = -2 mm. Results are shown in Fig. 9.3. Notice that for the relatively

coarse mesh (4 elements), undesirable oscillations occur which cause the plate

to leave the foundation near the center, which is impossible. These oscillations

disappear as the mesh is refined, and the solution obtained with the fine mesh

(36 elements) appears to be physically reasonable.

Figure 9.4 shows results obtained for the same problem, but with q = 100

and 500, compared with results obtained using the classical linear plate theory

which does not account for in-plane stretching of the middle surface and for

large rotations. We observe that for large transverse loads, the effects of

stretching can be appreciable.

The inadequacy of the linear theory is even more apparent if we plot the

contact areas obtained by the small deflection theory and by von Karman's

theory. The results of such calculations for b = -2 mm, -3.5 mm, and -4 mm

for a nondimensional load q of 800 are shown in Figs. 9.5 and 9.6. Note that

the in-plane stiffness accounted for in the nonlinear theory stiffens the plate

to lateral movement and results in a smaller contact area than that predicted

by the classical "small deflection" theory of plates.

Example 9.2 (bifurcation and post-buckling behavior of plates with unilateral

constraints). As a final example, we consider a plate-buckling problem in which

CONTACT PROBLEMS FOR LARGE DEFLECTIONS 263

FIG. 9.4. Deflection of uniformly loaded simply supported square plate with unilateral constraint

(u>> -2 mm). Reprinted with permission from K. Ohtake, J. T. Oden, and N. Kikuchi [2], Computer

Methods in Applied Mechanics and Engineering. Copyright 1980 Elsevier Science Publishers.

two parallel sides of a square plate are fixed against in-plane motion while

the remaining sides are prescribed to move uniformly toward or away from

each other, a distance /, always remaining parallel. No transverse loads are

applied, and when the prescribed inward edge displacements reach a critical

FIG. 9.5. Deflection contour of unilateral constraint plate (1) small deflection theory, q = 800.

Reprinted with permission from K. Ohtake, J. T. Oden, and N. Kikuchi [2], Computer Methods

in Applied Mechanics and Engineering. Copyright 1980 Elsevier Science Publishers.

264 CHAPTER 9

FIG. 9.6. Deflection contour of unilateral constraint plate (2) for large deflection theory, q = 800.

Reprinted with permission from K. Ohtake, J. T. Oden, and N. Kikuchi [2], Computer Methods

in Applied Mechanics and Engineering. Copyright 1980 Elsevier Science Publishers.

value lcr, the plate buckles out-of-plane. An analytical solution to this problem

can be found in the book of Timoshenko and Gere [1]. However, in the present

case the behavior is further complicated by the presence of a unilateral

constraint: after buckling, the plate may come in contact with a rigid frictionless

FIG. 9.7. Unilateral deflection of simply supported post-buckling plate, N = l/lcr. Reprinted with

permission from K. Ohtake, J. T. Oden, and N. Kikuchi [2], Computer Methods in Applied

Mechanics and Engineering. Copyright 1980 Elsevier Science Publishers.

CONTACT PROBLEMS FOR LARGE DEFLECTIONS 265

FIG. 9.8. Edge displacement vs. edge compressive force for simply supported square plate after

buckling. Reprinted with permission from K. Ohtake, J. T. Oden, and N. Kikuchi [2], Computer

Methods in Applied Mechanics and Engineering. Copyright 1980 Elsevier Science Publishers.

same dimensions and mechanical properties of the plate as those in the previous

example.

Numerical results for both the small and large deformation cases are shown

in Figs. 9.7 and 9.8. A comparison of computed results with those in

Timoshenko and Gere [1] in Fig. 9.8 shows excellent agreement. We observe

that upon buckling, the plate eventually comes in contact with the foundation.

As / is increased, the contact area increases and significant increase in transverse

stiffness is observed. As can be seen in Fig. 9.8 an increase in lateral stiffness

of approximately 20 percent is observed in this problem when the plate comes

in contact with the foundation.

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Chapter 10

with Friction

problems with friction to be taken up in the next three chapters, we now focus

on a special class of contact problems with friction in which the normal contact

pressures on the contact boundary are assumed to be prescribed. We also

discuss in this chapter a rather general algorithm for the analysis of general

contact problems with friction which utilizes properties of these special

problems.

One physical situation which is roughly simulated by the special conditions

is when a thin belt or tape is pressed against an elastic body by prescribed

pressures and the belt or tape simultaneously resists tangential motion by the

development of frictional stresses on the contact surface: an is then given on

Yc but tangential stresses a r due to friction are unknown (Fig. 10.1). While

this particular class of problems may at first seem to be a bit contrived, we

shall discover that, in fact, this special case is the key to many important

results pertaining to the general contact problem with friction. Indeed, the

analysis of problems with prescribed crn coupled with the results for Signorini

problems with prescribed tangential stress can be combined to yield informa-

tion on the behavior of finite element approximations of contact problems in

elastostatics with Coulomb friction. Moreover, as we shall show in 10.4, a

general algorithm for the analysis of friction problems can be developed which

makes use of independent formulations of contact problems in which either

an or CTT are prescribed. Finally, we note that the results established in this

chapter play a key role in studies of the existence, uniqueness, and approxima-

tion of contact problems with nonclassical friction laws in the next chapter.

Much of the present treatment represents an extension of the results of

Campos, Oden and Kikuchi [1] and Oden and Campos [1].

10.2. The Signorini problem with Coulomb friction. Before focusing on the

special problem, we begin by considering the following general Signorini

267

268 CHAPTER 10

and

if un = g on Fc, then cr n (u) < 0 and

(lO.lb) if, in addition, |<r r (u)|< ^F|o-n(u)| then u r = 0 while

if |ar(u)| = ^ F |cr n (u)| then 3A S:0 such that u r = -Aer r (u).

Conditions (lO.lb) define a form of Coulomb's law of friction for elastostatic

problems: VF is the coefficient of friction

at a point on Fc, then no sliding of the point can occur if the magnitude of

the tangential stress \VT\ is below a critical value which is precisely VF times

the magnitude of the normal stress cr n (u) at that point. When |<rr| reaches this

critical level, however, there will be impending sliding in a direction opposite

to OTT.

The friction conditions can also be written in the equivalent, perhaps more

familiar forms (see Demkowicz and Oden [1]):

We shall assume throughout this chapter that conditions (5.5) on the elas-

ticities hold:

n c ( R N and 5(1 is sufficiently,

following the plan of Duvaut and Lions [1]. We begin by reintroducing some

familiar notation:

CONTACT PROBLEMS WITH FRICTION 269

to characterize the virtual work of the frictional forces

Here crn(u) = a-ij(u)ninj = E^u^ninj is, as usual, the normal stress developed

on Fc and v r is the tangential component of the displacement v on Fc. The

functional v-*j(v, v) is a nonconvex, nondifferentiable and nonquadratic func-

tional of the admissible displacements v e K.

For simplicity, let us use the following conventional notation:

The traces of the stress tensor and the displacement on the boundary are

defined in Chapter 5, and we shall not address these details in this chapter.

With the above preparations in place, we now consider the general variational

principle for the Signorini problem (10.1) with Coulomb friction:

The relationship between (10.1) and (10.5) is made clear by the following

theorem due to Duvaut and Lions [1] (for an alternative approach, see

Demkowicz and Oden [1]):

THEOREM 10.1. 7/u is a sufficiently smooth solution of (10.5) then u satisfies

(10.1). Conversely, any solution of (10.1) satisfies (10.5).

Proof. Let u be a "classical" solution of the Signorini problem with friction.

It is taken for granted here that the classical solution u of (10.1) is sufficiently

smooth. We first recall the Green's formula

we have

270 CHAPTER 10

Hence,

for all v e K .

Recall that crn(u)(vn-g)>0 for ve K. To obtain (10.5) from (10.6), we will

need the inequality

Hence, (10.7) holds. Incorporating this result into (10.6) yields (10.5).

To prove the converse (that a sufficiently smooth solution of (10.5) satisfies

(10.1)), we must assume that we have a vector field u e K that satisfies (10.5).

Pick v = <|>e ( C ^ ( f l ) ) N (which belongs to K because gs:0). Then, we easily

establish that, in the sense of distributions, o-y(u),7 +ft = 0 in 11. Hence,

L2(fl). Likewise, u e K implies u = 0 on FD (or y(u) = 0 on F D ) and un g ^ 0.

Next, we choose ve K such that v r = u r . This yields,

(// 1/2 (r c ))', c r n ( u ) < O i f u n - g = Oand C r n (u) = O i f M n - g < 0 .

For veH'(n), vn is in //1/2(F) and vTi = y(tf,)-u n H, is in the subspace of

1/2

H (F) of functions satisfying n v r = 0. Following the plan of Duvaut and

Lions [1] in which s e L(TC) is assumed, we note that from these results and

(10.5),

where crT = a r (u), v r = y(v)--y n (v)n, etc. Let 4> = {<j>eH 1/2 (F)|supp<J)C

intF c } and set <!> = </> n + <f> r , <|> e4>. Taking v r = |>T in the above inequality

CONTACT PROBLEMS WITH FRICTION 271

and noting that aT' n = 0, or T <J> T = crr 1 <J>, and |<J>|>|<|>r , we have

these last inequalities, the function

and has a norm J rc s|<J>| ds< 1. Since $ is dense in (L'(r c )) N , s~l<yT&

(L(rc))N with norm :<!. This implies that |crT =s a.e., on Fc, andCTT-UT +

s|u T |3=0 so that,

But this inequality and &T <s are equivalent to the friction-contact condition

in (lO.lb). Hence, the variational inequality (10.5) is formally equivalent (in

the sense outlined above) to the Signorini problem (10.1) with friction.

Difficulties with the model (10.5). Unfortunately, there are major mathemati-

cal difficulties inherent in the variational problem (10.5) which have stood in

the way of the development of an existence theory for this class of problems.

First, we note that the friction term J Fc i/ F |cr n (u)||u r ds has no meaning for

ueK: in this term, |o-n(u)| is defined by duality as a member of (jF/ 1/2 (F c ))'

while if u e K then we have only cr tf (u)g L 2 (ft). In addition, the term j(u,u)

is nonconvex and nondifferentiable, and, therefore, cannot be analyzed by th

methods we have developed thus far. The fact is that the question of existence

of solutions to the general problem (10.5) remains open. There are available,

however, existence proofs for some very special cases in which the contact

pressures happen to be very smooth, and we mention in this regard the existence

theory of Necas, Jarusek, and Haslinger [1] for the very idealized problem of

an infinite strip in R 2 uniformly loaded and resting on an infinite rigid founda-

tion. On the other hand, the absence of a complete existence theory for the

general problem together with physical evidence on friction have led some

investigators to question the validity of the Coulomb friction law (lO.lb).

272 CHAPTER 10

we can abandon the characterization (lO.lb) of Coulomb friction in favor of

a more general law of friction, or, second, we can simplify problem (10.5) by

placing restrictions on the contact stresses. We shall explore the first alternative

in some detail in Chapters 11-13. In the present chapter, the second line of

attack shall be followed: we shall construct a reduced version of (10.5) that

represents a contact problem in which it is assumed that the contact pressure

is known. We shall discover that this reduced problem is not only more

manageable from a mathematical and computational point of view, but also

that its analysis can form a step in an iterative process for obtaining numerical

solutions to the general problem (10.5) when such solutions exist.

briefly in 10.1: the elastostatic contact problem in which the normal stress

crn(u) is prescribed on Fc. In this case, Fc is known in advance and, in fact,

is part of FF and the unilateral constraint ( w n - g < 0 ) may or may not be

imposed. For simplicity, we shall not impose this constraint for the present

so that points on Fc can displace freely in a direction normal to the boundary

upon the application of loads. However, tangential displacements U T of points

on Fc are resisted in accordance with a Coulomb friction law of the type

(lO.lb).

The classical statement of this restricted class of friction problem is to find

a sufficiently smooth displacement field u such that

of (10.4) reduces to a functional j :V-R defined by

form

CONTACT PROBLEMS WITH FRICTION 273

The variational boundary value problem (10.5) now reduces to

ational inequality of the "second kind:" the constraint set K has been replaced

by the entire space V and there appears in the left-hand side of the inequality

the difference j(v) -j(u) in values of a nondifferentiable functional j. This

problem falls into a category covered precisely by Theorem 3.8; indeed, we

easily verify that the functional j of (10.4) is

continuous on V, convex, and nondifferentiable.

Thus, j is convex and lower semicontinuous on V, and, therefore, subdifferenti-

able on V. Moreover, the potential energy F0: V - R due to nonfrictional effects

is, as usual, given by

Thus, even though a true potential energy functional does not exist for the

nonconservative system with friction, we can formally make use of the energy

functional F:V-R,

a convex lower semicontinuous functional j, is weakly lower semicontinuous

on all of V.

To resolve the question of minimizers of F, there remains the question of

coerciveness of F, and this depends upon whether or not mes YD > 0. If

mesr D >0, then F 0 (u) grows as O(||v||?) as ||v||-oo, as we have shown

repeatedly in previous chapters. Since 0^j( v ) ll v lli> P Po^J ls clearly

coercive. For the case TD = 0 we set v = 0 and then v = 2u in (10.11), and are

led to the observation that (10.11) is equivalent to

Let R2 be the finite dimensional space of infinitesimal rigid motions intro-

duced in Chapter 6 (recall (6.13)). Taking v = re R2 in (10.14) and recalling

that a(r, r) = 0, we arrive at the following necessary condition for the existence

of a solution to problem (10.11):

274 CHAPTER 10

Following Duvaut and Lions [1], we will continue our analysis under the

stronger assumption that a constant c>0 exists such that

P being the L2-orthogonal projection of V onto R2. Then we can easily verify

that a(w, w)^m||w||? and that ||v||i is a norm on V equivalent to IMd + Hrllo.

Thus,

from which it follows that F(v)-+oo as ||v||,-oo. We have thus shown that

if (10.16) holds and TD = 0, F is coercive on V.

We sum up these results in the following existence theorem for problem

(10.11):

THEOREM 10.2. If either mes T D > 0 or TD = 0 and (10.16) holds, then there

exists at least one minimizer u e V of the functional F defined in (10.13). Moreover,

each minimizer u is a solution of the variational inequality (10.11); specifically,

u is characterized by

In the case mesT^^O, and we can conclude that there exists a unique

solution to (10.11) from the strict convexity of F. However, if YD = 0, solutions

to (10.11) are unique only to within an arbitrary rigid motion r R2: i.e., if u,

and u2 are distinct solutions of (10.11), then u t -u 2 e R2.

dary-value problem (10.11) is that the friction functional j is nondifferentiable.

This property is especially troublesome when one attempts to develop numeri-

cal schemes for the analyses of problems of this type. On the other hand, the

fact that j( ) is not Gateaux differentiate at the origin is not too surprising

because the Euclidean norm |-| in R N is also not differentiate at the origin,

nor is the function x- |x| in R1.

From a mechanics point of view, the source of the nondifferentiability of

] ( ) is the fact that this particular model of friction depicts the separation of

the sliding and full adhesion portions of the contact surface as a point or line.

Physical experiments on friction on metallic surfaces show that no such line

of separation of sliding and full adhesion exists; rather, there is a boundary

layer between regions of full "stick" and "slip."

CONTACT PROBLEMS WITH FRICTION 275

shown in Fig. 10.1, clearly exhibit the nonlinear behavior of frictional stresses

on metal-to-metal contact surfaces. We shall discuss observed physical aspects

of dry friction on metallic surfaces such as these in more detail in the next

chapter, where the obvious elastoplastic character of this type of friction is

shown to arise from the deformation of junctions on the contact interfaces.

This fact, in turn, suggests that an approximation of j( ) that is differentiate

at the origin can be designed which leads to a representation of such a boundary

layer but which, at the same time, can be made arbitrarily close to the functional

j( ) in some sense. We note that the approximation of such nondifferentiable

functionary ( ) by differentiate regularized functionalsy' F ( ) that depend upon

a real parameter e > 0 has been used by Moreau [1] and Brezis [1] in the

study of optimization problems and by Glowinski, Lions and Tremolieres [1],

Campos, Oden and Kikuchi [1], and Kikuchi and Oden [5] in the development

of numerical methods for the solution of variational inequalities of the type

(10.11).

FIG. 10.1. Experimental results of Courtney-Pratt and Eisner [1] designed to show the variation

in the coefficient of friction over a load history; the experiment involves polished platinum at a normal

load o/920gwt. in which the tangential force is decreased and increased again (in the "reversibility

branches") a number of times, as shown, (a) The displacements, (b) The "reversibility branches" in

detail. , VF decreasing; x, VF increasing. From J. S. Courtney-Pratt and E. Eisner [1], Proceedings

of the Royal Society of London, Series A. Copyright 1957 Royal Society of London.

276 CHAPTER 10

approximations of the function x -\x . As examples, consider the functions,

and

absolute value function as e^O. The most popular approximation is the

function $1 shown in Fig. 10.2 which exhibits a piecewise linear first derivative.

Functions $1 and <t>\ have nonlinear smooth derivatives as indicated in Fig.

10.3.

To fix ideas, we shall describe a regularization of j( ) based on the functions

0e = <t>l given in (10.18). We emphasize that essentially the same results can

be obtained for other choices of (f>e such as in (10.19) or (10.20). Note that a

generalization of(10.18)to vectors x IR " is immediate: i f \ = (xltx2, ,x n )e

IR" and |x| = Vx x, then we set

CONTACT PROBLEMS WITH FRICTION 277

of v on the portion Fc of the boundary. We easily verify that v-^ E (v) is

convex, continuous, and, that [0, 1]^ < E (u+ 0v) is C1 [0, 1] for any u, v e V .

As an approximation of the friction functional j, we introduce

are summarized in the following lemma (cf. Campos, Oden and Kikuchi [1]):

LEMMA 10.1. The functional),,: V-R defined by (10.22) is convex and Gateaux

differentiable and, hence, weakly lower semicontinuous on all of V for every e > 0.

Moreover, its Gateaux derivative is given by

In addition,

278 CHAPTER 10

calculations, and (10.23) follows easily from the definition of (f>E. We shall

prove (10.24).

A direct calculation gives

CONTACT PROBLEMS WITH FRICTION 279

Having produced a regularization of j, we can now turn to the regularized

total potential energy functional FE: V-R given by

(10.25) F.(v) = |fl(v,v)-/(v)+7 e (v).

This functional is easily seen to be strictly convex and Gateaux differentiable;

it is coercive on V for mes F D > 0 and coercive on \/R2 if F D = 0 and if the

external forces are such that (10.16) holds with7' replaced byjE. We will confine

our attention to the case mes F D > 0. Then we have:

THEOREM 10.3. Let conditions (10.3) hold, s e L(rc), and mes F D > 0. Then,

for any e > 0, there exists a unique minimizer U E G V of the perturbed potential

energy functional FE of (10.25). Moreover, u e is characterized as the solution of

the variational equality,

satisfies the equation

on the contact surface Fc. This means that the friction condition (lO.lb)

in 5.5, Case (v), |or r (u e )|<s is always satisfied by a solution U E . Again we

note that the nonlinear friction law (10.27) is also a very realistic approximation

of measured friction affects (for no increasing loads) of the type shown in

Fig. 10.11.

For each e>0, there is a unique solution to (10.26). The obvious question

at this point is whether or not the sequence u e of solutions obtained as e -0

will converge in V to the solution of (10.17). The next theorem establishes that

u E converges strongly to u in V and also provides an estimate of the rate-of-

convergence (cf. Campos, Kikuchi and Oden [1]).

THEOREM 10.4. Let u and U E be solutions of (10.17) and (10.26), respectively.

Then there exists a constant C independent of e such that

280 CHAPTER 10

obtain

Hence,

problem (10.11) or its regularization (10.26) are constructed in the usual way.

We construct a family offinitedimensional subspaces \h of Vby approximating

the test functions v, by piecewise polynomials over a partition fl/, of (1

consisting of E = E(h) finite elements. In the present case, we shall assume

that the spaces Vh exhibit the following interpolation properties as in 4.2:

local element shape functions that contain complete polynomials of degree

=s/c, there exists a constant C, independent of v and the mesh size h, and

a vector field vh e Vh such that

whenever y(v)eH r (r c ).

The finite element approximation of (10.11) is of the form

is characterized by

We easily verify that under the assumptions of Theorems 10.2 and 10.3,

there exist unique solutions uh and ueh to (10.30) and (10.31) respectively, the

CONTACT PROBLEMS WITH FRICTION 281

latter existing for each e > 0. Moreover, arguments identical to those leading

to (10.27) show that for fixed h, a constant C exists such that

following intermediate result:

THEOREM 10.5. Let u denote the solution of (10.11) and suppose that

In addition, let uh be the solution of (10.30) and suppose that Vh is such that

the interpolation properties (10.28) and (10.29) hold. Then

Proof. For arbitrary ve V and \h e V h we have

for all \he\h, where in the last step we use Green's formula and the regularity

assumptions stated in the hypotheses of the theorem to replace a(u, v,, -u)-

f(\h -u) by integrals on Fc.

We next use the coercivity of a( , ) and Holder's inequality to obtain

282 CHAPTER 10

Here we have used the inequality |v/,T| - U T | ^ \\hT -UT\. Introducing the inter-

polation properties (10.28) and (10.29), we have

The estimate (10.33) now follows from this last result after an application of

Young's inequality.

The final error estimate is now an immediate consequence of (10.32) and

(10.33) and the triangle inequality:

THEOREM 10.6. Let (10.32) and the conditions of Theorem 10.5 hold. Then

the error in the approximation of (10.11) by (10.31) satisfies

In particular, ifr = 2,

Raphson algorithms can be used to solve the nonlinear algebraic system arising

from the finite element approximation (10.31). If a regularization of the friction

terms such as (10.18) is used, it is necessary to define an approximation of

the full adhesion ("stick") zone and the sliding or slip zone on the contact

surface. For a given small e > 0, we set

regularized problem. The notation in 6.5 is again employed. As is now

obvious, the bilinear and linear forms, fl( , ) and /() assume the following

forms for the discrete problem:

respectively, where

CONTACT PROBLEMS WITH FRICTION 283

Similarly the additional term arising from the work done of the frictionftl

forces is discretized as

where

and

Thus the finite element approximation (10.31) yields the nonlinear system

by the recurrence formula,

for t = 1,2, , where 'u is the fth approximation of u, 'Auf the increment

for the (f + l)th approximation of uj, and '&R'a is the remainder at the end

of the fth iteration defined by

Solving the linear equation (10.44) in the increment 'Au, we obtain the

approximation

where

nonlinear equations (10.43). Indeed, (10.43) yields the linear system in ( + 1 u:

(10.49) provides very rapid convergence.

It remains to be shown how the initial approximation 'u/, is calculated. In

the following examples, we simply compute lueh under the condition that all

of Fc is in the stick condition.

284 CHAPTER 10

elastic slab of unit thickness and 8 units in length in a state of pla<e strain.

The material has a Young's modulus E = 1000 and a Poisson's ratio of v = 0.3.

The slab is fixed at one end, rests on rollers on a rigid foundation, and is

subjected to a uniform normal pressure of 300/unit length along its upper

surface through a frictional surface Fc with a coefficient of friction VF = 0.3.

In addition, the slab is subjected to a compressive force of 300/unit length at

its free end. The situation is shown in Fig. 10.4.

The numerical analysis was done using the uniform mesh of 16 9-node

quadratic elements shown and a regularization parameter of e = 10~5 was

employed in all calculations. Convergence of the Newton-Raphson algorithm

to five significant figures was obtained in only four iterations.

Computed deformed shape and frictional stresses are shown in Fig. 10.5.

In this case, crn = 300 and VF = 0.3 on Fc, so the prescribed function s = 90

stress units. We observe that the stick and sliding portions of the contact

surface are easily identified by establishing those points at which |CTT|SS.

It is clear that a homogeneous deformation is developed under most of the

sticking zone, while nonhomogeneous deformations are observed under the

sliding zone. The high friction effects cause a rapid decay in the effects of the

end thrust, and the influence of the end loads is confined to a relatively small

region of the body near the free end.

shall now describe an algorithm, due to Campos, Oden and Kikuchi [1], for

solving the general variational inequality (10.5) which corresponds to the

Signorini problem with Coulomb friction:

Find u e K:

FIG. 10.4. An elastic slab with an applied normal pressure on the top line CD on which Coulomb's

law of friction holds. Reprinted with permission from L. T. Campos, J. T. Oden, and N. Kikuchi

[1], Computer Methods in Applied Mechanics and Engineering. Copyright 1982 Elsevier Science

Publishers.

CONTACT PROBLEMS WITH FRICTION 285

FIG. 10.5. Computed results: (a) frictional stresses along line CD and (b) the deformed finite

element mesh. Reprinted with permission from L. T. Campos, J. T. Oden, and N. Kikuchi [1],

Computer Methods in Applied Mechanics and Engineering. Copyright 1982 Elsevier Science

Publishers.

where

In order to consider this problem, we shall decompose (10.50) into two parts:

Case 1. The prescribed tangential stress. Assuming that the friction stress is

known, we shall solve the Signorini problem obtained from (10.50),

where

Case 2. The prescribed normal stress. Assuming that the contact stress is

known, we shall solve the reduced friction problem studied in 10.3 which is

a special case of (10.50),

where

286 CHAPTER 10

The general problem (10.50) could be resolved iteratively using these two

special cases alternately. For example, at the odd steps of iteration, Case 1 is

solved, and at even steps of iteration Case 2 is solved, etc. In some cases, even

these two special cases might not be necessary. Indeed, consider a modified

reduced problem

satisfied, and the functional j is given by

for a "prescribed normal contact pressure <rn" It is noted that the pressure crn

used to form the functional j need not match the contact pressure which is

obtained by solving the modified reduced problem (10.58). Now if we can

compute the solution u to (10.58) and the contact pressure on Fc, say am the

functional j can be updated by the newly obtained &. If crn and an are close,

then the solution u of (10.58) could be identified with the solution to the

original Coulomb friction Signorini problem (10.50). If crn and <rn are not

close, this process could be repeated until the difference between an and <rn

is sufficiently small. We shall use this idea to show the existence of a solution

to a more general class of friction contact problems in Chapter 11.

We shall now describe an algorithm for solving (10.50) which makes use of

the Signorini problem in Chapter 6 and the reduced problem discussed in

10.3-10.6. The basic strategy is outlined as follows:

1) First, a finite element approximation of the problem is obtained for a

prescribed tangential stress on Fc. The idea here is to compute as a first

approximation, normal contact pressures produced to be used later as data

for a problem with friction but with prescribed normal pressures. For this

purpose, we employ the reduced integration, exterior penalty method described

in Chapter 6 for contact problems without friction, but for which tangential

stresses are prescribed on Fc. In this method, we seek a minimum of the

penalized energy functional

integral JVC is replaced by a suitable quadrature rule / which may be of an

order lower than that necessary to evaluate this integral exactly. The load

CONTACT PROBLEMS WITH FRICTION 287

functional f\ in this case is given by (6.24) and the numerical analysis of this

case is discussed in detail in Chapter 6. The basic finite dimensional variation^!

problem is of the form

Note that this problem is nonlinear: the function (uehln - g) + is the positive part

of (Uhn~g) and is, therefore, unknown. However, any of several iteratiqn

schemes can be used to solve this problem without difficulty. In subsequent

numerical experiments, we employ the successive over-relaxation scheme

described in Chapter 6.

2) Having calculated u for a specified e, and h, we calculate nodal values

of the normal contact pressure by setting

taken to be Simpson's rule. Then the normal contact pressure aehln is a con-

tinuous, piecewise quadratic polynomial on the contact surface Fc. Of course,

if ei>0, the unilateral condition uhn-g<Q will not be satisfied exactly ori

this surface.

3) Having calculated the approximate displacement u' and normal contact

pressure crln for the frictionless case, we now use these results to compute

data for a reduced problem of the type described by (10.55) with Coulomb

friction but with prescribed normal pressures with fF now given by (10.57),

Thus, we next select e > 0 and, using the available function u', identify "stick"

or "sliding" conditions on Fc. We set

and

for any iij,, \h\h, where </> e (v h ) is defined in a similar way to that iri

(10.18)-(10.20).

Then a correction u of u> for frictional effects is computed by solving the

linear problem

We remark that if the "sliding condition" (|ur > e ) holds at a node, the

contribution to (10.64) from {D/e,;,(u), v h ) is represented by the addition of

terms to the load vector of the system; on the other hand, contributions of

these frictional terms for |uh' T |<e are added to the stiffness matrix of the

problem. (The first iteration is performed under a stick condition.)

288 CHAPTER 10

4) Having obtained the solution ueh of (10.64), we can now calculate tangen-

tial stresses vehT on Fc. We return to the problem without friction described

in step 1 and, treating &ehT as data, resolve the contact problem for the case

in which tangential nodal forces cr^t/) are applied on the contact surface.

This leads to new iterates u l(2) , or},(2) of the displacement field and the normal

contact pressure. We then repeat step 3 using these corrected solutions and

obtain a second (corrected) approximation of <rehT.

We continue this process until successive solutions do not differ by a

preassigned tolerance. We remark that while the above procedure has proved

to be convergent for many test cases, it may not always converge; one can

visualize cases in which tangential forces are applied in Signorini's problem

in the second iteration and no contact takes place. The process may terminate

or diverge. Also, there are no features of the process that would allow for the

detection of multiple solutions. Nevertheless, the process has proved to be

convergent and very effective for a wide class of friction problems and it

appears to work especially well in problems in which adhesion prevails over

significant portions of the contact surface.

Numerical examples. We shall now apply the above algorithm to several

contact friction problems. Some of these examples are drawn from the papers

of Campos, Oden and Kikuchi [1].

Example 10.2. The first example concerns the deformation of a thick elastic

slab resting on a Winkler foundation on which Coulomb's law holds.

Dimensions and material data are given in Fig. 10.6, the spring constant k of

the foundation being k = 100 units of force/length2. In this case, 4-node bilinear

elements are used and the regular mesh indicated in the figure was employed

to model the problem as shown in Fig. 10.6(a). A regularization parameter

e = 10~5 was used in the formulations (10.40).

Computed results are indicated in Fig. 10.6(b), where we find the deflected

shapes computed with and without friction compared, the latter corresponding

to a value of VF = 1.0. As expected, the contact area is smaller in the nonfriction

FIG. 10.6(a). Finite element model of an elastic slab resting on a Winkler foundation. Reprinted

with permission from L. T. Campos, J. T. Oden, and N. Kikuchi [1], Computer Methods in Applied

Mechanics and Engineering. Copyright 1982 Elsevier Science Publishers.

CONTACT PROBLEMS WITH FRICTION 289

FIG. 10.6(b). Computed displacements for an elastic slab resting on a Winkler foundation: (i)

without friction and (ii) with friction. Reprinted with permission from L. T. Campos, J. T. Oden,

and N. Kikuchi [1], Computer Methods in Applied Mechanics and Engineering. Copyright 1982

Elsevier Science Publishers.

case and the magnitude of the deformation is smaller owing to the absence

of frictional forces. Note also that the presence of friction forces creates

significant shear deformations not experienced in the nonfriction case. In fact,

it is clear from the computed results that the classical Kirchhoff hypotheses

of beam theory are not valid when frictional forces are present since plane

sections normal to the slab's axis before deformation are not plane and normal

to the deformed axis after deformation. The computed variations in normal

contact pressures and tangential frictional stresses along segment AB are

illustrated in Fig. 10.6(c).

Example 10.3. Consider an infinitely long slab lying on a flat rigid foundation,

and suppose that its cross section is rectangular. If we assume friction exists

between the bottom surface of the slab and the foundation, and if the slab is

subjected to a downward uniformly distributed force on the top surface, a

friction contact problem can be defined. In this case, the contact pressure crn

is not specified although the contact area Fc is known a priori. Thus, we must

use the general formulation given by (10.50).

Suppose that the height and width of the cross section are h = 5 units and

b = 10 units, respectively, and that Young's modulus and Poisson's ratio are

E = 2.1 x 107 psi and v = 0.29, respectively. Assuming a constant coefficient of

friction VF = 0.3, we apply a uniform traction t = 104 psi in the negative direction

of the y axis without any body forces. Using the symmetry of the problem,

290 CHAPTER 10

FIG. 10.6(c). Computed frictional stress and contact pressure along surface AB. Reprinted with

permission from L. T. Campos, J. T. Oden, and N. Kikuchi [1], Computer Methods in Applied

Mechanics and Engineering. Copyright 1982 Elsevier Science Publishers.

we solve only a right half portion, and obtain the distribution of the normal

and tangential stresses on the contact surface F shown in Fig. 10.7. It is obvious

that the contact pressure is no longer uniform, as in the frictionless contact

problem. High pressures are observed at the edges, but these remain finite

because the sliding condition is imposed.

Example 10.4. The next example involves the indentation of an elastic

half-space by a rigid spherical punch, as shown in Fig. 10.8(a). The material

is isotropic and homogeneous, with E = 1000 and v = 0.3, and we take vp = 0.6.

The half-space is modeled by the nonuniform mesh of biquadratic 9-node

elements indicated in the figure.

The algorithm described earlier was employed to solve this problem with

and without friction, with a penalty parameter e, = 10~10 and a regularization

parameter of e = 10~8. The results indicated in Figs. 10.8(b)-10.8(d) were

obtained after ten iterations. Figure 10.8(b) shows the computed deformed

shape of the "half-space" for the case with friction. The deformed configuration

suggests large shear deformations near to the separation point. Figure 10.8(c)

compares the contact pressure and the friction stress with classical Hertz

solution without friction. For frictionless problems, our finite element approxi-

mations are in excellent agreement with the Hertz solutions. If friction is taken

into account, the maximum contact pressure increases about 7 percent, while

the amount of contact area is reduced. An interesting feature of the numerical

result obtained is that the distribution of the friction stress has a sort of singular

CONTACT PROBLEMS WITH FRICTION 291

FlG. 10.7. The contact pressure an and the friction stress crT.

behavior at the limit point of the sticking zone. Indeed, the friction stress is

gradually developed in the center portion of the contact surface, and it rapidly

increases to the friction force created by sliding near to the interface of the

sticking and sliding zones. Computed stress distributions in the foundation

under the apex of the punch are shown in Fig. 10.8(d) and the computed

results are again compared with the classical frictionless solution. Note that

the presence of friction has brought about an increase in the maximum

longitudinal stress (<rzz) under the punch, but a substantial reduction in the

radial stress cr RR .

Example 10.5. In this example, we repeat the rigid punch problem of Example

10.4 except that we use a flat annular rigid stamp of the type shown in Fig.

10.9(a). The nonuniform mesh of 9-node biquadratic elements shown was

used, with EI = 10~10, e = 10~4. In this case, reasonable convergence of the

292 CHAPTER 10

FIG. 10.8(a). Indentation of an elastic body by a rigid spherical punch: undeformed configuration.

Reprinted with permission from L. T. Campos, J. T. Oden, and N. Kikuchi [1], Computer Methods

in Applied Mechanics and Engineering. Copyright 1982 Elsevier Science Publishers.

FIG. 10.8(b). Indentation of an elastic body by a rigid punch: deformed configuration. Reprinted

with permission from L. T. Campos, J. T. Oden, and N. Kikuchi [1], Computer Methods in Applied

Mechanics and Engineering. Copyright 1982 Elsevier Science Publishers.

CONTACT PROBLEMS WITH FRICTION 293

FIG. 10.8(c). Comparison between distribution of computed pressure and stress due to friction and

a classical Hertz solution along surface AB. Reprinted with permission from L. T. Campos, J. T.

Oden, and N. Kikuchi [1], Computer Methods in Applied Mechanics and Engineering. Copyright

1982 Elsevier Science Publishers.

FIG. 10.8(d) Comparison between stress distributions along AC. Reprinted with permission from

L. T. Campos, J. T. Oden, and N. Kikuchi [1], Computer Methods in Applied Mechanics and

Engineering. Copyright 1982 Elsevier Science Publishers.

294 CHAPTER 10

FIG. 10.9(a). Indentation of an elastic body by a flat annular rigid stamp: undeformed configuration.

Reprinted with permission from L. T. Campos, J. T. Oden, and N. Kikuchi [1], Computer Methods

in Applied Mechanics and Engineering. Copyright 1982 Elsevier Science Publishers.

numerical process outlined earlier was obtained after only 5 complete iter-

ations.

Numerical results for the case of pure adhesion are summarized in Figs.

10.9(b)-10.9(d). The computed deformed shape of the mesh is shown in Fig.

10.9(b). Figure 10.9(c) contains plots of the displacement components at the

FIG. 10.9(b). Computed deformed configuration. Reprinted with permission from L. T. Campos,

J. T. Oden, and N. Kikuchi [ 1 ], Computer Methods in Applied Mechanics and Engineering. Copyright

1982 Elsevier Science Publishers.

CONTACT PROBLEMS WITH FRICTION 295

FIG. 10.9(c). Computed displacements and comparison with analytic solutions, from the results

of Shibuya, Koizumi and Nakahara [1]. Reprinted with permission from L. T. Campos, J. T. Oden,

and N. Kikuchi [1], Computer Methods in Applied Mechanics and Engineering. Copyright 1982

Elsevier Science Publishers.

FIG. 10.9(d). Computed stresses and comparison with analytic solutions, from the results of

Shibuya, Koizumi and Nakahara [I]. Reprinted with permission from L. T. Campos, J. T. Oden,

and N. Kikuchi [1], Computer Methods in Applied Mechanics and Engineering. Copyright 1982

F.lsevier Science Publishers.

296 CHAPTER 10

surface of the foundation and Fig. 10.9(d) shows the stresses under the

punch for the nonfriction and friction cases. Also indicated in the figure

are results obtained by Shibuya, Koizumi and Nakahara [1] for this case

using an analytical method. The results are seen to be in quite good agree-

ment with the analytical solution.

We remark that in this example a strong singularity in stress exists at the

edges of the stamp, the character of which is unclear from the numerical

results. It is known (e.g., Muskhelishvili [1]) that in the case of full adhesion

of a rectangular punch indented in a half-space, a logarithmic singularity in

stress exists in a small neighborhood of each corner. For a stamp of length /,

the singularity is such that the stress changes sign in a neighborhood of diameter

roughly .003 /; hence, the singularity is very localized. On the other hand, if

full sliding occurs (i.e., |CTT| = vF\crn\ throughout Tc), a singularity of O(l/Vr)

is developed in the stress, r being the distance from the corner of the stamp.

The analysis of Shibuya, Koizumi and Nakahara [1] indicates a singularity

of 0(l/-/r) for the general case. Our results, which may not be sufficiently

refined to give a full picture of this singularity, seem to indicate a singularity

of strength O(l/Vr).

Example 10.6. Let us next consider a two-body contact problem with friction.

This example involves the contact of the circular disk and a rectangular plate

shown in Fig. 10.10(a) which are assumed to be in plane stress and to both

be constructed from the same material (Young's modulus E = 2.1 x 104psi,

CONTACT PROBLEMS WITH FRICTION 297

Poisson's ratio v = 0.29) and to have the same thickness, t = 1 unit. The width

of the plate is twice the radius of the disk and the height is the same as the

radius. We shall model this problem using 99 4-node (Qr) elements and we

exploit the symmetry with respect to the vertical axis through the centroid of

the disk. We take for the radius of the disk R = 50 units and for the applied

force at the top of the disk P = 104 Ibs.

The computed deformed configuration is shown in Fig. 10.10(b), and the

corresponding contact pressure ov, and the friction stress crT are given in Fig.

10.10(c) for the case in which the coefficient of friction is vp = 0.3. In this case,

we cannot find any portion of the contact surface that is sliding and the friction

force is very small compared to the contact pressure. This differs from the

results obtained in Example 10.4 for the rigid punch problem. If a rigid disk

is used, considerably larger friction stresses are created on the contact surface

and the sliding zone appears near the separation point. It is easily understood

that if two identical disks are in contact, there should not be any friction

stresses and sliding zones. Figure 10.10(d) shows the principal stresses at the

fig10.10(c).Distibutions stresesss.tresses. fig10.10(c).Distibutions stresesss.tresses.

CONTACT PROBLEMS WITH FRICTION 299

centroid of each element, and Fig. 10.10(e) gives contour lines of the Tresca

stress measure,

where cr, and cr2 are the principal stresses for plane stress problems.

Example 10.7. This example involves the two-body contact problem with

friction illustrated in Fig. 10.11(a), which features bodies constructed of two

different materials. The elastic punch is characterized by a Young's modulus

E=2.1xl0 4 and Poisson's ratio i> = Q.29, while the elastic foundation is

constructed of a material with E = 2.1xl0 3 and ^ = 0.45. Plane strain is

assumed in the formulation.

We assume that a horizontal thrust P is applied along the right edge of the

punch, while the punch is simultaneously indented into the foundation to a

depth d = 0.4. We shall solve the friction contact problem for two cases: P = 25

300 CHAPTER 10

FIG. 10.1 l(b). Deformed configurations for two applied horizontal thrusts P.

CONTACT PROBLEMS WITH FRICTION 301

FIG. 10.1 l(c). Displacement vectors of the elastic punch and foundation for two different horizontal

thrusts.

>F = 0.5.

Figure 10.11(b) shows the computed deformed configurations, and Fig.

10.11(c) describes the displacement vector at each node for both the P = 25

and P = 400 cases. It is clear that if the horizontal thrust P is small enough,

the deformation is almost symmetric about the centerline. However, if a large

horizontal force (P = 400) is applied, the motion takes the punch toward the

right-hand side of the foundation in the same direction as the horizontal thrust.

It is clear that the horizontal force P is transmitted into the foundation through

friction.

Figure 10.1 l(d) gives the computed distribution of the contact pressure and

the frictional stresses for both cases P = 25 and P = 400. The distribution of

the contact pressure appears to be insensitive to the amount of the friction

302 CHAPTER 10

changes in the magnitude of the applied horizontal force P. For P = 25, almost

all of the contact area is in the "sticking zone" (full adhesion) except for the

left edge. For P = 400, the distribution of the friction stress becomes nearly

symmetric about the centerline since only the very center portion of the punch

remains in the stick region. Thus the stresses related to contact are almost

symmetric for the large horizontal force P = 400. However, overall we have

very unsymmetric results for P = 400, as shown in Fig. 10.1 l(e) and (f). It is

clear that for the small horizontal force P = 25, the stress distribution is almost

symmetric inside of the domain.

CONTACT PROBLEMS WITH FRICTION 303

of turbine blade roots and their anchor as shown in Fig. 10.12(a). The vector-

valued applied body force is defined by

where (o is the given angular velocity at 30,000 RPM. Fixing the left end of

the structure, and sliding the right end without any friction, we shall consider

contact of two separated structures near to the center. We assume that both

structures have a Young's modulus of E = 2.1 x 105 and Poisson's ratio v = 0.29,

and that the bodies are in a state of plane strain. The coefficient of friction is

*/F = 0.3.

304 CHAPTER 10

FIG. 10.11(f). ho-Tresca stress lines of the structure for two different horizontal thrusts.

CONTACT PROBLEMS WITH FRICTION 305

FIG. 10.12(c). Distribution of the contact pressure and the friction stress.

306 CHAPTER 10

10.12(c) gives the distribution of the contact pressure and the friction stress.

In this problem all of the contact area is sliding. Because of the rather large

gap between the two structures, only two elements actually come into contact.

Computed stress contours are shown in Fig. 10.12(d) and (e). Maximum

stresses occur near the contact surfaces, as expected.

Chapter 11

Friction Laws

contact problems with friction in linear elastostatics assuming nonclassical,

particularly nonlocal and nonlinear friction laws, instead of the classical

pointwise Amonton-Coulomb law studied in the previous chapter.

Our objectives include the presentation of physical and mathematical argu-

ments in support of these more general friction laws, the formulation of

appropriate variational principles for the corresponding boundary value prob-

lems, the establishment of sufficient conditions for the existence and uniqueness

of solutions, the approximation of such problems by finite elements, the

derivation of a priori error estimates, the consideration of algorithms for

solving the discrete variational inequalities, and finally the numerical resolution

of representative example problems.

Following this introduction, we give a brief account of the history and

physics of friction as well as a justification of specific friction models. Several

variational principles for boundary-value problems in elasticity in which non-

local and nonlinear laws are assumed to hold are derived in 11.4 and 11.5.

There we establish sufficient conditions for existence and uniqueness of sol-

utions to the nonlocal nonlinear friction problems. A penalty formulation of

these problems is introduced and a convergence theorem with explicit estimates

of penalty resolutions of the variational inequalities previously examined is

developed. Section 11.6 is devoted to the approximation and numerical analysis

of nonlocal nonlinear friction problems. There we describe finite element

approximations of the variational inequalities developed in 11.5 and we

establish a priori error estimates for such approximations. Algorithms for

solving finite element approximations of nonclassical friction problems are

presented in 11.7, and the results of several numerical experiments are

307

308 CHAPTER 11

described. Finally in 11.8 in order to take into account the history of the

loading, quasi-static friction problems are considered and variational prin-

ciples, in an incremental form, are introduced.

Portions of this chapter are based on the works of Oden and Pires [1], [2],

[3], [4] and Pires and Oden [1] where further details can be found.

Why more generalfriction laws ? The classical pointwise friction law presented

by Amonton in 1699 and extended by Coulomb in 1781 asserts that relative

sliding of two bodies in contact will occur when the net tangential force reaches

a critical value proportional to the net force pressing the two bodies together.

This remarkably simple idea, which was actually known to da Vinci in the

fifteenth century, has been the basis for most friction studies for almost three

centuries.

As friction phenomena and the structure of mathematical models of friction

become better understood, however, it becomes increasingly clear that the use

of these classical "laws of friction" as a basis for contact problems in the

theory of elasticity is neither acceptable from a physical nor a mathematical

point of view. From the purely physical side, it has been recognized for many

years that the Amonton-Coulomb law is capable of describing only friction

effects between effectively rigid bodies and gross sliding of one body relative

to another. Indeed, it is very doubtful that Coulomb himself intended that his

law be applied in a pointwise way in contact problems in elasticity. In 1781

when Coulomb presented his "Theorie des Machines Simples" to the French

Academy, the foundations of continuum mechanics were in an early stage of

development; the concept of stress and the general equations of linear elasto-

statics were not to come until a half-century later in the writings of Cauchy,

Navier, and others, and a full century would elapse after Coulomb's work

(and 182 years after Amonton's) before the simplest contact problems in

elasticity were dealt with successfully by Hertz. From the mathematical point

of view, it is shown in Chapter 10 that if Coulomb's law is applied pointwise

in contact problems involving linearly elastic bodies, then the contact stress

an developed normal to the contact surface may be ill defined. Except for

some very special cases (e.g., Necas, Jarusek, and Haslinger [1]) the funda-

mental question of existence of solutions of the friction problem is open (for

other related open questions, see Duvaut and Lions [1]).

Independent of the nonlinear character of local friction phenomena, there

are also mathematical reasons to expect that a nonlocal friction law might

lead to a more tractable theory. Duvaut [3] observed that the source of

difficulties in establishing an existence theory for Signorini's problem with

Coulomb friction was the lack of smoothness of the normal contact pressure

crn. Therefore, by considering, instead, a proper mollification of the normal

stresses on the contact boundary he was able to state that the principal obstacles

in the way of deriving an existence and uniqueness theory for contact problems

with friction could be overcome. One interpretation of such a smoothing of

NONCLASSICAL FRICTION LAWS 309

phenomena taking place on the contact regions.

In the present chapter, we introduce some nonclassical friction laws for

contact problems involving linearly elastic bodies. Among these are nonlocal

laws, which reflect the nonlocal characteristics noted above, and nonlinear

laws which arise from models of normal interfaces compliance. We study the

nonlocal version in the present chapter and return to the nonlinear normal

contact laws in Chapter 13. Here we present variational principles for contact

problems in elastostatics in which nonlocal laws hold. Roughly speaking, a

nonlocal friction law proposes that impending motion at a point of contact

between two deformable bodies will occur when the shear stress at that point

reaches a value proportional to a weighted measure of the normal stresses in a

neighborhood of the point. The character of the effective local neighborhood

and the manner in which neighborhood stresses contribute to the sliding

condition depends upon features of the microstructure of the materials in

contact.

An interesting feature of our results is that these nonclassical friction laws

are given in terms of three positive material parameters: v, p, and e. The

parameter v is the coefficient of friction, although its actual interpretation is

somewhat more complex than that of classical mechanics. The parameter p

quantifies the nonlocal character of the responsefor p = 0 a fully local law

is obtained. Finally, e is a measure of the tangential stiffness of the elastoplastic

junctions on the contact surface; the case e = 0 corresponds to a fully rigid

responsefull adhesion or full sliding of contact surfaces. Thus, by allowing

p and e to approach zero, we can recover the classical, local, pointwise

formulation of contact problems in elastostatics based on Coulomb's law.

contact problems in elasticity is due to Hertz who formulated and solved

problems of frictionless contact of two elastic bodies in 1881. It was a half

century later that "the unilateral problem" in elasticity was formulated in the

work of Signorini in 1933.

The first extension of Hertz's theory to the contact of two elastic bodies

when the influence of friction at the contact interface is considered, was

introduced by Cattaneo [1] in 1938 and independently, using a different

method, by Mindlin [1] in 1949. A summary description of Hertzian contact

problems and their extensions to include the effects of friction and other types

of loading can be found in the article of Lubkin [1] in the Handbook of

Engineering Mechanics. For an historical account on early works on friction

and on the laws that govern friction phenomena the treatise of Bowden and

Tabor [2] can be consulted. Mindlin's analysis shows that if no slip between

the contacting surfaces exists, then the tangential shear stress at the boundary

of the contact region has a singularity. In order to relieve these infinite shear

310 CHAPTER 11

tractions, Mindlin uses Coulomb's law of friction: the shear traction at any

point in the interface cannot exceed the product of the normal pressure at

that point with a constant coefficient of friction representative of the material

and of the surface. The assumption of a finite coefficient of friction between

the surfaces in contact was also used by Spence [1], who formulated the

axisymmetric contact for a flat indentor as a mixed boundary-value problem

governed by a pair of Volterra equations.

Extensions of Hertz's theory to the case where no slip or full adhesion is

assumed were considered by Goodman [1] who sought a solution by a method

in which the load and the contact area were allowed to grow incrementally,

and also by Muskhelisvili [1, p. 476] and Gladwell [1, p. 160]. Their solutions,

however, exhibit physically unrealistic logarithmic singularities at the periphery

of the contact area. Other extensions taking into account the roughness of the

contacting surfaces were introduced, among others, by Archard [1], Green-

wood and Williamson [1], Greenwood and Tripp [1], Nayak [1], and Johnson

[2]. These authors simulate a rough contact surface by considering a statistical

distribution (Gaussian or exponential) of spherical protuberances covering

the surface of the bodies that deform elastically and independently according

to Hertz's theory.

The first variational formulations of static friction problems in the context

of linear elasticity were given by Duvaut [1] in 1970. In 1971, Duvaut and

Lions [2] presented an existence theorem for displacements and uniqueness

for stresses and strains for the problem of an elastic body whose surface is

submitted to a given density of normal forces and whose tangential displace-

ments of surface points are prescribed displacements with friction following

Coulomb's law. Variational formulations of other friction problems, in par-

ticular of Signorini's problem with Coulomb friction, are given in Duvaut and

Lions [1] together with proofs of equivalence between the classical and the

variational statements of these problems. (Details of this class of friction

contact problems have been studied in the previous chapter.)

Due to the lack of an existence theory for the Signorini problem with

Coulomb friction and the mathematical difficulties associated with this problem

(see 10.2 and 10.7), Duvaut [3] introduced a variational formulation of the

Signorini problem using instead a nonlocal law of friction. Statements of

theorems on existence and uniqueness of solutions are given, as well, in the

brief note of Duvaut [3], Variational principles of this type have also been

studied mathematically by Demkowicz and Oden [1] who, unlike Duvaut,

based their analysis on the theory of pseudomonotone variational inequalities

and also by Oden and Pires [1], [2] who not only gave complete proofs of all

relevant theorems but also generalized these principles in order to include the

tangential compliance effects that occur on the contact surface.

Finally, we wish to review briefly some of the experimental work that has

been done in the study of friction between metallic surfaces. The classic

NONCLASS1CAL FRICTION LAWS 311

reference here is again the treatise of Bowden and Tabor [1] who describe an

experimental study of the physical and chemical processes that occur during

the sliding of solids, particularly of metals. These investigations were continued

in a second volume by Bowden and Tabor [2]. The direct experimental

demonstration of junction growth and its role in adhesion was first shown by

McFarlane and Tabor [1] in their study of the behavior of indium in air. The

use of normal adhesion as a means to determine the area of contact between

the surfaces as well as the effect of surface films on the adhesion of solids was

also experimentally shown by McFarlane and Tabor [2]. Their results also

show that the smallest tangential stress initiates movement. Johnson [1] and

Courtney-Pratt and Eisner [1], among others, studied experimentally under

static conditions the microdisplacements produced when tangential forces,

less than those necessary to produce gross sliding are applied to contacting

metal bodies.

The frictional behavior due to the formation and inelastic deformation of

junctions was the subject of experimental work of Green [1] and Greenwood

and Tabor [1]. The experimental study of microdisplacements under oscillatory

conditions, i.e., involving oscillatory tangential forces, was also considered by

Johnson [1], [2] and by Mindlin et al. [1]. In this case, vibrational energy is

dissipated at the interface and fretting of the surfaces occurs. Measurements

of the energy loss were made and the results compared with the analytic theory

of Mindlin et al. [1]. We particularly refer to the microphotographs shown in

Johnson [1], [2] (and also in Bowden and Tabor [2]) of surfaces subjected to

oscillating forces of different amplitudes. A careful study of these photographs

shows that intimate metal-to-metal contact occurs only at the crests of the

surface asperities and that an annular region of damage takes place, spreading

inward with increasing tangential force. As a last reference we mention the

experimental analysis of displacements and shears at the surface of contact

between two loaded models made of transparent polyurethane rubber (photo-

flex) done by Bremond and Durelli [1].

phenomenon of static dry friction between metallic bodies has been the subject

of intense experimental and theoretical research for the last half century, and

its study is a popular and important aspect of modern engineering design.

There exists extensive literature on the physical mechanisms associated with

friction. As noted earlier, the standard reference is the monumental two-volume

treatise by Bowden and Tabor [1], [2]; more concise introductory accounts

can be found in various textbooks on the subject (e.g., Rabinowicz [1], Bowden

and Tabor [3]); detailed surveys have been published by Tabor [1], [2].

In the present section we shall describe certain aspects of the micromechanics

of friction which are relevant in supporting the construction of nonclassical

laws.

312 CHAPTER 11

FIG. 11.1. Reproduction of a microphotograph in Bowden and Tabor [1] showing asperities on a

copper surface. From F. P. Bowden and D. Tabor [1], The Friction and Lubrication of Solids.

Copyright 1950 Clarendon Press.

To understand friction, one must first appreciate the role of the microstruc-

ture of the materials involved. Consider an experiment in which two metallic

bodies are placed in contact along two apparently flat machined surfaces. At

microscopic levels, specifically at magnifications of lOOx to SOOOx machined

metal surfaces are seen to be not smooth homogeneous planes but rough

contours with numerous irregularities which are large compared with molecular

dimensions. We refer to these deviations from the plane as asperities (see Fig.

11.1 for a reproduction of a photograph given in Bowden and Tabor [1, Plate

II]).

When we press together two surfaces, actual contact initially occurs only at

the peaks or summits of the asperities. Large areas of the surfaces are separated

by a distance which is large compared with the range of molecular action, so

that these gaps in the surfaces are completely separated and have no interaction

with one another. The load is, therefore, initially supported at the tips of the

asperities; the area of contact is extremely small, and the pressure at the points

of contact is high even for lightly loaded surfaces. Plastic deformation of the

tip of the asperities occurs at small loads while the bulk of the underlying

metal deforms elastically. As the normal load is further increased, the asperities

deform and fracture with the result that the local load is distributed over an

area surrounding each deformed asperity. At this stage, each asperity has been

flattened and the local contact forces are distributed over a neighborhood of

the asperity. Hence the real area of contact Ar is only a fraction of the nominal

or apparent area and is given by the sum of the areas of all the surface

irregularities which are touching and which support the load. The true contact

pressure is therefore also discontinuous since it is transmitted through the

deformed asperities as indicated in Fig. 11.2.

It is often assumed that the local plastic yield pressure p0 is nearly constant

and is comparable to the indentation hardness of the metal. Under these

NONCLASSICAL FRICTION LAWS 313

FIG. 11.2. Surface roughness, asperities; contact between two surfaces, junctions.

circumstances, the real area of contact for any one asperity bearing a load N;

is A( = Nj/Poi fr the assembly of the asperities, the real contact area is

where JV is the total normal force pressing the surfaces together. The real area

of contact is, thus, proportional to the load and independent of the size of

the surfaces. Over these regions where intimate contact occurs, strong adhesion

and welding of the metal surfaces takes place and the specimens become, in

effect, a continuous solid. We refer to these regions as junctions.

314 CHAPTER 11

FIG. 11.3. Surface films according to Rabinowicz. From E. Rabinowicz [1], Friction and Wear

of Materials. Copyright 1965 John Wiley, Inc.

Under most working conditions, metal surfaces are covered by a thin film

of oxide, water vapor, and other absorbed impurities, as shown in Fig. 11.3.

The shear strength of these junctions can be strongly dependent upon the

shear strength of these surface films. In particular, it is the shear strength of

this layer of oxide and impurities that often determines the coefficient of

friction and not, in general, the shear strength of the parent metals (see Bowden

and Tabor [2, p. 74]).

The application of a tangential force T creates a tendency for the two bodies

to slide relative to each other. The contact pressure must then decrease (since

it was near or equal to the plastic yield stress). Some microscopic motion will

occur even when T is small (see Fig. 11.4). If T is steadily increased, a value

of sufficient magnitude to fracture the contaminant films is eventually reached

and gross sliding occurs. It is,customary to set the ratio of the magnitude of

T at which sliding occurs to the net normal force N equal to the coefficient

of friction v. If s is the average shear strength of the interface, it follows that

approximately

substituting for An we obtain

As an idealization of the contact surfaces, one may assume that the asperities

are superposed upon the surface of spherical protuberances with a larger

radius of curvature. It is then possible to consider that although each individual

asperity at the interface will deform plastically, the deformation of each

spherical protuberance will be elastic. This idealization has two purposes: first,

NONCLASSICAL FRICTION LAWS 315

FIG. 11.5. Reproduction of microphotographs in Bowden and Tabor [2] showing damage produced

by an oscillating tangential force for two different values of its amplitude. From Bowden and Tabor

[2], The Friction and Lubrication of Solids. Copyright 1964 Oxford University Press.

316 CHAPTER 11

the area of real contact still remains approximately proportional to the load,

although the overall deformation is elastic (see Archard [1]); second, it allows

us to treat each region of contact as being roughly circular (see Fig. 11.5 for

a reproduction of microphotographs given in Bowden and Tabor [2, Plate

IX]) and to regard the contact pressure as being essentially symmetric, attaining

its maximum magnitude at the center of the circle of contact, in a manner

consistent with the well-known analysis of Mindlin [1].

We emphasize that the junctions through which loads are transmitted from

one body to another are not rigid; indeed, they are composed of a deformable

composite of metal, metal oxide, and surface contaminant that, for our pur-

poses, can be assumed to be elastoplastic or nonlinearly elastic. Several

researchers have actually measured the tangential micro-displacements that

occur, in friction experiments on metals, prior to gross sliding of the surfaces,

and we mention as examples the works of Johnson [1] and Courtney-Pratt

and Eisner [1]. Figure 11.6 reproduces a typical result of a static displacement

test of Johnson [1] which involved the contact of a hard steel ball with the

flat end of a hard steel roller. Micro-displacements are produced by an applied

shear force varying progressively from zero to the value necessary to produce

slip. The deformation of individual junctions from their formation to fractur

was also studied by Green [1] using plasticine models. Greenwood and Tabor

[1] performed several experiments simulating three basic types of junctions:

(1) strong welded junctions, which are formed when the contact surfaces are

very clean, (2) weak, dry junctions, which are formed when the surfaces are

contaminated by dust and oxides, and (3) lubricated junctions, which are

formed when there is a film of fluid between the surfaces. The materials used

were aluminum, indium, lead, and plasticine. Their results are shown qualita-

FIG. 11.6. Measured shear-tangential displacement variations after the experiments of Johnson.

From K. L. Johnson [1], Proceedings of the Royal Society of London, Series A. Copyright 1955

Royal Society of London.

NONCLASSICAL FRICTION LAWS 317

FIG. 11.7. Values of the normal force N and tangential force Tfor (a) strong junction, (b) weak

junction, (c) lubricated junction according to Greenwood and Tabor. From J. A. Greenwood and

D. Tabor [1], Proceedings of the Physical Society of London, Series B. Copyright 1955 Physical

Society of London.

friction of both Green [1] and Greenwood and Tabor [1] was achieved by

shearing large-scale models of friction junctions under conditions where no

normal displacements were allowed.

The fracture and damage of the junctions is a principal contribution to the

wear of the metallic surfaces. In the case of weak dry junctions the size and

structure of the asperities are substantially reduced by these fractures, so that

if the direction of the applied tangential force is ultimately reversed, the

strength of new junctions that may be formed can be somewhat lower than

that of the original ones, depending on the magnitude of the net normal forces

on the contact surfaces. Globally this corresponds to a reduction in the

coefficient of friction.

nonlinear normal contact laws characterizing interface deformability and non-

local friction laws for static contact phenomena where large normal forces

may produce local plastic deformations of asperities. For more detailed dis-

cussions, the work of Oden and Pires [1] and Oden and Martins [1] can be

consulted.

and experimental results on the static normal contact of rough surfaces which

will lead to another class of nonlinear friction laws. Further details on the

theoretical issues can be found in the survey papers of Archard [1], [2], Thomas

[1] and Whitehouse [1]. For the experimental work we follow essentially the

survey papers of Back, Burdekin and Cowley [1] and Woo and Thomas [1].

We are especially interested in answers to the following questions: What is

the stiffness of two asperity-covered surfaces when pressed against each other1

What is the corresponding true area of contact ?

Because surfaces are rough, the true area of contact is much smaller than

the apparent area of contact. As a result, the true contact surfaces may often

318 CHAPTER 11

support pressures so large that they are comparable with the strengths of the

materials of the contacting bodies. Bowden and Tabor [1] suggested that these

pressures would be always high enough to produce plastic flow. The contacting

regions would deform plastically until the true area of contact would be just

large enough to support the load. The true area of contact Ar would be then

proportional to the applied load N. With this proportionality, ArocN, it is

possible to provide a simple and elegant explanation of Amonton's laws of

friction.

Objections to the concept of plastic deformation of the asperities were put

forward by Archard [1]. According to this author, when materials of compar-

able hardness rub together, a protuberance may be plastically deformed at its

first encounter with the other surface, but its relaxation would be elastic. At

its many subsequent encounters with the other surface the protuberance would

bear the same load by elastic deformation. Archard shows then that although

the simple Hertzian theory does not predict the proportionality between Ar

and N, a generalized model in which an asperity is covered with microasperities,

and each microasperity with micro-microasperities, gives successively closer

approximations to the law ArocN as more stages are considered (Fig. 11.8).

Archard explained that the essential part of the argument was not the choice

of asperity model: it was whether an increase in load creates new contact areas

or increases the size of existing ones. For physically plausible surfaces any

elastic model in which the number of contacts remains constant, we find that

Aroc N2/3; but if the average size of contacts remains constant (and its number

increases) then Ar oc N. Although, admittedly artificial, Archard's models were

thus very important in showing the admissibility of elastic deformation of the

asperities and the effect of the superposition upon the surfaces of asperities

of widely differing scales of sizes.

FIG. 11.8. Models of surfaces containing asperities of differing scales of sizes. The relationships

between the true area of contact (Ar) and the normal load (N) are: (a) Arx N4/s; (b) Aroc N14/IS;

(c) /4rcN44/45. From J. F. Archard [2], Surface Topography and Tribology, Tribology Inter-

national. Copyright 1974 Butterworth Scientific Ltd.

NONCLASSICAL FRICTION LAWS 319

The next step came with the development of surface models based on

knowledge gained from the examination of the actual surface topography.

Greenwood and Williamson [1] and others have shown that for many surfaces

the distribution of heights is very close to Gaussian. These authors also

investigated the distribution of peak heights and concluded that it was also

close to Gaussian (see Fig. 11.9). The model developed by Greenwood and

Williamson thus assumed a Gaussian distribution of peak heights (asperity

heights). They also assumed that the asperities, at least near their summits,

were spherical with a constant radius of curvature. The topography of the

surface was described in terms of three parameters: cr*, the standard deviation

of the distribution of asperity heights, Rt the mean radius of curvature of the

asperity tips (assumed constant in the model), and 17, the surface density of

asperities (later, Whitehouse and Archard [1] showed that these parameters

are not independent).

FIG. 11.9. Cumulative height distribution of bead-blasted aluminum. (x) Distribution of all heights.

() Distribution of peak heights. A perfect Gaussian distribution would give, with the vertical scale

used, a straight line. From J. A. Greenwood and J. P. B. Williamson [1], Proceedings of the Royal

Society of London. Copyright 1966 Royal Society of London.

320 CHAPTER 11

FIG. 11.10. Relation between separation and load. From J. A. Greenwood and J. P. B. Williamson

[1], Proceedings of the Royal Society of London. Copyright 1966 Royal Society of London.

FIG. 11.11. Relation between true area of contact and load. nominal area A = 10 cm2;

2

nominal area A = \ cm . From J. A. Greenwood and J. P. B. Williamson [1], Proceedings of the

Royal Society of London. Copyright 1966 Royal Society of London.

NONCLASSICAL FRICTION LAWS 321

The results obtained using this theory, for typical values of or*, R, 17 and

E' are shown in Figs. 11.10 and 11.11. In Fig. 11.10, the separation h* is the

distance between the mean planes of the distribution of peak heights of the

two surfaces. It is clear that the separation decreases approximately proportionally

to the increase of the logarithm of the normal load and that the real area of

contact is approximately proportional to the normal load. Greenwood and

Williamson observed that the above proportionalities hold exactly if the distribu-

tion of asperity heights is assumed exponential rather than Gaussian. For such

a distribution, which is a fair approximation to the uppermost 25 percent of

the asperities of most surfaces, it is possible to obtain closed form expressions

for the relations: load-separation, area of contact separation and, consequently,

area of contact-load:

is the real area of contact, and E' is the Hertz effective modulus of two

dissimilar materials: E' = ElE2/[El(l-v*) + E2(l- v\}\.

Tsukizoe and Hisakado [1], [2] developed a statistical model for the contact

of rough surfaces under the assumption of plastic deformation of the asperities.

They further assumed a Gaussian distribution of surface heights and that the

material displaced due to plastic deformation could be neglected. This

approach, which works well for light to moderate loads, leads to the following

relations involving load, area of contact and separation:

Here the separation h is the distance between the mean planes of the distribu-

tions of surface heights (see Fig. 11.12), and H is the indentation hardness.

(H = applied load/permanent indentation area when a hard indenter is pressed

into a "flat" surface.)

322 CHAPTER 11

FIG. 11.12. Separation and penetrating approach between a rough and aflat surface. current

mean line of the rough surface; mean line of the rough surface at the beginning of contact;

h = current separation; h0 = separation at the beginning of contact; a = h0 h = penetrating approach.

contact have been successively overcome by more sophisticated models pro-

posed by other authors. Whitehouse and Archard [1] used the fact that, if a

surface profile is of a random type, then it can be defined completely (in a

statistical sense) by two characteristics: the probability density of the height

distribution and the autocorrelation function. More recently, Whitehouse and

Phillips [1] have generalized the previous model in order to incorporate a

general autocorrelation function C(A) and in order to have a fully two-

dimensional surface model (rather than a one-dimensional profile model).

An alternative model was developed by Nayak [1]. In his model, the height

of a rough surface z = z(x, y ) is considered to be a two-dimensional random

variable, the Cartesian coordinates x and y being the independent variables.

The essential differences between this model and those of Whitehouse et al.

are the following: this model is based on continuous (rather than discrete)

properties of random waveforms and uses the power spectral density function

(rather than the autocorrelation function). In this work Nayak also emphasized

the distinction between the statistics of the surface and the statistics of a profile

of the surface. This author then shows how the higher order surface statistics

of interest can be correctly obtained from the parameters cr, a-' and cr" (r.m.s.

values of z and its first and second derivatives, respectively) of a single profile,

for Gaussian isotropic surfaces.

Bush, Gibson and Thomas [1] developed a model based on Nayak's random

surface theory with the additional assumption that the cap of each asperity is

replaced by a paraboloid having the same height and principal curvatures as

the summit of the asperity. The asperity deformation was assumed to be elastic

(Hertzian). The authors conclude that for large separation the contact area is

proportional to the load and for smaller separation the proportionality is only

approximate. The normal stiffness becomes vanishingly small at large separations

and, at constant separation, the stiffness is proportional to the load. Also the

stiffness is inversely proportional to the square of the r.m.s. roughness.

O'Callaghan and Cameron [1], using a model with some features in common

with the previous one, obtained results (also for elastic contact) that are

qualitatively analogous to those of previous authors: approximate proportional-

ity between real area of contact and normal load and also approximate proportion-

ality between separation and minus the logarithm of the load.

NONCLASSICAL FRICTION LAWS 323

Other authors have also modeled conditions on the contact surface that are

more complex than a simple elastic or plastic deformation of the asperities.

Mikic [1] modeled elastoplastic conditions. He assumed that the real contact

pressure is equal to the lower hardness of the contacting materials and that

the total deformation of each asperity is the sum of elastic and plastic deforma-

tions produced by that pressure. Analogous assumptions were later used by

Ishigaki et al. [1] to model loading-unloading situations. Work hardening of

the asperities was first considered by Hailing and Nuri [1]. Work hardening

and the mechanics of unloading-reloading were incorporated in the model of

Francis [1].

Some experimental results. Early experimental results on the stiffness of

contacting surfaces and their real area of contact can be found in Kragelskii

[1]. This author refers to the work of Sokolovskii [1], Bobrik [1] and Votinov

[1] who proposed a relationship between the approach (a) and the nominal

pressure (p) of the form:

Sokolovskii, these constants are usually m = 0.3-0.5 and K =0. Figure 11.13

also from the same book, illustrates the experimental relationship between the

real area of contact (Ar) and the nominal pressure (p) for different metals in

contact with a glass prism. It can be seen that some of the curves obtained

depart appreciably from linearity. According to Kragelskii, the relationship

FIG. 11.13. Real area of contact vs. pressure for different metals in contact with a glass prism. (1)

lead, (2) cadmium, (3) magnesium, (4) aluminum, (5) copper, (6) steel 10. Maximum height of

surface asperities: 40 p.. From I. V. Kragelskii [1], Friction and Wear. Copyright 1965 Butterworth

Scientific Ltd.

324 CHAPTER 11

may only be considered linear at low pressures or for materials which do not

work harden appreciably.

Important sources of experimental results on the contact of metallic surfaces

can be found in the literature devoted to the design of machine tools. The

research of several workers who studied the stiffness, damping, friction and

wear characteristics of fixed and sliding joints has been summarized in a paper

by Back, Burdekin and Cowley [1]. The essential conclusions related to the

stiffness of contacting surfaces are the following:

(1) For low nominal pressures, characteristic of sliding connections, no plastic

deformation was observed and the approach-normal load relationship is of the

form of the above power law with K = 0 and with m having values in the

range m = 0.32-0.5, in perfect agreement with the observations of Sokolovskii

mentioned above.

While these authors' reference to "no plastic deformation" represents a mild

contradiction to those results described earlier, a study of available discussions

of the experimental set-up indicates that some rubbing of the surfaces may

have been done prior to the experiments in order to obtain reproducible results

(e.g., Dolbey and Bell [1]).

(2) For higher nominal pressures, characteristic of fixed or bolted connec-

tions, the general behavior to be expected when successive loadings and

unloadings of the surfaces are performed, is shown in Fig. 11.14. It is clear

FIG. 11.14. Penetrating approach due to successive loadings and unloadings of a metal surface.

The experimental values a contain the deformation of the surface asperities (penetrating approach)

and some deformation of the solid material in the neighborhood of the interface. From R. Connolly,

R. E. Schofield, and R. H. Thornley [l], The Approach of Machined Surfaces with Particular

Reference to their Hardness in Advances, in Machine Tool Design and Research, Proceedings of

the 8th International M.T.D.R. Conference, The University of Manchester Institute of Science

and Technology, September 1967, S. A. Tobias and F. Koenigsberger, eds. Pergamon Press,

Oxford, 1968, pp. 759-665. Copyright 1968 Pergamon Press.

NONCLASSICAL FRICTION LAWS 325

that the total approach of the surface has an elastic and a plastic component and

that (if the joint orientation is not disturbed) the unloading and reloading paths,

are practically coincident. For these elastic paths, Connolly and Thornley [1]

proposed the following relationship between the approach and the normal load:

Tables with experimental values of the constants C, m, and B in the above

formulas can also be found in Back et al. [1], together with the corresponding

ranges of validity.

The elastic stiffness of the surface per unit area (5) is thus given by

when the logarithm law is used. It was also found experimentally that for mild

steel specimens with shaped or turned surfaces the constant B is inversely

proportional to the surface roughness. Consequently, the stiffness is inversely

proportional to the surface roughness.

In recent years, much experimental work has been done to test the statistical

models of the surface geometry and contact. The essential conclusions of a

survey paper of Woo and Thomas [1] are the following:

(i) The bearing area ratio (AJA) increases as the 0.8 power of the

dimensionless load ( p / H ) up to values of p/H of the order of 0.1 (see Fig.

11.15).

(ii) The dimensionless separation (h/o~) decreases proportionally to the

increase of the logarithm of the dimensionless load ( p / H ) (see Fig. 11.16).

Since the assumptions on the roughness of the surfaces and their mechanical

behavior are different, the relationships involving area of contact, load and

separation derived from the models described earlier are also different and,

in some cases, difficult to compare. However, comparing the theoretical predic-

tions of those models with the experimental results presented above, some

broad conclusions can be drawn. We summarize them as follows:

On the mode of deformation of metal surfaces.

(i) The essential factors affecting the mode of deformation of a rough

surface are the material properties (E\ H} and the surface finish. The normal

load is expected to have little effect on the mode of deformation of the surface.

(ii) For most engineering materials and surface finishes the initial contact

of the surfaces is expected to be plastic even at light loads.

326 CHAPTER 11

FIG. 11.15. Bearing area ratio vs. dimensionless load. Least squares straight line obtained on the

basis of the experimental results of 6 different papers by various authors. From K. L. Woo and

T. R. Thomas [1], Wear. Copyright 1980 Webb Publishing Co.

in normal sliding or in metallurgical polishing, produces changes in the shape

of the asperities, which lead to a subsequent elastic deformation, provided

that severe wear is prevented during the process of sliding.

On the stiffness of compressed rough surfaces.

(iv) At small penetrating approaches (large separations) the stiffness of

rough surfaces becomes vanishingly small.

(v) The stiffness of a surface is inversely proportional to its roughness.

(vi) The normal load increases roughly as an exponential function of the

penetrating approach (the separation decreases proportionally to the increase

of the logarithm of the load).

FIG. 11.16. Dimensionless separation vs. dimensionless load. Regression line obtained on the basis

)f the experimental results of 1 different papers by various authors. From K. L. Woo and T. R.

fhomas [1], Wear. Copyright 1980 Webb Publishing Co.

NONCLASSICAL FRICTION LAWS 327

(vii) For light loads, because of (iv), the normal load is closely proportional

to a power, in the range 1/0.5 to 1/0.3, of the penetrating approach.

(viii) For the same normal load the stiffness during the first loading is

smaller than the stiffness during unloading or reloading, due to the plastic

deformation which occurs during the first loading.

On the real area of contact.

(ix) Most of the statistical models developed predict, for both elastic and

plastic contact, an exact or an approximate proportionality between real area

of contact and normal load.

(x) Experimental results show that, often, the real area of contact increases

with a power of the normal load which is slightly smaller than one, even for

light loads.

A definitive precise conclusion seems difficult due to the absence of a really

satisfactory method for the experimental determination of the real area of

contacta fundamental difficulty pointed out by Tabor [2].

11.4.2. Interface models. The interface between contacting bodies is a

hypothetical medium of vanishing thickness, the mechanical response of which

depends upon the various geometrical and physical properties of the surfaces

in contact as discussed earlier. For the class of problems addressed here, we

wish to characterize the response of such an interface to normal deformations

in a way that is consistent with the experimental and statistical theoretic results

summarized previously.

First, the notion of a contact surface Yc is worthy of some elaboration. This

surface should represent the boundary of the parent bulk material 28 of which

the body is composed; see Fig. 11.17. One can regard it as parallel to a surface

marking average surface heights. We suppose that Fc has a well defined

exterior normal vector n and that the actual interface (asperities, oxide film,

gas, work hardened material, etc.) is initially of thickness t0, as shown. The

initial gap between Fc and the other body that may come in contact with 3ft

is defined as the distance, measured along a line normal to Fc, between the

highest asperities of the bodies in the reference configuration. The interface

thickness after deformation is denoted t in Fig. 11.17 and the actual displace-

ment of Fc in the direction of n is un = u n. Thus, the approach of the material

contact surfaces is

surface opposing Fc which is ideally flat, as indicated in the figure. This model

is easily generalized to cases in which ^l is deformable and rough. The

constitutive properties of the interface are characterized by a relationship

between an and a. In Fig. 11.18 we have plotted the variation in the normal

force N on a unit block of the material with the penetrating approach. Except

for very large penetrations, where the response is essentially exponential, a

328 CHAPTER 11

FIG. 11.17. Initial gap, normal displacement and penetrating approach at the contact surface Fc.

Reprinted with permission from J. T. Oden and J. A. C. Martins [1], Computing Methods in

Applied Mechanical Engineering. Copyright 1985 Elsevier Science Publishers.

large body of evidence points to a power law relation between <rn ( = N/unit

area) and a:

Much of the experimental evidence described earlier indicated that the

material parameters cn and mn can be easily determined from interface com-

pression experiments. Other effects could be added to this interface law, but

it is sufficiently general to model many of the principal mechanisms.

We remark that the form of the interface constitutive equation (11.4) is

consistent with the experimental observations outlined earlier:

interface constitutive equation were reported by Back, Burdekin and Cowley

NONCLASSICAL FRICTION LAWS 329

FIG. 11.18. Normal force vs. approach relationship suggested by experimental and statistical

theoretic results. Portion A, "light" normal loads characteristic of sliding interfaces. Portion B,

"heavy" normal loads characteristic of fixed interfaces.

[1]. A more detailed study of these types of normal contact models for dynamic

friction problems is given in Chapter 13.

11.4.3. Nonlocal static friction models for high normal loads. Based on the

experimental and theoretical results summarized earlier in this section, it

appears that a power law type normal compliance relation of the type indicated

in (11.4) and Fig. 11.18 is appropriate when 1) the constitution of the material

interface is more or less stable and 2) the response is essentially elastic (meaning

that physical experiments on interface properties are reproducible for given

specimens). When higher normal stresses are developed, significant plastic

deformation of asperities can take place and some other type of local friction

law would seem to be called for.

One possibility is to characterize the behavior of normal and tangential

stresses on Fc by using nonlocal friction laws. Oden and Pires [1] put forth

some arguments for nonlocal friction laws for certain cases of static behavior

of metallic interfaces with high normal stresses. Following these arguments,

consider the simple physical models shown in Fig. 11.19. In Fig. 11.19 a thin

weightless strip A of length 21 is pressed against a fixed elastic block B by a

330 CHAPTER 11

FIG. 11.19. (a) A thin strip A pressed onto an elastic block B with surface asperities, (b) The shear

stress distribution at the point of impending motion.

applied to the strip and is increased slowly in magnitude until motion (sliding)

of the strip relative to the block occurs. For this idealized situation, designed

to emphasize the local character of the classical Coulomb law of friction, we

are interested in calculating the distribution of frictional (shear) stresses

between the strip and the block, assuming that Coulomb's law holds and that

the coefficient of friction v is given.

We consider the origin of a coordinate axis x along the length of the strip

to coincide with the midpoint P of the strip. Then, the only point on the

contact surfaces between bodies A and B at which a resistive force can be

NONCLASSICAL FRICTION LAWS 331

when the resisting shear aT is formally given by

where 8 is the Dirac delta corresponding to the point source at the origin. Of

course, the relation is merely the symbolic representation of the distribution

Here 2(-1,1) denotes the space of test functions, i.e., the space of infinitely

differentiable functions with compact support in the interval (-/,/) and (, )

duality pairing on distributions and test functions. Alternatively, 5 can be

defined as the limit of a 8-sequence, {wp}0<p, <op 2(-/,/):

We see that the classical pointwise version of Coulomb's law must be inter-

preted in the sense of distributions for this situation.

For illustration purposes we shall choose here the sequence of smooth test

functions which assumes nonzero values only within an interval of radius p

of the origin given by

where c is a constant chosen so that J'_, cop dx = 1 (see Fig. 11.19(b)). Then the

(Dp are positive-valued, infinitely differentiable functions symmetric with

respect to the origin, and the supports of these functions reduce to zero as

p -> 0. Additional details on properties of such test functions can be found in

Oden and Reddy [1, Chapter 2].

A more realistic model of friction from the physical point of view is obtained

if we take into account the microscopic aspects of the physics of friction

described earlier. Specifically, the contact surface of the body 08 will present

asperities deviating from a smooth plane. As the normal force N is gradually

applied, these asperities are gradually deformed and broken down until equili-

brium of normal forces is reached. The normal force reaching body 58 through

the strip A must then be distributed over the contact area of the deformed

asperity as indicated in Fig. 11.19. We shall now assume that the asperity's

finite transmission area is accounted for by using the 5-sequence {wp} of (11.8)

keeping p = p0, p0 being the radius of the contact area of the deformed asperity.

Since N = N(x) is now a function, we have, instead of (11.7),

332 CHAPTER 11

where * denotes the convolution of the two functions. Thus, we have arrived

at a friction law in which impending motion occurs at a point x on the contact

surface when the shear stress at that point reaches a value proportional to the

weighted average of the normal stress in a neighborhood of the point. If a)^

is used to characterize this weighting function, then the neighborhood is a

circular disc of radius p0 centered at x, the maximum weight is given to the

stress intensity at the center of the disc (the contact area of the deformed

asperity), and exponentially decreasing weights are assigned to stress intensities

as one moves from the center of the neighborhood outward to the periphery

of the disc.

We can now generalize these results to the three-dimensional case: let ur

denote the relative tangential component of displacement of a point x =

(x 1 ,x 2 ,x 3 ) on the contact surface between two deformable bodies and let

crn(u) and crrCu) denote the normal and tangential stresses on the contact

surface corresponding to the displacement field u. Then

where x and y are points on the contact surface Fc, dy = dyl dy2 dy3 and

Several other models have been proposed with the same purpose of simulat-

ing the roughness of the contacting surfaces. These models assume that the

contact surface is covered with a large number of asperities of prescribed

shape, their scale being small when compared with the bulk scale of the bodies

themselves; their effect is also to "smooth out" the discontinuous contact

pressure into a continuous one. These theories usually start from some statis-

tical model of a nominally "flat" rough surface; i.e., the asperities are assumed

to be scattered over a reference plane, their heights following some statistical

distribution such as exponential or (normal) Gaussian distribution. The tops

of the asperities are assumed to be spherical in shape, all with the same radius

and deforming elastically and independently according to Hertz's theory. As

examples of such models we mention here the works of Greenwood and

Williamson [1], Greenwood [1], Greenwood and Tripp [1], Lo [1], Nayak

[1], and Johnson [3]. Figure 11.20 shows a comparison of pressure distributions

obtained in this way by Greenwood [1] with the Hertzian theory for the contact

of two elastic spheres. It is seen that the "real" contact area extends beyond

NONCLASSICAL FRICTION LAWS 333

FIG. 11.20. Comparison between pressure distributions for the contact of two high loaded elastic

spheres. Hertzian, Greenwood's statistical distribution of heights of the surface asperities.

From J. A. Greenwood [1], Journal of Lubrication Technology. Copyright 1967 American Society

of Mechanical Engineers.

the Hertz contact surface, and the pressures are spread out more smoothly,

whereas the Hertzian pressures fall sharply to zero. This fringe around the

Hertzian contact is fully consistent with experimental evidence on friction (see

Fig. 11.20).

Finally, we mention that nonlocal theories for other classes of problems in

solid and fluid mechanics have been put forth by Eringen and Edelen [1]; a

detailed account of this work can be found in Edelen [1].

Model of nonlinear friction. Both Coulomb's law and the nonlocal law given

in (11.10) depict perfect rigid adhesion-sliding conditions on the contact

surface: they assert that there is absolutely no motion of points of one body

relative to those of another if the tangential stress on the contact surface

remains below some critical value r; but when this limit is reached, unbounded

motions can occur, the ensuing tangential displacement being directed opposite

to the tangential stress vector. It was pointed out in 11.3 that physical

experiments on contact indicate that there is always some small relative

tangential displacement even when the tangential force developed on the

contact surface is small (recall Figs. 11.4 and 11.6). If this force is steadily

increased, a value is reached at which the junctions yield elastoplastically or,

in the case of weak junctions (Fig. 11.7(b)), actually fracture and sliding

occurs. At this point the resistance of the junctions to tangential motions is

greatly reduced and approaches zero.

We introduce here a family of nonlinear friction laws which captures these

tangential compliance effects and simultaneously leads to a generalization of

Coulomb's law and of the nonlocal law proposed in (11.10). They have the

form:

334 CHAPTER 11

tive real numbers r, depending on a parameter e > 0, such that

the critical value that the tangential stress cannot exceed, i.e., r= v\crn(u)\ for

the local case and T i>Sp(o~n(u)) for the nonlocal case. It will also be of

interest, as will be seen later, to consider the case in which T is a given

(known) function of the position vector x, thus no longer dependent upon the

displacement u. We recognize the right-hand side of (11.12) as precisely the

derivative of the integrand of the regularized friction functional constructed

in 10.11.

As specific examples, we select for $e the following function:

slipping can occur only after a tangential displacement |ur|> e. We notice that

these are not the only possible choices and that several others can also be

considered (e.g., arctan, tangent hyperbolic, etc.). Also, we observe that the

slope of (f>e at the origin, i.e., the derivative of $e at zero displacement equals

1/e. Thus e provides a measure of the rigidity or stiffness of the elastoplastic

or nonlinear elastic junctions.

We next consider the function i/^O) which is the primitive of <f>e('), i.e.,

Ae = <t>e, when both are considered real valued functions of the real numbers.

For (11.14), \}fe takes the form

LEMMA 11.1. The function fye defined by (11.15) is bounded, convex, Lipschitz

continuous, and Frechet differentiate, and it satisfies the estimate

Nonclassical friction laws. Finally, we wish to comment on the combination

of a nonlocal law with a nonlinear law. A nonlocal nonlinear law of friction

NONCLASSICAL FRICTION LAWS 335

fixed we obtain a local nonlinear law, i.e.

perfect rigid adhesion-sliding nonlocal law given in (11.10). Finally, if both

e -> 0 and p - 0 the static Coulomb's law (local) for unilateral contact in the

contact surface Fc is obtained:

11.5. Signorini problems with nonlocal nonlinear friction. The classical Sig-

norini problem of elasticity concerns the analysis of deformations of a linearly

elastic body in contact with a rigid frictionless foundation. We examine here

a generalization of Signorini's problem to the case in which friction exists on

the contact surface, and this friction is characterized by the nonlocal nonlinear

laws introduced in the previous section. To do this, we shall recall the formula-

tion in Chapter 10 (10.1) for the Coulomb friction problem. In the present

case the condition (lO.lb) has to be replaced by

where

and (i)p and <e are given, respectively, by (11.8) and (11.14).

We shall assume throughout this chapter that conditions (5.5) and (10.3)

hold on the material constants and the domain of the body. In particular, if

336 CHAPTER 11

inequalities on the bilinear form ( , )

the same notation and conventions of Chapter 10.

The variational principle for a Signorini type contact problem with non-

classical friction is easily derived from well established arguments and assumes

the following form (see Oden and Pires [2]):

and the virtual work by the friction force jp,e(u, v) is now defined by the

nonlinear form,

auxiliary problem which is very similar to problem (10.58) studied in the

preceding chapter:

differentiable one j0e, (11.24) assumes precisely the same form as (10.58).

Furthermore, it follows from Lemma 11.1 that the functional j0e is convex,

Lipschitz continuous, and Frechet differentiable. Thus, (11.24) is equivalent

to the following problem:

where

NONCLASSICAL FRICTION LAWS 337

THEOREM 11.1. Let conditions (5.5) and (10.3) hold and reL 2 (r c ), r > 0

a.e. on Yc be the data present in (11.24). Let mes (F D )>0. Then

(i) There exists a unique solution u T e K to (11.24).

(ii) The correspondence that gives for each T the solution U T of (11.24) defines

a continuous nonlinear map B: L 2 (F C ) -* K:

y(u T )/vij, is a well defined functional in Q', where Q = // 1/2 (r c );

(iv) The map crn: K- Q' is continuous.

Proof, (i) The existence of a unique solution to (11.24) follows immediately

from Theorem 3.4 if we set

on K. It is also strictly convex since the bilinear form a( , ) is strictly convex

as is the function A e (-) and hence the functional 7o e (')- Finally, from the

definition of j0e, 7 0e (v)^0 Vv. It is not difficult to show that F is coercive on

K since we have assumed that mes (F D ) > 0.

(ii) Let T! and r2 be two distinct nonnegative functions in L 2 (F C ) and u t

and u2 the corresponding solutions of (11.24). Then, for any v, w e K ,

(iii) Set v = u<|>, <t>e((O)) N , in (11.24). Then

338 CHAPTER 11

Hence,

But ft E L2(O). Hence crv(u)tj e L2(ft). i = 1,2, , N. But from this fact it

follows that the trace crn(u) = ir^n((r(u)) is a well defined functional in Q'.

(iv) From (iii) it follows that if U T is any solution of (11.24), then the stresses

crj,-(uT) = i;/fc/(uT)M satisfy the following Green's formula:

not depend on U T ; also, a( , - ) is a continuous bilinear form. Hence, the result

follows (in fact, we shall show later that crn is Lipschitz continuous from K

to Q')-

Next, we shall show that the regularization operator Sp introduced in the

nonlocal friction law (11.17) has a special property that proves to be critical

in our subsequent proof of the existence of solutions to (11.21).

THEOREM 11.2. The linear and continuous operator Sp: W-*L2(YC} in (11.17)

is completely continuous; i.e.t ifwn-^w weakly in W, then Sp(wn) +Sp(w)

strongly in L 2 (F C ).

Proof. We have to show that given any sequence {rn} e Q' converging weakly

to T in Q', the sequence {5p(rn)}e L 2 (F C ) converges strongly to SP(T) in

L2(FC). Since Q' is a reflexive Banach space, we can identify it with its bidual

and therefore, by definition of weak convergence, rn -> r in Q' means that

obtain

NONCLASSICAL FRICTION LAWS 339

Since the sequence {rn} is weakly convergent it follows that \\Tn\\Q- is bounded.

Also,

dominated convergence theorem, uniform boundedness together with point-

wise convergence imply L2- convergence

As a last preliminary to the major existence theorem, we record the classical

Schauder-Tykhonov fixed point theorem on fixed points of continuous

operators on compact sets. This represents Tykhonov's extension of the

Schauder fixed point theorem to weak topologies.

LEMMA 11.2. Let K be a nonempty weakly sequentially compact convex subset

of a convex linear topological vector space V. Let T:K-*Kbea weakly sequen-

tially continuous map. Then T has at least one fixed point.

Proof. A proof of this theorem can be found in Dunford and Schwartz [1,

pp. 453-456, 470]. D

We are now prepared to lay down the complete existence theorem.

THEOREM 11.3. Let conditions (5.5) and (10.3) hold. Let mes (F D )>0. Then

there exists at least one solution to the variational inequality (11.21) characterizing

the Signorini problem with nonlocal and nonlinear friction.

Proof. We first pick an arbitrary ^e L2(FC), i/^O, and set r = /> in (11.24).

By Theorem 11.1 there exists a unique u1/, = B(^) satisfying (11.24) for this

choice of T. The corresponding normal stress is ^(u^) and the regularized

normal stress is the image of ty under the composition T: L 2 (F C )H> L 2 (F C ):

If T has at least one fixed point if/*, then, since i//* = T(i//*) = S p (cr n (u lA *)), it

follows that u(/,* = B(i/f*) is a solution of (11.21). Therefore, the questions of

the existence of solutions to (11.21) reduces to the determination of the

existence of fixed points of T.

Towards this purpose we first show the existence of fixed points for the

composition T:Q'-* Q', T = crn B Sp, and then conclude that if T* is a fixed

point of f, i.e., if T* = T(T*) then there exists iff* e L2(TC) such that T( $*) = i[t*.

Let bR c Q' denote the ball

where R is a sufficiently large real number such that jR < c 2 (M/ m \\f\\ * + c3||f ||0),

and consider the map

A

We shall show that Rg (T)ci bR, that bR is weakly sequentially compact, and

that T is completely continuous and, therefore, weakly sequentially continuous.

It will then follow immediately from Lemma 11.2 that T has at least one fixed

point.

340 CHAPTER 11

Let r = Sp(<) 0 for some <f>tbR and consider the variational inequality

11.24. By Theorem 11.1 there exists a unique solution u^ = B(T) = B(Sp((j>))

to (11.24). Setting v = 0 in (11.24) yields

i.e.,

V " /

Hence,

Green's formula (11.29) yields the estimate

(there exists a constant c 3 >0 depending on ft such that ||v||osc3||v||,) were

used.

Clearly bR is nonempty, closed, bounded, and convex. Hence, it is weakly

sequentially compact as Q' is reflexive and complete. Moreover, for <f> e bR,

NONCLASSICAL FRICTION LAWS 341

into itself. A

immediately from the continuity of vn and B (Theorem ll.l(ii) and (iv)) and

the fact that Sp is completely continuous (indeed, T is also completely con-

tinuous). Hence, T possesses at least one fixed point r*e bR.

Finally, we observe that such fixed points satisfy

Let <A* = Sp(r*). Then B(i/r*) = B(Sp(r*)) and tr n (B(^r*))= T(T*) = T*.

Therefore,

Hence there exists i/r*e L 2 (F C ) such that T(^*) = i//*, i.e., the composition T

also has at least one fixed point and, thus, there is at least one solution to

(11.21).

The use of the Schauder-Tykhonov theorem was made possible by the

properties, listed in Theorem 11.2 that the smoothing operator Sp given in

(11.11) satisfies. That is, Sp must be such that T (or actually, the equivalent

operator T) is weakly continuous. As a consequence, we notice that the fixed

point theorem cannot be used unless we introduce the nonlocal form to the friction

law by the mollification Sp. In other words, the arguments employed above in

the proof of existence do not apply in general to problems in which the classical

"pointwise version" of Coulomb's law is assumed to hold.

In fact, except for very special cases (e.g., Necas, Jarusek and Haslinger

[1]) the question of existence of solutions to the general problem considered

in Chapter 10 of the Signorini problem with Coulomb's law is still open.

The same conclusion can be applied to the nonlinear local case (Case I).

The case e = 0 (Case II of the previous section) being nonlocal does not fall

into this category.

Finally, for a certain special case, uniqueness of the solution to the variational

inequality (11.21) can be proved. We then have the result:

THEOREM 11.4. Let the conditions in Theorem 11.3 hold. Then, for a sufficiently

small coefficient of friction v, (11.21) possesses a unique solution.

Proof. Let r t and r2 be two distinct nonnegative functions in L 2 (F C ) and u t

and u2 the corresponding solutions of (11.21) and consider Green's formula

(11.29). Then we have, for every ve V and v r = 0 on F c ,

Subtracting, we obtain

342 CHAPTER 11

Hence,

where

If T! = vgi, T2 = vg2 with gj, g2 e L2(rc), gl, g2 > 0 a.e. on rc, and the coefficient

of friction v e L(rc), then

where r(g) = T(vg). It follows that for sufficiently small |HlL(rc), i-e., for v

such that

the map T is a contraction mapping and, therefore, has a unique fixed point.

We have thus established the existence of a solution to a nonlocal nonlinear

friction contact problem. As we mentioned uniqueness can be shown only for

sufficiently small friction coefficients v.

problem. We next suppose that finite element methods of the type used

throughout preceding discussions are used to construct families of finite

dimensional subspaces V/, of V, the Vh being spanned by piecewise polynomials

defined over all elements in a series of meshes on f l . The constraint set K is

approximated, as before, by

NONCLASSICAL FRICTION LAWS 343

where Dc is the set of all nodal points on Fc, and P is the total number of

nodes in ftfc. We shall assume the interpolation property described in 4.2

holds; more specifically, (10.28) and (10.29) are assumed to hold for v h e K h

and the conditions of Falk's theorem, Theorem 4.3, are in force.

We introduce as the finite element approximation of (11.21) the following

discrete problem:

deriving a generalization of the estimate given in Theorem 4.4. To do this we

shall assume that there exists a Hilbert space H which is densely and con-

tinuously embedded in the dual space V of V. It is then possible to identify

H' with a subspace of V, dense in H' by a continuous injection. With this

hypothesis established we now derive the following general estimate:

THEOREM 11.5. Let ueK and ueKh be solutions of (11.21) and (11.38),

respectively. Let (5.5), (11.3), and mes T D > 0 hold. Denote by At ^(V, V) the

operator defined, for u e V, by a(u, v) = (Au, v), v V. Finally, suppose Au -/e H.

Then, for small coefficients of friction (i.e., for \\v\\i^(rc) small enough), there

exists a constant c independent of h (and e), such that, for every v e K with

v r = uhj. on Fc and for every vh K/,, the following estimate holds:

Proof. Applying precisely the same procedure used to prove Theorem 4.4,

we establish that for every ve K and v h Kh we have

Using the assumption (5.5) with m e s r D > 0 and the fact that Au-/H, we

obtain the following estimate for positive constants m and M:

Noting that

344 CHAPTER 11

But

and

Hence we have from (11.40), collecting the results obtained in Step 3 and

assuming that (11.31) holds,

displacements on Fc, wejhave chosen v so that v r = u hr on Fc. Applying

Young's inequality and V a ^ v f e + v c + <Jd for a =sb + c + d, a, b, c, d^Q, the

estimate (11.39) can be obtained. D

Some immediate estimates of the rate of convergence can be obtained for

the case in which the components of displacement are approximated by bilinear

NONCLASSICAL FRICTION LAWS 345

this case we have

THEOREM 11.6. Let ue (H 2 (fl)) N D K be a solution of the nonclassical friction

problem (11.21) and uh be a solution of the finite element approximation (11.38).

Let the interpolation properties (11.28) and (11.29) hold. Let the conditions of

Theorem 11.5 also hold. Finally, assume that u, the solution of (11.21) is

sufficiently smooth in the sense that Aue (L 2 (n)) N . Then, there exists a positive

constant, also denoted C, independent of e and h, such that

independent of u and h, such that

It remains to estimate the last term of the right-hand side in (11.43). Making

use of the trace theorem, we obtain

Remark 11.1. Theorems 11.5 and 11.6 were established by Pires and Oden[l].

11.7. Numerical solution of Signorini problems with nonlocal and nonlinear

friction. Signorini's problem with nonclassical friction is well posed for a

sufficiently small coefficient of friction and finite element approximations of

it may also converge at an optimal rate of convergence. Now we shall develop

a solution method to find a u^ e Kh satisfying the finite element approximation

(11.38) of (11.21) using a modification of the solution algorithm described in

10.7 for the Coulomb friction law. However, in this chapter, we shall take

advantage of the fixed point arguments in the proof of Theorem 11.3.

Let us assume that standard subroutines are available to generate the finite

element mesh, we specify material properties and boundary conditions, evalu-

ate the load vector and the stiffness matrix (excluding contact and friction

terms), and impose boundary conditions on YhD. In addition, let us define, for

346 CHAPTER 11

where Sp is the stress mollifier and o-hn(nh) is the normal stress due to u/,:

In subsequent calculations, we shall also use for the quadrature operator /[ ]

for the integral over the contact surface either Simpson's rule when the 9-node

biquadratic elements are employed or the trapezoidal rule if the 4-node bilinear

elements are considered (we consider only two-dimensional problems here).

The choice of the integration rule /[ ] for the mollification of the approxima-

tion of the normal contact stresses crhn(uh) was based on the calculation of

the constant c mentioned in 11.4. As indicated there, c is chosen so that

Gaussian integration with 4 integration points provided the following value:

We employ the 4-point Gauss quadrature rule for calculation of the mol-

lification of normal pressures in all subsequent computations.

The algorithm consists of the following steps:

1) Initialize rh: T(h0) = nodal forces required to maintain equilibrium; ( T/,O) = 0

when the problem has at least two mutually orthogonal axes of symmetry in

the plane; TJ,O) ^ 0 otherwise).

2) Solve the standard Signorini problem with prescribed limiting tangential

stresses VTJ,O) on the contact surface, for u/,0 using the exterior penalty to relax

the unilateral contact condition (the case T/,O) = 0 represents a problem without

friction):

or in general,

NONCLASSICAL FRICTION LAWS 347

3) Compute

4) Compute

6) Use r(h} as data in problem (11.48) and evaluate a new corrected displace-

ment field ui,2) from (11.48) (with r = 2).

7) Let TOL denote a preassigned tolerance that we set for some measure

of the difference between successive smoothed contact pressures and check if

When this criterion is satisfied, we terminate the process and plot deformed

configuration of the mesh, stress distributions, contact stresses, etc.

A flow chart summarizing this procedure is given in Fig. 11.21.

We shall describe the results of several numerical experiments performed

with the algorithm discussed above.

Example 11.1. This is concerned with the indentation of an elastic half-space

by a rigid cylindrical punch. The problem is one of plane strain. Young's

modulus, Poisson's ratio, and the coefficient of friction were taken equal to

1,000 (nondimensional units), 0.3, and 0.6, respectively. Taking advantage of

the symmetry of the problem, the right half-space was discretized by 40

nine-node quadrilateral isoparametric elements, as shown in Fig. 11.22(a) for

a prescribed indentation d = 0.6, and values of the parameters p, e, and 8,

respectively, equal to 0.1, 10~4, and 10~8. Figure 11.22(b) shows the deformed

configuration of the half-space. The computed contact stresses (normal and

tangential) are indicated in Fig. 11.22(c) as well as the Hertzian distribution

of contact pressures calculated from the expressions given in Lubkin [1] for

the frictionless contact of two long cylinders along a generator. Convergence

was obtained after 5 iterations.

A refinement of the mesh near the separation point between the portion of

the contact area where the stick condition holds and that where slipping occurs

was needed for the computation of the tangential stresses. According to our

nonlocal nonlinear law, sliding takes place when <r r | = vSp(o-n). Consequently,

sliding will begin at the point A (Fig. 11.22(c)) of the contact boundary where

the value of \<TT\ is 0.6 S p (cr n ). The portion AB of the contact boundary OB

is in sliding and the part CB of the tangential stress is equal to 0.6 times the

corresponding part of the mollified normal pressure distribution. We also

observe that the tangential friction stresses do not reach a sharp peak, but are

smooth at the point of maximum transverse shear stress. The size of this

348 CHAPTER 11

depends upon the magnitude of p. As p -0, a cusp is developed at the peak

stress corresponding to the case when the classical pointwise version of

Coulomb's law holds. For p > 0, this means that there is no sharp dividing

line between full adhesion (no-slip) and sliding areas, but rather a boundary

layer over which a transition from no-slip to slipping occurs. The existence of

this boundary layer is fully consistent with experimental evidence on friction

(see Bowden and Tabor [2]).

NONCLASSICAL FRICTION LAWS 349

FIG. 11.22(a). Finite element mesh for the problem of indentation of an elastic block by a rigid

cylinder. Reprinted with permission from L. T. Campos, J. T. Oden, and N. Kikuchi [1], Computer

Methods in Applied Mechanics and Engineering. Copyright 1982 Elsevier Science Publishers.

FIG. 11.22(b). Computed deformed mesh. Reprinted with permission from L. T. Campos, J. T.

Oden, and N. Kikuchi [1], Computer Methods in Applied Mechanics and Engineering. Copyright

1982 Elsevier Science Publishers.

350 CHAPTER 11

FIG. 11.22(c). Normal and tangential stress profiles on the contact surface.

half-space. Figure 11.23(a) shows the geometry and mechanical data for this

problem as well as the rectangular mesh of 52 Q2-elements used to discretize,

owing to the symmetry, the right half-space. Again the problem is solved for

a prescribed indentation d = 0.2 and values of the parameters p, e, and 8,

respectively, equal to 0.01, 10"4 and 10~8. The computed deformed shape of

the mesh is indicated in Fig. 11.23(b) and the computed stresses on the contact

surface are shown in Fig. 11.23(c).

We observe that in this case the effects of the microstructure of the contact

surface (p = 0.01) have a dramatic influence on the stress distribution. Had

Coulomb's law been used, stress singularities in both the normal and the shear

stress on the contact surface could be expected. Here we obtain instead a finite

stress owing to the finite limit of the diameter of deformed asperities in the

microstructure. The maximum magnitudes of these contact stresses do not

change appreciably with a refinement of the mesh, indicating that the finite

values are a result of the choice of a nonlocal law and not discretization error.

We note also that there is not a sharp front separating the "full-stick" and

"sliding" regions on the contact surface. Again, this is due to the nonlocal

character of the assumed friction law. This result is in agreement with physical

experiments on friction between metallic bodies.

The influence of nonzero stiffness of the junctions between the punch and

the elastic body is not appreciable in the present example since e was taken

NONCLASSICAL FRICTION LAWS 351

calculating friction effects in many practical situations.

Convergence was obtained after 4 iterations.

Example 11.3. We considered the elastic half-space of the previous problem

to be nonhomogeneous. Specifically, we reinforced the elastic foundation with

vertical thin strips having the same Poisson's ratio but a Young's modulus 100

configuration.

352 CHAPTER 11

times larger, i.e., equal to 105. The rectangular mesh of 52 C?2-elements was

rearranged and is shown in Fig. 11.24(a). The computed deformed shape is

shown in Fig. 11.24(b) and the stress profiles in Fig. 11.24(c).

We notice, as expected, that the vertical strips, being stiffer, support much

of the contacting stresses (see Fig. (11.24(c)) and that at the periphery of the

contact area both the regularized normal and tangential stresses attain a finite

value dropping to zero at a small distance (a function of the parameter p)

from the edge of the square punch.

Convergence was obtained after 5 iterations.

Example 11.4. We examine the problem considered in the experiment of

Bremond and Durelli [1]. This experiment is concerned with the indentation

of a plate with dimensions 12 x 100 x 120 mm by a rigid cylindrical punch with

a diameter of 40 mm. The plate was made of polyurethane rubber (photoflex),

and the punch was made of plexiglass. We only consider the cases of applied

normal loads of 200 N and 110 N, the measured depth of indentation at the

center of the contact being 3 mm and 1.3 mm for these loads, respectively. The

rectangular mesh of 4-node isoparametric elements used to discretize the model

is shown in Fig. 11.25(a).

NONCLASSICAL FRICTION LAWS 353

undeformed configuration. Reprinted with permission from E. B. Pires and J. T. Oden [1], Computer

Methods in Applied Mechanics and Engineering. Copyright 1983 Elsevier Science Publishers.

FIG. 11.24(b). Computed deformed geometry. Reprinted with permission from E. B. Pires and

J. T. Oden [1], Computer Methods in Applied Mechanics and Engineering. Copyright 1983 Elsevier

Science Publishers.

354 CHAPTER 11

FIG. 11.24(c). Normal and tangential stresses on the contact surface. Reprinted with permission

from E. B. Pires and J. T. Oden [1], Computer Methods in Applied Mechanics and Engineering.

Copyright 1983 Elsevier Science Publishers.

FIG. 11.25(a). Rectangular mesh used to discretize the model ofBremond and Durelli. Reprinted

with permission from E. B. Pires and J. T. Oden [1], Computer Methods in Applied Mechanics and

Engineering. Copyright 1983 Elsevier Science Publishers.

NONCLASSICAL FRICTION LAWS 355

The results computed for different values of the data are compared with the

experimental results in Figs. 11.25(b), (c). A very good agreement was obtained

for the normal components of displacement on the contact area (vertical

displacements v). We also notice that a good qualitative agreement was reached

for the tangential stresses on the contact surface. Both computed and experi-

mental tangential stresses behave smoothly; no sharp peak is developed

separating the areas of sticking and sliding as we would expect to observe had

Coulomb's law (p = 0) been used instead, see Example 10.4. In our opinion a

better correlation would have been obtained if it were not for several difficulties

we encountered in modeling the experiment. To list only some of them, we

note that for a Young's modulus of 300 N/cm 2 and for prescribed depths of

FIG. 11.25(b). Comparison between computed and experimental results. Reprinted with permission

from E. B. Pires and J. T. Oden [1], Computer Methods in Applied Mechanics and Engineering.

Copyright 1983 Elsevier Science Publishers.

356 CHAPTER 11

FIG. 11.25(c). Comparison between computed and experimental results. Reprinted with permission

from E. B. Pires and J. T. Oden [1], Computer Methods in Applied Mechanics and Engineering.

Copyright 1983 Elsevier Science Publishers.

load than that measured by Bremond and Durelli (200 N and 110 N, respec-

tively). This has led us to calibrate our numerical experiments by increasing

E in order to obtain the measured correlation of applied load on the punch

to indentation of the foundation. Also, according to Bremond and Durelli,

the choice of the grid method for measuring the displacements and of the

polyurethane for manufacturing the model had among others the purpose of

modeling conditions as close as possible to a state of plane strain. However,

the conditions of the experiment (dimensions of the model, loading) are much

closer to a state of plane stress than plane strain. In fact, our results have

shown that whereas in a state of plane stress the tangential displacements on

the contact area are antisymmetric and directed inwards (and therefore the

tangential stresses outwards) in agreement with the experimental results, in a

state of plane strain (and for E = 300 N/cm2 and p = 0.48) we obtain tangential

displacements on the contact area also antisymmetric but directed outwards

(hence the tangential stresses are directed inwards).

NONCLASSICAL FRICTION LAWS 357

the case in which the applied (tangential) forces vary with time, although in

such a manner that we are able to neglect the linearized acceleration term

82u/dt2 in the equation of motion. We thus consider a so-called quasi-static

case as a one-parameter family of static cases, the parameter being the time t.

We shall restrict ourselves to the situation in which the threshold that the

tangential stresses on the contact surface cannot exceed is known in advance,

i.e., is a given function of the position vector x, independent of time. We shall

also replace the rigid foundation & by an elastic one with modulus 8~l, through

the introduction of a penalty term.

We can then write the equations of equilibrium at each instant:

and $f is a function of 5 and of the tangential displacement u r on the contact

surface; it is also a function of e (the measure of the tangential stiffness of

the junctions).

The function 5^ is determined so as to accommodate the effects produced

when the load is reversed in direction (unloading and reloading). Thus if we

consider the loop shown in Fig. 11.26 to be performed during the loading,

unloading, and reloading parts, the function 5^ will be given by

358 CHAPTER 11

FIG. 11.26. Load (Li unload, and reload (R) parts ofthe friction law considered for quasi-static

problems. Reprinted with permission from E. B. Pires and J. T. Oden [1], Computer Methods in

Applied Mechanics and Engineering. Copyright 1983 Elsevier Science Publishers.

reversals.

Following the standard procedure for obtaining a variational formulation

shown in Chapters 2 and 10, the boundary value problem (11.52) and (11.53)

is shown to lead to the variational formulation:

NONCLASSICAL FRICTION LAWS 359

Hence setting

and considering the different forms the friction law y can take, we obtain the

following variational principles in an incremental form.

(i) Loading case.

360 CHAPTER 11

Some remarks concerning friction problems for which load histories are

taken into account and the variational principles that we have formally just

derived are now in order. We discuss a general class of dynamic friction

problems in Chapter 13 which employs the interface model suggested by (11.4).

Existence results for such elastodynamics problems with friction were

developed by Martins and Oden [2]; their results extended the results of

Duvaut and Lions [1] on problems of elastodynamics with prescribed normal

pressures. In Chapter 12, we describe a significantly more general incremental

process applicable to contact problems in metal forming processes with large

elastoplastic deformations and friction. Kalker [2] derived, for quasi-static

problems, an incremental form of the variational principle corresponding to

the problem with prescribed normal pressures on Fc. A first extension of the

analysis of Mindlin [1] to take into account the effects of an oscillating

tangential force on the contact surfaces of two elastic spheres was considered

by Mindlin, Mason, Osmer and Deresiewicz [1]. By keeping the normal force

N pressing the two spheres together constant and allowing the tangential force

T to oscillate between the peak values T* (T* < vN), Mindlin et al. [1] were

able to establish a relation between tangential force and displacement and

also an expression for the frictional energy loss W per cycle which has the

form (for small T*/ vN)

NONCLASSICAL FRICTION LAWS 361

support the theoretical predictions of Mindlin et al. [1]. These authors point

out that the discrepancies found, mainly for small tangential displacements,

are probably due to surface roughness effects, i.e., since Mindlin's analysis

assumes a perfectly smooth contact surface, the elastic deformation of the

asperities is not taken into account in the theory. A further extension to the

case of varying oblique forces was considered by Mindlin and Deresiewicz

[1]. Their conclusions were subjected to experimental investigation by Johnson

[2], Finally, we wish to mention the numerical solutions obtained by Turner

[1] for the contact of rigid circular cylindrical indentor and linear elastic

half-space for the cases of frictional loading and unloading.

In our derivation we have assumed that the critical value of the tangential

stresses is given. Physically this corresponds to limiting ourselves to contact

problems for which the normal pressure distribution remains approximately

constant during the history of loading. Thus the example problems considered

deal exclusively with rigid punches indenting an elastic foundation for which

the normal force (or the depth) of indentation remains constant while the

applied tangential force is varied. However, we depart from the analysis of

Mindlin et al. [1] (see also Bowden and Tabor [2, pp. 80-81]) in that we

consider the behavior of the asperities to be elastic perfectly plastic instead

of rigid-perfectly plastic as Mindlin et al. assumed.

A solution method. Let us extend the algorithm discussed in 11.7 to include

incremental loading and unloading according to the friction laws described

in (11.55).

As indicated in the above, we assume that the critical value 5 that the

tangential stresses cannot exceed is known in advance as a function of x,

independent of time. It was also mentioned in 11.7 that, as a consequence

of that assumption, the problems considered deal exclusively with cases for

which the normal pressure distribution remains approximately constant during

loading and unloading. This situation occurs, for example, with rigid punches

for which the applied normal force (or the depth) of indentations remains

constant while the applied tangential force is varied. Thus, first, a displacement

field u and corresponding stress field are found for the application of the

normal force only, by using the algorithm developed for the static case. We

then set

allowing it to oscillate between the peak values T = - T* and T = + T*, keeping

the normal force constant. At a certain value of the load, T = Tt the displace-

ment and stress fields are determined according to the following scheme:

1) We identify for each point on the contact segment where the pair

(o-'f \ u'f f ) lies.

362 CHAPTER 11

FIG. 11.27. Flow chart for quasi-static friction problems. Reprinted with permission from E. B.

Pires and J. T. Oden [1], Computer Methods in Applied Mechanics and Engineering. Copyright

1983 Elsevier Science Publishers.

NONCLASSICAL FRICTION LAWS 363

2) If (cr'f \ U'T*) lies on the loading part of the loop (see Fig. 11.28c), then

we compute (cr'T, u'r) using the law (11.55)i and check if e <|w'f'I and \u'rl >

|u'T|; if so, we need to re-evaluate (o-'T, M'T) by using the law (11.55)2.

3) If (cr'-f1, u ' r 1 ) lies on the unloading curve, we compute (a'T, u'T) using

(11.55)2 and check if reloading takes place, i.e., if o-'f ]| = s and the direction

is reversed; if so, (<r'r, M'T) is corrected according to law (11.55)3.

4) Finally, if (o-'f1, t/'f 1 ) lies on the reloading part, we compute (cr'T, M'T)

using (11.55)3 but if unloading takes place (cr'T, u'T) is corrected according to

law (11.55)2.

This procedure is described in the flow chart given in Fig. 11.27.

Example 11.5. Finally, we consider the application of the above algorithm

to problems involving oscillating applied tangential forces. Towards this pur-

pose the parabolic punch shown in Fig. 11.28(a) was examined. The resultant

T of the uniformly distributed normal tractions t was allowed to vary between

the values 40 and -40 (units offeree per unit length) as shown in Fig. 11.28(b).

The depth of indentation was kept constant and equal to 0.25. We notice that

unloading (and reloading) takes place only at nodes located at the periphery

of the contact segment (nodes 35, 40, 60, and 65 in Fig. 11.28(a)) while the

interior nodes never attained tangential displacements UT larger than the

value considered for the parameter e(0.01). The tangential stress-tangential

parabolic rigid punch. Reprinted with permission from E. B. Pires and J. T. Oden [1], Computer

Methods in Applied Mechanics and Engineering. Copyright 1983 Elsevier Science Publishers.

364 CHAPTER 11

FIG. 11.28(b). Load history for parabolic punch problem. Reprinted with permission from E. B.

Pires and J. T. Oden [1], Computer Methods in Applied Mechanics and Engineering. Copyright

1983 Elsevier Science Publishers.

FlG. 11.28(c). Tangential stress-tangential displacement cycle on contact node 35. Reprinted with

permission from E. B. Pires and J. T. Oden [1], Computer Methods in Applied Mechanics and

Engineering. Copyright 1983 Elsevier Science Publishers.

NONCLASSICAL FRICTION LAWS 365

FIG. 11.28(d). Stress-displacement cycle on contact node 40. Reprinted with permission from

E. B. Pires and J. T. Oden [1], Computer Methods in Applied Mechanics and Engineering. Copyright

1983 Elsevier Science Publishers.

FIG. 11.28(e). Stress-displacement cycle on contact node 60. Reprinted with permission from

E. B. Pires and J. T. Oden [1], Computer Methods in Applied Mechanics and Engineering. Copyright

1983 Elsevier Science Publishers.

366 CHAPTER 11

FIG. 11.28(f). Stress-displacement cycle on contact node 65. Reprinted with permission from

E. B. Piresand J. T. Oden[l], Computer Methods in Applied Mechanics and Engineering. Copyright

1983 Elsevier Science Publishers.

displacement cycles for the contact nodes 35, 40, 60 and 65 are depicted,

respectively, in Figs. 11.28(c), (d), (e), (f).

The energy dissipation was computed at those nodes where slip occurred

(the nodes at the periphery of the contact segment) and its value was compared

with Mindlin's expression (11.61). In order to make this comparison possible,

the slope at the origin of Mindlin's tangential force-displacement curve (see

Mindlin et al. [1, eq. (4)]) was evaluated. This slope was used to compute a

measure of the stiffness of the junctions e so that the slopes at the origin of

the tangential stress-displacement curves would have, in average, the same

value. The energy loss computed from Mindlin's expression (11.62) for an

applied normal load of 220 (units of force per unit length) corresponding to

the indentation d = 0.25 was

The energy loss calculated by giving to e the value (0.032) obtained in the

way described above was 0.118 (units of force times units of length per unit

length).

We also considered another history of loading as shown in Fig. 11.28(g).

Our purpose is to emphasize that friction forces are nonconservative forces

NONCLASSICAL FRICTION LAWS 367

FIG. 11.28(g). (a) Stress-displacement cycle on contact node 60. (b) Load history. Reprinted with

permission from E. B. Pires and J. T. Oden [1], Computer Methods in Applied Mechanics and

Engineering. Copyright 1983 Elsevier Science Publishers.

loading. Figure 11.28(g) shows the results obtained for node 60. We notice,

comparing with the results shown in Fig. 11.28(e) that different values of the

tangential displacement were obtained for the same level of applied tangential

force (for example, points 9 and 18 for which T = 0). This, of course, could

also have been observed immediately in Figs. 11.28(c), (d), (e), (f) for any

level of the load.

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Chapter 12

Deformations and Nonlinear

Materials

formulations developed in Chapters 2 and 6 to frictionless contact problems

involving finite deformations of elastic solids. In addition, we consider an

important class of contact problems which involves nonlinear materials and

friction: the extrusion of an elastoplastic material through a rigid die.

Both of these classes of problems are characterized by highly nonlinear

systems of partial differential equations and inequalities for which a complete

mathematical basis (i.e., existence theory, regularity theory, etc.) is not yet

available. In the case of finite elasticity problems, we are able to establish

some existence results within the framework of nonconvex minimization

theory, but much remains to be done before adequate mathematical founda-

tions are established for a meaningful regularity and approximation theory.3

Nevertheless, a reasonable variational framework for these problems can be

developed and finite element methods can be constructed which yield physi-

cally sound simulations of these types of nonlinear mechanical behavior. The

present chapter represents only an introduction to these subjects as a more

detailed investigation would not only take us outside the scope of this work

but would also require a departure from the systematic approach we have

attempted to follow.

Following this introduction, we develop variational principles governing the

finite deformation of elastic bodies. We confine our attention to isotropic

3

Some progress in these areas has been made. We mention the works of Valent [1], Oden and

Nicolau [1], Oden and Reddy [1] and Campos and Oden [1]; but these works do not address

the contact problem.

369

370 CHAPTER 12

hyperelastic solids; i.e., materials for which a strain energy function exists

which can be expressed as a differentiable function of the principal invariants

of the deformation tensors. For definiteness, we give special attention to a

generalized Mooney-Rivlin material which is characterized by a strain energy

which is a linear function of I and II and quadratic in III, where I, II, III are

the principal invariants of the Cauchy-Green deformation tensor. We derive

incremental forms of the variational principles which allow us to apply variants

of the algorithms already developed in preceding chapters to problems of this

type.

The difficult questions of existence theory in finite elasticity is reviewed

briefly in 12.4, where the necessary generalizations of the results in Chapter

3 are outlined.

Finally, we review the equations governing incremental, rate-independent,

elastoplasticity, and we derive corresponding variational formulations, finite

element approximations, and numerical solution schemes for contact problems

involving such materials. While this class of problems does represent a depar-

ture from our general theme of contact problems in elasticity, the methodologies

required do not represent a significant extension of those developed up to this

point. We conclude this portion of our study with descriptions of several

applications of our theory and methods to metal forming problems. These

represent very difficult types of contact problems in which we must cope with

complications due to friction effects, material nonlinearities, and geometric

nonlinearities.

to the general kinematics of deformable bodies outlined in Chapter 2. Recall

that the motion of a material body is characterized by equation (2.1) which

gives the Cartesian components yf of the position of particle x with labels

(x,, x2, x3) at each time f 2:0. We restate this equation as

tensor with components

at \ = (xl,x2, x3) and time t, where we now choose to use upper case Latin

indices to denote the material coordinates x/ and tensor quantities referred to

a Cartesian basis on the reference configuration. The right Cauchy-Green

deformation tensor is defined by

CONTACT PROBLEMS 371

The displacement vector u of a particle x at time t is defined by

so that

(ui>I=dui/dx,).

The equations of motion (12.1) must be locally invertible; and, in particular,

we must have

Indeed, let p0 and p denote the mass densities of the material in the reference

and deformed (i.e., the current) configurations respectively. Then the principle

of conservation of mass requires that

tantamount to the requirement that finite volumes of the material cannot be

reduced to zero at points in the continuum.

We shall now consider a class of homogeneous, isotropic, hyperelastic

materials, the mechanical response of which is characterized by a strain energy

function W which is given for each such material as a differentiable function

of the invariants in (12.4). We shall follow a standard abuse of notation and

infrequently distinguish between the function W and its values, writing

invariant under all orthogonal changes in the material frame of reference. It

is insensitive, in other words, to choices of direction of the material coordinate

lines Xj and, thus, reflects the assumed isotropy of the material. The absence

of an explicit dependence on x reflects the assumed homogeneity of the

material.

While much of what we do in this section is applicable to very general forms

of the strain energy functional W, it is considerably simpler and convenient

if we focus on a specific form that is consistent with those suggested by both

experiments on rubbery materials and kinetic theory. We shall consider the

372 CHAPTER 12

As will be shown later, the stress developed in such a material is zero in the

reference configuration whenever we take

mechanical response of the material to deformations because the derivatives

of W with respect to F determine the constitutive equations for stress. In

particular, the first Piola-Kirchhoff stress tensor, T= T/.-i/!, (ii,i 2 ,i3 being

orthonormal vectors in the directions of the spatial >>,-coordinate lines) satisfies

The traction vector t0 on a material surface in the deformed body (the current

configuration)

The first Piola-Kirchhoff stress T is related to the Cauchy stress a by

The Cauchy stress tensor is symmetric, but T may not be as it satisfies the

relation

Stress-deformation relation. Noting that

CONTACT PROBLEMS 373

relation:

Variationalprinciples. We shall now consider the equilibrium of a hyperelastic

body subjected to body forces and surface tractions. We shall denote material

volume and surface measures in the reference configuration (the "undeformed"

body) by dO0 and dY, respectively, and those in the current configuration

by rfd and dr. If the body force f is measured per unit current mass, and if

the traction t is given as a force per unit area in the deformed body, the work

done by an arbitrary virtual displacement v is defined by

on the reference configuration:

where t0 is defined by

provide a more precise definition of the space V of admissible displacements.

In general, we will be interested in boundary value problems for which

F = TD U fc U f F, To n f c = 0, and for which

374 CHAPTER 12

pressure p is exerted normal to the deformed surface. Then

where n is the unit vector outward and normal to the deformed surface. We

next introduce Nanson's formula,

yields

ations in which the external forces are constant throughout the deformation

(so-called dead loading) so that the potential energy of the external forces is

-P(v), where P(v) is defined in (12.23).

The total strain energy U of the body is defined as the functional

energy of the body as an extended real valued functional F: V-RU{+oo}

givenby

where J(\) = det (du+v^j). Then we need consider only displacements in the

effective domain of F: eff dom F = {ve V| |F(v)| < oo}.

As in Chapters 2-6, the principle of minimum potential energy asserts that

the body is in a state of stable, static equilibrium whenever the total potential

CONTACT PROBLEMS 375

by the solutions u of the minimization problem.

Let us return, therefore, to the general unilateral contact conditions derived

in Chapter 2 for surfaces defined by smooth functions $ and ^ (recall Fig.

2.1 and inequality (2.5)). For this type of contact constraint, we must seek

minimizers of the energy in a constraint set K of the form,

finite elastostatics is thus, representable as the nonconvex minimization

problem,

To handle the unilateral constraint set, we can once again resort to the

method of Lagrange multipliers and introduce the Lagrangian,

Then the admissible set N for Lagrange multipliers becomes a convex set.

Stationary values of L are characterized by the system

where T(u) = T,j(u)ij(x)ij is the stress tensor due to the displacement u and N

is defined by

by

376 CHAPTER 12

for every ve V. The first two terms obviously lead to the equilibrium equation

Noting that

and

Since

is obtained on the true contact area. This means that the Lagrange multiplier

a- corresponds to the contact pressure on the material surface Fc in the current

(deformed) configuration.

Remark 12.2.1. We shall refer to (12.38) as the Signorini problem for finite

elastic deformations. Obviously, it is equivalent, under the assumptions intro-

duced, to the variational problem (12.35). Note that if p0e L(ft) and (12.10)

holds, then

If the functions <f> and if/ are continuously differentiate in their arguments

on Fc, the contact conditions hold in the space

CONTACT PROBLEMS 377

formulation of the variational problem (12.38) using the idea of incremental

Newton-Raphson methods. To do this, we increment u and a in (12.38) by

replacing them by u + Au and cr + Acr and we then retain only linear terms in

Au and Acr. Then the first term of (12.38), yields

where

where

378 CHAPTER 12

where VA and JVA are the admissible sets of the incremental displacement and

contact pressure respectively, and R(u) is the remainder defined by

so that cr + Acr satisfies the constraint cr + Acr<0 on FC- The admissible set

VA may be defined various ways. For example, if u = g on TD then Au = 0 on

T^and VA = V.

In the above linearization, we implicitly assume that the traction t0 on TF

can be simply decomposed as t 0 +At. However, if the pressure type traction

which depends upon the solution itself is considered, the incremental form of

this term has to be modified. To this end, let us recall (12.31) and let us take

its increment:

Notingt

CONTACT PROBLEMS 379

we have

(12.55) At = -Ap/noF-1-^noF-1ei:/ke^F1./F^Auk,K+pyn0F-1V(Au)F-1.

Thus, the last two terms form an additional contribution to the left-hand side

of the linearized equation (12.49)i.

If we define

and the duality pairing [ , ] on Q' x Q, then the linearized formulation (12.52)

can be represented by

It is clear that the formulation (12.57) has exactly the same form as the problem

for linearly elastic materials. Thus the studies on linear elasticity are applicable

to investigate properties of the incremental solution Au to (12.57).

Furthermore, if the method of perturbed Lagrangians is applied to the

linearized formulation (12.57), a linearized penalty formulation can be

obtained. Indeed, for a small positive constant E > 0 the linearized saddle

point problem (12.57) is approximated by the perturbed one:

Since the second inequality can be solved to yield

yields

we may replace ; by the identity map in (12.59) and (12.60). Corresponding

finite element approximations are obtained in the usual way from either the

variational formulation (12.57) or the penalty formulation (12.60).

380 CHAPTER 12

obtained using finite element approximations based upon the theory described

above. We consider a thick rubber spherical shell subjected to internal pressure,

its motion being constrained by the presence of a rigid flat surface located

above the shell and normal to the axis of revolution.

Suppose that the shell is constructed of an isotropic rubber modeled as a

Mooney-Rivlin material characterized by Ci = 80 and C2 = 20psi and as

incompressible, i.e., / = VTTl = 1. Then the strain energy density W becomes

tional constraint by either the Lagrange multiplier method or the penalty

method. The incompressibility for small deformation was solved by introducing

the Lagrange multiplier in Chapter 7, and we shall now apply this method for

large deformations. In this case the Lagrangian is defined by

instead of (12.32). Stationary values of L are points (u, p, a-) satisfying the

system,

pressures) for the incompressibility condition /(u) = 1. Following the lineariza-

tion procedure used for problem (12.49), we obtain incremental forms for

(12.62) in terms of Au, A/>, and ACT.

Using standard finite element techniques, biquadratic quadrilateral elements

are used to approximate the displacement field Au. The hydrostatic pressure

A/> is approximated by linear polynomials within an element, and the contact

pressure Ao- is approximated by piecewise quadratics along Yc. Eight Q2

elements are used to model the shell.

CONTACT PROBLEMS 381

It is also noted that the applied force is the pressure to the surface. Thus,

the At in the linearized formulation must be identified with the expression

(12.55).

For the initial geometry shown in Fig. 12.1 (a) the computed deformed shell

is shown in Fig. 12.1(b) for different pressure levels.

12.4. Existence theorems in finite elasticity. In this section, we shall establish

conditions sufficient to guarantee the existence of solutions to nonconvex

382 CHAPTER 12

of contact problems in which the constraint set is of the form

where </> and if/ are the smooth functions defining the unilateral contact

conditions discussed in the preceding section. Our equilibrium prqblem is then

where

Here W is the strain energy per unit of mass in the reference configuration,

Vv is the displacement gradient ((Vu)^ = dvt/dxj, W(V\) = W(l(v), II(v),

III(v))), and 7(v) = detF = det(l + Vv).

Our approach to the question of existence of solutions to (12.64) is to apply

Theorem 3.1, the generalized Weierstrass theorem, which for our present

purposes can be stated as simply as follows:

IfF:K->R is a proper, coercive, weakly lower semicontinuous functional defined

on a nonempty sequentially weakly closed subset K o f a reflexive Banach space,

then F is bounded below on K and attains its minimum on K.

Consequently, there are two main issues concerning the existence of

minimizers to (12.64), the sequentially weak closedness of the set of

admissible motions K and the lower semicontinuity and coerciveness of the

energy functional F.

The functional F is, in general, nonconvex. Thus, some generalizations of

the methods discussed earlier are needed. We begin with a simple but funda-

mental theorem (cf. Oden [6]).

THEOREM 12.1. Let U and V be normed linear spaces, K be a subset of V,

and let the following hold:

(i) K is weakly sequentially closed.

(ii) There exists an operator B: K -> U which is weakly sequentially continuous

(i.e. if (um}<^ V converges weakly to u, then B(um) converges weakly to B(u)

in U).

(iii) There exists a functional G: M -* R, M being a subset of the range Rg(B)

of B, which is convex and which possesses a Gateaux derivative DyG(v)e U*

at every u e M.

Then the composition

CONTACT PROBLEMS 383

(DuG(v2), vl-v2)u, i, v2Rg(B). If un^u in V, and since

F(un)-F(u)^G(B(un))-G(B(u))^(DuG(u)tB(un)-B(u)}Ut

we have

The natural question that arises at this point is whether or not weakly

sequentially continuous maps such as B exist for the set K in (12.63). The

remarkable answer to this question is that the operations encountered in the

definition of invariants of the deformation and used in defining the domain

of the strain energy are these very special weakly sequentially continuous

maps, i.e.

Vv. Indeed, note that

The proof of this important assertion follows from two important lemmas, the

first result, due to Ball [1, p. 369] and another result of Reshetnyak [1, Thm.

2; 2, Thm. 4] (see also Ball [1, p. 372]):

LEMMA 12.1. (i) Let n = 1. Then if we (W 1>2 (a))", detVweL'Cft) and

detVw = |e,>.fce^Vaw^W(fcy holds in 2)'(fl).

(ii) Let w = 3. Then i/we (W 1>2 (ft))", adj Vwe (L ! (a))" 2 and (adjVw)f =

\eijkea^wj^y = ^eijkea^wjwky^ holds in '()

(iii) Let n = 3. Then if we ( W l ' p ( f l ) ) n and adj Vwe (L P '(O))" 2 , detVwe

L'(ft) and (2.5) holds in 2>'(ft), (l/p + \/p'= 1, p>2).

LEMMA 12.2. (i) Let n = 2. Then i f p > 2 the map w^det Vw: (W 1 > p (ft)) n -

(L P/2 (O))" is sequentially weakly continuous.

(ii) Let n = 3. Then i f p > 2 the map w ^ a d j Vw:( W 1/p (O))"(L p/2 (a))" 2 is

sequentially weakly continuous.

(iii) Lef n = 3. 7?je i / p > 3 the map w^det Vw:( W 1>p (n))"^ L P/3 (H) w

sequentially weakly continuous.

An immediate result of these lemmas is the following:

THEOREM 12.2. Let K fee defined in (12.34) and for n = l,2, or 3, /ef safw/

conditions in Lemmas 12.1 or 12.2. Then K is weakly sequentially closed.

It might at first seem that the restriction on p is too severe to accommodate

certain classes of materials commonly used in nonlinear elastostatics. This is

not the case for we can always redefine K and problem (12.64) accordingly.

384 CHAPTER 12

It is clear from Theorem 12.1 and these results that whenever the conditions

on p and n given in Lemma 12.2 hold, then any convex and differentiable

functional of the three weakly sequentially continuous functions of (12.4) (or

(12.67)) will be weakly sequentially lower semicontinuous. This led Ball [1]

to introduce the idea of poly convexity: A function w:M-IR (M = IR 3 xR 3 ) is

polyconvex if and only if it is expressible in the form

W:(R 2 xlR 2 ->[R is polyconvex if w(F) = W(, det F), W being convex and

differentiable in each argument. For n = l, the notion of polyconvexity

coincides with convexity.

Summarizing, we have

THEOREM 12.3. Let any of the conditions on p and n listed in Lemma 12.2

hold and let the strain energy function W in (12.65) be given as a polyconvex

function of Vv. Then the potential energy functional F in (12.64) is weakly

sequentially lower semicontinuous on the weakly sequentially closed set K of

(12.63). Thus, if F is also coercive on the space

and if F is proper, then there exists at least one solution to the nonconvex

minimization problem (12.64).

We can now apply these results to the special case considered in 12.1.

THEOREM 12.4. Let the strain energy function Wbe given by (12.10) with C,,

C2, C3 positive constants. Then there exists at least one solution of the minimi-

zation problem (12.64).

Proof In this case, n = 3, p = 6, so I(v), II(v), /(v) are weakly sequentially

continuous by Lemma 12.2, and K of (12.31) is weakly sequentially closed.

For these choices of signs of the material constants, W is polyconvex. Hence,

F is weakly sequentially lower semicontinuous. Also, |F(0)|x> establishes

that F is also proper.

The proof of coerciveness of F is less direct. For this purpose, we introduce

a product space and a new functional,

4

The requirement of differentiability can be weakened; in general, only continuity of W in

each argument is needed.

CONTACT PROBLEMS 385

The product space is a Banach space when equipped with the norm (p ^2)

Indeed

(12.64). The weak lower semicontinuity of F and the weak sequential closed-

ness of K are established by arguments parallel to those given earlier.

Turning now to the form (12.71), we have

(12.74)

These results are immediately extendible to the case of incompressible

materials. In such cases,

and W is given as a function of only I, II. We need only add to the definition

(12.63) of the constraint set K the requirement det(l + Vv) = l a.e. in O0.

But K is then still weakly sequentially closed for appropriate n and p by

Lemma 12.1.

give a brief introduction to extensions of our work on contact problems in

elasticity to large-deformation problems in elastoplasticity. We will find that

many of the results and methods developed earlier are directly applicable to

inelastic contact problems with friction, especially when linearized incremental

formulations are used.

386 CHAPTER 12

Many of the derivations and numerical examples discussed here are taken

from Cheng [1] and Cheng and Kikuchi [1]. Similar contact problems related

to metal forming analysis have been solved by e.g. Lee and Kobayashi [1],

Nayak and Zienkiewicz [1], Oh and Kobayashi [1], Hibbitt, Marcal and Rice

[1], Key, Krieg and Bathe [1], Fredriksson [1] and others.

Elastoplasticity for large deformations. We shall first obtain an incremental

elastoplastic formulation for large deformations without considering unilateral

contact conditions. To do this, we shall follow the derivation described in

McMeeking and Rice [1] in which the rate form of the first Piola-Kirchhoff

stress T is used to define rate formulations of the theory of Hill [1]. The

condition for continuing equilibrium in incremental formulations is based

upon a rate form of virtual work equation, e.g.,

boundary conditions on FD. The superposed dots denote material time deriva-

tives. If terms are related to the contact condition in (12.35), the formulation

(12.77) is the same as the rate form of (12.35). Since the first Piola-Kirchhoff

stress T is related to the Cauchy stress cr by (12.16), we have

Noting that

we have

defined in the deformed configuration, i.e.,

CONTACT PROBLEMS 387

The co-rotational (or Zaremba-Jaumann) stress rate cr* is defined by

system is defined by

Thus, the rate form of the virtual work principle (12.77) becomes

Prandtl-Reuss equation now involving the co-rotational stress rate and the

Mises yield criterion. Hardening is also considered and is assumed to be

isotropic. Furthermore isotropic elasticity is assumed for elastic deformations

and the following rate form is applied:

Here A and G are the first and second Lame constants and eetj is the rate of

deformation due to elastic deformations. If we define by e^ the rate of

deformation due to plastic deformations, then the relation

holds.

The Mises yield condition is defined by the yield function

where J'2 = 0-^0-^/2, 0-^ = 0-^-8^0-^/3, and k depends on the strain history.

Using the flow rule

388 CHAPTER 12

can be obtained as the slope of the curve of the true stress versus the logarithmic

plastic strain in a simple tension test on a uniform bar. Introducing (12.91)

and (12.92) into (12.90) for the Mises criterion (12.89), we obtain the incre-

mental constitutive equation

where

and a = V37 is the effective stress. The last term of (12.94) has to be omitted

when

Since the term y^k&jiVij in the virtual work principle (12.85) yields an

unsymmetric stiffness matrix in finite element approximations, we sometimes

replace the rate form of the constitutive equation (12.93) by

where DijM is defined by the same form (12.94) except that H' has to be

replaced by H' defined by

Thus far we have obtained the rate form of the virtual work principle (12.85)

on the current configuration using the constitutive equation (12.96). This can

be the basis for the derivation of an incremental scheme called the updated

Lagrangian formulation as well as a basis for a general mathematical theory

of elastoplasticity for large deformations.

Incremental plasticity. Now we shall consider an incremental formulation of

elastoplasticity. To do this, let us integrate the rate formulation (12.85) from

CONTACT PROBLEMS 389

and the increments Au, Af, and At are defined by Au = )>Af, Af = fAf, and

At = tAf, respectively. It is noted that the constitutive equation (12.95) is applied

here.

We have only considered the problem of large deformation elastoplasticity

without including any of the contact conditions on the boundary. We shall

take up this problem in two steps, first the normal contact model and then a

tangential one.

Contact conditions in the normal direction. Suppose that an elastoplastic body

is located below of a rigid surface represented by a parametric equation

as discussed in 2.1. If the surface of the body below the rigid surface is given

by

can be represented by

small enough, this can be linearized to

as shown in (2.17) where N is the unit vector inward normal to the rigid surface

and is defined by

390 CHAPTER 12

and

where Fc is the possible surface of contact with the rigid surface at the current

configuration.

Contact conditions in the tangential direction. The next consideration is the

development of an incremental form of a friction law which is similar to the

one studied in the previous two chapters. In particular, the incremental friction

law derived here contains (11.55) as a special case. We shall use a generalized

Coulomb sliding criterion characterized by the condition

where the traction vector a is decomposed into tangential and normal com-

ponents according to oi = oir + crjVN, and VF is the friction coefficient. I f / < 0

at a point P on Fc, the material P sticks to the surface Fc. If /= 0 at P, there

are two possibilities: continuing sliding and unloading sticking.

Following the theory of plasticity, let us assume that the sliding rule

displacement Au T due to sliding. Here we have assumed that Au r can be

decomposed into

Now taking increment of the Coulomb sliding criterion for/=0, we have

where A*aT and A*crN are co-rotational "increments" of the traction vector

in the tangential and normal direction, respectively. It is noted that the

co-rotational rate of the traction t is defined by

Assuming the elastic relation

CONTACT PROBLEMS 391

defined by <JT = V<r T - or T , we can conclude the following incremental relation:

where T( is defined by

upon the effective sliding displacement. Indeed, the experimental work by

Courtney-Pratt and Eisner [1] clearly confirm such a dependence. The value

dvF/dUr in the incremental friction law (12.114) can be obtained as the slope

of the curve VF - UT by experiments following Courtney-Pratt and Eisner [1].

392 CHAPTER 12

by the following criteria:

(continuing sliding),

(unloading sticking).

The above formulation of friction laws is based upon the works by Seguchi,

Shindo, Tomita, and Sunohara [1], Fredriksson [1] and Michalowski and

Mroz [1] in which analogous approaches are taken but which employ a

"constant" normal stress crN. In the present formulation, however, we have

taken into account the variation in the contact pressure aN, our results indicate

that this is a very essential factor in the analysis of most metal forming processes.

Signorini' s problem with friction. Let us reformulate Signorini's problem with

friction for large deformation elastoplasticity using the incremental formula-

tions described above. Let K be the set of admissible increments of displace-

ments defined by

variational inequality,

CONTACT PROBLEMS 393

where

and

If we define

and

reduced to precisely the same form of variational inequality that was derived

earlier in linear elasticity.

Example 12.2 (indentation problem). This example is aimed at testing the

incremental formulation proposed above. The problem chosen is a plane-strain

indentation of a cylindrical rigid punch on a semi-infinite slab. Due to sym-

metry, half of the slab is analyzed as shown in Fig. 12.2(a). It is assumed that

there is no hardening or softening effects for the sliding motion, i.e., dvF/dupT =

0, or VF is constant during the entire process.

394 CHAPTER 12

FIG. 12.2(a). Two initial setups for a plane strain indentation problem for a cylindrical rigid punch.

From J. H. Cheng and N. Kikuchi [1], Computing Methods in Applied Mechanics and Engineering.

Copyright 1985 American Society of Applied Engineers.

FIG. 12.2(b). Deformed meshes at 0.4cm plane strain indentation by a rigid punch (R = 0.8 cm)

on an elastoplastic slab with E = 10Gpa, i> = 0.3, 5^ = 0.1 Gpa, and a = 0.1-f 0.05(e-0.01) Gpa.

From J. H. Cheng and N. Kikuchi [1], Computing Methods in Applied Mechanics and Engineering.

Copyright 1985 American Society of Applied Engineers.

CONTACT PROBLEMS 395

Allowing plastic deformations, the problem is solved for vp = 0.3 with the

material yield strength Sy -100 Mpa, and the post-yield behavior described

by <r = 100 + 50ep Mpa. Figure 12.2(b) shows the final deformed meshes after

0.4 cm of indentation from the initial configuration. Very different stress distri-

butions from elastic deformation are observed since significant plastic strains

are involved. In all computations, a reference increment is chosen to be

0.005 cm which may be altered by three criteria: the Mises yield condition,

the kinematic contact condition in the normal direction, and the turning point

of the sticking-sliding condition. The resultant contact stresses are exhibited

in Fig. 12.2(c) in which all the stress values are normalized by P0 (=1.7645^),

an analytical value at the threshold of plasticity due to Hertz. With the same

total number of contact points in this instance, the maximum contact pressure

is higher (smaller contact area) when frictional effects are included. It is seen

that the distribution of contact pressure is not as smooth as in the linear

elasticity case (Fig. 12.2(d)). A possible explanation of this oscillatory result

is again attributed to the requirement of vanishing volumetric plastic strain-

increment Aefj in the plasticity theory as has been explained in the last section.

This observation can again be confirmed when we solve the same problem

with a high work-hardening material (ff' = 500Mpa) which allows larger

components of elastic strain increment in the plastic region. The results are

FIG. I2.2(c). Contact stresses (normalized by FIG. 12.2(d). Comparison of contact pressure

P0= 17.64 Mpa) of indentation tests on an elas- for elastic and plastic indentations (i/F = 0).

toplastic slab. From J. H. Cheng and N. Kikuchi From J. H. Cheng and N. Kikuchi [1], Comput-

[1], Computing Methods in Applied Mechanics ing Methods in Applied Mechanics and Engineer-

and Engineering. Copyright 1985 American ing. Copyright 1985 American Society of

Society of Applied Engineers. Applied Engineers.

396 CHAPTER 12

FIG. 12.2(e). Comparison of contact pressure FIG. 12.2(f). Comparison of maximum contact

for two plastic loading paths (frictionless). From pressure vs. contact area for elastic and plastic

J. H. Cheng and N. Kikuchi [1], Computing indentations. From J. H. Cheng and N. Kikuchi

Methods in Applied Mechanics and Engineering. [I], Computing Methods in Applied Mechanics

Copyright 1985 American Society of Applied and Engineering. Copyright 1985 American

Engineers. Society of Applied Engineers.

contact stresses. A comparison of the maximum contact pressures versus the

contact area for both elastic and plastic loading conditions is given in Fig.

12.2(f).

Example 12.3 (convergent extrusion process). Consider the following problem

depicted in Fig. 12.3(a): A cylindrical straight aluminum rod of initial diameter

d0= 10.16 cm and initial length, /0 = 25.4 cm, is placed into a convergent die

with an inclined angle of 5. The billet is forced through the die by an adjustable

punch. Material properties of the billet are characterized by E = 68.95 Gpa,

*/ = 0.32, S> = 31Mpa, and <r= 151.7e25 Mpa. With the finite element dis-

cretization given in Fig. 12.3(a), the process is performed with a reference

displacement increment Auf of 0.127 cm (0.05 in.) prescribed on the punch.

The deformed configurations at several punch strokes are exhibited in the

same figure for two different contact conditions. The upper half is shown for

the case of frictionless interfaces, and the other is for the case when the

coefficients of friction are assumed to be 0.1 along the die wall and 0.02 between

the punch and the billet.

In reality, the development of the contact region is continuous. Thus, a

certain discrepancy should be expected from this simulation due to the discrete

nature of the finite element model. It is found that occasionally when a

boundary point is brought to touch the die, the elements around it unload

temporarily. This disturbance is indicated in Fig. 12.3(b) by a slight oscillation

CONTACT PROBLEMS 397

FIG. 12.3(a). An axisymmetric extrusion process through a convergent die, upper half for a frictionless

case, lower half for VF = 0.1 on the die wall and VF = 0.02 on the punch.

of the contact pressure distributions along the wall at 15.24 cm (6 in) of punch

stroke. For the frictional case, since all the points are sliding, the magnitudes

of the tangential force are simply one-tenth of the values obtained from this

figure.

398 CHAPTER 12

FIG. 12.3(b). Contact pressures (normalized bySy = 3l Mpa) along the die wall of a convergent-die

extrusion process at 15.24cm (6 in) of punch stroke.

present a simulation of a direct extrusion process, which is of considerable

significance in industrial practice. The information obtained from the finite

element solutions is not only essential in providing insight into the mechanics

of the forming process, but is also useful in improving the existing processes.

The problem to be analyzed is depicted in Fig. 12.4(a). A reference displace-

ment increment of 0.0635 cm (0.025 in) is given to describe the travel of the

ram. The cross section of the billet is reduced by 36 percent when the extrudate

is forced through the die. The material is aluminum alloy 1100-0 with Young's

modulus E = 68.95 Gpa, Poisson's ratio *> = 0.32, yield strength S^ = 31 Mpa,

and strain hardening a = 151.68e 25 Mpa.

To investigate the effect of friction, the process is first carried out assuming

frictionless contact conditions, and then repeated with a constant coefficient

of friction, VF = 0.1, assumed on all contact interfaces. For purposes of com-

parison, the deformed configurations are shown together in Fig. 12.4(a) at

increasing ram displacements. Very distinct differences in responses are

observed. For the frictional case, due to the severe distortion of finite elements

CONTACT PROBLEMS 399

FIG. 12.4(a). An axisymmetric direct extrusion process, upper half for the frictionless case, lower

half with a constant coefficient of friction, VF = 0.1 on all the contact surfaces.

at the later stage of the process, very stiff shear stiffness of finite elements can

be expected. This also results in a very steep slope of a curve depicting the

relationship between the total ram force and the die displacement as compared

with the frictionless case.

The computed contact pressures for both cases at two ram displacements

are given in Fig. 12.4(b). They show similar shapes and essentially the same

400 CHAPTER 12

FIG. 12.4(b). Contact pressure (normalized by Sy - 31 Mpa) distributions along the die wall in a

direct extrusion process.

end pressures but very different peak values, which occur in the midst of the

throat.

Example 12.5 (head forming process). In this example, let us consider a head

forming problem with an initial configuration and material properties shown

in Fig. 12.5(a). The same problem has been solved by Argyris et al. [1] using

both a viscoplastic flow model and an updated Lagrangian model with Newton-

Raphson corrections, and by Kobayashi [1] using a rigid-plastic approach.

The analysis is carried out under a reference displacement increment of 0.25

percent of the initial height. Deformed configurations at various stages are

displayed in Fig. 12.5(b) together with the contour lines of the effective stress

<j. Localized plastic deformations in the core of the head grow into two shearing

bands in the upper and lower parts of the head. Figure 12.5(c) shows the

variation of the applied load evaluated from element stresses under the punch.

The slight disturbance at 36 percent reduction is caused by the response of

the material when some portions of the initially vertical lateral surface of the

billet come into contact with the die and the punch (see the deformed mesh

at 40 percent reduction in Fig. 12.5(b)).

Example 12.6 (sheet metal forming). We consider a thin sheet metal forming

problem. This type of problem is often analyzed using a nonlinear theory of

CONTACT PROBLEMS 401

FIG. 12.5(a). Initial configuration for a head forming problem. From J. H. Cheng and N. Kikuchi

[1], Computing Methods in Applied Mechanics and Engineering. Copyright 1985 American Society

of Applied Engineers.

membrane shells (e.g., Kobayashi and Kim [1], and Wang and Wenner [1]).

The configuration and dimensions of the problem are shown in Fig. 12.6(a).

The thickness of the sheet metal is 1 mm, which is modeled by 132 4CST

elements in equal spacing. The material is aluminum 1100-0 whose properties

are given as E - 68.95 Gpa, v = 0.32, yield strength Sy = 31 Mpa, and post-yield

relation v= 151.68e 25 Mpa.

Both stretch forming and deep drawing are considered. The process is first

carried out by assuming a fixed flange and a constant coefficient of friction,

VF = 0.4, between the punch and the sheet metal. Deformed configurations at

each 10 mm of the punch depth up to 40 mm are illustrated on the right-hand

side of Fig. 12.6(b). The other side of the figure shows another case with a

402 CHAPTER 12

FIG. 12.5(b). Deformed meshes of a head forming problem (coefficient of friction 0.3). From

J. H. Cheng and N. Kikuchi [1], Computing Methods in Applied Mechanics and Engineering.

Copyright 1985 American Society of Applied Engineers.

CONTACT PROBLEMS 403

FIG. 12.5(c). Applied load evaluated from element stresses under the rigid punch during a head

forming process, original area A0 = 12.57 cm2. From J. H. Cheng and N. KJkuchi [1], Computing

Methods in Applied Mechanics and Engineering. Copyright 1985 American Society of Applied

Engineers.

For demonstration purposes, we enlarge the portion around the center

(enclosed by the dotted line). The effect of stretching can be seen by a thinner

thickness some distance away from the symmetric line. Figure 12.6(c) depicts

the variation of punch load with increasing depths of the cup. It is clear that

the presence of draw-in requires much lower punch loads. The zig-zag climbing

of the applied load is due to discontinuous contact. For such a large radius

FIG. 12.6(a). Configuration and dimensions for a thin sheet metal (1 mm of thickness) forming

process.

404 CHAPTER 12

FIG. 12.6(b). Deformed configurations at every 10 mm of punch depth in a thin sheet metal forming

process with two different contact conditions, VF = 0.4 on the right-hand side, and VF = 0.04 on the

left-hand side.

FIG. 12.6(c). Applied loads (normalized by 20 kN) vs. punch depth of a thin sheet metal forming

process with two different contact conditions.

CONTACT PROBLEMS 405

FIG. 12.7(a). An axisymmelric backward extrusion process with remeshing at every 5 percent

reduction of the initial height. From J. H. Cheng and N. Kikuchi [2], International Journal for

Numerical Methods in Engineering. Copyright 1986 Pergamon Press.

with the finite element model used, the "time" lapse for the next point to reach

the punch is rather long, also the sudden increase of contact area is large so

that the load jumps at the moment of contact.

Example 12.7 (backward extrusion process). We next solve a backward

extrusion process shown schematically in Fig. 12.7(a). The billet is assumed

to be lead with material properties = 36.54Gpa, ^ = 0.245, yield strength

Sy = 23.44 Mpa, and a very low strain hardening H' - 0.007 Mpa. A constant

coefficient of friction, vF = Q.l is imposed on all the contact surfaces.

The billet of initial diameter 50.8cm (20 in) and height 38.1 cm (15 in) is

modeled by 150 4CST finite elements. The entire forming process up to 30

percent reduction of the initial height is interrupted at every 5 percent reduction

for remeshing. Several deformed configurations are shown in Fig. 12.7(a), in

which the diagonals of 4CST elements are omitted. The computed applied

loads are given in Fig. 12.7(b).

Example 12.8 (plane-strain extrusion process}. The last example problem is

a plane strain extrusion process through a square die shown in Fig. 12.8(a).

The material used is aluminum 1100-0 with the properties = 68.95 Gpa,

i^ = 0.32, yield strength Sy = 31 Mpa and strain hardening <T = 151.7e'25 Mpa.

The process is carried out by assuming either frictionless contact conditions

406 CHAPTER 12

FIG. 12.7(b). Applied load (normalized by TrR^Sy) of a backward extrusion process by a rezoning

technique. From J. H. Cheng and N. Kikuchi [2], International Journal for Numerical Methods in

Engineering. Copyright 1986 Pergamon Press.

FIG. 12.8(a). A schematic setup for a plane strain extrusion process through a square die. From

J. H. Cheng and N. Kikuchi [2], International Journal for Numerical Methods in Engineering.

Copyright 1986 Pergamon Press.

CONTACT PROBLEMS 407

FIG. 12.8(b). Deformed configurations of a plane strain extrusion process through a square die,

upper half for the frictionless case, lower half for a constant VF - 0.2 assumed on all contact surfaces.

From J. H. Cheng and N. Kikuchi [2], International Journal for Numerical Methods in Engineering.

Copyright 1986 Pergamon Press.

contact interfaces. Deformed configurations for both cases are included

together in Fig. 12.8(b). Remeshing is performed at every 1.27 cm (0.5 in) of

ram displacement. In Fig. 12.8(c), the applied loads at increasing ram displace-

ments are given to show the effect of "smoothing" in evaluating the stresses.

In general, when the process is resumed right after the deformed configuration

408 CHAPTER 12

FIG. 12.8(c) Applied loads (normalized by TrRgSy) vs. punch travel of a plane strain extrusion

process through a square die for two contact conditions. From J. H. Cheng and N. Kikuchi [2],

International Journal for Numerical Methods in Engineering. Copyright 1986 Pergamon Press.

from the flat portions in the curves. However, the applied load starts to ascend

rapidly at about 0.635 cm (0.25 in) of ram displacement from the last intermit-

tent step.

Chapter 13

are added to our models of contact with friction. First of all, the physical

mechanisms in force on the contact interfaces during dynamic phenomena

which are responsible for "dynamic friction effects" are extremely complex;

they have been the focus of considerable experimental research for several

decades and are still the subject of much study. The fact that, in general, an

apparent decrease in frictional resistance to sliding of one body on another

sometimes occurs in dynamic situations has been known for centuries, and

primitive notions of static versus dynamic coefficients of friction have been

used in rigid-body dynamics for many years. But these classical dynamic

friction models are generally not applicable to pointwise descriptions of friction

in continuum mechanics: they neither reflect the true physics of dynamic

contact on metallic surfaces nor do they lead to tractable mathematical models.

The frictional contact problem in elastodynamics also leads to mathemati-

cally complex models, the properties of which remain to be fully understood.

In general, dynamic contact problems are characterized by nonlinear hyper-

bolic variational inequalities. With some exceptions, existence theories for

such problems are not yet available and the numerical analysis of these

problems is in an early stage of development.

Nevertheless, there are important classes of dynamic contact problems with

friction that can be treated effectively by modern numerical methods and that

admit to some theoretical analysis. The volume of literature on mechanical

theories of dynamic contact with friction, and particularly on the analytical

or numerical solution of problems of this type, is quite small. Several authors

have attempted the numerical solution of dynamic contact problems using

finite element methods. Among them, we mention the work of Hughes, Taylor,

Sackman, and Kanoknukulchi [1] who presented a finite element formulation

for linearly elastic contact-impact problems valid for perfect frictionless or

perfect adhesion conditions on the contact surface. Applications of the finite

element method to solve a formally derived variational inequality which

governs the dynamic behavior of linearly elastic bodies in unilateral contact

409

410 CHAPTER 13

Panagiotopoulos [1] and Talaslidis and Panagiotopoulos [1] also derived,

formally, variational inequalities for the dynamic analysis of solids in unilateral

contact with foundations. These foundations are assumed to satisfy a general

holonomic monotone constitutive law which is designed to model rigid, elastic

or plastic situations and also friction conditions. In the applications, the

problems solved involve linearly elastic bodies in unilateral contact with elastic

foundations without friction or with prescribed friction stresses: A similar class

of problems was treated by Martins and Oden [1], who also obtained error

estimates for finite element approximations for certain cases.

Mathematical treatments of a restricted class of dynamic contact problems

have been explored by several authors. We mention, in particular, the work

of Cabannes [1], [2] on vibrating string problems with friction, the works of

Lotstedt [1], [2], [3] on dynamics of systems of rigid bodies with unilateral

constraints and friction, and the papers on the existence and uniqueness of

solutions to vibrating string problems with obstacles by Schatzman [1], [2],

Amerio [1], [2], Amerio and Prouse [1], and Citrini [1], [2]. More recently,

a rather general theory of dynamic friction was advanced by Martins and

Oden [2], who obtained the first existence results for dynamic problems in

viscoelasticity with a friction law that will be discussed at some length in this

chapter.

A key step in the study of dynamic friction phenomena is the recognition

that no single friction model can adequately cover the wide range of physical

events that take place when one body is brought in contact with another. Oden

and Martins [1] have suggested three broad categories of frictional effects:

Type Iquasi-static dry friction

Type IIdynamic sliding friction

Type IIIwear and plowing

Quasi-static dry friction (Type I friction), refers to frictional mechanisms

present when two possibly polished, metallic surfaces are pressed slowly

together and are in static equilibrium or are slowly displaced relative to one

another, and for which normal loads are large enough to produce significant

plastic deformation but not produce severe penetration and gouging of the

contact interface. Here the most conspicuous mechanisms contributing to

friction are the plastic deformations of asperities, the formation of elastoplastic

junctions on the contact surface, the strong coupling between normal and

tangential plastic deformations, and the dissipative mechanisms afforded by

the history-dependence of junction deformation and possible fracture of these

junctions. The frictional forces may depend upon histories of micro-tangential

displacements of particles on the contact surface. Theories describing such

frictional effects are basically static in nature; inertia effects are generally not

important and the modeling should capture the elastoplastic deformation of the

interface in some way. The models and methods discussed in Chapters 12 and

13 are applicable to Type I frictional problems.

DYNAMIC FRICTION PROBLEMS 411

class of truly dynamic problems which include such effects as frictional

damping, dynamic sliding, stick-slip motion, chattering, etc. The constitution

of the material interface is essentially stable; there is no marked penetration

or normal plastic deformation of the interface and, at least from a global point

of view, the frictional forces developed on the contact surface appear to depend

on the sliding velocity of one surface relative to another. To obtain reproducible

experimental data on these types of frictional effects, it is generally necessary

to rub the contacting surfaces together for a period of time until a steady-state

condition of the interface is reached. Such pre-conditioning may fracture and

work-harden the surface asperities and result in a smoother contact surface

for which, unlike category I, plastic deformations normal to the interface are

not significant or do not occur at all.

The wear and plowing phenomena (Type III) encompasses cases in which

substantial damage and penetration of the metallic interfaces occurs; there

may be phase changes in the interface materials, and portions of the material

may be removed or relocated during contact. These types of contact situations

may involve the transfer of large normal forces across a small contact area.

Wear may be experienced in all three of the categories mentioned, but in

categories I and II it is either ignored or assumed to be negligible.

In the present chapter, we shall focus on Type II friction phenomena and

draw heavily from the work of Oden and Martins [1] on this subject. We begin

with a review of elementary ideas on stick-slip motion and sliding, and review

some experimental literature on these subjects strongly suggests that a proper

model of normal compliance of interfaces is essential in good Type II friction

models. Recall that one such normal contact model was introduced in Chapter

12. We apply that model in 13.3, augmented slightly by the addition of terms

designed to reflect observed normal dissipation mechanisms in metallic inter-

faces. Variational formulations of dynamic friction problems and correspond-

ing finite element approximations and computational procedures are taken up

in 13.4-13.6. Section 13.7 contains results and discussions of numerical

experiments on dynamic friction, particularly on friction damping, sliding,

and stick-slip motion. These models and results provide explanations of many

observed dynamic friction phenomena and represent significant departures

from the classical thinking on these subjects.

13.2. Stick-slip motion vs. steady sliding. Let us consider a body (slider) in

frictional contact with a fixed surface, as depicted in Fig. 13.1 (a). The slider

is intended to move along the surface with some (small) tangential velocity

UT, this velocity being impressed upon the slider by some driving mechanism

which itself possesses specific elastic and damping properties. As many

examples in our daily life teach us, what frequently happens is that the desired

steady sliding at the prescribed velocity UT is not achieved. Instead, the body

advances in an intermittent fashion with successive alternate periods of rest

412 CHAPTER 13

FIG. 13.1. (a), (b) Models of two (equivalent) sliding systems which may have stick-slip oscillations.

K = linear stiffness; C = linear damping; M = mass of the slider; N = normal load; LJT = driving

velocity; v= friction coefficient. Reprinted with permission from J. T. Oden and J. A. C. Martins

[1], Computer Methods in Applied Mechanics and Engineering. Copyright 1985 Elsevier Science

Publishers.

FIG. 13.1. (c), (d) Typical traces of stick-slip motion for systems (a) and (b) in Fig. 13.1.

ur = displacement of the slider; t - time; LJT = driving velocity. Reprinted with permission from

J. T. Oden and J. A. C. Martins [1], Computer Methods in Applied Mechanics and Engineering.

Copyright 1985 Elsevier Science Publishers.

DYNAMIC FRICTION PROBLEMS 413

and sudden sliding (see Fig. 13.1(c)). These relaxation type oscillations are

usually known as stick-slip motion (after Bowden and Leben [1]).

Since the work of Blok [1] in 1940, it is known that the essential condition

for the occurrence of stick-slip oscillations in sliding motion is a decrease of

the friction force with the increase, from zero, of the sliding velocity.

Such results bring to mind the classical textbook examples of friction wherein

experiments with rigid blocks sliding down inclined planes led to the age-old

concept of the existence of static and kinetic coefficients of friction. Motion

begins when the friction force F reaches a critical value proportional to the net

normal force N, the constant of proportionality vs being the static coefficient of

friction. Once sliding of the body begins, the friction resisting force F attains a

value F = vkN, where vk is the kinetic coefficient of friction, and vk<vs.

This simple model of dynamic friction has had a profound impact on

experimental studies of friction throughout over two centuries that have elapsed

since Coulomb's writings.

Blok's work and the longstanding acceptance of Coulomb's law encouraged

numerous investigators to devise experimental programs for monitoring the

variation in the coefficient of friction with sliding velocity in studies of stick-slip

oscillations. For nearly half a century the overwhelming majority of such

experimental studies has involved experimental methods in which the tangen-

tial motion and the tangential forces on a slider, such as that in Fig. 13.1, are

carefully monitored while the net normal force is assumed to be constant.

Then all the variations in the observed friction force are assumed to be a

consequence of the variation of the coefficient of friction with sliding velocity,

and much work has concentrated on the determination of a "characteristic"

v=v(UT).

Unfortunately, the results of literally hundreds of experimental tests have

little, if any, agreement. While it may be accepted that different pairs of metals

in contact and different lubrication conditions produce characteristics

(coefficient of friction vs. sliding velocity plots) with clearly distinct shapes,

it is known that even for the same combination of metals and lubrication

conditions, changes in only the dynamic properties of the experimental setup

(e.g., stiffness) or on the driving velocity, produce dramatic changes in the

observed characteristics.

It thus appears that these experimental characteristics are not at all an

intrinsic property of the pairs of surfaces in contact. Such a point of view has

been expressed by several authors who attribute apparent decreases of the

coefficient of friction with the increase in sliding velocity to the occurrence of

micro-vibrations of the slider in the direction normal to the contact surface.

In fact, Tolstoi [1] observed that the forward movements of a slider during

stick-slip motion invariably occur in strict synchronism with upward jumps.

Oscillograms of the normal contact oscillations which occur during the sliding

portions of the stick-slip cycles were obtained by Tolstoi, Borisova and

Grigorova [1]. An examination of these oscillations revealed a fundamental

414 CHAPTER 13

Budanov, Kudinov and Tolstoi [1]). Especially interesting is the experimental

observation of Tolstoi [1]. These observations, and several others described

by Oden and Martins [1], lead to the conclusion that an appropriate model for

sliding friction must incorporate physically reasonable normal contact conditions.

Recall that in Chapter 11 we introduced such a normal compliance model

for deformable interfaces in which the normal stress arn on the contact surface

was related to the approach a = (un -g) through a power law for a significant

range of normal loads (recall (11.4)). This type of interface constitutive model

is suggested by a large volume of experimental and theoretical investigations.

For dynamic cases, it is often desirable to expand this law still further to

include a dependence on the time rates of normal displacement un = dun/dt

so as to endow the model with an ability to simulate hysteresis effects observed

in experiments.

With these types of interface constitutive models in mind, we proceed to

the construction of a dynamic contact friction law by considering a material

body in contact along a material surface Fc with a rough moving (sliding)

foundation which moves at a prescribed tangential velocity u in the spirit

of Fig. 13.1(b). If iir = li - unn denotes the tangential velocity of points on Fc,

the relative sliding velocity between the body and the moving foundation is

U T - U T - The constitutive properties of the interface adopted here are then

characterized by the following system of equations and inequalities:

Normal interface response.

Friction conditions.

and are to be determined experimentally.

The nonlinear dissipative term ardn is designed to model, only in an approxi-

mate manner, the hysteresis loops which are known, to result from the actual

elastoplastic and viscoelastic behavior of the interface asperities. Indeed, the

constitutive equation (13.1) allows for the approximation of the loading paths

of the form presented in Fig. 13.2 which are known to occur if the surface

are allowed to unload completely (Thornley et al. [1]) by loops of the form

presented in Fig. 13.2. The idea of a similar approximation was proposed by

Hunt and Crossley [1] for vibroimpact phenomena involving macroscopic

Hertzian contacts, the elastic behavior of which is also governed by a power

law relationship (normal load oc(compliance)m" with mn = i). For small energy

DYNAMIC FRICTION PROBLEMS 415

FIG. 13.2. Hysteresis loops for the normal deformation of the interface (schematic), (a) Experi-

mentally observed loop, under quasi-static loading conditions, if total separation of the surfaces is

allowed during unloadings, (b) Hysteresis loop modeled by the constitutive equation (13.1) under

dynamic loading conditions. Reprinted with permission from J. T. Oden and J. A. C. Martins [1],

Computer Methods in Applied Mechanics and Engineering. Copyright 1985 Elsevier Science

Publishers.

FIG. 13.3. Geometry and notation used in elastodynamics problem with sliding friction. Reprinted

with permission from J. T. Oden and J. A. C. Martins [1], Computer Methods in Applied Mechanics

and Engineering. Copyright 1985 Elsevier Science Publishers.

416 CHAPTER 13

losses, the correlation between the damping coefficient bn and the energy loss

per cycle of contact is readily obtainable.

The friction law (13.2) is a generalization of Coulomb's friction law, which

is recovered if mn = mr and normal dissipative effects are negligible (a-dn = 0).

In that case, the maximum value of the modulus of the friction stress is equal

to the product of v( = cT/cn) and the normal pressure (|o-ax |= v\crn\) where

v is the usual coefficient of friction. The law (13.2) allows for a dependence

of the coefficient of friction on the normal contact pressure. The general form

for this dependence, consistent with (1.2) (again for negligible a-*), is

In using the friction law (13.2), we assume that no distinction between

coefficients of static and kinetic friction exists. Here we follow, with a very simple

model, the essential ideas of Tolstoi and co-workers [1], [2], [3]. In the next

sections, we show that apparent decreases of measurable coefficients of friction

can be the result of dynamic instabilities which are a consequence of the

inherent nonsymmetry of operators governing problems with friction.

we formulate some elastodynamics problems involving the frictional contact

of metallic bodies. We begin by considering a deformable body (Fig. 13.3) the

interior of which is an open bounded domain in RN (JV = 2 or 3). Points

(particles) in O, with Cartesian coordinates x f , l < i ' < N , relative to a fixed

coordinate frame are denoted by x ( = (x1x2, , XN)) and the volume measure

by dx. The smooth boundary F of 11 contains four mutually disjoint open

subsets TO, FF, F, Fc.

We shall denote by 1 the open subset of F

shall assume that the body has a linearly elastic behavior characterized by

the generalized Hooke's law, cr,j(u) = EijklukJ, l^i,j, k, /<N, where Eijk,=

Eijk,(\) are elasticities with the usual symmetry, ellipticity, and regularity

properties. We denote by p = p(\) the mass density of the material of which

the body is composed. We also suppose that the body is fixed on FD and that

tractions tf = tt(s, t), 1 < i< N, are prescribed on FF, and that the body may

be elastically supported on F by distributed linear springs of moduli Kfj =

KJJ(S), with Kij = Kji> !</, j^N. The undeformed configuration of these

springs corresponds to the displacements Uf = Uf(s) on FE.

We also suppose that the body may come in contact along a candidate

contact surface Fc with a rough foundation which slides by the material

DYNAMIC FRICTION PROBLEMS 417

cn, CT, bn are given as sufficiently smooth functions of s, have the physical

meaning mentioned earlier, and that the real numbers mn, mr, / are also

specified.

Assuming sufficient smoothness for all the functions involved, the equations

governing this elastodynamics problem, for a time interval [0, T], are grouped

as follows:

Linear momentum equations,

Boundary conditions,

Initial conditions,

It is easy to show that any classical solution of this problem also satisfies

a variational statement in the form of an inequality, which is a version of the

principle of virtual power. A similar variational inequality is the basis for the

weak statement of our problem to be presented below.

First, however, we need to introduce some notation. We define the space

of admissible displacements (velocities) in the usual way:

where y denotes the restriction of the trace to V. This trace operator y maps

V linearly and continuously onto the subspace W of (H 1/2 (r)) N defined by

duality pairings on V x V and W x W are denoted by {, ) and [ , ] ,

respectively. We denote by H the space (L 2 (O)) N equipped with the usual

inner product (u, v) = Jn u,u, dx, u, v e H.

418 CHAPTER 13

Assuming that the data for our problem satisfy suitable smoothness require-

ments, we introduce the following definitions:

stresses oy(ii) on the strains (strain rates) eij = (vitj + vjii)/2t

a

E(,in) = virtual work (power) produced by the deformation

of the linear springs on F,

contact pressure on the displacement (veloc-

ity) v,

on the velocity v,

forces (body forces, prescribed tractions and

initial deflection of the linear springs) on

the displacement (velocity)

DYNAMIC FRICTION PROBLEMS 419

v r = y ( v ) - ( y ( v ) -n)n.

With this notation, a weak formulation for the elastodynamics problem is

then:

Find a function u = u(x, t) such that

that the solution u is such that u(r), u(f) e V and u(t) e V for a.e. t e (0, T).

Although some physical and mathematical argument could be advanced in

order to make more precise this required regularity of the solution u with

respect to the time t, we shall not pursue these issues here. The key issues of

existence and uniqueness are discussed in Martins and Oden [2].

The boundary integrals on Fc, (13.12) and (13.13), are well defined (with

cn, c r eL(2))for

because, for ve(H 1 (^)) N , y(v)e (L g (O) N with 1 < g < o o for N = 2, and with

l < g < 4 for N = 3, see Kufner et al. [1]. We can thus conclude that for the

case N = 2 all the experimentally expected values of mn (mn e [2, 3.33]) can

be used in a mathematically consistent way in our formulation. For the case

N = 3, the mathematical restriction mn =s 3 will be harmless in most of the

cases: in Blok et al. [1] only one experimental value of mn is shown which

slightly exceeds 3 (3.125), the most common value for mn being 2.

We now turn our attention to the approximation of (13.15) by a family of

regularized problems more suitable for computational purposes. Toward this

end, we approximate the friction functional 7 ' : V x V - * ( R , which is non-

differentiable in the second argument (velocity), by a family of regularized

functionals je which are convex and differentiable in the second argument:

420 CHAPTER 13

tion | |: (L*(r c )) N - Lq(Yc) introduced in Chapters 10 and 11 and is defined

for e>0, e(Lq(rc))N and a.e. xeF c by

The partial derivative of7 e with respect to the second argument, at (u, w)

in the direction of v, is then given by:

We now define the regularized form of (13.15).

equations analogous to (13.3)-(13.8) with ue replacing u. However the friction

conditions should now be replaced by

Regularized friction conditions.

DYNAMIC FRICTION PROBLEMS 421

metallic body of the same constitution and submitted to the same type of

forces and boundary conditions as in the previous section. The essential

difference is that now we seek an equilibrium position of the body in unilateral

contact with the rough moving foundation. For simplicity and clarity, we

hereafter confine our attention to the special case of a two-dimensional (N = 2)

domain ft with a boundary Fc sufficiently smooth that we can unambiguously

define a unit vector i r tangent to F c - In this case each vector tangent to Fc

is determined by the real number such that = ir. The functions i/>E and

<f>F = (K are then, essentially, real valued functions of the real variable Also

we shall ignore normal damping of the interface and take bn = 0 in (13.1), in

which case P(u, li, v) reduces (with P: V- V) to

the prescribed (nonzero) velocity UT of the rough foundation, the friction

conditions (13.2) simplify to the

Steady sliding friction equation.

(13.3)-(13.7). Obviously we have u = ii = 0 and all the functions in (13.14) are

assumed independent of time. Also, the domains ft x(0, T), F D x(0, T), etc.

should be replaced by ft, F D , etc.

Let us now assume that the domain ft is sufficiently smooth, e.g., that ft e C 0>1

and that the data satisfy the following conditions (with 1 < i, j, k, / < N).

422 CHAPTER 13

/: VH> V:

{J(u), v) = virtual work produced by the

friction stresses on the displacement v

With all the definitions and notation introduced earlier, the variational

formulation for the steady sliding problem is then:

Find the function u0 e V such that

Using a generalized Green's formula, the fact that f is given in H and the

density of the embedding Wc+(Lq(I,))N, it is possible to prove that classical

and variational formulations for this problem are equivalent in usual sense

discussed many times in this volume.

DYNAMIC FRICTION PROBLEMS 423

If the coefficient of friction or the applied forces and initial gap are

"sufficiently small" it is also possible to prove existence and uniqueness for

the steady sliding problem. In order to prove this, we need to first study the

following auxiliary problem:

Find u e V such that

It is not difficult to show that the solution of this auxiliary problem is

equivalent to the determination of the static equilibrium of the body in

unilateral contact with a foundation along Fc but with prescribed frictional

stresses <r* on Fc. In particular, if <r* = 0, a frictionless unilateral contact

problem is obtained.

The existence and uniqueness of solutions for this problem can be proved

using the theory in Chapters 3 and 11.

THEOREM 13.1. Let He C0>1 and F, 2 be smooth and connected as described

earlier. Let the assumptions (13.17) and (13.26)-(13.35) also hold. Finally let

mes FD > 0 or mes F E > 0.

Then, there exists a unique solution to (13.38). In addition the map, B:{i|ie

(Lq (2))N |ij; n = 0 a.e. }-* V, which associates with each or* the solution

u = fl(cr*) of (13.38) is continuous.

THEOREM 13.2. Let the assumptions of Theorem 13.1 hold. In addition, let

the following also hold:

(1) There exists w* e V such that y(w*) n = g a.e. S0

(2) mn, m r < 3 ifN = 3.

Then there exists a constant C - C(mT, q, n, H, I) > 0, such that if, in addition,

I* 1

then there exists R>Q such that (13.37) has a unique solution in the closed ball

Outline of the proof. The technique of the proof of existence used here is

similar to that of Theorem 11.3 used to prove the existence of a solution for

a Signorini problem with nonlocal friction in Chapter 11 based on the

Schauder-Tykhonov's fixed point theorem. The essential difference between

the present result and that in Chapter 11 is that earlier the compactness of the

mapping T resulted from the compactness of a smoothing operator used in

the nonlocal friction law while here the compactness of T results from the

compactness of the trace operator. In fact, here we denote by T the mapping

424 CHAPTER 13

defined earlier; ^ = ^| Rg(f) :Rg(-y)^{i|ie(L <} '(2)) N |4i n = 0 a.e. 2} is the

restriction to Rg (y) of the map defined by <f>() = CT(, -g)+"T, e (L(S)) N

i.e., </> associates with each displacement on the boundary the corresponding

frictional stress according to (13.24) and B = fi|Rg ^): Rg (<) - V is the restric-

tion to Rg (0) of the map B which associates with each distribution of friction

stresses on Yc the unique solution of the auxiliary problem (13.38).

The proof of existence then reduces showing that the conditions (1), (2

and (3) are sufficient for the operator T and the set K to meet the requirements

of the fixed point theorem. In particular, condition (1) is used because it is

technically convenient to use w* such that y(w*) n = g as the center of the

ball K; condition (2) is needed in order to guarantee the compactness of the

trace map in the case N = 3 ( y : ( H l ( S l is compact for N = 2

if Kqx> and for N = 3 if Kg<4); the compactness of y together with

the continuity of </> and B imply then the compactness of the map T; finally,

(3) is sufficient to show that, for some /?>0, T(K)<= K with K, defined by

(13.39) obviously nonempty, bounded, and convex. It follows then that there

exists a u0 e K such that

The uniqueness of solutions for Problem 2 is shown in a standard manner:

estimating the norm in V of the difference between two possible solutions u0

and u and proving that it is necessarily null.

here in the analysis of the dynamic stability of the steady sliding equilibrium

position u 0 . A natural idea is to study the behavior of a linearized version of

(13.15) or (13.21) in a neighborhood of u0.

Such linearization is possible because the nonlinear operator

emerging from (13.37) and in (13.15), (13.21) for the case bn = 0, ur(s) = 0,

UT(S) 5* 0 a.e. s e Fc, is continuously differentiate in V (see Martins [1]), i.e.,

AeCl(V). The derivative map

DYNAMIC FRICTION PROBLEMS 425

is given by

then the formulation of the eigenvalue problem associated with the bilinear

form defined by (13.40) at u = u0 (fixed). Since the problem at hand is nonsym-

metric, we have to work with the field C of complex numbers and define,

instead, the sesquilinear form:

the linearized normal stiffness of the foundation at the equilibrium position

u0 and KTn denotes the coupling stiffness coefficient between normal displace-

ments and tangential stresses, also at the equilibrium position u 0 , i.e.,

a ( - , ) is then:

Find the values a e C for which there exists we V, w ^ 0, such that

If the eigenvalues are real, the system is dynamically unstable at the equili-

brium point u 0 .

element procedures, approximations of (13.21), (13.38), and (13.41) can be

constructed in finite dimensional subspaces Vh(<=- Vc= V). The approximate

displacements, velocities and accelerations at each time / are elements of V h ,

i.e., v*(f), v*(0, V^Oe Vh. Within each element O* (e = l,2, , Eh) the

respective components are expressed in the usual form, e.g., uj*(x, f) =

Z/^i %(ON/(x), where 7' = 1,2, , N; Ne is the number of nodes of element

426 CHAPTER 13

e, vu(t) are the nodal values of the displacement, etc., at time t and N, is

the element shape function associated with the node /. For the cases in which

the time dependence does not exist, appropriate reduced forms of the above

representations are obvious.

The discrete problems. The finite dimensional versions of the variational

statements (13.21), (13.37), and (13.41) are easily obtained by standard pro-

cedures, and we need only present the form of the resulting systems of equations

for the discrete problem.

Let Nh denote the number of nodes in the finite element mesh. The finite

element approximation of (13.21) leads to the following problem, involving a

system of nonlinear ordinary differential equations:

r(0.f(0r(0 = column vectors of nodal displacements, velocities and

accelerations respectively,

M = standard mass matrix,

K = standard stiffness matrix,

F(/) consistent nodal force vector,

P(r(f)) = vector of consistent nodal normal forces on Fc,

J(r(f), r(0) = vector of consistent nodal friction forces on Fc,

ro(<j) = initial nodal displacement (velocity).

Clearly r(0 depends upon the parameters e and h, M depends upon h, etc.

Using the same notation as above, the steady sliding problem (13.37) leads

to the following discrete equilibrium problem which is characterized by a

system of nonlinear algebraic equations (set r = f = 0 in (13.42)).

Find r 0 (R N x J V " such that

systems, we obtain, for a small perturbation of the equilibrium solution r0,

vr(t) = r(t) T0, the following system of linearized equations for small oscilla-

tions about an equilibrium configuration:

DYNAMIC FRICTION PROBLEMS 427

where

(r = 0) but the prescribed velocity of the moving foundation is everywhere

different from zero on Yc (|u|> e > 0), the equilibrium position corresponds

to points on the horizontal branches of the friction law (recall Fig. 10.3).

Consequently, the derivative of the friction stresses with respect to the sliding

velocity is zero and the matrix C r (r 0 ,0) is null. In the absence of any other

damping effects, the behavior of the linear system (13.46) is determined by

the solutions of the following quadratic eigenvalue problem:

Find A eC for which there exists weC N h X N \ w ^ O , such that

where

This problem is the discrete version of (13.41) with -A 2 in (13.46) playing

the same role of a in (13.41).

Physically, the matrix K" characterizes the variation of the normal nodal

forces due to a variation of the normal nodal displacements; the matrix Kr"

produces a variation of the nodal friction forces due to a variation of the nodal

normal displacement; finally, the matrix C r characterizes a variation of the

nodal friction forces due to a variation of the nodal sliding velocities.

Both K" and C T are symmetric matrices because both are associated with

terms which can be considered as second derivatives of functionals. In fact,

if u, v, we Vh are displacement functions and U, V, W denote the corresponding

vectors of nodal values, we have

where p: Vh -> (R is the deformation energy associated with the nonlinear springs

on Tc

428 CHAPTER 13

(velocity).

However, the matrix KT" is not symmetric. This results from the inherent

nonsymmetry of the coupling between normal and tangential variables on the

interface: normal stresses depend only upon the magnitude of the normal

penetration, but the friction stresses depend not only upon the tangential

velocities but also upon the normal penetration.

It is precisely the nonsymmetry that makes the eigenvalue problem (13.47)

different from standard structural dynamics eigenvalue problems. Effects of

this lack of symmetry on the dynamic response of the elastic body are discussed

in 13.6.

Algorithms. The algorithms that we shall use for solving the discrete dynamic

system (13.42) involve variants of standard schemes in use in nonlinear struc-

tural mechanics calculations: Newmark's method and explicit central

difference techniques.

Let us consider a partition of the time domain [0, T] into M intervals of

length A* = tk+l - tk with 0 = f0 < *i < < tK < < tM = T.

For Newmark's method, we choose the displacement vector rK =T(IK) as

the unknown at time tK. Velocities and accelerations at time tK are then

expressed as functions of rK and of the (known) variables at JK-I, according

to

Substituting the above relations into (13.42), we obtain the following

equation at time tK:

(13.49)

where

The nonlinear equations (13.49) are solved using standard Newton-Raphson

techniques: given a starting value r^, successive approximations of the solution

DYNAMIC FRICTION PROBLEMS 429

and the matrices KK (I) , K'K (I) and C (l) are precisely the matrices defined by

(13.46) at r = r ^ , r = r^.

In our implementation of the central-difference technique we use as the

fundamental unknown at time tK the velocity f K =r(r x ). Introducing

where, now

Using the Newton-Raphson method to solve (13.52) we are led to the

solution, at each iteration (i), of

wherein

We observe that, since M and C r(l) are both symmetric, the matrix K^ is

also symmetric. The matrix K^ will become diagonal if a diagonalized mass

430 CHAPTER 13

Fc (i.e., a transformation of the generalized coordinates corresponding to

nodal degrees of freedom on the contact surface) is performed in such a way

that the final degrees of freedom are nodal displacements in directions normal

and tangent to Fc; (b) the element contributions to CT are computed with a

quadrature rule which uses the nodes as integration points (e.g., trapezoidal

rule for linear elements and Simpson's rule for quadratic elements).

In the development in 13.3-13.5, we have omitted, for-simplicity, all

dissipative effects except friction. The addition of linear viscous effects would

obviously lead to the introduction of an additional bilinear form c(ue(t),v)

to the left-hand side of (13.21) and this term would give rise to a viscous

damping term of the form Cr(f) in the discrete case. The damping matrix C

is constant and symmetric. Diagonalized forms of C are convenient for main-

taining the efficiency of the central difference method. The nonlinear contact

damping term in (13.1) leads to an additional term on the left-hand side of

(13.21) of the form ( Q ( u e ( t ) , u e ( t ) ) , v) to which there would correspond a

vector Q(r(f), r(0) in (13.1). Computationally, all of these contributions are

handled in the same manner as those presented earlier.

Since contact and friction enter the formulation through appropriate inter-

face constitutive equations, the handling of the contact-release and stick-slip

situations does not require any devices different from those available in most

nonlinear finite elements codes. On the other hand, in the numerical applica-

tions, discussed subsequently, no numerical difficulties associated with the

normal contact are experienced. However, the regularization of the friction

law may make it necessary to reduce the time steps used for convergence of

the iterative process, particularly in unloading situationstransitions from

"slip" to "stick." This reduction may be substantial if very accurate "stick"

states are desired and very small values of the regularization parameter e are

imposed.

ments which are designed to assess the influence of the magnitude of the

coefficient of friction (equivalently, of the interface parameter cr) on the

dynamical stability of the steady sliding equilibrium position, as well as to

simulate friction damping and stick-slip motion.

In order to compute the solutions of (13.44) for a certain range of values

of CT, we subdivide the interval [0, CT] into a prescribed number NINCT of

increments Ac r = CT/ NINCT and, for the Kth increment, K = 1, , NINCT,

we again use the Newton-Raphson method to solve the nonlinear system at

each value of CT. For the Newton processes, starting values for the equilibrium

solution at the end of the Kth increment are taken to be the (converged)

solution for the (K-l)th increment. The solution at cT = 0 is obtained by

prescribing a simple initial value and iterating until convergence is obtained.

DYNAMIC FRICTION PROBLEMS 431

metric eigenvalue problem (13.47) is solved using standard eigenvalue routines.

The numerical examples and results given below are adapted from Oden

and Martins [1] and Martins [1].

Example 13.1 (an elastic slab subjected to periodic loading). We begin by

analyzing the motion of the homogeneous, isotropic elastic slab shown in Fig.

13.4. The dimensions of the slab are 16 cm x 2 cm, as indicated, and it is

assumed to be in a state of plane strain. Young's modulus is taken to be

E = 1.4xl0 6 (lO'kgcnT 1 s~ 2 ), Poisson's ratio = 0.25 and the mass density

p = 7 x 10~6(103 kg cm~ 3 ). The slab is simply supported on the portion YD of

its boundary and is compressed along a frictional interface Fc by a flat "rigid"

surface, the vertical downward displacement of which is prescribed. This

corresponds to prescribing an initial uniformly distributed gap g =

-5 x 10~4 cm. The prescribed tangential velocity of the "rigid" surface is zero

(U r = 0). The normal contact properties of the interface were taken from Table

1 of Back, Burdekin and Cowley [1], assuming that both surfaces in contact

are of cast iron, hand scraped with a surface finish (peak to valley distance)

in the range 6-8 (jtm. The coefficient mn is then equal to 2 and, after a change

of units, cn = 10 8 (10 3 kgcm~ 3 s~ 2 ). The friction coefficient along Fc was

arbitrarily assumed to be v- 0.3 and independent of the normal load. Con-

sequently, mT = 2 and CT = 0.3 x 108(103 kg cnT3 s"2).

On one of its ends (F F ), the slab is subjected to a time-dependent uniformly

distributed force

The prescribed initial conditions are as follows: the initial velocities

throughout the slab are zero (r(0) = 0) and the initial displacements are the

static equilibrium displacements of the slab due to the normal compression

exerted by the flat surface on Fc alone (no friction on Fc and no applied

tractions on FF).

The finite element mesh used in this analysis consists of 16 9-node

isoparametric quadratic elements, as illustrated in Fig. 13.4. The regularization

parameter e for the Coulomb friction law was taken, successively, to be equal

to 1, 0.1 and 0.002 cms"1. The dynamical equations of this discrete model

were integrated using Newmark's method, as discussed earlier, with parameters

ft = 0.25, y = 0.5 and a maximum time step of Af m a x = 10~6 s.

The distribution of normal stresses at several time instants obtained with

e = 0.1 cm s"1, are shown in Fig. 13.5, and the distributions of friction stresses

on Fc at several time instants are shown in Fig. 13.6. Material particles on Fc

near the loaded surface FF begin moving in the direction of increasing x and

then reverse when the applied traction reverses its direction. The frictional

stresses on Fc reach their limiting value and then reverse directions as the

FIG. 13.4 Dimensions and finite element discretization of an elastic slab. Reprinted with permission from J. T.

Oden and J. A. C. Martins [1], Computer Methods in Applied Mechanics and Engineering. Copyright 1985 Elsevier

Science Publishers.

Fig k dfk distrubitio streaa tc at sevear time insta due to per

with permissio ot nj.t odesm and jaa l;co,e[tmethosd

copyritht 1985 elser sveience publslihse

434 CHAPTER 13

FIG. 13.6. Distribution of tangential stresses on Fc at several time instants due to periodic

loading T F . Reprinted with permission from J. T. Oden and J. A. C. Martins [1], Computer Methods

in Applied Mechanics and Engineering. Copyright 1985 Elsevier Science Publishers.

type evolution of these frictional stresses as can be clearly observed in Fig.

13.6 indicating a sharp transition between the sliding and adhesion regions

on Tc.

The effect of the regularization parameter e on the evolution of the displace-

ments, velocities and friction stresses at the contact node 55 is shown in Figs.

13.7-13.9. Smaller values of e lead to more accurate adhesion states. From a

practical point of view, it appears reasonable to choose values of e that are

sufficiently small relative to the order of magnitude of the tangential velocities

that occur during the sliding states. In the present application for tangential

velocities of the order of Icms" 1 , the value of e = lcms~ 1 is obviously

inadequate while results obtained with e = 0.1,0.02 cm s"1 seem to be physically

reasonable.

DYNAMIC FRICTION PROBLEMS 435

FIG. 13.7. Tangential displacements at node 55 using different values of e. Reprinted with

permission from J. T. Oden and J. A. C. Martins [1], Computer Methods in Applied Mechanics

and Engineering. Copyright 1985 Elsevier Science Publishers.

Example 13.2 (steady sliding and dynamic stability: an elastic slab with no

rigid body freedoms). We next consider a slab similar to that in Fig. 13.4 with

the same material and normal contact properties and boundary conditions on

r D as those in the preceding example. The dimensions are now 16 cm x 1 cm

and the finite element mesh consists of 9 x 2 9-node isoparametric elements.

The initial negative normal gap on Fc was taken successively to be 5 x 1(T4 cm

and 1 x 10~3 cm. The "rigid" flat surface that compresses the body along Fc

is assumed now to have a velocity towards the right. No forces now act either

in (1 or on FF. The deformed mesh configurations and the distributions of

normal stresses on Fr for the steady sliding equilibrium positions at several

values of v are shown in Figs. 13.10 and 13.11 for g = -1 x 10~3 cm. We call

upon (13.47) and compute the eigenvalues of K at the equilibrium positions

of the slab. Computed results show that the lack of symmetry of KT" leads to

eigenvalues with positive real parts whenever v > 1.6 if g = -5 x 1CT4 cm, and

when i > > 1 . 6 i f g = -lx 10~3 cm. This implies that for these values of v steady

sliding is dynamically unstable. In Fig. 13.12 a plot of the evolution of

the eigenvalues in the first quadrant of the complex plane, for ^e[0,1], is

presented.

436 CHAPTER 13

FIG. 13.8. Tangential velocities at node 55, using different values ofe. Reprinted with permission

from J. T. Oden and J. A. C. Martins [ 1 ], Computer Methods in Applied Mechanics and Engineering.

Copyright 1985 Elsevier Science Publishers.

FIG. 13.9. Friction stress at node 55 using different values ofe. Reprinted with permission from

J. T. Oden and J. A. C. Martins [1], Computer Methods in Applied Mechanics and Engineering.

Copyright 1985 Elsevier Science Publishers.

FIG. 13.10. Undeformed (X), and deformed mesh configurations of a compressed slab in steady sliding

equilibrium for v = 0(*), i' = 0.5(D), and v= 1.0(0) (not to scale). Reprinted with permission from J. T. Oden

and J. A. C. Martins [1], Computer Methods in Applied Mechanics and Engineering. Copyright 1985 Elsevier

Science Publishers.

FIG. 13.11. Distribution of normal stresses on Tcfor the steady sliding equilibrium at various

values ofv. Reprinted with permission from J. T. Oden and J. A. C. Martins [1], Computer Methods

in Applied Mechanics and Engineering. Copyright 1985 Elsevier Science Publishers.

FIG. 13.12. Effect of increasing the compression on the eigenvalues with positive real part. Reprinted

with permission from J. T. Oden and J. A. C. Martins [1], Computer Methods in Applied Mechanics

and Engineering. Copyright 1985 Elsevier Science Publishers.

DYNAMIC FRICTION PROBLEMS 439

FIG. 13.13. A block sliding with friction on a moving belt. Reprinted with permission from J. T.

Oden and J. A. C. Martins [1], Computer Methods in Applied Mechanics and Engineering. Copyright

1985 Elsevier Science Publishers.

increase the complexity of the problem, we next consider a block sliding, with

friction, on a moving foundation (see Fig. 13.13). We assume that the block

has linearly elastic behavior with a Young's modulus E = 1.4xl06

(K^kgcnT 1 s~2) and Poisson's ratio = 0.25. For simplicity we continue to

assume that the body is in a state of plane strain. The geometry, total mass

(M), total weight (W), total tangential stiffness (Kx) and contact properties

are given as follows:

A simple calculation reveals that for the given geometry a necessary condition

for equilibrium is that v < L/H = 1.6; for v = 1.6 the body will begin to tumble

(with unbounded rotations).

The finite element model consists of a 4 x 3 mesh of 9-node isoparametric

elements. In Fig. 13.14, we show the deformed mesh configurations at several

FIG. 13.14. Deformed configurations of a linearly elastic block for the steady sliding equilibrium configurations at several

values of v. (Note. Nodal coordinates and nodal displacements are not to scalethe apparent distortion of the body results

from an amplification of the vertical displacements by 103 larger than that of the horizontal displacement so as to make visible

the rotation of the body). Reprinted with permission from J. T. Oden and J. A. C. Martins [1], Computer Methods in

Applied Mechanics and Engineering. Copyright 1985 Elsevier Science Publishers.

DYNAMIC FRICTION PROBLEMS 441

FlG. 13.15. Eigenvalues with positive real parts for a finite elements discretization of a block in

steady sliding on a moving belt. (The ranges of v for which those eigenvalues were obtained are

indicated on the figure between brackets.) NINCT = 20 ^e[0, 1.6). Maximum value of v for which

the equilibrium solution was successfully computed: i> = 1.52. + = Eigenvalues corresponding to the

"rigid body" normal and rotational modes. Reprinted with permission from J. T. Oden and

J. A. C. Martins [1], Computer Methods in Applied Mechanics and Engineering. Copyright 1985

Elsevier Science Publishers.

occurrence of eigenvalues of (13.47) with positive real parts is again observed

(Fig. 13.15) at sufficiently large values of v. As might be expected, for the level

of forces present in this example, the block behaves much like a rigid body,

as is clear from the equilibrium configurations shown in Fig. 13.14. For this

reason, we have also performed the same computations, for the same block

as in Fig. 13.13 and with the same data (13.54), (13.55), assuming that the

block is a rigid body in plane motion. The corresponding three degrees of

freedom are indicated in Fig. 13.13: the sliding and penetrating (normal)

displacements of the center of mass, uxG and uyG, and the rotation, u0.

In Fig. 13.16 we show the evolution of the four eigenvalues of (13.47)

associated with the normal and rotational freedoms. The eigenvalues associated

with the tangential displacement are a conjugate imaginary pair (i\/K x /M)

which does not vary with v. As expected, all of these eigenvalues compare

442 CHAPTER 13

FIG. 13.16. Evolution of the eigenvalues on the complex plane for the successive equilibrium positions

obtained with increasing coefficient of friction (no damping). Reprinted with permission from J. T.

Oden and J. A. C. Martins [ 1 ], Computer Methods in Applied Mechanics and Engineering. Copyright

1985 Elsevier Science Publishers.

favorably with the eigenvalues associated with similar modes obtained with

the finite elements model.

Example 13.4 (perturbation of the steady sliding of a block on a moving

foundation). In this example, we show the effects of the eigenvalue structure

of (13.47) on the motion of the block of Fig. 13.13. For each set of data (in

particular some value of v) we solve numerically the nonlinear equations of

motion (13.42) with the following initial conditions: the initial displacements

are prescribed as those corresponding to the steady sliding equilibrium

configuration appropriate for the value of v considered; initial velocities

represent a small perturbation (upwards) of the translation velocity (uxG = 0.0,

DYNAMIC FRICTION PROBLEMS 443

FIG. 13.17. Phase plane plot for the normal motion of the center of mass. Rigid body model with

the data (13.54) and B0 = 30.5 cm, moment of inertia about the center of mass, I = 124.2 (103 kg cm 2 )

Kx = 11100 (103 Kgs~ 2 ), v = 0.15, (7^ = 0.08 cm s"1 (no damping). Reprinted with permission from

J. T. Oden and J. A. C. Martins [1], Computer Methods in Applied Mechanics and Engineering.

Copyright 1985 Elsevier Science Publishers.

MVG = -0.01 cm s \ ue = 0.0). Various cases were run assuming either a linearly

elastic block (the finite element model of Fig. 13.14) or a rigid block (the three

degrees of freedom model of Fig. (13.15). Other than friction, the only dissipa-

tive effect considered with the first model was a normal contact dissipation of

the form in (13.1) with bn = 0.381 x 1010 (103 kgcnT 4 s'1) and ln=2.5; with

the second model the results shown here were obtained with linear viscous

damping characterized by diagonal coefficients Cx, Cy, C. Other data are given

in the figures. The finite element results were obtained using the central-

difference algorithm with Af m a x = 3x 10~ 6 s and a diagonalized mass matrix.

The rigid body motions were calculated using Newmark's method with Af m a x =

10~ 5 s.

Representative numerical results are given in Figs. 13.17-13.25. The follow-

ing list of remarks provides an interpretation of these results.

The small friction case. Referring to Fig. 13.17, we see that, in the absence

of damping ifv is sufficiently small the eigenvalues A of (13.47) are all imaginary

and an apparently stable small-amplitude oscillation is obtained.

FIG. 13.18. Phase plane plot of the initial part of the normal oscillation of the center of mass. Rigid body

model with the data (13.54) and B = 14cm, 7 = 70 (10 3 kgcm 2 ), KX = 238S (lO^gs'2) cx/2Mw = 0.005,

cy/2MWyo = 0.04, ce/2Iweo = 0.04; v = \; f/J = 0.127 cms"1. Reprinted with permission from J. T. Oden

and J. A. C. Martins [1], Computer Methods in Applied Mechanics and Engineering. Copyright 1985 Elsevier

Science Publishers.

DYNAMIC FRICTION PROBLEMS 445

FIG. 13.19. Phase plane plot of the tangential motion of the points of the block on the contact

surface: Rigid body model with the data of Fig. 13.18 except for Kx = 4441(103 kgs"2). Reprinted

with permission from J. T. Oden and J. A. C. Martins [1], Computer Methods in Applied Mechanics

and Engineering. Copyright 1985 Elsevier Science Publishers.

FIG. 13.20. Influence of the velocity of the support on the tangential motion of the center of mass.

Rigid body model with the data of Fig. 13.18. Reprinted with permission from J. T. Oden and

J. A. C. Martins [1], Computer Methods in Applied Mechanics and Engineering. Copyright 1985

Elsevier Science Publishers.

446 CHAPTER 13

FIG. 13.21. Phase plane plot of the steady normal oscillation obtained during apparently smooth

sliding with an apparent coefficient of kinetic friction lower than the coefficient of static friction. Rigid

body model with the data of Fig. (13.18) except for !/ = 0.287 cms"1. Reprinted with permission

from J. T. Oden and J. A. C. Martins [1], Computer Methods in Applied Mechanics and Engineering.

Copyright 1985 Elsevier Science Publishers.

FIG. 13.22. Evolution of the spring elongation for two velocities U^. Finite element model with

the data (13.54) and Kx = 11100 Kg s~2, B0 = 30.5cm, /u = 0.6. Reprinted with permission from

J. T. Oden and J. A. C. Martins [1], Computer Methods in Applied Mechanics and Engineering.

Copyright 1985 Elsevier Science Publishers.

DYNAMIC FRICTION PROBLEMS 447

FIG. 13.23. Evolution of the normal stresses on the contact node 29. Finite element model with

the data of Fig. 13.22 and Ucx = 0.01 cms"1. Reprinted with permission from J. T. Oden and

J. A. C. Martins [1], Computer Methods in Applied Mechanics and Engineering. Copyright 1985

Elsevier Science Publishers.

FIG. 13.24. Evolution of the friction stresses on the contact node 29. Finite element model with

the data of Fig. 13.22 and Ucx = 0.01 cms'1. Reprinted with permission from J. T. Oden and

J. A. C. Martins [1], Computer Methods in Applied Mechanics and Engineering. Copyright 1985

Elsevier Science Publishers.

448 CHAPTER 13

The large friction case, (i) If v is sufficiently large that some eigenvalues of

(13.47) have (even in the presence of some damping) positive real parts, then

a dynamically unstable motion results which is characterized by growing

normal and rotational oscillations (Figs. 13.18, 13.23).

(ii) The variation of the normal force on the contact produces changes in

the sliding friction force which in turn produces a tangential oscillation.

(iii) The tangential oscillation may then become sufficiently large that, for

small values of the belt velocity Ux the points of the body on the contact

surface attain the velocity f/f and the body sticks for short intervals of time

(see Figs. 13.19, 13.25).

(iv) With the increase in magnitude of the normal oscillations, actual normal

jumps of the body may occur (see Figs. 13.18, 13.21, 13.23).

(v) The repeated periods of adhesion have the result of decreasing the

average value of the friction force on the contact and, due to the absence of

equilibrium with the restoring force on the tangential spring, the tangential

displacement of the center of mass decreases (see Figs. 13.20, 13.22).

FIG. 13.25. Evolution of the friction stress at node 29 during the contact portion of one cycle of

normal oscillation. Finite element model with the data of Fig. 13.22 and Ucx = 0.08 cm s"1. Reprinted

with permission from J. T. Oden and J. A. C. Martins [1], Computer Methods in Applied Mechanics

and Engineering. Copyright 1985 Elsevier Science Publishers.

DYNAMIC FRICTION PROBLEMS 449

(vi) It follows that for given geometry and material data, one of the two

following situations may occur:

(a) for values of t/f larger than some critical value, the normal,

rotational and tangential oscillations evolve to what appears to be a steady

oscillation (see Fig. 13.22) with successive periods of adhesion and sliding,

the average values of the friction force and of the spring elongation being

smaller than those corresponding to the steady sliding equilibrium position

(see Fig. 13.20, 1/^ = 0.287 cms""1).

(b) for values of U* lower than the critical value, and at a sufficiently

small value of the spring elongation, the normal (and rotational) damping is

able to dampen out the normal (and rotational) oscillation and the body sticks

(see Figs. 13.21, 13.23) since the restoring force of the spring is then smaller

than the maximum available friction force.

Thus, in monitoring the spring elongations, as is often done in friction experi-

ments, case (a) would be perceived as an apparently smooth sliding with a

coefficient of kinetic friction smaller than the coefficient of static friction and case

(b) would be perceived as stick-slip motion.

This page intentionally left blank

Chapter 14

a position of more importance in the engineering literature than the rolling

contact problem, since it is fundamental to the design of rotating machine

parts, gears, rollers, and tires. Nevertheless, the overwhelming majority of

papers on the problem deal only with very special situations: experimental

programs, empirical data, approximations of rolling contact using

modifications of static Hertz contact problems, etc. with the result that few

accounts of a mathematically or mechanically correct formulation of the steady

state rolling contact problem are available. It is not a simple problem:

it involves the modeling of a cylindrical body rolling on a rough surface at a

constant angular velocity, with unilateral contact constraints, friction, and

importantly, inertia forces. Thus, it is natural that the mechanics literature has

dealt primarily with only various simplified approximations of the general

problem.

Finite element methods for treating certain classes of steady state rolling

contact, particularly for cases of infinitesimal deformations of linearly elastic

bodies, have been proposed in the important work of Kalker [1], [2], and a

detailed survey of the relevant literature on this class of problems was also

given in Kalker [1]. Numerical schemes for such problems were also proposed

by Singh and Paul [1] and classes of rolling contact problems with large

deformations were analyzed using finite element methods by Batra [1], [2]

and Padovan and Zeid [1]. A formulation and numerical analysis of a general

class of rolling contact problems with finite deformations was developed by

Oden, Becker et al. [1], [2], and Oden and Lin [1], and their work forms the

basis for the account of the subject given in this chapter. See, in particular,

Oden and Lin [1] for a more detailed account.

In this chapter, we review the mechanics of a general class of rolling contact

problems, particularly the principal kinematical concepts, and derive a vari-

ational inequality for the problem of finite plane strain in the steady state

451

452 CHAPTER 14

belt. We then outline finite element approximations and algorithms for treating

this highly nonlinear class of problems. These types of problems can exhibit

nonstandard bifurcations, these being manifested in the emergence of standing

waves in rolling cylinders. To treat these classes of problems numerically, we

employ continuation methods of arc-length type, such as those proposed by

Riks [1], Wempner [1], and studied by Keller [1] and others. Finally, we

record the results of several numerical experiments.

14.2. Kinematics of rolling contact. The first, and one of the most important,

consideration, in formulating the rolling contact problem is a proper descrip-

tion of the kinematics. We shall now describe one approach to the kinematical

analysis. We confine our attention to the finite rolling contact problem for a

thick highly deformable cylinder. For simplicity, we shall ultimately assume

that the cylinder is in a state of finite plane strain, but all of the kinematical

relations developed in this section are applicable to three-dimensional prob-

lems of cylinder deformations symmetric about a plane normal to the founda-

tion and tangent to the direction of motion.

A fundamental aspect of the description of motion and deformation of a

continuous body is that it involves the comparison of the geometry of a body

in two or more of its configurations. In the steady rolling contact problem,

however, we encounter the rolling body after it has fully deformed in a

configuration Cc(R 3 . Hence, it is not always meaningful to compare this

observed geometry with that in some irrelevant configuration assumed by the

body at a time in the distant past. Instead, it seems natural to first imagine

that the spinning cylinder is perfectly rigid, that it is spinning about its axis

at a constant angular velocity w, without contact with a belt or roadway, and

to then compare the observed deformed geometry of the steady state contact

problem with this unstrained rigid motion. The configuration of the spinning

rigid cylinder at time t is denoted C,. Of course, the configuration assumed

by the rigid spinning cylinder need never be actually attained by the deformable

cylinder at any time.

With this convention in mind, we view the deformed cylinder at a fixed time

t, as indicated in Fig. 14.1. The actual value of t is irrelevant, since this

deformed shape is the same for all times. Thus, the deformation of the rolling

cylinder at time t can be completely characterized by comparing the position

of material particles X in the body at time t with positions in the rigid cylinder

at the same time t. Therefore, let \(t) denote a vector emanating from the

origin 0 to a material particle X in the deformed cylinder at time t and let

R(0 denote a vector from 0 to the place that would have been assumed by

this same particle at time t had the cylinder been rigid. A relation of the form

ROLLING CONTACT PROBLEMS 453

geometry of the deformed cylinder at any fixed time t.

To describe the deformation characterized by (14.1) in more detail, we

introduce the following coordinate frames:

(14.2)

R, , Z = material coordinates of a particle X in the rigid spinning cylin-

der; these are particle labels which coincide with the cylindrical-

polar coordinates of X at a time T = 0.

r, 6, z = reference coordinates; these are the coordinates of particles in the

rigid spinning cylinder at an arbitrary time t >0, and are related

to the material coordinates as follows:

r=R, 6 = +tot, z = Z.

X X

x\, 2, 3 - spatial coordinates; these are the Cartesian coordinates of

points in space relative to a moving coordinate frame with

origin fixed on the axes of the moving cylinder, x, parallel to

the foundation, x3 directed along the axis of the cylinder, and

x2 normal to the foundation.

454 CHAPTER 14

These coordinates and the geometry of the rigid cylinder are shown in Fig.

14.1 (a). The reference coordinates are thus dependent on time t, but this

dependence is only formal since the shape of the deformed cylinder is the

same at all times.

The motion of the cylinder is defined by a twice differentiable and invertible

map x that takes the reference configuration Ct of the cylinder at time t (the

places occupied by particles of the rigid cylinder at time t) onto the current

(deformed) configuration at the same time t. In particular the motion carries

points (r, 0, z) in the reference configuration to positions *,, i = 1,2,3, relative

to the spatial frame of reference, given by

Thus, time enters the description of motion only implicitly as 6 = & + cot.

Various kinematical quantities can be computed in terms of the motion x-

The deformation gradient tensor F is given by

or

and the right and left Cauchy-Green deformation tensors C and B are given,

respectively, by

(r, 0, z) at time t, the vector

given by

ROLLING CONTACT PROBLEMS 455

Thus, our description of the motion is such that time derivatives are converted

into the product of spatial angular derivatives and the angular velocity

o)\ d/dt = a)d/dO.

shall now establish equations and inequalities governing a class of rolling

contact problems for highly deformable materials. We shall adopt a referential

("material") description of the problem in the sense that quantities (vectors,

tensors, densities, etc.) are referred to the reference configuration and are

functions of the referential coordinates (r, 6, z). The behavior of the general

body in rolling contact is governed by the following conditions:

1) Linear momentum. Linear momentum is balanced at each particle if and

only if,

where Div denotes the divergence operator referred to the reference configur-

ation, superimposed dots indicate time rates, and

T = the first Piola-Kirchhoff stress tensor,

Po = the mass density in the reference configuration,

b = the body force per unit mass in the reference configuration,

x = the acceleration vector x,,= (o2(B2Xi/d02).

The balance of angular momentum requires that TFT = FTT, so that T is, in

general, not symmetric.

2) Constitutive equations. In most of the applications, we assume that the

material is an isotropic hyperelastic material characterized by a stored energy

function W, representing the strain energy per unit volume in the reference

configuration, which is given as a differential function of the principal

invariants of the deformation tensor C:

In this case,

456 CHAPTER 14

or

when analyzing many rubberlike materials), all motions are subject to the

incompressibility constraint,

We can assume that W is also an explicit function of (r, 6, z) and that its

"form" (functional dependence on the invariants) can change from point to

point.

3) Unilateral contact condition. The unilateral constraint or contact condi-

tion, expressing the fact that the motion of the cylinder in the x2 direction is

constrained by the presence of the rigid roadway, is simply

where H is the distance from the axis of the deformed cylinder to the foundation

(Fig. 14.1) and F is the exterior surface of the cylinder. If t denotes the stress

vector,

where n is a unit exterior normal to the surface of the rigid spinning reference

cylinder, then we also must have on F,

4) Friction /slip conditions. If the cylinder rolls relative to the foundation,

friction is developed on the contact surface. We shall first describe effects with

a classical model, although more general friction laws studied in Chapters 11,

12, and 13 can be easily accommodated (see Oden and Lin [1]). Let

VQ = the magnitude of the velocity of foundation (roadway or belt) relative

to the axis of the cylinder (with no slipping, v0= R0a) for rigid bodies).

crn = t \2 = contact pressure = the normal component of the stress vector or

on the contact surface.

<JT = the tangential component of t on F.

Y/T = the slip velocity, defined by

ROLLING CONTACT PROBLEMS 457

conditions are equivalent to

axle of radius R, then

where

Alternately, the cylinder could be hollow with the interior surface F subjected

to a prescribed ("inflation") pressure pQ. Then, if n denotes a unit normal to

the material surface F0 in the current (deformed) configuration, we must have

the traction condition

The five sets of conditions above characterize the general rolling contact

problem: If T is given as a function of V\, we seek a motion \ that simul-

taneously satisfies all of these conditions for given p 0 , f, o>, u 0 , and H.

14.4. A variational principle for rolling contact. We shall now outline briefly

the development of a variational principle governing the problem discussed

in the preceding section due to Oden, Becker et al. [1], [2]. We confine our

attention to the case of plane strain, in which case \(xi, Xi)(X3 - 0)- We begin

by observing that different sets of trial and test functions are called for: the

set V of admissible motions,

i ..

the set K of admissible motions with constraints and the set K of mixed

velocity motions,

458 CHAPTER 14

K the incompressibility constraint

the character of which will depend upon the form of the constitutive equations.

For example, the condition

volume in ft, will, in many important cases, imply that

where W 1>p (ft) is the Sobolev space of order (1, />), i.e., the space of integrable

functions defined on ft with distributional derivatives of first order in L p (ft).

However, we will then have

of functions in K.

We next introduce a collection of nonlinear forms on V x K:

a: K x K - R; the virtual power,

representing the virtual power of the external forces. The form a ( - , ) rep-

resents the virtual power developed by Piola-Kirchhoff stresses on the deforma-

tion gradients, j ( - , - ) is a virtual work (power) contribution from frictional

forces on the contact surfaces, B( - , ) is the virtual work due to inertial forces.

ROLLING CONTACT PROBLEMS 459

(in the Gateaux sense).

The variational problem is now put forth as follows: Find \ K with

(Xi = wdeXi,X2 = X2, \ e ) such that

where

It remains only to show that this variational inequality is equivalent in some

sense to the boundary value problem of rolling contact described earlier. This

is accomplished by standard arguments that will not be reproduced here.

THEOREM 14.1 (equivalence). Let motion \bea solution to the general rolling

contact problem; i.e. \ satisfies (14.11) with T given as a function of V\ by

(14.14) and satisfies (14.17), (14.20), (14.22), and (14.24). Then \ is a solutio

of the variational inequality (14.35). Conversely, let \ be any sufficiently smooth

solution of (14.35). Then \ is also a solution of the general rolling contact proble

We now consider several devices for the regularization of the variational

problem which consists of three components.

1) Regularization of the friction functional The friction functional ; ( > ' ) is

replaced by a differentiate regularization je( , ), depending on a real param-

eter e < 0, in precisely the same manner as was done repeatedly in Chapters

10, 11 and 13.

Let w = x\ - v0 be the slip velocity and o-T the frictional stress on the contact

surface. Applying (11.14),7'(x> v ) is replaced by

ted by the equality

and this constraint is relaxed by the introduction to the energy of the exterior

penalty functional,

460 CHAPTER 14

Physically, the quantity S~l(x2 ~ H)+ represents a normal contact force acting

on F. This can, in fact, be used in computation as an approximation of the

normal stress component an on the contact surface.

3) Incompressibility. The incompressibility constraint, det V\ = 1, is relaxed

by introducing a penalty functional,

The regularized form of the variational problem is as follows:

The discrete problem. The finite element approximation of the relaxed vari-

ational boundary value problem (14.41) is constructed in the usual way: we

partition H into a mesh of E finite elements and represent the admissible

motions over each element by various shape functions iftN(r, 6, z). In this way,

we construct a family of finite dimensional subspaces { Vh} of V, h being the

mesh parameter, with

Here Cle is a typical element, x" is the value of \h at node N of element le,

and Ne is the number of nodes in element le.

Finally, the discrete problem can be stated as follows: Find \E e Vh such that

9-node biquadratic (Q2) elements. All integrals here are evaluated using

ROLLING CONTACT PROBLEMS 461

etc. Here W* and QJ are the quadrature weights, J are the quadrature points

(with Wj Gaussian quadrature weights and QJ corresponding to Simpson's

rule on the boundary). For Q2-elements, we typically take G = 9 = 3x3. In

the expression for j^he normal stress crn is approximated by -8~ l (#e 2 ~

H}+(j) at the quadrature points.

In the calculation of (/^(XE), v*), we typically use either "underintegration,"

by which we mean that a quadrature rule of order G = 2 x 2 is used, or a

perturbed Lagrangian element. The former corresponds to a local hydrostatic

pressure approximation by discontinuous bilinear elements; the latter is the

Qi/ PI element in which a Q2-approximation of the motion \E is used with a

P! (piecewise linear) approximation of the hydrostatic pressure.

Algorithms. The finite element approximation of the regularized form (14.43)

of the governing variational equality leads to a highly nonlinear system of

algebraic equations of the form

where

F = 3N-vector of nonlinear equilibrium (momentum) equations govern-

ing the discrete model.

x = ( x i , x 2 , ' ,x 3 N ) T = a vector of 3 N degrees of freedom representing

nodal values of the motion \.

p = a collection of critical parameters such as:

Hthe distance of the axis of the cylinder to the foundation,

a)2the squared angular velocity,

P0an internal (inflation) pressure.

In addition, the system will also depend upon the regularization and penalty

parameters e, 5, e0. In general, the system may have multiple solutions for

sufficiently small H and it may also exhibit resonance-type behavior for the

certain critical frequencies w 2 . We shall describe computational procedures

for solving (14.45) for fixed w 2 and P0 whch are built around a so-called

continuation methodology in which p = H is treated as unknown and in which

we attempt to trace families of solutions (x, p) of (14.45) along paths in

(3JV+l)-dimensional \-> P space. Such paths are described by parametric

462 CHAPTER 14

of (14.46).

The general class of continuation methods to which our method belongs is

known as a Riks or Riks-Wempner type method, in reference to early versions

of these schemes proposed by Riks [1] (and Wempner [1]). Among the

important features of these methods are 1) they can accommodate decreases

in load parameters, such as p, at points on solution paths (a feature which

allows one to determine limit points and which is not generally present in

traditional incremental loading schemes in which p is regarded as a parameter),

and 2) they provide a convenient framework for the calculation of bifurcation

points and multiple branches of solution paths. Several variants of these types

of continuation schemes have been developed, and we mention in this regard

the works of Keller [1], Rheinboldt [1], [2], Crisfield [1], Ramm [1], Padovan

[1], [2], and Endo et al. [1].

The methods employed here involve the solution of a nonlinear system of

ordinary differential equations by corrector-predictor methods in which the

predictor establishes the tangent hyperplane to the solution path and computes

an approximate solution in it; the corrector modifies the solution by constrained

Newton-Raphson or quasi-Newton schemes.

We begin by deriving from (14.45) the system of differential equations

where

in (3N+l)-dimensional space. Repeated indices are summed from 1 to 3N.

The third member of (14.47) is, of course, the definition of arc length of F.

The system of nonlinear ordinary differential equations (14.47) is equivalent

to the system,

ROLLING CONTACT PROBLEMS 463

of the solution into this plane. It then makes sense to correct this approximate

solution so that a point on the solution path F is obtained. One algorithm for

such a procedure is given as follows:

Step 1 (tangent hyperplane). With initial data x0, p0, (Ap) 0 , compute

Step 3 (correction).

with

Set

Step 4. Return to Step 1 and continue to process with (x0, p0) replaced by

(x'i,Pi)-

464 CHAPTER 14

In Step 1, it is, in general, inappropriate to set (x0, p0) = (0,0) since this is

not a point on the solution path. The starting point (x0, p0) is computed by

specifying a small initial value of p0 and computing x0 by Newton's method.

The procedure in Step 2 was advocated by Keller [1] and has the attractive

feature of preserving the symmetry and bandwidth of Jtj (when symmetry

exists) as opposed to treating the full system at once.

The algorithm given in Step 3 is also a Keller-type scheme, similar in structure

to that of Step 2, and is equivalent to the constrained Newton-Raphson scheme,

forces the scheme to progress toward the solution path F in a direction normal

to the tangent plane. Some acceleration of this iterative process can be realized

by using alternative constraints which make the iterative scheme follow a

spherical path (Crisfield [1]), or an elliptical path (Padovan [2]), and such

variants are easily implemented.

Algorithms such as that above can be used to determine limit points and

bifurcations in solution paths. Also, multiple branches can also be determined

and followed.

numerical results obtained using the formulations and algorithms discussed

in 14.4-14.5.

Example 14.1 (rolling contact of a Mooney-Rivlin cylinder). As a first example

we consider rolling contact of a Mooney-Rivlin material for which the strain

energy function is of the form

cylinder are shown in Fig. 14.2, the interior hub of unit radius being rigid and

perfectly bounded to the outside material. The ground velocity v0 = 0, the

coefficient of friction is taken to be v = 0.3, the referential mass density pQ = 1,

and the initial outside radius is R0 = 2.Q'm. The cylinder is spinning at an

angular velocity a) = 5 rps.

As a loading parameter, we take the distance H from the axis of the cylinder

to the roadway, and consider increments such that H = 1.9, 1.82, 1.73, 1.71,

1.65, 1.61, 1.58, 1.55, 1.54, and 1.53.

Computed results are given in Figs. 14.3 and 14.4. In Fig. 14.3 the progressive

contact force for various values of H is shown. The deformed cylinder

geometries for various values of H are indicated in Figs. 14.4(a)-(c). Note

that very large strains are realized in this example.

ROLLING CONTACT PROBLEMS 465

466 CHAPTER 14

FIG. 14.4. Stress contour for rolling cylinder (a) Step 2; (b) Step 3; (c) Step 4.

in Fig. 14.2. In the calculations described here, we take again Ci = 80psi,

C2 = 20 psi, but use p0 = 0.036 Ib-s2/in4 (a realistic value for rubbers), v - 0.3,

and, instead of the penalty functional (14.37), we use the special interface law

(11.4) with cn = 105, mn = 1, and bn = 0. These particular choices of parameters

define a class of problems discussed in Oden and Lin [1].

Computed deformed shapes for prescribed vertical displacements d = R0 H

of d = 0.3, 0.418, and 0.464 in are shown in Figs. 14.5(a), (b), and (c). In these

calculations, the regularized friction functional je of (14.36) is used with

e = 0.25 in/sec.

ROLLING CONTACT PROBLEMS 467

FIG. 14.5. Calculated deformed rolling cylinder configuration for d = R0-H of (a) 0.3 in., (b)

0.418 in., and (c) 0.464 in.

Example 14.3 (bifurcation and standing waves). We cite a final example taken

from Oden and Lin [1]. This example involves the remarkable property of

bifurcation and standing waves in spinning cylinders.

We begin with the case of a free-spinning cylinder, the dimensions and

properties of which are the same as those in Example 14.2. The cylinder is

spun without contact at an angular velocity o>, and for sufficiently small values

of ft>2 only a radially symmetric deformation is possible (indeed, for an

incompressible material, no deformation is observed). We steadily increase

the parameter w 2 obtaining a one-parameter family of solutions. Then, for a

468 CHAPTER 14

corresponds to an accumulation point on the 6>2-axis: an infinite number of

branch points pass through an arbitrary neighborhood of to2. At (olr, an infinite

number of peaks (wavelets) occurs on the periphery of the cylinder, and as

a)2 is further increased, these wavelets collapse into a smaller number of waves

with larger amplitudes. If frictionless contact is made, these peaks are flattened

out on the contact surface and a pattern of wavelets symmetric with respect

to the xraxis is observed.

Figures 14.6(a), (b), (c) and (d) show computed deformed shapes and

principal stress contours of the spinning cylinder with d = R0- H = 0.1 in. and

v = 0.0, for various values of a). Notice that near w cr , the discrete finite element

FIG. 14.6. Computed wave patterns and stress contours in a spinning cylinder in frictionless contact

for various values of <a: (a) o> = 41.91 rad/s., (b) w = 43.38 rad/s., (c) o> = 44.01 rad/s., (d) o> =

46.83 rad/s. (after Oden and Lin [1]).

ROLLING CONTACT PROBLEMS 469

FIG. 14.7. Computed wave patterns and stress contours in a spinning cylinder withfrictional contact

with d = 0.1, u = 0.1, and 10 = 41.31 rad/s. (after Oden and Lin [1]).

model is capable of delivering a pattern of only eleven peaks due to the small

number of degrees-of-freedom available in this rather coarse mesh. For higher

values of w 2 , fewer peaks are computed, as indicated. The addition of frictiort,

of course, destroys the symmetry of the pattern, as indicated in the computed

wave pattern shown in Fig. 14.7.

These types of bifurcation phenomena for free-spinning hyperelastic cylin*

ders are studied in some detail in the memoir of Rabier and Oden [1].

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Concluding Comments

As is the case with all of theoretical mechanics, the province of the theory

of contact of deformable bodies is to deliver mathematical models of a specific

and well defined class of physical phenomenain this case, the fundamental

and basic phenomena we necessarily experience each instant of our existence:

the contact of one body with another. Since our aim is to develop mathematical

models, we cannot escape the necessity of dealing with mathematics; it is the

language of mechanics and physics and in order to use it to extract the most

information our model can provide, we must work within the rigid rules for

which these models make sense.

Since the phenomena themselves are very complex, the mathematical models

are necessarily also complex and it is a generally accepted fact that all but

the simplest and most trivial cases must be dealt with by computational

methods. The advent of extremely large and high speed computational devices

is both an asset and a liability: an asset, since we can now consider more

sophisticated and realistic models of the phenomena we wish to study, but

also a liability since we are simultaneously faced with the responsibility of

determining how well the computed solutions depict the behavior our model

was designed to simulate. Too frequently this very real responsibility is swept

aside and one mistakingly interprets the computed results as a simulation of

the physical event, and not as what they are: only arrays of integers which

may or may not approximate the behavior simulated by our model.

Models, on the other hand, are after all only schemes for simulating physics

so when we are confident that the simulations are mathematically sound, we

must ultimately compare them with actual physical observations. If they prove

to be inadequate to depict the observed phenomena, they must be abandoned,

or expanded, improved, and modified. Thus to evaluate the model, we must

have confidence in its numerical approximations; we must have some guarantee

of the reliability of the computed approximations of the model before we can

adequately assess its adequacy as a simulation of actual events. This means

that the successful fulfillment of the province of mechanics requires a deliberate

471

472 CONCLUDING COMMENTS

we wish to consider, this also necessitates the development of a parallel theory

of numerical analysis and approximation.

It has been our hope in this volume to make a small step toward the

realization of these goals for one class of problems. We have begun with the

simplest class of contact problems, and for this class developed a reasonably

complete mathematical model; we have furnished a study of the qualitative

features of the model from a mathematical point of view and a detailed study

of various approximation methods with definite concern on their reliability,

i.e., the accuracy, numerical stability, convergence, and rate of convergence

of these methods. Finally, we have translated these approximations into the

language of the computer: numerical algorithmsand we have used these to

solve a number of classes of problems which do indeed simulate many

phenomena of practical interest.

Beyond this, we have also examined larger classes of problems where much

remains to be done before a completely satisfactory mathematical model

can be developed and fully analyzed. This is particularly true of the area of

friction contact, where some fairly sophisticated models have been proposed,

but the quality and the properties of these models are yet to be fully

analyzed. Nevertheless, we strongly feel that the general approach taken

in this work will prove to be a successful one for treating these difficult

problems.

There are many other problems in the general area of contact that we have

not dealt with here; they should represent topics for fruitful research for many

years to come. Some of these are listed as follows:

Interface models. Here we refer again to the problem of adequately represent-

ing frictional effects between two bodies in contact. As indicated in Chapter

12, it is possible to construct fairly sophisticated elastoplastic and visco-

elastoplastic models of metallic interfaces. However, what is needed here is a

one- or two-dimensional interface model which reflects phenomenologically

the significant microstructural mechanisms responsible for friction but does

not represent in its own right a separate large scale problem for the analyst.

The simple model introduced and studied in Chapter 13 is believed to represent

a significant step in this direction; it is consistent with a large volume of

experimental results, it provides a basis for the simulation of numerous fric-

tional effects that cannot be captured by classical models, and it leads to a

tractable mathematical theory. Nevertheless, it is applicable to only a limited

class of frictional phenomena. Exactly how far one should go in complexity

to produce an adequate contact friction model is a subject requiring much

additional study.

Lubrication. The subject of lubricated contact is, of course, one that has

undergone considerable study during this past century. A variety of sophisti-

cated models of viscous lubricants are available, and these are already used

CONCLUDING COMMENTS 473

remain to be investigated including the qualitative analysis of various viscoelaS*

tic lubricant models, models of boundary layer effects, temperature effects,

etc. A prerequisite to many of these issues is the development of good models

of solid contact, and much of the work recorded here could provide a basis

for initiating studies in this area.

Damage and wear. An integal part of contact with friction, of course, is thd

ultimate damage of the contact interface and wear of the bodies in contact.

Significant advances in damage theory and in models for wear have been made

in recent years, and some of these give hope that the subject will progress

beyond the empirical character of this subject which was prevalent for many

decades.

Other topics. A variety of other topics related to contact and friction also

represent areas in which further work on the development of models, approxi-

mate methods, approximation theories, and computational algorithms is

needed. These areas include problems of dynamic friction, impact and collision

of bodies in motion, problems of fracture, spalling, and penetration due to

high velocity impact, material characterization under impact and high velocity

loading, including phase changes in the materials, and the parallel development

of adequate computational algorithms to solve models of these phenomena

efficiently and reliably.

It is our sincere hope that the methods and results we have developed in

this volume will be helpful in research in all the areas listed above.

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Index

Alternate variationat principles for Signorini's Compliance matrix, 222

problem, 201-239 Cone, 39

Amonton-Coulomb law, 307, 308 positive, 40, 78

Amonton's friction law, 318 Conforming elements, 187, 188

Asperities, 312, 318, 323, 331, 332 Constrained minimization problem, 40,41,154,

Asymptotic estimates, 185 203

Autocorrelation function, 322 Contact conditions:

incremental and linearized, 23-25

kinematic, 31

BabuSka-Brezzi condition, 173, 177, 180-183, primal structure of, 218

185-187, 192, 193, 195, 197 reciprocal structure of, 218

Backward extrusion process, 405 Contact problems:

Banach spaces, 3, 7, 14-16, 31, 33, 34, 43, 61, with Coulomb friction, 284-306

83, 246, 374, 382, 385 with deformations and nonlinear materials,

Basis functions, 57 369-408

Beam theory, Kirchhoff hypothesis of, 289 frictional, 267-306, 416-420

Bifurcations, 3,13,241,261-265,452,462,467,

for large deflections of elastic plates, 241-265

469 for large deformation elastoplasticity, 385-

Boundary conditions, 93-103, 417 408

of third type, 98-99

with nonclassical friction laws, 307-367

and trace theorems, 83-89 rolling, 2, 451-469

Boussinesq's solution, 6, 235, 236 two-body, 8, 9, 111, 157-172, 296, 299, 300

Buckling of elastic plates, 2, 9, 241, 264, 265 reciprocal methods for, 237-239

Contraction mapping, 342

Calderon-Zygmund inequalities, 104 Convergent extrusion process, 396

Cauchy elastic material, 27 Convex analysis, 2, 3, 30, 31-54

Cauchy-Green deformation tensor, 370, 454 Convexity, 32, 205

Cauchy stress tensor, 22, 25, 372, 386, 476 Corrector-predictor methods, 462

Central difference techniques, 428, 429 Cosets modulo R 2 , 204

Cerruti solution, 236 Coulomb friction, 4, 8, 10, 102, 308, 310

Coefficient of friction, 268, 430, 457 general contact problems with, 284-306

dynamic, 409 Signorini problem with, 267-272, 284

kinetic, 413, 416, 448 Coulomb law of friction, 268, 271, 288, 309,

static, 409,413, 416, 448 310,330,333,341,345,348,350,355,416

Coercivity, 33 Coulomb sliding criterion, 390

491

492 INDEX

Deflections, large transverse, 9, 241-265 342-345

Deformation gradient F, 370 of penalty formulation, 55, 67-73

Deformations: reduced integration, 132

contact problems with, 369-408 of saddle point problems, 55, 64-67

elastoplasticity for, 386-388 of Signorini problem, 111, 121-130

Degrees-of-freedom, 57 Formal operator, 220

Direct extrusion process, 398-400 Foundation, frictionless, 19,22,25,26,253,264

Dirichlet boundary conditions, 95, 98 Frechet differentiable, 52, 249, 250, 336

Discrete minimization problem, 122 Friction, 1,3,5, 11-13

Dissipative effects, 430, 442 contact problems with, 267-306, 416-420

Duality pairing, 119, 131 Coulomb, 4, 102

Dual problem, finite element approximation of, dry, 2

211-215 between metallic bodies, 311-317

Dual variational formulation for the Signorini dynamic, 2, 4, 12, 409-449

problem, 201-205 nonlocal and nonlinear

resolution of, 205-207 finite element approximations of, 342-345

Dynamic sliding, 411 Signorini problem with, 335-342, 345-356

Dynamic stability, 430, 435 numerical solutions to, 282-284

quasi-static, 357-367

rolling, 12

Elasticity: Signorini problem with, 335-342, 345-356,

finite, existence theorems in, 381-385 392-393

incompressible, 174-181 static, 409, 410

trace results for, 85-89 Friction-contact condition, 271, 414, 420, 456

variational problems in, 75 Friction laws, 4, 309

Elasticity matrix, 260 neoclassical, contact problems with, 307-367

Elasticity operator, 216 nonlinear, 279

Elasticity theory, 416-420 nonlocal, 329

Elastic plates: Frictional sliding, steady dynamic stability of,

buckling of, 2, 9, 241, 264, 265 424, 425

contact problems for large deflections of, Frictional stresses, 418, 422

241-265 Frictionless contact, 347

post-buckling of, 241 Frictionless foundation, 19,22,25,26,253,266

Elastoplasticity:

large deformation, 385-408

rate-independent, 370 Gateaux differentiable, see G-differentiable

Energy dissipation, 367 Gaussian distribution of peak heights, 319

Epigraph, 35 Gaussian distribution of surface heights, 321

Euclidean norm, 128, 274 Gaussian isotropic surfaces, 322

Euclidean space, 128 Gaussian quadrature, 157, 224, 225

Existence theorems in finite elasticity, 381-385 G-differentiable, 33-37, 52, 101, 103, 113, 115,

203, 205, 228, 273, 277, 337, 382, 383

Green's formula, 29, 75, 89-93, 103, 124, 213,

Falk's theorem, 137, 185, 343 269, 281, 340, 422

Finite elastic deformation, 370-376 Green's operator G, 221, 225, 227

Finite element approximations, 2-4,55-73,173,

243, 254, 307, 409, 425-430, 460-464

of dual problem, 211-215 Hahn-Banach theorem, 36

mixed, 181-188 Head forming process, 400

solution methods for, 197-199 Heaviside Step function, 261

specific, 188-197 Hermite elements, 58

INDEX 493

Hertz contact problems, 6, 141, 142, 290, 310, Microdisplacements, 311, 316

332, 451 Minimization of functionals, 7, 31-40, 41-54,

Hertz problem by reciprocal formulation, 233 228

Hilbert spaces, 8,14, 16, 31, 38-43, 46, 55, 56, Minimization theorem, generalized Weier-

60, 65, 83, 84, 90, 94, 244 strass, 33, 382

Holder's inequality, 281, 337 Minimum potential energy, 216, 245, 374-376

Hookean materials, 27, 76, 416 Mises yield criterion, 387, 388

Hooke's tensor, 7, 27, 76, 475 Molliner, 338

Hydrostatic pressure, 176 Monotone operator, 34

Hyperelastic material, 370, 371 Mooney-Rivlin cylinder, rolling contact of, 464

Hysteresis loops, 414, 415 Mooney-Rivlin material, 370, 380, 466

Incompressibility, 224, 380 Neumann boundary conditions, 98

Incompressible materials, Signorint's problem Neumann problem, 178

for, 173-199 Newmark's method, 428, 431

Incremental loading and unloading, 361 Newton-Raphson methods, 261,282-284, 377,

Incremental plasticity, 388, 389 428-430, 462, 464

Indentation hardness, 312, 321 Nonconforming elements, 187,188, 193

Indentation problem, 290, 393-395 Nonconvex minimization, 375

Inequality constraint, 242 Nonlinear materials, contact problems with,

Interface law, 328 369-408

Interface models, 472 Normal contact laws, neoclassical, 317-335

Interpolation properties, 56, 255, 259 Normal interface response, 414

Inverse assumption, 59 Numerical quadrature formula, 132

Inverse operator G, 217-220

Optimization, 2, 30, 31-54

Orlicz-Sobolev space, 373

Junctions, 313, 315-317

Keller-type scheme, 464

Penalty formulation, 179-181, 248-253, 307,

KJnematical contact conditions, 20-24

379

Kirchhoff hypothesis of beam theory, 289

finite element approximations of, 55, 67-73,

Korn's inequalities, 75,103-110,113,115,116,

137, 138, 259, 357

154, 204, 211, 216

of Signorini's problem, 111

Penalty methods, 3,31,49-54,179,205,222,286

Lagrange elements, 58 post-discretization, 163, 164

Lagrange multiplier formulation, 175-179 pre-discretization, 162-164

perturbed, 180, 187, 188 for resolving contact conditions, 130-140

Lagrange multipliers, 3,11,43-49,69,154,155, Penalty parameter, 140, 144

375, 376, 380 Penalty problem, dual solution to, 206

Lagrangian, 45, 239, 388 Piola-Kirchhoff stress tensor, 372,386,455,458

perturbed, 46, 47, 53, 379 Pivot space, 65

Lame constant, 156 Plane-strain extrusion process, 405-408

Lax-Milgram theorem, 247 Plastic flow, 318

Lebesgue theorem, 80 Plasticity, incremental, 388-389

Linearization by increments, 377-381 Poincare's inequality, 340

Lipschitzian, 56, 106 Poisson's ratio, 6, 236, 242, 289, 297, 388, 398,

Lipschitzian domain, 14, 56, 92, 106, 154, 244 431, 439

Locking phenomenon, 165 Polyconvexity, 384

Lubrication, 472 Post-buckling of elastic plates, 241

494 INDEX

Potential energy functional, 7, 31, 77, 94, 117, for incompressible materials, 173-199

122, 279 with nonlocal and nonlinear friction, 335-

Power spectral density, 322 342, 345-356

Prandtl-Reuss equation, 3, 387 numerical solutions of, 140-147

Projectional SOR method, 221-223 with prescribed tangential stress, 267

Pseudomonotone operators, 3 variational principles for, 29, 201-239, 269,

Pseudomonotone variational inequalities, 310 336

weak solution of, 111, 119-121, 211

Quadrature operator, 68, 69, 346 Simpson's rule, 133, 135, 141, 143, 195, 287,

Quadratic functional on Hilbert spaces, 38-43 346, 461

Q2-(9-node; biquadratic) elements, 133, 141, Slack variable, 199

143, 145 Slave boundary, 166

Sliding conditions, 287, 355

Reciprocal formulation: Sliding friction, 427

numerical method for, 221-225 Slip condition, 274, 282, 284, 287

of rigid punch problem, 225-236 Slip-stick conditions, 457

Reciprocal variational formulation, 215-220 Small deflection theory, 262, 263

Reciprocal variational inequality, 219,221,227, Sobolev norm, 17

228, 230, 231 Sobolev's imbedding theorem, 16,137,217,247

Regularized friction conditions, 419, 420, 430, Sobolev spaces, 3,9,28, 55,75, 77,83,85,373,

431, 459, 461 458, 476

Regularization parameter, 288, 290 definition and properties of, 15

Riesz map, 46, 48, 56, 131 order properties of, 78-82

Riesz projection, 128 Space of rigid motions, 204

Riesz transform, 104 Standing waves, 467

Rigid punch problems, 6, 9, 10, 112, 147-157, Steady sliding, 411-416,421-424,430,435,437-

225-236, 394 440

Riks-Wempner method, 462 Stick condition, 274, 282-284, 287, 355

Rolling contact problems, 451-469 Sticking zone, 302

Stick-slip motion, 430, 448

versus steady sliding, 411-416

Saddle point problems, 3, 31, 43-49, 55, 111, Stored energy function, see strain energy

155, 173, 176, 179, 180, 209-211, 239 Strain density, 7

finite element approximations of, 55, 64-67 Strain energy, 76, 244, 245, 371, 384

Schauder-Tykhonov Sxed point theorem, 339, Stress

341, 423 prescribed normal, 285

Segment property, 103 prescribed tangential, 267, 285

Selective reduced integration, 157,188, 224 trace theorem for, 92, 93

Semicontinuity, weak lower, 32, 35, 273, 382- Stress tensors, 89

384

Cauchy, 22, 25, 372, 476

Semi-infinite domains, 221 Piola-Kirchhoff, 372, 386, 455, 458

Semi-infinite formulation, 234 Strict convexity, 205

Sheet metal forming, 400-405 Subdifferential, 35

Signorini's boundary condition, 100 Successive over-relation method, 111, 130, 287

Signorini's problem, 2, 3, 7, 11, 12, 25, 30, 89,

103, 111-172, 308, 310, 380, 423

with Coulomb friction, 267-272, 284 Tangential stress, Signorini problems with, 267,

existence theorem for, 112-118 285

for finite elastic deformation, 370-376 3-point numerical integration rule, 215

finite element approximations of, 111, 121- Total potential energy, see Potential energy func-

130 tional

with friction, 335-342, 345-356, 392-393 Trace operator, 59, 85,94, 477

INDEX 495

Trace results for elasticity problems, 85-89 Weakly lower semicontinuity, 32, 35,273,382-

Trace theorems, 75, 83-89, 92, 93, 217 384

Tresca stress measure, 299 Wear, 411

Weierstrass theorem, 33, 382

Unilateral contact conditions, 19-25,147-151, Winkler foundation, 99, 288, 289

160, 161, 165,335,375

Unisolvent, 57

Uzawa's method, 111, 155, 198, 199, 232, 23

Young's inequality, 13,62,66,73,125,258,259,

282

V-elliptic, 216

V'-eliiptic, 217

Volterra equations, 310

von Karman plate theory, 3, 241, 243, 262 Zaremva-Jaumann stress rate cr, 387

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