Lecture 4. FEM

NUMERICAL METHODS AND GEOMECHANICS
Lecture #4. Introduction to Finite Element

Method
4.1 General concept of FEM

4.2 Constitutive equations around the tunnel
4.3 Modelling of geotechnical problems
Lecture #4. Introduction to FEM
4.1 General concept of FEM: Procedure of FEM analysis
1) Element Discretisation: This is the process of modelling the geometry of the problem under
investigation by an assemblage of small regions, termed finite elements. These elements have
nodes defined on the element boundaries, or within the element.
2) Primary Variable Approximation: A primary variable must be selected (e.g. disp., stress, etc.)
and rules as to how it should vary over a finite element established. The variation is expressed
in terms of nodal values. Displacement is primary variable in geotechnical problems.
3) Element Equations: Use of an appropriate variational principle (e.g. Minimum potential energy)
to derive element equations.
[ K E ]{Δd E } = {ΔRE }
where [KE] is the element stiffness matrix, {ΔdE} is the vector of incremental element nodal
displacements and {Δ RE} is the vector of incremental element nodal forces.
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4) Global equation: Combine element equations to form global equation.
[ K G ]{ΔdG } = {ΔRG }
where [KG] is the global stiffness matrix, {ΔdG} is the vector of all incremental element nodal
displacements and {ΔRG} is the vector of all incremental element nodal forces.
5) Boundary condition: Formulate boundary conditions and modify global equations. Loadings (e.g.
line and point loads, pressures and body forces) effect {ΔRG} , while the displacements effect
{ΔdG}.
6) Solve the global equations: The global equations are in form of a large number of simultaneous
equations. These are solved to obtain the displacement {ΔdG} at all the nodes. From these
nodal displacements secondary quantities, such as stresses and strains, are evaluated.
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Element geometry is defied by node locations:
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Element discretisation
General method to solve

boundary value problems in an
approximate and discretized way
Often (but not only) used for

deformation and stress analysis
Division of geometry into finite

element mesh
Element node
Typical 2D finite elements
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Element discretisation:
when constructing the FE mesh the following should be considered.
• The geometry of the boundary value problem must be approximated as accurately as possible
• If there are curved boundaries or curved material interfaces, the higher order elements, with
mid-side nodes should be used.
• In many cases geometric discontinuities suggest a natural form of subdivision. Discontinuities
in boundary gradient, such as re-entrant corners at the discontinuity points. Interfaces
between materials with different properties can be introduced by element sides.
• Mesh design may also be influenced by the applied boundary conditions. If there are
discontinuities in loading, or point loads, these can again be introduced by placing nodes at
the discontinuity points.
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Element discretisation:
Mesh generation: 2D cross

Element and node numbering
section is divided into element
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Variable approximation: Displacement approximation

• In the displacement based finite element method the primary unknown quantity is the displacement field
which varies over the problem domain.
• Stresses and strains are treated as secondary quantities which can be found from the displacement field
once it has been determined.
• The displacement component can be expressed in terms of their values at the nodes with shape function N.
u = [ N ]{ui }
where u is displacement field, [N] is shape function matrix, and {ui} is nodal displacement vector.
vm ⎛ ui ⎞
um ⎜ ⎟
⎜ uj ⎟
⎛u ⎞ ⎜ um ⎟ u : horizontal displacement
vi
vj ⎜ ⎟ = [ N ]6×2 ⎜ v ⎟
⎝v⎠ ⎜ i⎟ v : vertical displacement
uj ⎜ vj ⎟
ui ⎜⎜ ⎟⎟
⎝ vm ⎠
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• Pre-assumed interpolation of main quantities (displacements) over

elements, based on values in points (nodes)
• Formation of (stiffness) matrix, [K], and (force) vector, {R}
• Global solution of main quantities in nodes, {d}
[K]{d}={R}
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Example:
Other way of writing:
ux = N1 ux1 + N2 ux2 + N3 ux3 + N4 ux4 + N5 ux5 + N6 ux6

uy = N1 uy1 + N2 uy2 + N3 uy3 + N4 uy4 + N5 uy5 + N6 uy6
or
ux = N ux and uy = N uy (N contains functions of x and y)
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Variable approximation: Compatibility condition

For the accuracy to increase as the elements become smaller, the displacement approximation must satisfy the
following compatibility condition.
• Continuity of the displacement field.
• The displacement approximation should be able to represent rigid body movement.
• The displacement approximation should be able to represent constant strain rates.
• The essential feature of the element-wise approximation is that the variation of the unknown displacements
within an element is expressed as a simple function of the displacements at the nodes.
• The problem of determining the displacement field throughout the finite element mesh is, therefore,
reduced to determining the displacement components at a finite number of nodes.
• These nodal displacements are referred to as the known degrees of freedom (DOF).
• For two dimensional plane strain problems there are two degree of freedom at each node: u and v
displacement.
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Variable approximation: Isoparametric finite elements

• The essential feature of the element-wise approximation is that the variation of the unknown
displacements within an element is expressed as a simple function of the displacements at the nodes.
• An 8 noded quadrilateral isoparametric element is shown. This element is widely used in geotechnical
finite element software.
• It can be used as a general shaped quadrilateral element with curved sides.
• The global element is derived from a parent element which has the same number of nodes, but is
defined with respect to a natural coordinate system.
• Figure shows the configuration of the parent element. The natural coordinates S, T for this element
satisfy the conditions -1≤S ≤1, -1≤T ≤1. S yG
(1,1)
xG
T
(-1,-1)
• For the element shown in figure the global coordinates of a point in the element can be expressed by
8
coordinate interpolations of the form:
x = ∑ N i xi u = N1u1 + N 2u2 + N 3u3 + N 4u4 + N 5u5 + N 6u6 + N 7u7 + N8u8
i =1
8
y = ∑ N i yi v = N1v1 + N 2 v2 + N 3v3 + N 4 v4 + N5v5 + N 6 v6 + N 7 v7 + N8v8
i =1
• The main advantage of the isoparametric formulation is the that the element equations need only be
evaluated in the parent element coordinate system. Thus, for each element in the mesh the stiffness
matrix integrals can be evaluated by a standard procedure.
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Element equation: Displacement and strains
Element equations are those that govern the deformational behavior of each
element. Thy essentially combine the compatibility, equilibrium and constitutive
conditions.
Displacements:
⎛ Δu ⎞ ⎛ Δu ⎞
{Δd } = ⎜ ⎟ = [ N ] ⎜ ⎟ = [ N ]{Δd }n
⎝ Δv ⎠ ⎝ Δv ⎠ n
Strains:
∂ (Δu ) ∂ N
Δε x = − = u
∂x ∂x
∂ (Δv) ∂ N
Δε y = − = v
∂y ∂y
∂ (Δu ) ∂ (Δv) ∂ N ∂N
Δγ xy = − − = u+ v
∂y ∂x ∂x ∂y
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Element equation
∂ (Δu ) ∂ N i ⎡ ∂ Ni ⎤
Thus, Δε i = − = u {Δε } = [ B]{Δd }n when, [ B] = ⎢ ⎥
∂ xi ∂ xi ∂
⎣ i⎦x
where the matrix [B] contains only derivatives of the shape functions Ni, while {Δd}n contains
the list of nodal displacements for a single element.
If the isoparametric elements are being used, the shape functions are identical to the
interpolation functions, and Ni depend only on the natural coordinates S and T. Consequently,
the global derivates cannot be determined directly. Using the chain rule which relates the x, y
derivatives to the S, T derivatives gives:
⎡ ∂x ∂y ⎤
⎢ ∂S ∂S ⎥
T
⎧ ∂N i ∂N i ⎫ ⎧ ∂N i ∂N i ⎫
T
where the matrix [J] is
⎨ ⎬ = [J ]⎨ ⎬ the Jacobian matrix. [J ] = ⎢ ⎥
⎩ ∂S ∂T ⎭ ⎩ ∂x ∂y ⎭ ⎢ ∂x ∂y ⎥
The global derivatives of the interpolation functions are given by:
⎢⎣ ∂T ∂T ⎥⎦
⎧ ∂N i ⎫ ⎡ ∂y ∂y ⎤ ⎧ ∂N i ⎫ ∂x ∂y ∂y ∂x
⎪⎪ ∂x ⎪⎪ 1 ⎢ ∂T − | J |= −
∂S ⎥ ⎪⎪ ∂S ⎪⎪ where |J| is the Jacobian
⎨ ∂N ⎬ = ⎢ ⎥⎨ ⎬ determinant.
∂S ∂T ∂S ∂T
⎪ i ⎪ | J | ⎢ − ∂x ∂x ⎥ ⎪ ∂N i ⎪
⎩⎪ ∂y ⎭⎪ ⎣⎢ ∂T ∂S ⎦⎥ ⎩⎪ ∂T ⎭⎪
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Element equation: Constitutive model

Cartesian stress tensor, usually composed in a vector. Stresses, σ, are related to strains ε:
In fact, the above relationship is used in incremental form:
{Δσ } = [ D ]{Δε } {Δσ }T = [Δσ x Δσ y Δτ xy Δσ z ]

where [D] is material stiffness matrix and determining material behavior.
For isotropic linear elastic materials the constitutive matrix [D]

takes the form as follows:
⎡1 − μ μ μ 0 0 0 ⎤
⎢ μ 1− μ μ 0 0 0 ⎥⎥
⎢
E ⎢ μ μ 1− μ 0 0 0 ⎥
D= ⎢ ⎥
(1 + μ ) ⎢ 0 2 −μ
1
0 0 0 0 ⎥
⎢ 0 0 0 0 2 −μ
1
0 ⎥
⎢ ⎥
⎢⎣ 0 2 − μ⎥
1
0 0 0 0 ⎦
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Hooke’s Law
For simple linear elastic behavior D is based on Hooke’s law:
⎡1 − μ μ μ 0 0 0 ⎤
⎢ μ 1 − μ μ 0 0 0 ⎥⎥
⎢
E ⎢ μ μ 1− μ 0 0 0 ⎥
D= ⎢ ⎥
(1 + μ ) ⎢ 0 2 −μ
1
0 0 0 0 ⎥
⎢ 0 0 0 0 1
−μ 0 ⎥
⎢ 2
⎥
⎢⎣ 0 2 − μ⎥
1
0 0 0 0 ⎦
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Hooke’s Law
Basic parameters in Hooke’s law:

Young’s modulus E
Poisson’s ratio ν
Auxiliary parameters, related to basic parameters:

Shear modulus Oedometer modulus
E E(1− ν )
G= E oed =
2(1+ ν ) (1− 2ν )(1+ ν )
Bulk modulus
E
K=
3(1− 2ν )
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Hooke’s Law
Meaning of parameters
∂σ1
E=
∂σ 2
in axial compression
∂ε3
ν =−
∂ε1
in axial compression
∂σ1
E oed =
∂ε1
in 1D compression
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Hooke’s Law
Meaning of parameters
∂p
K=
∂εv
in volumetric compression
∂σ xy
G=
∂γ xy
in shearing
note: σ xy ≡ τ xy
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Summary of Hooke’s Law
⎛ σ xx ⎞ ⎡1 − μ μ μ 0 0 0 ⎤ ⎛ ε xx ⎞
⎜ ⎟ ⎢ μ 1− μ μ ⎥ ⎜ ⎟
σ
⎜ yy ⎟ ⎢ 0 0 0 ⎥ ⎜ ε yy ⎟
⎜ σ zz ⎟ E ⎢ μ μ 1− μ 0 0 0 ⎥ ⎜ ε zz ⎟
⎜ ⎟= ⎢ ⎥⎜ ⎟
σ
⎜ xy ⎟ (1 + μ ) ⎢ 0 2 −μ 0 ⎥ ⎜ ε xy ⎟
1
0 0 0
⎜ σ yz ⎟ ⎢ 0 0 0 0 1
−μ 0 ⎥ ⎜ ε yz ⎟
⎜⎜ ⎟⎟ ⎢ 2
⎥ ⎜⎜ ⎟⎟
⎝ σ zx ⎠ ⎢⎣ 0 2 − μ⎥
⎦ ⎝ ε zx ⎠
1
0 0 0 0
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Inverse relationship
⎛ ε xx ⎞ ⎡1 −ν −ν 0 0 0 ⎤ ⎛ σ xx ⎞
⎜ ⎟ ⎢ −ν ⎥ ⎜ ⎟
ε
⎜ yy ⎟ ⎢ 1 −ν 0 0 0 ⎥ ⎜ σ yy ⎟
⎜ ε zz ⎟ 1 ⎢ −ν −ν 1 0 0 0 ⎥ ⎜ σ zz ⎟
⎜ ⎟= ⎢ ⎥⎜ ⎟
⎜ ε xy ⎟ E ⎢ 0 0 0 2 + 2ν 0 0 ⎥ ⎜ σ xy ⎟
⎜ ε yz ⎟ ⎢0 0 0 0 2 + 2ν 0 ⎥ ⎜ σ yz ⎟
⎜⎜ ⎟⎟ ⎢ ⎥ ⎜⎜ ⎟⎟
⎝ ε zx ⎠ ⎣0 0 0 0 0 2 + 2ν ⎦ ⎝ σ zx ⎠
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Element equilibrium equation

• To determine the element equations for linear material behavior, the principle of minimum potential
energy is invoked
• This principle states that the static equilibrium position of a loaded linear elastic body is the one which
minimizes the total potential energy. The total potential energy of a body is defined as:
Total potential energy (E) = Strain energy (W) – Work done by the applied loads (L)
• The principle of minimum potential energy states that for equilibrium:
δΔE = δΔW − δΔL = 0

• The problem is reduced to determining and summing the separate element equilibrium equations:
[ K E ]{Δd }n = {ΔRE }
where
[ K E ] = ∫ [ B ]T [ D ][ B ]dVol = Element stiffness matrix
vol
{ΔRE } = ∫ [ N ]T {ΔF }dVol + ∫ [ N ]T {ΔT }dSrf = Right hand side load vector
vol Srf
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Element equilibrium equation

• The element stiffness matrix for isoparametric elements is evaluated using the natural coordinate system.
The isotropic coordinate transformation gives:
dVol = t dx dy = t | J | dS dT
where for plane strain problems the thickness t is unity and the element stiffness matrix, [KE], becomes:
1 1
[KE ] = ∫ ∫ [ D][ B] | J | dSdT
T
t [ B ]
−1 −1
where |J| represent the determinant of the Jacobian matrix arising from the mapping between global and
parent element.
• The explicit evaluation of [KE] cannot usually be performed, except for very simple and special element
shapes. It is therefore convenient to use a numerical integration procedure.
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Numerical integration
• To evaluate the element stiffness matrix and right hand side vector, integrations must be performed. The
explicit evaluation of these element integrals cannot usually be performed. Therefore, a numerical
integration scheme is employed.
• The integral of a function is replaced by a weighted sum of the function evaluated at a number of
integration points.
• Consider a one dimensional integral with three integration points,
1 3
∫ f ( x)dx = ∑W f ( x ) =W f ( x ) + W
−1 i =1
i i 1 1 2 f ( x2 ) + W3 f ( x3 )
where Wi are weight, f(xi) are the values of the function at the three integration points.
• The number of integration points determines the integration order. The higher order of integration
gives the more accurate integration process.
• The most common numerical integration scheme is Gaussian integration and the integration points are
often referred to as Gauss points.
• For Gaussian integration the optimum integration order depends on the type of element being used
and on its shape. 8 noded isoparametric element either 2x2 or a 3x3 order should be used.
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Global equations
• The assembly of the separate element equilibrium equations into a set of global equations
[ K G ]{Δd }nG = {ΔRG }

where [ K G ] = the global stiffness matrix
{Δd }nG = a vector containing the unknown degrees of freedom (nodal displacements) for the
entire finite element mesh
{ΔRG } = the global right hand side load vector
• Each element stiffness matrix is assembled into the overall global stiffness matrix called Direct stiffness method.
• The terms of the global stiffness matrix are obtained by summing the individual element contributions whilst
taking into account the degrees of freedom which are common between elements.
• The terms of right hand side load vector are obtained in a similar manner by summing the individual loads
acting at each node.
• If the constitutive matrix [D] is symmetric, the element stiffness matrices and hence the global stiffness matrix
will also be symmetric.
• This situation occurs for a wide range of material behavior, including linear elastic material behavior
• The assembly, storage and solution schemes used for a global stiffness matrix take into account its symmetric
and bended structure.
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Global equations
[K] is often symmetric and has a band-form:
⎡# # 0 0 0 0 0 0 0 0⎤
⎢ ⎥
⎢# # # 0 0 0 0 0 0 0⎥
⎢0 # # # 0 0 0 0 0 0⎥
⎢ ⎥
⎢0 0 # # # 0 0 0 0 0⎥
⎢0 0 0 # # # 0 0 0 0⎥ (# are non-zero’s)
⎢ ⎥
⎢0 0 0 0 # # # 0 0 0⎥
⎢0 0 0 0 0 # # # 0 0⎥
⎢0 0 0 0 0 0 # # # 0⎥
⎢ ⎥
⎢0 0 0 0 0 0 0 # # #⎥
⎢0 #⎥⎦
⎣ 0 0 0 0 0 0 0 #
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Global equations: from element stiffness matrix [KE] to global stiffness matrix [KG]
• To illustrate the stages of the assembly process it is convenient to consider a mesh of 4 noded elements
with only one degree of freedom at each node. (Note: for 2D analyses there are usually two degrees of
freedom at each node).
• With only one degree of freedom at each node the stiffness matrices are much simpler and the assembly
process is easier to describe.
• In such a situation ‘Degree of freedom’ may be associated with ‘node number’.
• The numbering of the degrees of freedom and the form of the stiffness matrix for a single 4 noded
element is illustrated in following figure. It is assumed that all the stiffness matrices are symmetric and
therefore only the diagonal and upper triangle of terms are indicated.
• Single element becomes part of a mesh of elements. Stiffness matrix will take the form of global degree
of freedom numbering.
• The important thing to note is that each row and column of the element stiffness matrix corresponds to
each degree of freedom of the element.
Stiffness matrix for a single element Element stiffness matrix in terms of global DOF
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Global equations: from element stiffness matrix [KE] to global stiffness matrix [KG]
• The assembly process can now be demonstrated using the stiffness matrices expressed in terms of the
global degree of freedom.
• Figure shows a simple mesh containing two elements and the degree of freedom numbers.
• The terms in the global stiffness matrix corresponding to the degrees of freedom which are common to
more than one element arise from summing the contributions from the respective elements.
• The structure of the global stiffness matrix becomes particularly important if efficient use is to be made
of the computer storage.
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Boundary conditions
• The final stage in setting up the global system of equations is the application of the boundary conditions.
• These are the load and displacement conditions which fully define the boundary value problem being
analyzed.
• Loading conditions, line loads and surcharge pressures, affect the right hand side of the global system of
equations.
• As with the assembly process for the stiffness matrix, the assembly of the right hand side vector is
performed with respect to the global degree of freedom numbering system.
• Displacement boundary conditions affect {Δd}nG.
• The equation corresponding to the prescribed degree of freedom (displacement component) must be
effectively eliminated during the solution process.
• In all cases sufficient displacement conditions must be prescribed in order to retain any rigid body modes
of deformation, such as rotations or translations of the whole finite element mesh.
• For 2D plane strain problems at least two nodes must have a prescribed displacement in the x direction
and one node a prescribed displacement in the y direction, or, opposite.
• For 3D tunnel problems, common boundary condition is following.
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Boundary conditions
50m
24m
82m
72m
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Solution of global equations

• Once the global stiffness matrix has been established and the boundary conditions added, it
mathematically forms a large system of simultaneous equations.
• There fare several different mathematical techniques for solving large systems of equations.
• Most finite element programs adopt a technique based on Gaussian elimination for linear elastic model.
Global system of equations:

[KG]{D}G = {RG} where, {RG} is force vector and contains loadings as nodal forces
Usually in matrix form: [K G ]{Δd }nG = {ΔR G }

Solution: {Δd }nG = [K G ]−1{ΔR G }
From solution of displacement
Strain {Δε } = [ B ]{Δd }n

Stress
{Δσ } = [ D]{Δε }
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4.2 Nonlinear analysis
Incremental procedure
• For linear elastic model, components of stiffness matrix [K]e of element is constant.
• For Non-linear model, stiffness matrix varies depending on the stress and strain.
• When [K]e is function of {d} or {R},
[ K ]e = [ K (d , R)]e
• Iterative method and incremental procedure are frequently used for solving of the nonlinear problems.
Incremental
solution [K ]e {d } = {R}
Linear elastic
{R} {ΔR} Exact solution
[ K i −1 ] [K t (d , R )]e {Δd } = {ΔR}

nonlinear
{d }
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• {R} should be separated into n forces to solve nonlinear problem with incremental procedure.
n
{R} = {R0 } + ∑ {ΔRi } {R0 } is initial force
i =1
• Step 1.
1) [K t ]e {Δd1} = {ΔR1} [K t ]e = [K 0 ]e Initial stiffness matrix is used
{Δd1} = [K t ]e−1{ΔR1}
2) {Δd1} → {Δε1} → {Δσ 1} Incremental of displ., strain, and stress
3)
{d1} = {d 0 } + {Δd1}
{R1} = {R0 } + {ΔR1}
{ε1} = {ε 0 } + {Δε1}
{σ 1} = {σ 0 } + {Δσ 1}
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Step 2. Step n.
1) [K t ]e {Δd 2 } = {ΔR 2 } [K t ]e = [K1 ]e 1) [K ] {Δd n } = {ΔR n }
t e [K t ]e = [K n −1 ]e
{Δd 2 } = [K t ]e−1{ΔR 2 } {Δd n } = [K t ]e−1{ΔR n }

2) {Δd 2 } → {Δε 2 } → {Δσ 2 } 2) {Δd n } → {Δε n } → {Δσ n }
n
{d n } = {d 0 } + ∑ {Δdi }
2
3)
{d 2 } = {d1} + {d 2 } = {d 0 } + ∑ {Δdi }
3)
i =1 i =1
n
{Rn } = {R0 } + ∑ {ΔRi }
2
{R2 } = {R1} + {R2 } = {R0 } + ∑ {ΔRi }
i =1 i =1
2 n
{ε 2 } = {ε1} + {ε 2 } = {ε 0 } + ∑ {Δε i } {ε n } = {ε 0 } + ∑ {Δε i }
i =1 i =1
2 n
{σ 2 } = {σ 1} + {σ 2 } = {σ 0 } + ∑ {Δσ i } {σ n } = {σ 0 } + ∑ {Δσ i }
i =1 i =1
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NUMERICAL METHODS AND GEOMECHANICS

Lecture #4. Introduction to Finite Element

4.1 General concept of FEM

4) Global equation: Combine element equations to form global equation.

Element geometry is defied by node locations:

 General method to solve

 Often (but not only) used for

 Division of geometry into finite

Mesh generation: 2D cross

Variable approximation: Displacement approximation

Variable approximation: Displacement approximation

• Pre-assumed interpolation of main quantities (displacements) over

Variable approximation: Displacement approximation

Other way of writing:

ux = N1 ux1 + N2 ux2 + N3 ux3 + N4 ux4 + N5 ux5 + N6 ux6

Variable approximation: Compatibility condition

Variable approximation: Isoparametric finite elements

Element equation: Displacement and strains

Element equation: Constitutive model

{Δσ } = [ D ]{Δε } {Δσ }T = [Δσ x Δσ y Δτ xy Δσ z ]

For isotropic linear elastic materials the constitutive matrix [D]

For simple linear elastic behavior D is based on Hooke’s law:

Basic parameters in Hooke’s law:

Auxiliary parameters, related to basic parameters:

Summary of Hooke’s Law

Element equilibrium equation

δΔE = δΔW − δΔL = 0

Element equilibrium equation

[ K G ]{Δd }nG = {ΔRG }

[K] is often symmetric and has a band-form:

Solution of global equations

Global system of equations:

Usually in matrix form: [K G ]{Δd }nG = {ΔR G }

From solution of displacement

Strain {Δε } = [ B ]{Δd }n

[ K i −1 ] [K t (d , R )]e {Δd } = {ΔR}

{Δd 2 } = [K t ]e−1{ΔR 2 } {Δd n } = [K t ]e−1{ΔR n }

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General method to solve

Often (but not only) used for

Division of geometry into finite