CONTINUUM 

& FINITE ELEMENT METHOD

Variational Approach in FEM 
Part I
Prof. Seong Jin Park
Mechanical Engineering, POSTECH
 Variational Approach in FEM

In understanding the phenomena occurring in nature, we are used to differential equations based 
on basic physical principles in many mechanical engineering problems.  

 Instead of differential formulation, physical phenomena can be described in terms of 
minimization of total energy (or functional) associated with the problem, which is called 
variational formulation. FEM can be derived by this variational formulation as long as there 
exists a variational principle corresponding to the problem of interest. 
 Principle of Minimum Total Potential Energy

Principle of Minimum Total Potential Energy

  U  V :  Total Potential Energy
U :  Strain Energy
V : Potential Energy due to external loads (kept constant)
  is minimum with respect to the state variables or function variables at the equilibrium state.
*       

Note:
This principle can be easily applied to deformation of elastic bodies by identifying the strain
energy and potential energy due to external forces which are assumed to be fixed during the
deformation. The total potential energy can be a function of state variables or a function of
functions, which is called “functional”.
 Principle of Minimum Total Potential Energy

For instance, 

   (u1 , u2 ,  , u n ) With ui  being the state variables

    f1 ( x), f 2 (x), , f n (x) 

  0, i  1, ,n
ui
How to minimize with respect to functions f i (x) ?
=> Calculus of variation

Note:
It may be noted that there are other variational principles than the Principle of Minimum
Total Potential Energy. In this introductory course, our discussion will be limited to this
principle only.
 Example 1: Spring Problem

The deformation of a spring is taken as the simplest example to demonstrate that the variational
formulation yields the same equation as the conservation law, i.e., for equilibrium equation.

k
x i) Equilibrium concept kx  p
P ii) Energy concept
1 2
Strain energy: U kx
2
Potential energy: V   Px
1 2
Total potential energy:  kx  Px
2 
Minimize with respect to the variable x :  0  kx  P
x
 Example 2:  Tight String Problem

This is the first example of a functional. A tight string with a tension T applied at the end walls is
under a distributed load w(x) as depicted below. Find y(x) for a given w(x)

d  dy 
i) Equilibrium concept : T   w( x )  0
dx  dx 
w(x)
ii) Energy concept: 2
x l1  dy 
U   T   dx
Strain energy 0 2
 dx 
y(x) l
y
Potential energy V    wydx
0
 1  dy  2 
  y ( x)     T    wy dx
l
Total potential energy
  dx  
0 2

Find y(x) to minimize   y (x)  , which is a function of a function, i.e., “Functional”

 Example 3: Brachistochrone Problem by Bernoulli

There are many interesting examples of functional. To enhance motivation, one more example is
introduced, namely Brachistochrone problem by Bernoulli 1696.

A x One wants to find y(x) for the minimum falling time for 

fixed A and B points.

y 2
 dy 
B 1  
ds  dx 
t  y ( x)   
B B
 dx : A functional to be minimized.
0 v 0
2 gy
 Calculus of Variation

Calculus of Variation deals with such problems to minimize a functional. 

As the first example of calculus of variation, consider a functional of the following form. 

  2
I  ( x)    F ( x,  ,  x , xx )dx (functional) with  x 
x2
,  xx  2
x1 x x
Find  (x ) which minimizes I ( ( x ))

y
 (x ) : exactsolution


~
    
 : smallvariation
x
 Calculus of Variation

~
Consider an approximate solution   which has a small variation  

(x ) ~
over an exact solution           .   ( x)   ( x)   ( x)

The approximate solution is substituted to the functional expression yielding

~
 x2 ~ ~ ~
I  ( x)   F ( x,  ,  x , xx )dx
x1

 I ( )  I

In order for  (x ) to be the solution,  I  0 for any        . 


 Calculus of Variation
x2  F F F  F
I       x   xx dx , ( x is not to be included.)
x1
   x  xx  x
x2  F F d F d 
     ( )  ( x ) dx
x1
   x dx  xx dx 

x2  F d  F  d  F  
Integral by parts yields I  
x1

 
 
dx

  x
  
 dx

  xx
 (  x ) dx

 
x2 x2
F F
    x
 x x1
 xx x1

x2  F d  F  d2  F 
One more integral by parts gives I  x1

 

dx

  x
  2
 dx

  xx
  dx


x2 x2
 F d  F  F
        x 0
   x dx   xx   xx x1
x1
 Calculus of Variation

I  0 for arbitrary  implies that
F d  F  d 2  F 
    2    0 x1  x  x2 Euler‐Lagrange equation
 dx   x  dx   xx 

And the following set of boundary conditions

F d  F 
  0 or   0 at x  x1 and x  x2
 x dx   xx 
and
F
0 or  x  0 at x  x1 and x  x2
 xx

(Natural B.C.) (Essential B.C.)
 Calculus of Variation
Properties of  operator
i) The laws of variations of sums, products, and so on are completely analogous 
to the corresponding laws of differentiation.
( F  G )  F  G, ( FG )  (F )G  F (G ), δ ( F n )  nF n 1F


ii) interchangeability between         and  
x2 x2 ~ x2 x2 ~ x2 x2 x2
  Fdx   Fdx   Fdx   ( F  F )dx   Fdx    Fdx   Fdx
x1 x1 x1 x1 x1 x1 x1
d
iii) interchangeability between          and  
dx
~ 
d d d
   
dx dx dx   d  d
     
~  dx  dx
d d  d  
  
dx dx  dx  
 Example 1 : Tight string problem

 1  dy  2 
  y ( x)     T    wy dx
l

  dx 
0 2

Euler‐Lagrange equation: F F
  w
 y
F F dy d  dy 
 T w T   0
 x y x dx dx  dx 
F F
 0
 xx y xx

dy
B.C.: T 0 or y  0 at x  0 and x  l
dx
 Example 2 : Bending beam problem

w(x)

y(x) E: Young’s modulus
y I: Moment of inertia

1  d 2 y 2 
  y ( x)     EI  2   wy dx
l
The total potential energy:

0 2
 dx  

d2  d2y
Euler‐Lagrange equation: w 2  EI 2   0
dx  dx 
 Example 2 : Bending beam problem

B.C.: (Natural B.C.) (Essential B.C.)

d  d2y 
 EI 2   0 or y  0 at x  0 and x  l
dx  dx 
d2y  dy 
EI 2  0 or  0 at x  0 and x  l
dx dx
 

w(x)
dM dV
V,  w
dx dx
M M+dM
d2y d3y d4y
EI 2   M , EI 3  V , EI 4  w
V V+dV dx dx dx
dx
 Example 3 : Hamilton’s Principle and 
Lagrange’s equation in dynamics

Dynamic motion of a rigid body system can be described in several ways. 
Newton’s 2nd law of motion is one of them. Other methods are based on energy concept .
Newton’s equation of motions is represented by
 
F  mx
Lagrange’s equation can be written as
d  L  L
   0 with L  T  V beingLagrangefunction
dt  qi  qi

(or kinetic potential)

where qi : generalized coordinate, T : kinetic energy, V : potential energy

 Example 3 : Hamilton’s Principle and 
Lagrange’s equation in dynamics

Derive Lagrange’s equation via calculus of variation from Hamilton’s principle. 
t2
   (T  V )dt   0 I   (T  V )dt
t2

 t1  or minimize  t1

Which implies that “actual path followed by a dynamic process is such as to make the integral of 
(T‐V) a minimum”.

Hamilton’s principle for deformable body can be stated as

   (T   )dt      Ldt   0
t2 t2

 t1   t1 

with L  T   ,  : total potential energy (  U  V )

 Summary of Euler‐Lagrange Equations for 
Various Forms of Functionals

A) Functions involving higher order derivatives:

x2
I   F ( x, , , ,  ,  ( n ) )dx
x1

n integration by parts yields the Euler‐Lagrange equation:

n
di  F 
 (1) i
 (i )   0
i 0 dx i   
B) Functions involving one independent variable but several dependent variables and 
their first derivatives: x2
I   F ( x, 1 ,  2 ,  ,  n , 1 , 2 ,  , n ) dx
x1

This involves n different variables   n and yields n Euler‐Lagrange equations.

F d  F 
  0 i  1,, n
 i dx  i 
 Summary of Euler‐Lagrange Equations for 
Various Forms of Functionals
C) Functions involving more than one independent variables and one dependent variable
and its first derivatives:
I   F ( x, y,  , x ,  y )dxdy


Using Gauss Theorem (Green’s Theorem in plane)

F ˆ  F  ˆ  F  ˆ  F   2 F  2 F   2 F  x  2 F  y
     0      , etc.
 x   x 
 y   y


where x   x   x x  x  x  x 2 x  x  y x

* Gauss Theorem (Green’s Theorem in plane)

 


  Vd     nˆdS
V


 
A x dxdy  An x ds, A y dxdy  An y ds
Boundary Conditions in Variational Principle
It may be noted that a variational principle gives rise to not only Euler‐Lagrange equations 
but also boundary conditions associated with the problem. In fact, the functional itself 
include the effect of boundary conditions accordingly.

Consider the tight string problem as an example. 

w(x)

y(x)

The functional for this problem was

 1  dy  2 
  y ( x)     T    wy dx
l

  dx  
0 2
 Boundary Conditions in Variational Principle
At this time, we will derive the Euler‐Lagrange equation and the associated boundary
conditions by using the  operator to the variation of the functional without referring to the
formulae derived before.
~
y  y  y  ( ~
y )   ( y )  

l 1  dy  2 
    T   wy dx Euler‐Lagrange equation

0 2
 dx  
d  dy 
l  dy  dy    T   w  0, 0 xl
  T    wy dx dx  dx 
0
 dx  dx  
l dy d 
  T y   wy dx
0
 dx dx  Boundary Condition
 d  dy   dy
l
dy
l
    T   wydx  T y  0 T 0 or δy  0 (i.e. y is prescribed) at x  0 and x  l
0
 dx  dx   dx 0
dx
Boundary Conditions in Variational Principle

Equivalence
 d  dy 
 dx  T dx   w  0, 0 xl
  
Solve D.E. 
y  0 at x  0 and x  l



 1  dy  2 
  y ( x)     T    wy dx
l
Minimize or
  dx  
0 2

l  dy  dy  
   T     wy dx  0 for any δy
0
 dx  dx  
 Boundary Conditions in Variational Principle
Now, consider a case where one has to introduce a natural boundary condition at one end of the
string as depicted in the following figure.

x
dy dy
w(x) T T (given downward load)
y dx dx
T
y(x)
dy
If T is prescribed at x=l, the functional should be modified as follows
dx

 1  dy  2  dy
  y ( x )     T    wy dx  T
l
y

0 2
 dx   dx l

It should be noted that the additional term represents the potential energy
due to the external load T dy .
dx
 Boundary Conditions in Variational Principle
In this case, the variation of functional becomes slightly different from the previous case to yield the
same Euler‐Lagrange equation with different set of boundary condition as derived below.
l
l d  dy   dy dy
      T   w ydx  T y  T y
0
 dx  dx   dx 0 dx l
l  d  dy    dy dy  dy
 0  dx  dx  
  T   w  ydx   T
 dx

 T
dx


 l
y  T
dx
y
0

 0 for any y
which implies that
 d  dy 
 dx  T dx   w  0, 0 xl
  

 dy dy
 y  0 at x  0 and T T at x  l
 dx dx
 Boundary Conditions in Variational Principle
It may be noted that the variational formulation includes the natural boundary conditions in the
functional form:

l  dy  dy   dy
   T    wy dx  T y  0 for any δy
0
 dx  dx   dx
Note:
In other words, as long as the total potential energy is correctly found including the effect of natural
boundary conditions, one does not have to worry about the detailed procedure of introducing the
natural boundary condition in the FEM formulation any more. This point is the merit of FEM over
other numerical analysis techniques in dealing with the natural boundary conditions which involve
higher order derivatives than essential boundary conditions.
The tight string problem described above is analogous to other physical problems represented by one‐
dimensional second order differential equation, for instance, one dimensional steady heat conduction
in particular.
 Boundary Conditions in Variational Principle
Tight String

l  1  dy   l  1  dy   l  1  dy  
2 2 2
dy dy
  y ( x)     T    wy dx   y ( x)     T    wy dx  T y   y ( x)     T    wy dx  T y
  dx 
0 2
   
0 2 dx  dx l   
0 2 dx  dx 0
d  dy 
 T   w  0, 0 xl
dx  dx 
y  y at x  0 y  y at x  l
y  y at x  0 and x  l dy dy dy dy
T T at x  l T T at x  0
dx dx dx dx
Heat Conduction

l  1  d   l  1  d   d l  1  d   d
2 2 2

 ( x)     k    qdx  ( x)     k    qdx  k   ( x)     k    qdx  k 

  dx     dx   dx l   dx   dx 0
0 2 0 2 0 2

d  d 
 k   q  0, 0 xl
dx  dx     at x  0    at x  l
   at x  0 and x  l d d d d
k k at x  l k k at x  0
dx dx dx dx