Introduction to Variational Calculus

and
Variational Formulations in FEM
Jayadeep U. B.
M.E.D., NIT Calicut
Ref.:
1. Forray, Marvin J., Variational Calculus in Science and
Engineering, McGraw Hill International Edn.
2. Reddy, J. N., An Introduction to the Finite Element Method,
McGraw Hill International Edition.
3. Zienkiewicz, O. C., and Morgan, K., Finite Elements and
Approximation, John Wiley & Sons.

Department of Mechanical Engineering, National Institute of Technology Calicut

Introduction
The Fundamental Idea:
Consider the problem of the bending of a cantilever under
loads as in figure below:

x
w(x)
The displacement function w(x) at equilibrium will be the one,
corresponding to which, the internal forces, generated due to
resistance of beam to deform, and the external forces are
equal.
From an energy perspective, the equilibrium of the system
corresponds to minimum potential energy.
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Introduction contd.
Assuming that the potential energy (P.E.) of the initial system
to be zero, P.E. of the final system has two parts:
Strain energy stored in the cantilever beam
Reduction in P.E. of the force
If the stiffness of the beam and the force are constant and
known, the P.E. becomes a function of only the displacement,
which by itself is a function.
For example, in this problem of the cantilever, the admissible
displacements, satisfying the specified B.C. are the functions
dw
with:

w(0) 0 &

dx

x 0

E.g.: kx 2 , kx 3 ,K or any combination of these.

However, the P.E. corresponding to these different functions
will be different. The displacement of the physical system,
will correspond to minimum P.E.
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Introduction contd.
Hence, the analysis problem is solved, if we can find the
displacement function, which minimizes the P.E. of the
system, from a space of admissible functions.
To be more precise, P.E. is a scalar valued function, in the
form of an integral over the complete domain, of the
displacement function.
Such a quantity is called as a Functional.
Variational Calculus is the calculus of Functionals (mainly
concerned with extremization problems).
General form of a functional, with only one independent
variable , one dependent variable and its first order derivative
w.r.t. the independent variable:
x1

I ( y ) F ( x, y, y ')dx,
x0

Lecture - 01

dy
where, y y ( x), y '
dx

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Minimization & Maximization

Before delving into the details of variational calculus, let us
have a brief review of the minimization/maximization
problems in ordinary calculus (extremum value of a function).
A general problem:

u u ( x ) continuous in a, b and differentiable in (a, b),

find the minimum value of u in a, b .

Necessary and Sufficient conditions for a minimum at x = x0:

du
Necessary condition:
dx

d 2u
Sufficient condition:
dx 2

0
x x0

0
x x0

If the second order derivative also is zero, higher order derivatives need to be considered.
Lecture - 01

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Minimization & Maximization contd.

The Basics:
We know that at the minimum value of a function:

u u ( x0 x ) u ( x0 ) 0 for x 0
(Provided u is differentiable at x0 )
du

dx

0
x x0

Sufficiency condition:

At a minimum point, the slope has to become positive

for x 0 and negative, in case of x 0.

i.e.:
Lecture - 01

du
dx

du

dx
x x0 x
x

x x0

d 2u
2 0
dx

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Minimization & Maximization contd.

In case of a problem with multiple independent variables:

u u ( x, y ) in a specified domain.
Necessary conditions for a minimum at x = c, y = d:

u
x

0 &
x c , y d

u
y

0
x c , y d

Sufficiency condition is more complicated. The Hessian

Matrix:
2
2

u
x 2

2u

xy

u
xy
should be Positive Definite.
2
u

y 2

These rules can be generalized for any number of independent

variables.
Lecture - 01

Department of Mechanical Engineering, National Institute of Technology Calicut

Minimization & Maximization contd.

Positive Definiteness:

A symmetric matrix [K] is said to be positive definite, if:

u K u 0
T
u
K u 0
T

for any vector u and

if and only if u 0 .

An example is the stiffness matrix in (linear elastic) structural

systems, where the quadratic form above is twice the strain
energy, which is positive for any displacement vector and zero
only if the displacement is identically zero. (It is assumed that
the system is properly constrained; otherwise, the stiffness
matrix is positive semi-definite).
All the Eigen values of a positive definite matrix are positive
(think of buckling loads and natural frequencies).
A symmetric matrix [A] is negative definite, if [A] is positive
definite. Sufficiency condition for maximum is that the
Hessian Matrix should be negative definite.
Lecture - 01

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Variational Calculus
The Beginnings Brachistochrone Problem:
The word Brachistochrone means shortest-time. The problem
was formulated by John Bernoulli in 1696.
The problem is to find the path corresponding to shortest-time
for a particle sliding from point (x0, y0) to (x1, y1) in the
vertical plane, under the action of gravity.

x
(x0, y0)
(x1, y1)
g, y
Ans.: Cycloidal Curve
Lecture - 02

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Brachistochrone Problem contd.

The time take for the travel, is a scalar-valued function of the
path (a function) followed a Functional.
The time taken for any small segment (length = ds) is depends
on the instantaneous velocity (v).
x x

x x

1
1
ds
ds
dt , Total time, t dt
v
v
x x0
x x0

Assuming the path to be frictionless & zero initial velocity,

the instantaneous velocity at any point depends on the vertical
distance (of fall) from that point to starting point.
If the path is expressed by the function y y(x):

ds 1 y ' dx & v 2 g y y0
2

t
Lecture - 02

1
2g

x1

x0

1 y '
dx
y y0
2

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Brachistochrone Problem contd.

To solve the problem, we need to find the function y(x), which
minimizes the functional, which is the total time taken by the
particle to travel from (x0, y0) to (x1, y1).
Similar to the ordinary calculus, the methods to solve this
problem is based on finding the value of functional such that
for small changes in the path, the functional is not affected
the functional becomes Stationary.
The major difference is that in finding the extremum of a
function, we find the point at which it happens, while in
checking the stationary character, the requirement is to find
the corresponding function.

Lecture - 02

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Other Classical Problems

Shortest-Length Problem: Perhaps the most basic problem in
variational calculus is to find the curve with minimum length,
connecting two points, say (x0, y0) & (x1, y1).
The answer is obviously a straight line.
Minimum Surface of Revolution: The aim is to find the curve
connecting two points, which when rotated about the x-axis,
gives minimum surface area.
The answer is a Catenary Curve.
Isoperimetric Problem: In this case, the objective is to find the
curve with a specified length, which encloses the maximum
area. We have two functionals here the length of curve
(perimeter) and the area enclosed. The objective is to
maximize the area, while the perimeter acts like a constraint.
The answer is a Circle.
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The Basic Problem

We have to find the stationary condition of a general
functional, depending on the independent variable (x),
dependent variable (y) and its first order derivative (y), with
prescribed end values y0 & y1 the simplest case.
x1

I ( y ) F ( x, y, y ')dx,

where, y y ( x), y '

x0

B.C.: y ( x0 ) y0

&

dy
dx

y ( x1 ) y1

Let u u(x) be the function, which minimizes the functional I.

Any small change in this function, satisfying the B.C. called
a Weak Variation can be written as:

y ( x) u ( x) ( x), where,
( x0 ) ( x1 ) 0 & scalar quantity 0.
Variation in y, y
Lecture - 02

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The Basic Problem contd.

Substituting into the expression for the functional:
x1

I ( ) F ( x, u , u ' ')dx,

since, y ' u ' '

x0

(Note that is independent of x)

Note that, in this equation, I() is not a functional, it is
function of .
Hence we can use the usual methods of calculus to find the
extremum.

dI
d
0
d
d

F ( x, u , u ' ')dx 0

x0

F
F

' dx 0

u
u ' '
x0
x1

Lecture - 02

x1

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The Basic Problem contd.

Since 0, we can simplify this equation as:
x1

F
F
x u u ' ' dx 0
0
The second term inside the integral can be evaluated using
integration by parts: x
x
x

F
F
x u ' ' dx u '
0

x0

d

dx
x0
1

F
dx
u '

We have: ( x0 ) ( x1 ) 0
x1

x1

F
d F

' dx
dx
u '
dx u '
x0
x0
Substituting:
Lecture - 02

x1

F d F
x u dx u ' dx 0
0

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The Basic Problem contd.

The Fundamental Lemma of Variational Calculus:
Let ( x), continuous in x0 , x1 satisfies the relation,
x1

( x) ( x)dx 0,

x0

where ( x) is any function such that,

( x0 ) ( x1 ) 0,

and '( x) is continuous in x0 , x1 , then,

( x) 0 in x0 x x1.

Lecture - 02

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The Basic Problem contd.

Using this fundamental lemma:
x1

F d F
F d F
x u dx u ' dx 0 u dx u' 0
0
This equation is called the Euler Equation or Euler-Lagrange
Equation in Variational Calculus.
For the stationarity of a functional, Euler equation must be
satisfied, along with the B.C.:

u ( x0 ) y0

& u ( x1 ) y1

Note that these conditions are only the necessary conditions.

The sufficient condition for a minimum in general case is
difficult to obtain. One option is to compute value of the
functional for solutions of Euler equation and few other
functions and decide whether it is minimum/maximum.
Another significant point is: there exists an Euler equation for
any functional, while it is not true the other way.
Lecture - 02

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Example Shortest-Length Problem

The functional corresponding to the length of curve
connecting two points is obtained as:
x1

I ( y ) 1 ( y ') 2 dx F 1 ( y ') 2
x0

Corresponding Euler equation (assuming u(x) minimizes I) is:

F
F
u'
Since,
0,

, we have:
2
u
u '
1 u '

d
dx

u'

0
2
1 u '

Therefore, we get:

u'
1 u '

constant u ' constant

u ( x) is a straight line.
Lecture - 02

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Euler Equations for General Cases

More than one Dependent Variable:
x1

I ( yi ) F x, yi , yi ' dx, where, i 1, 2,..., n

x0

Corresponding Euler equations:

F d F

0, where, i 1, 2,..., n
ui dx ui '
Integrals with Higher Derivatives:
x1

I ( y ) F x, y , y ',..., y ( n ) dx
x0

Corresponding Euler equation:

3
n
F d F
d 2 F
d F
n d F

0
2
3
L 1
n
(
n)
u dx u '
dx u '' dx u '''
dx u

Lecture - 03

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Euler Equations for General Cases contd.

More than one Independent Variable:

w
w
I F x, y, w, wx , wy d , where, wx
& wy
x
y

Corresponding Euler equations:

F F
F

0

u x u x
y u y

In these cases, the boundary conditions will have to be

suitably modified.
In the last case, Greens Lemma will have to be used instead
of the integration by parts.

Lecture - 03

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Natural Boundary Conditions

Let us consider the basic problem again, but with the
difference in B.C. as shown below:
x1

I ( y ) F ( x, y, y ')dx,

where, y y ( x ), y '

x0

B.C.: y ( x0 ) y0

&

dy
dx

y ( x1 ) is not specified.

considering a Weak Variation from the function minimizing

the functional: y ( x ) u ( x ) ( x), where,

( x0 ) 0 & scalar quantity 0

Note: We release the requirement on at x1
Substituting into the expression for the functional:
x1

I ( ) F ( x, u , u ' ')dx
x0

Lecture - 03

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Natural Boundary Condition contd.

Differentiating I w.r.t. :
x1

dI
F
F
0

' dx 0
d
u
u '
x0
The second term inside the integral can be evaluated using
integration by parts:
x1

F
F
x u ' ' dx u '
0

x1

x0

x1

d F

dx
dx u '
x0

We have: ( x0 ) 0

x1

x1

F
F
d F

'
dx

dx
x u '

u ' x1 x0 dx u '
0
x

1
F d F
Substituting: F


dx 0
u ' x1 x0 u dx u '

Lecture - 03

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Natural Boundary Condition contd.

Since (x) is an arbitrary function, these two terms should
separately be equal to zero. Therefore we have the conditions:

F d F

0 &
u dx u '
F
0
u ' x1
The second requirement above is called the natural boundary
condition (This is same as the natural B.C., we have seen in
the W.R. formulation).

Lecture - 03

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Example: Hanging Rod

The objective is to formulate the functional, derive Euler
equation and natural B.C. for the 1D problem below:
x=0
Body force = b (per
unit volume, +x dirn)

Area of C.S. = A
Youngs Modulus = E

x=L

Let y y ( x) be the displacement.

L

1
2
2
EA

P.E.: EA y ' dx bAydx

y
'

bAy

dx
20
2

0
0
Lecture - 03

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Hanging Rod Example contd.

Euler Equation:

F
bA &
u

d F
d

EAu ' EAu "

dx u '
dx
F
bA EAu " 0
u '

F d

u dx
d 2u
E 2 b 0
dx

This is the same as the governing D.E. of the problem. Natural

B.C. at x = L:

F
EAu ' x L 0
u ' x L
This is same as the natural B.C. that the force acting at the
lower end of the rod is zero.
Lecture - 03

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The Variational Notation

Consider a general functional:
b

I ( y ) F x, y, y ' dx
a

For a fixed value of x, the integrand depends on y(x) and its

derivative y(x). The change in y(x) for a fixed value of x:

For a change of y ( x) into a new function y ( x) ( x) :

The Variation of y: y & y ' '
It may be noted that:

d
d
d
dy
y
'
dx
dx
dx
dx
In other words, the derivative of variation with respect to an
independent variable is same as variation of the derivative.
Lecture - 04

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The Variational Notation contd.

The change in F, caused by the change y:

F F ( x, y , y ' ') F ( x, y , y ')

Considering Taylor Series Approximation in :
F
F
F

' (Higher order terms in )
y
y '

Ignoring the higher order terms in , the variation in F:

F
F
F
y
y'
y
y '

Similar to derivative, variation and integration commute.

Hence, the First Variation in the functional give:
b

I ( y ) F x, y , y ' dx F x, y, y ' dx
F
F
I
y
y' dx
y
y '
a
b

Lecture - 04

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The Variational Notation contd.

Integration by parts, of the second term gives:

F d F
I

y dx Boundary terms
y dx y '
a
b

(since y '

d
y)
dx

If the B.C. are specified at both x = a and x = b, the boundary

terms will be identically zero.
The integrand in the above equation is identically equal to
zero, form Eulers equation. Hence we get, another form of
the necessary condition for a functional to be stationary,
which is given by the equation:

I 0

If the boundaries are not fully constrained, we need to satisfy

the natural B.C., in addition to the above equation.
Lecture - 04

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Rayleigh-Ritz Method
If there is a functional corresponding to a problem, the
solution is the function, which makes the functional
stationary. If we have the functional:

I F ( x, y, , ', ",...)d

Let the solution be approximated as:

M

; $ am N m , with & N m 0; 1 m M on
m 1

Substituting the approximation into the functional, the

functional becomes an ordinary function of the unknown
parameters am. Hence, the necessary condition for stationarity
becomes:
I

am

0 for m 1, 2,..., M

This is a set of M equations for determining the M unknown

parameters (Ritz Coefficients).
Lecture - 04

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Variational Formulation in Stress Analysis

We have the potential energy of the system, as the functional
for stress analysis problems.

U W , where U is the strain energy stored in the body

and W is the change in potential of external forces.
Hence the solution is the displacement function, which
minimizes the P.E.:

Necessary condition: 0
Strain Energy (3D):

1
U x x y y z z xy xy yz yz zx zx d
2

(-ve of) Change in Potential of loads:

W Xu Yv Zw d

Lecture - 04

t u t v t w d
x

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Variational Formulation in Stress Analysis contd.

Using a finite element discretization, net P.E. can be
considered as sum of elemental contributions:
Ne

Ne

e 1

e 1

e U e W e
The elemental contribution to the strain energy:

1
1
T
T
U d D d
2
2
e
e
e

1 e T
T
u B D B u e d
2
e
Elemental contribution to potential of loads:

W
e

u N X d u N t d
e T

Lecture - 04

e T

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Variational Formulation in Stress Analysis contd.

Using the final step in Rayleigh-Ritz method, i.e. taking
partial derivatives w.r.t. the nodal displacements:
K e

B D B d
T

&

f N X d N t d
T

Assembling these elemental systems, we get the global

system, given as:

K U f
Ne

K
e 1

Lecture - 04

K e

&

Ne

f f e
e 1

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Variational Formulation in Heat Transfer

The functional corresponding to heat transfer problems is
given by:

2
2

1

I k d Q d q d
2 x
y

Hence the solution is the temperature function, which makes

this functional stationary, which is given by:

Necessary condition: I 0
Using the finite element method:

Ne

I Ie
e 1

Rayleigh-Ritz method is to make:

I
0

Lecture - 04

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Variational Formulation in Heat Transfer contd.

Considering the elemental contribution & the finite element
approximation over any given element:
n

; j N j

on e & n number of nodes of the element

j 1

Substitution gives:

n
N i
e

i
x
i 1 x

Rewriting the functional as:

1
I
2 x

Lecture - 04

x
q

Q
d
d d

k
k
y
q
y

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Variational Formulation in Heat Transfer contd.

We get the elemental contribution:

N j

n
N i x

1 N i

i
j d

n
j 1 2 e
y N j
x

i 1

q
Q
i d i d

e k

k
eq

Equating the partial derivatives to zero, the elemental system

is obtained as:

N i
K

x
e

e
ij

&
Lecture - 04

N j
j
Ni N

y
y
x

Q
fi d
k
e
eq
e

q
d
k

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Assignment No. 3
Exercise Problem No: 3.2, 3.5, 3.14, 6.2 & 6.3 in the book:
Finite Elements and Approximation by Zienkiewicz, O. C.,
and Morgan, K.
Due Date: As announced in the class.
Any suitable assumptions can be made, but clearly state the
assumptions and their justifications along with the answers.

Lecture - 04

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Isoperimetric Problems & Essential B.C.

Problem of Dido: The requirement is to find the closed
curve of given length, with maximum enclosed area. The
answer: circle.
Another similar problem: Of all the rectangles of same
perimeter, we have to find the one with maximum area. The
answer: Square.
In both the above problems, we can express the perimeter &
enclosed area as functionals.
Hence the objective is to find the maximum or minimum of a
functional, while keeping another functional constant.
Such problems are generally called Isoperimetric Problems,
even when the functional involved is not a perimeter.
Hence, we can call even the inverse problem of Dido, i.e., to
find the curve minimizing the perimeter, for a given area as an
isoperimetric problem.
Lecture - 05

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Isoperimetric Problems & Essential B.C. contd.

For a general isoperimetric problem:
x1

Extremize: I F x, y, y ' dx

with:

x0

x1

K G x, y, y ' dx constant
x0

We can use the Lagrange Multiplier method for solving such

problems. We shall formulate
a new problem:
x
1

Extremize: H x, y, y ' dx where:

x0

x, y , y ' F x , y , y ' G x, y , y ' ,

is the Lagrange Multiplier.

The function, which makes this functional stationary will be
the answer to the initial problem.
Lecture - 05

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Isoperimetric Problems & Essential B.C. contd.

Coming back to problem of FE formulation:

Problem: Find which make ( ) stationary,

subject to B.C.: M r 0 on
Using Lagrange Multiplier method, the problem is reformulated as:

Find which make 1 ( , ) stationary,

where: 1 ( , ) ( ) M r d

The Lagrange Multiplier is a function of space coordinates.

Hence we have the stationarity condition:

For 1 ( , ) to be stationary,

1 0, for all variations & .

Lecture - 05

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Isoperimetric Problems & Essential B.C. contd.

The first variation in the new functional:

1 M r d M d 0

Since this should be true for any arbitrary variation, all the
terms in R.H.S. above must be zero. The first term gives:

0 in
Using the Fundamental Lemma of variational calculus, the
second term gives:

M r 0 on
And since the Lagrange Multiplier is an arbitrary parameter,
third term gives:

M 0 on
Lecture - 05

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Isoperimetric Problems & Essential B.C. contd.

This last equation needs some explanation. For the essential
B.C., the variation:
In general:

M + r 0, since it should be satisfied for any .

Assuming M is linear, M + M M

Substitution in B.C. gives: M 0

on .

The same result can be arrived by noting that: since r is

independent of , it should remain unaffected due to the
variation in .
We can apply the Rayleigh-Ritz method to solve this new
functional.
Generally, we will have to enforce the essential B.C. in this
manner, since the original functional could be incorporating
the effect of natural B.C.
Lecture - 05

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Essential B.C. using Lagrange Multipliers

Considering a stress analysis problem, without surface &
body forces, the functional to be minimized is:

1
T
(u ) U W d
2
Using FE formulation, the functional (P.E.) becomes a
function of nodal displacements:

1
T
T
(u ) u B D B u d
2

Re-writing:

1
T
(u ) u K u ,
2

where K B

D B d

Let us assume that we have to enforce the essential B.C.:

u1 u1
Lecture - 05

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Essential B.C. & Lagrange Multipliers contd.

Rewriting the original functional:

1
(u ) u1 u2 L
2

K11
K
12

K 22

K1N

K2N

uN

K12

K1N
K 2 N
M

K NN

u1
u
2

u N

To enforce the essential B.C., a new functional (or function of

nodal displacements) can be formulated:

1 (u, )

Lecture - 05

1
u1 u2 L
2

K12
K 22
M

L
L
O

K1N

K2N

uN

K11
K
12
M

K1N
K 2 N
M

K NN

u1
u
2
u1 u1
M

u N

Department of Mechanical Engineering, National Institute of Technology Calicut

Essential B.C. & Lagrange Multipliers contd.

The first equation is obtained by taking partial derivatives:

1 1
u1 u2 L
u1 2

K11
K

u N 12 K11
M
K1N

K12 L

K1N

Simplifying:

K11

Lecture - 05

K12 L

u1
u
2
K1N 0
M

u N

u1
u
2
0

M
u N

Department of Mechanical Engineering, National Institute of Technology Calicut

Essential B.C. & Lagrange Multipliers contd.

We can re-write this equation as:

K11

K12 L

K1N

u1
u
2
1 M
0
u
N

The last equation can be obtained by taking the partial

derivative:

1
u1 u1 0

Writing in a more convenient form:

1
Lecture - 05

0 L

u1
u
2
0 0 M
u1
u
N

Department of Mechanical Engineering, National Institute of Technology Calicut

Essential B.C. & Lagrange Multipliers contd.

Combining all the equations:

K11
K
12
M

K1N
1

K12
K 22
M
K2 N
0

L
L
O
L
0

K1N
K2N
M
K NN
0

1
0
0

0
0

u1
u
2
M

u N

0
0

0

0

u 1

Thus we have the same system, as was obtained in the discrete

system analysis.
All the arguments, for & against the use of this method, are
still valid.

Lecture - 05

Department of Mechanical Engineering, National Institute of Technology Calicut

Essential B.C. using Penalty Method

This method also can be thought as a modification to the
functional to be minimized. However, there are some major
differences. The modified functional is:
2
1

T
1 (u ) u K u u1 u1
2
2
where is the penalty parameter.

Taking partial derivatives, we get the first equation:

1
K11
u1

Lecture - 05

K12 L

u1
u
2
K1N u1 u1 0
M

u N

Department of Mechanical Engineering, National Institute of Technology Calicut

Essential B.C. using Penalty Method contd.

This equation can be re-written as:

K11

K12 L

The complete system is:

K11
K
12

K1N

K12
K 22
M
K2N

L
L
O
L

u1
u
2
K1N u1
M

u N

K1N
K 2 N
M

K NN

u1
u
2

u N

u 1

This is the Penalty Method, we have seen earlier!!!

Lecture - 05

Department of Mechanical Engineering, National Institute of Technology Calicut

Concluding Remarks
The variational calculus gives an alternate method to arrive at
the finite element stiffness matrices, if a functional
corresponding to the problem could be found.
The scope of Galerkin WR method is clearly wider, but there
are some specific merits for variational formulation:
Variational formulation is physically more meaningful as
compared to WR statements (e.g.: minimization of P.E.)
Many methods used in FEA, which were known to work,
were given proper mathematical reasoning by the use of
variational calculus.
Other methods, like Least-square method, can also be used for
the finite element formulation. However, they are not widely
used like the Galerkin and Variational methods.

Lecture - 05