3 VARIATIONAL AND ENERGY PRINCIPLES

3.1 ANALYTICAL MECHANICS

The previous section presented differential equations as a way to describe a physical phenomenon.
The quantities involved in these equations are defined by vectors fields. This approach that falls
under Newtonian mechanics deals with quantities such as forces, accelerations, and momentum.

In contrast, in analytical mechanics, we do not consider forces and their directions, and instead
we write down overall energy expressions for the system that are scalar. The number of degrees
of freedom is simplified by accounting for the problem’s constraints. For example, in the rigid
pendulum shown below, the angle θ describes the single degree of freedom of the mass, m that is
attached to it.

As a function of θ, the gain in potential energy V as the mass is raised through a height h is:
𝑉𝑉 = 𝑚𝑚𝑚𝑚ℎ = 𝑚𝑚𝑚𝑚𝑚𝑚 (1 − cos 𝜃𝜃 )

Minimizing the energy of the system is associated with equilibrium positions. A stationary position
is found through setting the derivative of V to zero.
𝑑𝑑𝑑𝑑
= 0 → sin 𝜃𝜃 = 0 → 𝜃𝜃 = 0, π
𝑑𝑑𝑑𝑑
In continuum mechanics, e.g. the response of a beam subjected to a distributed load can be found
both using Newtonian and analytical mechanics. The solution using analytical mechanics (energy)
is based on the balance of the internal energy and the external energy as follows:
Potential energy = strain energy + P. E. of external forces
𝑉𝑉 = 𝑈𝑈 + Ω
The strain energy in a continuous elastic body is the integral of the product of the stress and the
strain over the whole domain of volume Ω as follows:

𝑈𝑈 = � 𝜎𝜎𝜎𝜎 𝑑𝑑Ω
Ω

[17]
For a classical beam, it takes the following form:
2
𝑑𝑑2 𝑤𝑤
𝐿𝐿 𝐸𝐸𝐸𝐸
𝑈𝑈 = � � 2 � 𝑑𝑑𝑑𝑑
0 2 𝑑𝑑𝑥𝑥

where w is the deflection. With the same premise of force·distance, the external distributed load q
is multiplied by the deflection as follows:
𝐿𝐿
Ω = − � (𝑞𝑞𝑞𝑞𝑞𝑞 ) 𝑤𝑤
0

Note: if the force and displacement are in the same direction, then the potential is negative.

When we minimize V → equilibrium condition

𝑑𝑑4 𝑤𝑤
→ 𝐸𝐸𝐸𝐸 = 𝑞𝑞 → DE of a beam
𝑑𝑑𝑥𝑥 4
The following sections will describe the mathematical tools that are used to minimize integral
equations e.g. the potential energy V and will lay down the fundamentals linking the minimization
of potential energy to the governing differential equation of the system. The energy approach and
its integral form provide the basis for the finite element method.

[18]
3.2 CALCULUS OF VARIATION

3.2.1 DEFINITION OF THE FUNCTIONAL

Calculus of variation is a mathematical method meant to find the minimum of an integral or so-
called functional. A parallel can be made with calculus aimed at finding the minimum of a function.
The difference between a function and a functional is presented in the table below.

Table 3.3.1: Distinction between function, functional and operator

Argument (input) Value (output)
Function y(x) Real number Real number
𝑦𝑦 (𝑥𝑥 ) = 𝑎𝑎 + 𝑏𝑏𝑏𝑏 + 𝑐𝑐𝑥𝑥 2 𝑥𝑥 𝑦𝑦

Functional I Function Real number

𝑥𝑥𝑏𝑏 𝑦𝑦(𝑥𝑥 ) 𝐼𝐼
𝐼𝐼 = � �1 + (𝑦𝑦 ′ )2 𝑑𝑑𝑑𝑑
𝑥𝑥𝑎𝑎

Operator Function Function

𝑑𝑑4 𝑤𝑤 𝑑𝑑4 𝑤𝑤 𝑞𝑞
𝐸𝐸𝐸𝐸 4 = 𝑞𝑞 → 𝐸𝐸𝐸𝐸 4
𝑑𝑑𝑥𝑥 �����𝑑𝑑𝑥𝑥��
𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑. 𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜

Example 3.1: Arc length functional

Find the equation of the curve joining A and B such that the distance along the arc is minimum.
(we expect the solution to be a straight line joining A and B).

(𝑑𝑑𝑑𝑑)2 = (𝑑𝑑𝑑𝑑 )2 + (𝑑𝑑𝑑𝑑)2

or

𝑑𝑑𝑑𝑑 𝑑𝑑𝑑𝑑 2
�
= 1 + � � = �1 + (𝑦𝑦 ′ )2
𝑑𝑑𝑑𝑑 𝑑𝑑𝑑𝑑
Arc length between A & B is:
𝐵𝐵 𝑥𝑥𝐵𝐵
𝐼𝐼 = � 𝑑𝑑𝑑𝑑 = � �1 + (𝑦𝑦 ′ )2 𝑑𝑑𝑑𝑑
𝐴𝐴 𝑥𝑥𝐴𝐴

Example 3.2: Brachistochrone curve

Find the shape of the curve joining A and B such that the time taken for a bead to travel from A
to B is minimum.

[19]
 𝑛𝑛

𝑦𝑦𝑛𝑛 = � 𝑐𝑐𝑖𝑖 𝜑𝜑𝑖𝑖

𝑖𝑖=1
An obvious trial function is:
𝜑𝜑1 = 𝑥𝑥 (1 − 𝑥𝑥 )
For a one-term solution:
𝑦𝑦1 = 𝑐𝑐1 𝑥𝑥 (1 − 𝑥𝑥 ); 𝑦𝑦1′ = 𝑐𝑐1 (1 − 2𝑥𝑥 )

1) Substitute y1 in I
1
𝐼𝐼 (𝑦𝑦1 ) = � [𝑐𝑐12 (1 − 2𝑥𝑥 )2 − 𝑐𝑐12 𝑥𝑥 2 (1 − 𝑥𝑥 )2 − 2𝑐𝑐1 𝑥𝑥 2 (1 − 𝑥𝑥 )] 𝑑𝑑𝑑𝑑
0

∴ 𝐼𝐼 = 𝐼𝐼 (𝑐𝑐1 )

2) Minimize I with respect to c1

𝑑𝑑𝑑𝑑
=0
𝑑𝑑𝑐𝑐1
𝑑𝑑𝑑𝑑 5
= 0 ⇒ 𝑐𝑐1 =
𝑑𝑑𝑐𝑐1 18
5
So, the one-term approximate solution is → 𝑦𝑦1 = 𝑥𝑥 (1 − 𝑥𝑥 )
18
For comparison, the exact solution is given by
sin 𝑥𝑥
𝑦𝑦𝑒𝑒𝑒𝑒𝑒𝑒𝑒𝑒𝑒𝑒 = − 𝑥𝑥
sin 1
(𝑦𝑦𝑒𝑒𝑒𝑒𝑒𝑒𝑒𝑒𝑒𝑒 )𝑚𝑚𝑚𝑚𝑚𝑚 = 𝑦𝑦𝑒𝑒𝑒𝑒𝑒𝑒𝑒𝑒𝑒𝑒 (𝑥𝑥 = 0.57) = 0.0713 exact
(𝑦𝑦1 )𝑚𝑚𝑚𝑚𝑚𝑚 = 𝑦𝑦1 �𝑥𝑥 = 1�2� = 0.0694 approx.

Note that yapprox < yexact. We will find that this is also true for all approximate solutions using finite
elements.

Now choose two terms:

𝑦𝑦2 = 𝑐𝑐1 𝜑𝜑1 + 𝑐𝑐2 𝜑𝜑2

substitute in I which will give 𝐼𝐼 = 𝐼𝐼 (𝑐𝑐1 , 𝑐𝑐2 ).

To make I minimum we must now impose
𝜕𝜕𝜕𝜕
= 0⎫
𝜕𝜕𝑐𝑐1
two algebraic equations for 2 unknowns c1 , 𝑐𝑐2
𝜕𝜕𝜕𝜕 ⎬
=0
𝜕𝜕𝑐𝑐2 ⎭

[21]
Example 3.3: Rayleigh-Ritz
Consider the same problem as in the WRM
𝑑𝑑 𝑑𝑑𝑑𝑑
DE ⇒ �𝑥𝑥 2 � = 6𝑥𝑥; 1 ≤ 𝑥𝑥 ≤ 2
𝑑𝑑𝑑𝑑 𝑑𝑑𝑑𝑑
BC ⇒ 𝑦𝑦(1) = 0, 𝑦𝑦(2) = 0
The corresponding functional is (without proof for now but we will prove this later):
2
𝐼𝐼 = � (𝑥𝑥 2 𝑦𝑦 ′2 + 12𝑥𝑥𝑥𝑥)𝑑𝑑𝑑𝑑
1

Using RR method,
𝜑𝜑1 = (𝑥𝑥 – 1)(𝑥𝑥 – 2)
𝜑𝜑2 = 𝑥𝑥 (𝑥𝑥 – 1)(𝑥𝑥 – 2)
𝜑𝜑3 = 𝑥𝑥 2 (𝑥𝑥 – 1)(𝑥𝑥 – 2)
Take 2 terms for approximate solution
𝑦𝑦2 = 𝑐𝑐1 (𝑥𝑥 − 1)(𝑥𝑥 − 2) + 𝑐𝑐2 𝑥𝑥 (𝑥𝑥 − 1)(𝑥𝑥 − 2)

Plug in I
2
𝐼𝐼 (𝑐𝑐1 , 𝑐𝑐2 ) = � [𝑥𝑥 2 (𝑐𝑐1 𝜑𝜑1′ + 𝑐𝑐2 𝜑𝜑2′ )2 + 12𝑥𝑥 (𝑐𝑐1 𝜑𝜑1 + 𝑐𝑐2 𝜑𝜑2 )𝑑𝑑𝑑𝑑 ]
1

For minimum I,
𝜕𝜕𝜕𝜕
=0
𝜕𝜕𝑐𝑐𝑖𝑖
i=1
∂𝐼𝐼
= 0 ⇒ 1.6𝑐𝑐1 + 2.60𝑐𝑐2 = 3.0 → 
∂𝑐𝑐1
i=2
∂𝐼𝐼
= 0 ⇒ 2.60𝑐𝑐1 + 4.438𝑐𝑐2 = 4.6 → 
∂𝑐𝑐2
Or in matrix form:
1.6 2.6 𝑐𝑐1 3.0
� � �𝑐𝑐 � = � �
2.6 4.438 2 4.6

These equations are identical to what we had in Galerkin’s WRM. In general, if we use the same
trial functions, Galerkin’s method and Rayleigh-Ritz method give identical results.

[22]
3.4 VARIATIONAL METHOD

Consider a general simple problem, say

𝑥𝑥2
𝐼𝐼 = � 𝑓𝑓 (𝑥𝑥, 𝑦𝑦, 𝑦𝑦 ′ )𝑑𝑑𝑑𝑑
𝑥𝑥1

From all the admissible forms of 𝑦𝑦 find the y that minimizes I.

Solution procedure
Form a comparison function (approximate)
𝑦𝑦� = 𝑦𝑦 + 𝜖𝜖𝜂𝜂
where y is the exact solution, ϵ is a real number and η is an arbitrary function satisfying the
homogeneous BC’s, i.e. 𝜂𝜂(𝑥𝑥1 ) = 𝜂𝜂(𝑥𝑥2 ) = 0. Such functions are referred to as admissible. Then:
𝑥𝑥2
𝐼𝐼 = � 𝑓𝑓 (𝑥𝑥, 𝑦𝑦�, 𝑦𝑦� ′ )𝑑𝑑𝑑𝑑 = 𝐼𝐼(𝜖𝜖)
𝑥𝑥1

The notation 𝐼𝐼(𝜖𝜖) is introduced, since for a given y(x) and η(x) the integral is now simply a function
of ϵ. Then, if I is to be a minimum (stationary) for 𝑦𝑦� (𝑥𝑥 ) = 𝑦𝑦 (𝑥𝑥 ) implies that I(ϵ) be stationary at
𝜖𝜖 = 0, i.e.
𝑑𝑑𝑑𝑑 (𝜖𝜖) 𝑑𝑑 𝑥𝑥2
= � 𝑓𝑓 (𝑥𝑥, 𝑦𝑦 + 𝜖𝜖𝜖𝜖, 𝑦𝑦 ′ + 𝜖𝜖𝜂𝜂′ )𝑑𝑑𝑑𝑑
𝑑𝑑𝑑𝑑 𝑑𝑑𝑑𝑑 𝑥𝑥1

𝑑𝑑𝑑𝑑 (𝜖𝜖) 𝑥𝑥2 ∂𝑓𝑓 ∂𝑥𝑥 ∂𝑓𝑓 ∂𝑦𝑦� ∂𝑓𝑓 ∂𝑦𝑦� ′

=� � + + � 𝑑𝑑𝑑𝑑
𝑑𝑑𝑑𝑑 � ∂𝑦𝑦� �
𝑥𝑥1 ∂𝑥𝑥 ∂𝜖𝜖 ∂𝜖𝜖 ∂𝑦𝑦� ′ �
∂𝜖𝜖
0 𝜂𝜂 𝜂𝜂′

Putting in 𝜖𝜖 = 0 and equating to zero:

𝑥𝑥2 ∂𝑓𝑓 ∂𝑓𝑓
� � 𝜂𝜂 + ′ 𝜂𝜂′ � 𝑑𝑑𝑑𝑑 = 0
𝑥𝑥1 ∂𝑦𝑦 ∂𝑦𝑦
Integrate 2 nd term by parts:
∂𝑓𝑓 𝑥𝑥2 𝑥𝑥2 ∂𝑓𝑓 𝑑𝑑 ∂𝑓𝑓
� ′ 𝜂𝜂� + � � 𝜂𝜂 − � � 𝜂𝜂� 𝑑𝑑𝑑𝑑 = 0
∂𝑦𝑦
�������𝑥𝑥 𝑥𝑥1 ∂𝑦𝑦 𝑑𝑑𝑑𝑑 ∂𝑦𝑦 ′
1
0
𝑥𝑥2 𝜕𝜕𝜕𝜕 𝑑𝑑 𝜕𝜕𝜕𝜕
� � − � �� 𝜂𝜂 𝑑𝑑𝑑𝑑 = 0
𝑥𝑥1 𝜕𝜕𝜕𝜕 𝑑𝑑𝑑𝑑 𝜕𝜕𝑦𝑦 ′

This is true for all 𝜂𝜂, therefore we must have

∂𝑓𝑓 𝑑𝑑 ∂𝑓𝑓
− � �=0
∂𝑦𝑦 𝑑𝑑𝑑𝑑 ∂𝑦𝑦 ′

[23]
3.7 VARIATIONAL OPERATOR WITH RAYLEIGH-RITZ

The next example shows how the variational operator δ is used within the Rayleigh-Ritz method.
𝜕𝜕𝜕𝜕
It allows to bypass the step , shown towards the end of Example 3.3.
𝜕𝜕𝑐𝑐𝑖𝑖

Example 3.8: Rayleigh-Ritz method using variational operator

Find the transverse deflection of a simply-supported beam of length L under a uniformly
distributed load of intensity q0.

The potential energy (or functional) for this problem is

𝐿𝐿 𝐸𝐸𝐸𝐸 ″ 2
𝐼𝐼 (𝑤𝑤) = � � (𝑤𝑤 ) − 𝑞𝑞0 𝑤𝑤� 𝑑𝑑𝑑𝑑
0 2
The essential BC’s that have to be satisfied are:
𝑤𝑤 (0) = 𝑤𝑤 (𝐿𝐿 ) = 0
Take the 1st variation of I and set it equal to zero:
𝐿𝐿
𝛿𝛿𝛿𝛿 = � [𝐸𝐸𝐸𝐸𝑤𝑤 ″ 𝛿𝛿𝑤𝑤 ″ − 𝑞𝑞0 𝛿𝛿𝛿𝛿] 𝑑𝑑𝑑𝑑 = 0
0

In a Rayleigh-Ritz solution of the form

𝑛𝑛

𝑤𝑤 (𝑥𝑥 ) = � 𝑐𝑐𝑖𝑖 𝜑𝜑𝑖𝑖 (𝑥𝑥 ) = 𝑐𝑐𝑖𝑖 𝜑𝜑𝑖𝑖 , (𝑖𝑖 = 1,2, … , 𝑛𝑛 )

𝑖𝑖=1

the following trial functions are admissible in this case

𝜑𝜑1 = 𝑥𝑥 (𝐿𝐿 − 𝑥𝑥 ); 𝜑𝜑2 = 𝑥𝑥 2 (𝐿𝐿 − 𝑥𝑥 ); …
Substituting φi into δI, we obtain
𝐿𝐿
� [𝐸𝐸𝐸𝐸 (𝑐𝑐1 𝜑𝜑1′′ + 𝑐𝑐2 𝜑𝜑2′′ + ⋯ )(𝛿𝛿𝑐𝑐1 𝜑𝜑1′′ + 𝛿𝛿𝑐𝑐2 𝜑𝜑2′′ + ⋯ ) − 𝑞𝑞0 (𝛿𝛿𝑐𝑐1 𝜑𝜑1 + 𝛿𝛿𝑐𝑐2 𝜑𝜑2 + ⋯ )]𝑑𝑑𝑑𝑑 = 0
0

or
𝐿𝐿 𝐿𝐿
𝑐𝑐𝑖𝑖 �� 𝐸𝐸𝐸𝐸𝜑𝜑𝑖𝑖′′ 𝜑𝜑𝑗𝑗′′ 𝑑𝑑𝑑𝑑 � 𝛿𝛿𝑐𝑐𝑗𝑗 − �� 𝑞𝑞0 𝜑𝜑𝑗𝑗 𝑑𝑑𝑑𝑑 � 𝛿𝛿𝑐𝑐𝑗𝑗 = 0
0 0

or
𝑐𝑐𝑖𝑖 𝑘𝑘𝑖𝑖𝑖𝑖 𝛿𝛿𝑐𝑐𝑗𝑗 = 𝑓𝑓𝑗𝑗 𝛿𝛿𝑐𝑐𝑗𝑗 𝑖𝑖, 𝑗𝑗 = 1, 2, … , 𝑛𝑛
where
𝐿𝐿 𝐿𝐿
𝑘𝑘𝑖𝑖𝑖𝑖 = � 𝐸𝐸𝐸𝐸𝜑𝜑𝑖𝑖′′ 𝜑𝜑𝑗𝑗′′ 𝑑𝑑𝑑𝑑 ⟶⟶ and ⟶⟶ 𝑓𝑓𝑗𝑗 = � 𝑞𝑞0 𝜑𝜑𝑗𝑗 𝑑𝑑𝑑𝑑
0 0

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