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AppliedMechanicsofSolids(A.F.Bower)Chapter6:Plasticity6.2BoundingTheorems

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Analyticaltechniquesandsolutionsforplasticsolids

6.2Boundingtheoremsinplasticityandtheirapplications

Tosetthebackgroundforplasticlimitanalysis,itishelpfultoreviewthebehaviorofanelasticplasticsolidorstructuresubjected
to mechanical loading. The solution to an internallypressurized elasticperfectly plastic sphere given in Section 4.2 provides a
representativeexample.Allelasticperfectlyplasticstructureswillexhibitsimilarbehavior.Inparticular
Aninelasticsolidwillreachyieldatsomecriticalvalueofappliedload.
If the load exceeds yield, a plastic region starts to spread through the solid. As an increasing area of the solid reaches
yield,thedisplacementsinthestructureprogressivelyincrease.
At a critical load, the plastic region becomes large enough to allow unconstrained plastic flow in the solid. The load
cannotbeincreasedbeyondthispoint.Thesolidissaidtocollapse.

Strain hardening will influence the results quantitatively, but if the solid has a limiting yield stress (a stress beyond which it can
neverharden)itsbehaviorwillbequalitativelysimilar.

Inaplasticitycalculation,oftenthetwomostinterestingresultsare(a)thecriticalloadwherethesolidstartstoyieldand(b)the
criticalloadwhereitcollapses.Ofcourse,wedontneedtosolveaplasticityproblemtofindtheyieldpoint weonlyneedthe
elasticfields.Inmanydesignproblemsthisisallweneed,sinceplasticflowmustbeavoidedmoreoftenthannot.Butthereare
situations where some plasticity can be tolerated in a structure or component and there are even some situations where its
desirable(e.g.indesigningcrumplezonesincars).Inthissituation,weusuallywouldliketoknowthecollapseloadforthesolid.
Itwouldbereallynicetofindsomewaytogetthecollapseloadwithouthavingtosolvethefullboundaryvalueproblem.

This is the motivation for plastic limit analysis. The limit theorems of plasticity provide a quick way to estimate collapse loads,
withoutneedinganyfancycalculations.Infact,collapseloadsareoftenmucheasiertofindthantheyieldpoint!

Inthissection,wederiveseveralusefultheoremsofplasticlimitanalysisandillustratetheirapplications.

6.2.1Definitionoftheplasticdissipation

Consider a rigid perfectly plastic solid, which has mass density , and a VonMises yield
surfacewithyieldstressinuniaxialtensionY.(Bydefinition,theelasticstrainsarezeroinarigid
plasticmaterial).Thesolidissubjectedtotractions t ontheitsboundary.Thesolidmayalsobe
subjected to a body force b(per unit mass) acting on the interior of the solid. Assume that the
loadingissufficienttocausethesolidtocollapse.

Velocitydiscontinuities:Notethatthevelocityandstressfieldsinacollapsingrigidplasticsolid
neednotnecessarilybecontinuous.Thesolutionoftenhassheardiscontinuities,asillustratedon
theright.Inthepicture,thetoppartofthesolidslidesrelativetothebottompart.Weneedaway
todescribethiskindofdeformation.Todoso,

atcollapsemayhaveafinite
1.Weassumethatthevelocityfield u
0

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setofsuchsheardiscontinuities,whichoccuroveracollectionof
surfacesS .Letmbeaunitvectornormaltothesurfaceatsome

point,andlet u
denote the limiting values of velocity and
stress onthetwosidesofthesurface.
2. To ensure that no holes open up in the material, the velocity
discontinuitymustsatisfy

ij

ij

(u

) m = 0

3.Thesolidsimmediatelyadjacenttothediscontinuityexertequalandoppositeforcesoneachother.Therefore

4.Wewillusethesymbol

]]
[[u

+
ij

mi = mi
ij

todenotetherelativevelocityofslidingacrossthediscontinuity,i.e.
]] =
[[u

= (u

) (u

)
u
u

i
i
i
i

5. The yield criterion and plastic flow rule require that

discontinuity.

ij

m j (u

) = Y [[u]]/ 3

on any surfaces of velocity

Kinematically admissible collapse mechanism: The kinematically admissible collapse mechanism is analogous to the
kinematicallyadmissibledisplacementfieldthatwasintroducedtodefinethepotentialenergyofanelasticsolid.Bydefinition,a
kinematicallyadmissiblecollapsemechanismisanyvelocityfieldvsatisfyingv /x = 0 (i.e.visvolumepreserving)
(thesearenotnecessarily
Likeu,thevirtualvelocityvmayhaveafinitesetofdiscontinuitiesacrosssurfaces S withnormal m
thediscontinuitysurfacesfortheactualcollapsemechanism).Weuse
i

[[v]] =

= (v

v ) (v
i

v )
i

todenotethemagnitudeofthevelocitydiscontinuity.Wealsodefinethevirtualstrainrate

ij =

(notethat

kk

= 0

1
2

v i
x j

v j

x i

)andtheeffectivevirtualplasticstrainrate

ij
ij /3
= 2

PlasticDissipation:Finally,wedefinetheplasticdissipationassociatedwiththevirtualvelocityfieldvas
p

dV +
Y

(v) =

[[v]]dA

0 b i vi dA

3
R

ti vi dA

Thetermsinthisexpressionhavethefollowingphysicalinterpretation:
1.Thefirstintegralrepresentstheworkdissipatedinplasticallystrainingthesolid
2.Thesecondintegralrepresentstheworkdissipatedduetoplasticshearingonthevelocitydiscontinuities
3.Thethirdintegralistherateofmechanicalworkdonebybodyforces
4.Thefourthintegralistherateofmechanicalworkdonebytheprescribedsurfacetractions.

6.2.2.ThePrincipleofMinimumPlasticDissipation

denote the actual velocity field that causes a rigid plastic solid to collapse under a prescribed loading. Let v be any
Let u
kinematicallyadmissiblecollapsemechanism.Let(v)denotetheplasticdissipation,asdefinedintheprecedingsection.Then
)
1.(v) (u

2.(u ) = 0
Thus, isanabsoluteminimumforv = uinotherwords,theactualvelocityfieldatcollapseminimizes .Moreover, iszero
fortheactualcollapsemechanism.

,
, ] denote the actual
Derivation: Begin by summarizing the equations governing the actual collapse solution. Let [u
velocity, strain rate and stress in the solid at collapse. Let S = /3 denote the deviatoric stress. The fields must
satisfygoverningequationsandboundaryconditions
Straindisplacementrelation = (u /x + u /x )/2
Stressequilibrium /x + b = 0
Plasticflowruleandyieldcriterion
i

ij

ij

ij

ij

kk

ij

ij

ij

S ij

3
2

S ij S ij = Y

ij =

0 3 S S

ij
ij < Y

Onvelocitydiscontinuities,theseconditionsrequirethat
Boundaryconditions

ij

m j (u

+
i

]]/ 3
) = Y [[u

ij ni = tj x i R

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) = 0 .
Westartbyshowingthat(u
1.Bydefinition
Y

dV +
Y

) =
(u

]]dA
[[u

i dA
0 b i u

3
R

2.Notethat,using(i)theflowrule,(ii)theconditionthatS

ij

3.Notethat

ij

p
ij

= ij

S ij

ii

= 0

i dA
ti u

and(iii)theyieldcriterion

= (S ij + kk ij )

ij = ij (u i /x j + u j /x i )/2 = ij u j /x i

S ij

S ij S ij

= Y

fromthesymmetryof .Hence
ij

dV =
Y

ij dV =
ij

j /x i dV
ij u

. Substitute into the expression for (u) , combine the two

4. Note that u /x = ( u )/x ( /x ) u
volumeintegralsandrecall(equilibrium)that /x + b = 0toseethat
ij

ij

ij

ij

) =
(u

j ) /x i dV +
( ij u

]]dA
[[u

3
R

i dA
ti u

5.Applythedivergencetheoremtothevolumeintegralinthisresult.Whendoingso,notethatwemustincludecontributions
fromthevelocitydiscontinuityacrossSasfollows
) =
(u

j ni dA +
ij u

n
ij u
j

+
i

n dA +
ij u
j

dA +

]]dA
[[u

6.Finally,recallthat n = t ontheboundary,andnotethattheoutwardnormalstothesolids
adjacenttoSarerelatedtombyn = m n = m .Thus

i dA
ti u

ij

) =
(u

ij (u
j

)m i dA +
u
j

]]dA
[[u

) = Y [[u]]/ 3 ,wefindthat (u) = 0 asrequired.

Since m (u
u

Next,weshowthat(v) 0 .Tothisend,
1.Letv beakinematicallyadmissiblevelocityfieldasdefinedintheprecedingsection,withstrainrate
ij

ij =

1
2

v i
x j

v j
x i

2. LetS bethestressnecessarytodrivethekinematicallyadmissiblecollapsemechanism,whichmustsatisfytheplastic
flowruleandtheyieldcriterion
ij

ij =

S ij

3S ij S ij /2 = Y

3.RecallthattheplasticstrainsandstressesassociatedwiththekinematicallyadmissiblefieldmustsatisfythePrincipleof
MaximumPlasticResistance(Section3.7.10),whichinthepresentcontextimpliesthat

ij ij )
ij 0
(

isthestressrequiredtocausetheplasticstrainrate

Toseethis,notethat
,whiletheactualstressstateatcollapse
ij

ij

ij

mustsatisfy3S

ij

S ij /2 Y

.
p

4.Notethat

ij

ij =

kk ij ) d
3S ij /2Y = Y d

(S ij +

.Substitutingintotheprincipleofmaximumplasticresistance

andintegratingoverthevolumeofthesolidshowsthat
p

5.Next,notethat

dV
Y

ij dV 0
ij

ij = ij (vi /x j + vj /x i ) /2 = ij vj /x i = ( ij vj ) /x i ( ij /x i ) vj
ij

6.Theequilibriumequationshowsthat
resultof(4)showsthat

ij

/x i = b j
0

.Substitutingthisintotheresultof(5)andthensubstitutingintothe

dV
Y

( ij vj ) /x i dV

0 b j vj dV 0

7. Apply the divergence theorem to the second integral. When doing so, note that we must include contributions from the
velocitydiscontinuityacrossS asfollows
p

dV
Y

8.Recallthat
n
= m n
i

+
i

dA

ij vj n dA

ij vj ni dA

ij

ij vj n

ni = t

0 b j vj dV 0

ontheboundary,andnotethattheoutwardnormalstothesolidsadjacenttoSarerelatedtomby
.Thus

= mi

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Y
dV +

ij

)dA

dV

dA 0

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p

dV +
Y

9.Finally,notethaton

v )dA

ij
m j (v

b i vi dV

ti vi dA 0

2 R

S
+

ij
m j (v

v ) Y [[v]]/ 3
i

sincetheshearstressactingonanyplaneinthesolidcannotexceedY /3 .Thus
p

dV +
Y

Y [[v]]/ 3 dA

b i vi dV

ti vi dA 0

2 R

provingthat(v) 0 asrequired.

6.2.3TheUpperBoundPlasticCollapseTheorem

Consider a rigid plastic solid, subjected to some distribution of tractions t and body forces b .
Wewillattempttoestimatethefactor bywhichtheloadingcanbeincreasedbeforethesolid
collapses ( is effectively the factor of safety). We suppose that the solid will collapse for
loadingt ,b .

To estimate , we guess the mechanism of collapse. The collapse mechanism will be an

admissible velocity field, which may have a finite set of discontinuities across surfaces S with
,asdiscussedin6.2.1.
normalm

Theprincipleofminimumplasticdissipationthenstatesthat

dV +
Y

ij
m j (v

v )dA

b i vi dV

ti vi dA 0

foranycollapsemechanism,withequalityforthetruemechanismofcollapse.Therefore

dV +

Y [[v]]/ 3 dA

bi v i dA+

v i dA

Expressed in words, this equation states that we can obtain an upper bound to the collapse loads by postulating a collapse
mechanism, and computing the ratio of the plastic dissipation associated with this mechanism to the work done by the applied
loads.

So,wecanchooseanycollapsemechanism,anduseittoestimateasafetyfactor.Theactualsafetyfactorislikelytobelower
thanourestimate(itwillbeequalifweguessedright).Thismethodisevidentlyinherentlyunsafe,sinceitoverestimatesthesafety
factor but it is usually possible guess the collapse mechanism quite accurately, and so with practice you can get excellent
estimates.

6.2.4Examplesofapplicationsoftheupperboundtheorem

Example 1: collapse load for a uniaxial bar. We will illustrate the bounding theorems using a few examples. First, we will
computeboundstothecollapseloadforauniaxialbar.Assumethebarhasunitoutofplanethickness,forsimplicity.

To get an upper bound, we guess a collapse mechanism as shown below. The

top and bottom half of the bar slide past each other as rigid blocks, as shown,
withavelocitydiscontinuityacrossthelineshowninred.

Theupperboundtheoremgives

dV +

Y [[v]]/ 3 dA

bi v i dA+

v i dA

Inthisproblemthestrainratevanishes,sinceweassumethetwohalvesofthebararerigid.Theplasticdissipationis

Thebodyforcevanishes,and

Y [[v]]/ 3 dA = Y (h / sin )(L/ cos )/ 3

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i dA = pL
ti u
h

where
h istheverticalcomponentofthevelocityofthetopblock.Thus
p 2Y /( 3 sin 2)

Thebestupperboundoccursfor = /4 ,givingp 2Y /3 forthecollapseload.

Example2:Collapseloadforabarcontainingahole.Foraslightlymoreinterestingproblem,consider
theeffectofinsertingaholewithradiusainthecenterofthecolumn.Thistimeweapplyaforcetothe
topofthecolumn,ratherthanspecifythetractiondistributionindetail.Wewillacceptanysolutionthat
hastractionactingonthetopsurfacethatisstaticallyequivalenttotheappliedforce.

Apossiblecollapsemechanismisshown.Theplasticdissipationis

Y [[v]]/ 3 dA =

(Y / 3 ) (h / sin )(L 2a)/ cos

Therateofworkdonebyappliedloadingis

i dA = P
ti u
h

Ourupperboundfollowsas

P 2Y (L 2a)/( 3 sin 2)

andthebestupperboundsolutionisP 2Y (L 2a)/3

Example3:Forcerequiredtoindentarigidplaticsurface.Forournextexample,weattempttofindupperandlowerboundsto
theforcerequiredtopushaflatplanepunchintoarigidplasticsolid.Thisproblemisinterestingbecausewehaveanexactslip
linefieldsolution,sowecanassesstheaccuracyoftheboundingcalculations.

A possible collapse mechanism is shown above. In each semicircular region we assume a

constant circumferential velocity v =
h . To compute the plastic dissipation in one of the
regions, adopt a cylindricalpolar coordinate system with origin at the edge of the contact.
Thestraindistributionfollowsas

rr =
= 0
r =

ij
ij =

Thustheplasticdissipationis

2r

h
r 3

a/2

dV +
Y

Y [[v]]/ 3 dA = 2

rdrd +
r 3

Y
2 3

h a =

2
3

hY a

(notethattheresavelocitydiscontinuityatr=a).Theworkdonebyappliedloadingisjust
h P givingtheupperbound
P 2Y a/ 3

Thisshouldbecomparedtotheexactsliplinefieldsolution
P = ( + 2)Y a/ 3

computedinsection6.1.Theerroris17%closeenoughforgovernmentwork.

Example4:Orthogonalmetalcutting.Thepictureshowsasimplemodelof
machining.TheobjectiveistodeterminethehorizontalforcePactingonthe
tool(orworkpiece)intermsofthedepthofcuth,thetoolrakeangle and
theshearyieldstressofthematerialY

Toperformthecalculation,weadoptareferenceframethatmoveswiththe
tool.Thus,thetoolappearsstationary,whiletheworkpiecemovesatspeed
V to the right. The collapse mechanism consists of shear across the red
lineshowninthepicture.

Elementarygeometrygivesthechipthicknessdas
w

cos(+)

d = h

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Mass conservation (material flowing into slip discontinuity = material flowing out of slip discontinuity) gives the velocity of
materialinthechipV as
c

Vc = Vw

Thevelocitydiscontinuityacrosstheshearbandis

= Vw

sin
cos(+)

|V ba | = V w + V c

+ 2V c V w sin

= V w 1 +

sin
cos

(+)

+ 2 sin

sin
cos(+)

Theplasticdissipationfollowsas

h
sin

|V ab |

Theupperboundtheoremgives
P Vw

h
sin

|V ab |

Y
3

Y
3

hY
3 sin

1 +

sin
cos

(+)

+ 2 sin

sin
cos(+)

ToobtainthebestestimateforP,weneedtominimizetherighthandsideofthis
expressionwithrespectto .Thisgives
= tan

(1 tan())

The resulting upper bound to the machining force is plotted on the figure to the
right.

6.2.5TheLowerBoundPlasticCollapseTheorem

Thelowerboundtheoremprovidesasafeestimateofthecollapseloadsforarigidplastic
solid.

Consider a rigid plastic solid, subjected to some distribution of tractions t and body forces b .
Wewillattempttoestimatethefactor bywhichtheloadingcanbeincreasedbeforethesolid
collapses ( is effectively the factor of safety). We suppose that the solid will collapse for
loadingt ,b .

Toestimate ,weguessthedistributionofstressinthesolidatcollapse.
.Thestressdistributionmust
Wewilldenotetheguessforthestressdistributionby
n = t ,where isalowerboundto
1.Satisfytheboundaryconditions
/x + b = 0withinthesolid,
2.Satisfytheequationsofequilibrium
) 0
3.Mustnotviolatetheyieldcriterionanywherewithinthesolid,f (

Thelowerboundtheoremstatesthatifany suchstressdistributioncanbefound,thesolidwillnotcollapse,i.e. .

Derivation
,
, ] denote the actual velocity field in the solid at collapse. These must satisfy the field equations and
1. Let [u
constitutiveequationslistedinSection6.4.4.
denotetheguessforthestressfield.
2.Let
)

isatorbelow
3.ThePrincipleofMaximumPlasticResistance(seeSection3.7.10)showsthat (
0 ,since
yield.
4.Integratingthisequationoverthevolumeofthesolid,andusingtheprincipleofvirtualworkonthetwotermsshowsthat

ij

ij

ij

ij

ij

ij

ij

ij

ij )
ij dV =
( ij

i dA
ij nj u

Thisprovesthetheorem.

i dA

ti u
L

ij

ij

ij

ij nj u
i dA 0

i dA
ti u

6.2.6Examplesofapplicationsofthelowerboundplasticcollapsetheorem
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Example1:Collapseloadforaplatecontainingahole.AplatewithwidthLcontainsaholeofradius
a at its center. The plate is subjected to a tensile force P as shown (the traction distribution is not
specifiedindetailwewillacceptanysolutionthathastractionactingonthetopsurfacethatisstatically
equivalenttotheappliedforce).

For a statically admissible stress distribution, we consider the stress field shown in the figure, with

= 0 |x | < a
= Y |x | > a ,andallotherstresscomponentszero.

Theestimatefortheappliedloadatcollapsefollowsas P = 2Y (L a)

Example2:Rigidindenterincontactwithahalfspace.Weconsideraflatindenter
with width a that is pushed into the surface of a halfspace by a force P. The stress
stateillustratedinthefigurewillbeusedtoobtainalowerboundtothecollapseloadin
thesolid.Notethat
1.RegionsC,E,Farestressfree
2. The stress in regions A and D consists of a state of uniaxial stress, with
direction parallel to the boundaries between AC (or AE) and CD (or DF)
respectively. We will denote this stress by m m, where m is a unit
vectorparalleltothedirectionoftheuniaxialstress.
3.ThestressstateinthetriangularregionBhasprincipaldirectionsofstressparallelto e .Wewillwritethisstressstateas
22

22

B
11

e1 e1 +

B
22

e2 e2

Thestressesineachregionmustbechosentosatisfyequilibrium,andtoensurethatthestressisbelowyieldeverywhere.The
stressisconstantineachregion,soequilibriumissatisfiedlocally.However,thestressesarediscontinuousacrossAC,AB,etc.
Tosatisfyequilibrium,equalandoppositetractionsmustactonthematerialsurfacesadjacenttothediscontinuity,whichrequires,
e.g.that n = n ,wherenisaunitvectornormaltotheboundarybetweenAandBasindicatedinthefigure.Weenforce
thisconditionasfollows:
1.Notethatm = cos e + sin e n = sin e + cos e
2.EquilibriumacrosstheboundarybetweenAandBrequires
A

ij

ij

(m m) n =

B
11

B
11

e1 e1 +

B
22

e2 e2 ) n

(cos e 1 + sin e 2 ) 2 sin cos =

= 2

cos

B
22

= 2

sin

B
11

e 1 sin +

B
22

e 2 cos

3. We must now choose and to maximize the collapse load, while ensuring that the stresses do not exceed yield in
regionsAorB.Clearly,thisrequires = Y while mustbechosentoensurethat < Y .Thisrequires
1/2 < cos < 3 /2 .Thelargestvaluefor maximizesthebound.
4.Finally,substitutingfor gives = 3Y /2.WeseethatthelowerboundisP = 3Y a/2 .
A

22

11

22

6.2.7Thelowerboundshakedowntheorem

Inthisandthenextsectionwederivetwoimportanttheoremsthatcanbeusedtoestimatethemaximumcyclicloadsthatcanbe
imposedonacomponentwithoutexceedingyield.Theconceptofshakedowninasolidsubjectedtocyclicloadswasintroducedin
Section4.2.4,whichdiscussesthebehaviorofasphericalshellsubjectedtocyclicinternalpressure.Itwasshownthat,ifthefirst
cycleofpressureexceedsyield,residualstressesareintroducedintotheshell,whichmaypreventfurtherplasticdeformationunder
subsequent load cycles. This process is known as shakedown, and the maximum load for which it can occur is known as the
shakedownlimit.

We proceed to derive a theorem that can be used to obtain a safe estimate to the maximum cyclic load that can be applied to a
structurewithoutinducingcyclicplasticdeformation.

WeconsideranelasticperfectlyplasticsolidwithVonMisesyieldsurface,associatedflowlaw,
anduniaxialtensileyieldstressY.Assumethat
1.Thedisplacementu = 0 onpartoftheboundaryofthesolid R
2. The remainder of the boundary R is subjected to a prescribed cycle of traction
t (t) .Thehistoryoftractionisperiodic,withaperiodT.

Definethefollowingquantities:
1.Let[u , , ]denotetheactualhistoryofdisplacement,strainandstressinducedinthe
1

ij

ij

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solid by the applied loading. The strain is partitioned into elastic and plastic parts as
ij =

e
ij

p
ij

2. Let [u , , ] denote the history of displacement, strain and stress induced by the
prescribedtractioninaperfectlyelasticsolidwithidenticalgeometry.
3.Weintroduce(timedependent)residualstress andresidualstrain fields,which

ij

ij

ij =

ij

ij

(bydefinition)satisfy

ij

+ ij ij =

e
ij

p
ij

ij

+ ij +

p
ij

Notethat,(i)because n = n = t on R ,itfollowsthat n = 0 on R
and(ii)because /x = /x = 0 itfollowsthat /x = 0

Thelowerboundshakedowntheorem can be stated as follows: The solid is guaranteed to shake down if any timeindependent

ij

ij

ij

ij

ij

ij

residualstressfield canbefoundwhichsatisfies:
ij

Theequilibriumequation /x = 0
Theboundarycondition n = 0 on R
Whentheresidualstressiscombinedwiththeelasticsolution,thecombinedstressdoesnotexceedyield f (
anytimeduringthecycleofload.
j

ij
j

ij

ij

ij

) 0

at

Thetheoremisvaluablebecauseshakedownlimitscanbeestimatedusingtheelastic solution, which is much easier to calculate

thantheelasticplasticsolution.

Proofofthelowerboundtheorem:Theproofisoneofthemostdeviousinallofsolidmechanics.
1.Considerthestrainenergyassociatedwiththedifferencebetweentheactualresidualstressfield ,andtheguessforthe
residualstressfield ,whichcanbecalculatedas
ij

ij

W =

)(
)dV
S ijkl ( ij

ij
kl
kl

where S is the elastic compliance tensor. For later reference note that W has to be positive, because strain energy
densityisalwayspositiveorzero.
2.TherateofchangeofWcanbecalculatedas
ijkl

dW

)
S ijkl ( ij
ij

dt

d kl

dV 0

dt

(toseethis,recallthatS
= S
)
3.NotethatS = = .Consequently,weseethat
ijkl

ijkl

kl

klij
p

ij

ij

dW
dt

ij

ij

d
)
= ( ij
ij

p
ij

dt

d ij
)(
dV + ( ij
ij

ij

) dV 0

dt

dt

4.Usingtheprincipleofvirtualwork,thesecondintegralcanbeexpressedasanintegralovertheboundaryofthesolid
)n j (
( ij
ij

Toseethis,notethat(

R
ij

)n j = 0

ij

on

2R

du

du i

dt

,whileu

) dV = 0

dt

u
= 0
i

on

1R

5.Theremainingintegralin(3)canberewrittenas
dW
dt

6.Finally,recallthat

d
)
= ( ij
ij

ij

dV =
dt

ij

ij

[ ij (

ij

)]
+
ij

dV 0
dt

ij

ij

and dW /dt 0 canonlybesatisfiedsimultaneouslyif [

ij

ij

liesatorbelowyield,while isatyieldandisthestresscorrespondingtotheplasticstrain

rate .Theprincipleofmaximumplasticresistancethereforeshowsthat [

strainratevanishes,or[

ij

ij

)] = 0

ij

ij

ij

)]

ij

p
ij

ij

ij

)]

p
ij

.Thisinequality

.Weconcludethateithertheplastic

= 0

.Ineithercasethesolidmustshakedowntoanelasticstate.

6.2.8Examplesofapplicationsofthelowerboundshakedowntheorem

Example 1: A simple 3 bar problem. It is traditional to illustrate the concept of shakedown using
thisproblem.Considerastructuremadeofthreeparallelelasticplasticbars,withYoungsmodulusE
andcrosssectionalareA,asshowninthefigure.Thetwobarslabeled1and2haveyieldstressY
thecentralbar(labeled3)hasyieldstress2Y.Thestructureissubjectedtoacyclicloadwithmean

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value andamplitudeP .

TheelasticlimitforthestructureisP
P = 3AY thecollapseloadis P P = 4AY .

Toobtainalowerboundtotheshakedownlimit,wemust
1.Calculatetheelasticstressesinthestructuretheaxialstressineachbaris = P /3A
2. Find a residual stress distribution in the structure, which satisfies equilibrium and boundary
conditions, and which can be added to the elastic stresses to bring them below yield. A
suitable residual stress distribution consists of an axial stress = = = 2 in bars 1, 2 and 3. To
preventyieldatthemaximumandminimumloadinallthreebars,werequire

(1)

(2)

(3)

Y < (P P )/3A + 0 (P + P )/3A + 0 < Y

2Y < (P P )/3A 2 0 (P + P )/3A 2 0 < 2Y

The first two equations show that P < Y , irrespective of . To avoid yield in all
barsatthemaximumload,wemustchoose = Y /3,whichgivesP + P < 4AY .
Similarly, to avoid yield in all bars at the minimum load, we must choose = Y /3 ,

showingthat4AY < (P
P ) .
0

Thevariousregimesofbehavioraresummarizedinthefigure.

Example 2: Shakedown limit for a pressurized

sphericalshell.Weconsideranelasticperfectlyplastic
thickwalledshell,withinnerradiusaandouterradiusb.
The inner wall of the shell is subjected to a cyclic
pressure,withminimumvaluezero,andmaximumvalue
pa

Toestimatetheshakedownlimitwemust
1.Calculatethestressesinducedbythepressurein
an elastic shell. The solution can be found in
Section4.1.4.
p

RR =

(b

(1

= =

(b

(1 +
3

2R

2.Findaselfequilibratingresidualstressfield,whichsatisfiestractionfreeboundaryconditionsonR=a,R=b,andwhichcan
be added to the elastic stresses to prevent yield in the sphere. The equilibrium equation for the residual stress can be
written
d

RR

dR

1
R

(2 RR ) = 0

We can satisfy this equation by choosing any suitable distribution for and calculating the corresponding . For
example,wecanchoose
= (1 a/R)(1 b/R) ,whichcorrespondsto
= (1 (b + a)/2R) .Toavoidyield
at maximum load, we must ensure that + Y , while to avoid yield at zero load,

Y throughouttheshell.ThecriticallystressedmaterialelementliesatR=aatboththemaximumandzero

loads,whichshowsthat
RR

RR

RR

RR

RR

3p
3

(b

(ba)
)

+ 0

2a

(ba)

< Y Y < 0

2a

< Y

Clearly,thebestchoiceof is = 2Y a/(b a)

The estimate for the shakedown limit therefore follows as p /Y < 4(1 a /b )/3 . This is equal to the exact solution derived
(withconsiderablymoreeffort)inSection4.1.4.

6.2.9TheUpperBoundShakedownTheorem

Inthissectionwederiveatheoremthatcanbeusedtoobtainanoverestimatetothemaximum
cyclic load that can be applied to a structure without inducing cyclic plastic deformation.
Although the estimate is inherently unsafe, the theorem is easier to use than the lower bound
theorem.
0

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AppliedMechanicsofSolids(A.F.Bower)Chapter6:Plasticity6.2BoundingTheorems

WeconsideranelasticperfectlyplasticsolidwithVonMisesyieldsurface,associatedflowlaw,
anduniaxialtensileyieldstressY.Assumethat
1.Thedisplacementu = 0 onpartoftheboundaryofthesolid R
2.Theremainderoftheboundary R issubjectedtoaprescribedcycleoftraction t (t) .
Thehistoryoftractionisperiodic,withaperiodT.

Definethefollowingquantities:
1.Let[u , , ]denotetheactualhistoryofdisplacement,strainandstressinducedinthe
solid by the applied loading. The strain is partitioned into elastic and plastic parts as
1

ij =

ij

e
ij

ij

p
ij

2. Let [u , , ] denote the history of displacement, strain and stress induced by the prescribed traction in a perfectly
elasticsolidwithidenticalgeometry.
To apply the upper bound theorem, we guess a mechanism of cyclic plasticity that might occur in the structure under the applied

ij

ij

loading.Wedenotethecycleofstrainby

p
ij

(t)

,anddefinethechangeinstrainpercycleas
T

p
ij

(t)dt

ij

=
0

Tobeakinematicallyadmissiblecycle,
/x + u
/x )/2 forsomeadisplacementfield u
.Notethatonlythe
mustbecompatible,i.e. = (u
change in strain per cycle needs to be compatible, the plastic strain rate need not be compatible at every instant during the
cycle.
= 0 on R .
Thecompatibledisplacementfieldmustsatisfyu

Theupperboundshakedowntheorem canthenbestatedasfollows.Ifthereexistsany kinematically admissible cycle of strain

thatsatisfies
p

ij

ij

ij

p
p
p
p

(t)dV dt

/3
Y
= 2
e
e
ij
ij

(t)dV dt
(t)
ij
0

thesolidwillnotshakedowntoanelasticstate.

Proof:Theupperboundtheoremcanbeprovedbycontradiction.
1. Supposethatthesoliddoes shake down. Then, from the lower bound shakedown theorem, we know that there exists a time
independentresidualstressfield ,whichsatisfiesequilibrium /x = 0 theboundaryconditions n = 0 on R ,
andissuchthat (t) + liesbelowyieldthroughoutthecycle.
ij

ij

ij

ij

ij

2. Theprincipleofmaximumplasticresistancethenshowsthat (

ij

ij

ij

))

p
ij

= Y

p
e

ij

ij

p
ij

.Integrating

thisexpressionoverthevolumeofthesolid,andthecycleofloadinggives
T

(t)dV dt
Y
e
0

ij

(t)

ij

(t)dV dt

(t)
(t)dV dt 0

ij
ij

3. Finally,reversingtheorderofintegrationinthelastintegralandusingtheprincipleofvirtualwork,weseethat
T
p

(t)
(t)dtdV =

ij
ij

ij

p
ij

dV =

nj u dA = 0

ij
i

= 0 on R while
n = 0 on R .
Toseethis,notethatu
4. Substitutingthisresultbackinto(2)givesacontradiction,soprovingtheupperboundtheorem.
i

ij

6.2.10Examplesofapplicationsoftheupperboundshakedowntheorem

Example 1: A simple 3 bar problem. We revisit the demonstration problem illustrated in Section
6.2.8.Considerastructuremadeofthreeparallelelasticplasticbars,withYoungsmodulusE,length
L,andcrosssectionalareA,asshowninthefigure.Thetwobarslabeled1and2haveyieldstressY
thecentralbar(labeled3)hasyieldstress2Y.Thestructureissubjectedtoacyclicloadwithmean

valueP
andamplitudeP .

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AppliedMechanicsofSolids(A.F.Bower)Chapter6:Plasticity6.2BoundingTheorems

Toobtainanupperboundtotheshakedownlimit,wemustdeviseasuitablemechanismofplasticflow
inthesolid.Wecouldconsiderthreepossiblemechanisms:
1. An increment of plastic strain d = d in bars (1) and (2) at the instant of maximum load,
followedby d = d in bars (1) and (2) at the instant of minimum load. Since the strain at
theendofthecyclevanishes,itisautomaticallycompatible.
2. Anequalincrementofplasticstraind = d inallthreebarsateachinstantofmaximumload
3. Anequalincrementofplasticstraind = d ateachinstantofminimumload.
p

22

22

22

22

Byfindingthecombinationofloadsforwhich
T

ij

(t)

(t)dV dt
ij

p
p
p
p

2
(t)dV dt

/3
Y
=
e
e
ij
ij

weobtainconditionswhereshakedownisguaranteednottooccur.Notethattheelasticstressesinallthreebarsareequal,andare
givenby = P (t)/3A .Thus

1. Formechanism(1):2(P
+ P )Ld/3 2(P P )Ld/3 2Y LAd + 2Y LAd P 3AY

2. Formechanism(2):(P
+ P )Ld 4Y LAd P + P 4AY

3. Formechanism(3):(P
P )Ld 4Y LAd P P 4AY
22

TheseagreewiththelowerboundcalculatedinSection6.2.8,andarethereforetheexactsolution.

Example 2: Shakedown limit for a pressurized spherical shell. We consider an elastic

perfectlyplasticthickwalledshell,withinnerradiusaandouterradiusb.Theinnerwallof
theshellissubjectedtoacyclic
pressure,withminimumvaluezero,andmaximumvaluep

Toestimatetheshakedownlimitwemust
1.Calculatethestressesinducedbythepressureinanelasticshell.Thesolutioncanbe
foundinSection4.1.4.
a

RR =

(b

(1

= =

(b

(1 +
3

2R

2. Postulateamechanismofsteadystateplasticdeformationintheshell.Forexample,consideramechanismconsistingofa
uniformplasticstrainincrementd = 2dd = d = d whichoccursinasphericalshellwithradiusaverysmall
thicknessdtattheinstantofmaximumpressure,followedbyastraind = 2dd = d = d attheinstantof
minimumload.
rr

rr

Theupperboundtheoremstatesthatshakedownwillnotoccurif
T

ij

(t)

ij

(t)dV dt
0

p
p
p
p

(t)dV dt

/3
Y
= 2
e
e
ij
ij

Substitutingtheelasticstressfieldandthestrainrateshowsthat
2

4a t

3p
3

(b

Thisgivesp /Y
exactsolution.
a

< 4(1 a /b

)/3

d 4a tY 2d + 4a tY 2d
)

fortheshakedownlimit.Again,thisagreeswiththelowerbound,andisthereforethe

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