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International Journal of Plasticity,

Vol.5. pp. 521-549. 1989

0749-6419/89$3.00 + .00
Copyright "~ 1989PergamonPress pie

Printed in the U.S.A.



Massachusetts Institute of Technology

A b s t r a c t - I n the past decade or so, a substantial body of work on state variable constitutive
equations for elasto-viscoplasticity has appeared in the literature. Such constitutive equations
are known to be numerically very stiff. In this paper we formulate a fully implicit, Euler backward time-integration procedure for a set of internal variable constitutive equations for isothermal, isotropic elasto-viscoplasticity with isotropic hardening. The time-integration procedure
is a generalization of the well-known "radial-return" algorithm of classical rate-independent
plasticity, and it should therefore be well suited for implementation in large-scale finite dement
codes. As an example, we have implemented the procedure in the finite element code ABAQUS,
and using a set of specific constitutive equations, we show the results of two sample problems.


It has long been recognized that the notion of rate-independence of plastic response is
only a convenient approximation at low homologous temperatures. In actuality, plastic flow due to dislocation motion is inherently rate-dependent (e.g., [1966])
even at low temperatures. Various extensions of the classical theories of plasticity to
model rate-dependent behavior have been proposed in the literature. We find the state
variable formulation of Rice [1970,1971,1975] most attractive because of its strong
physical basis. For a recent large deformation, state variable formulation of a ratedependent model see A~'qAm)[1985]. This rate-dependent model, along with other similar models in the literature, differs from the classical rate-independent "./2 flow theory"
in that there is no yield condition, and no loading/unloading criterion is used. Instead,
plastic flow is assumed to occur at all nonzero values of stress, although at low stresses
the rate of plastic flow may be immeasurably small. Further, the equivalent plastic grain
rate is prescribed by an appropriate constitutive function in the rate-dependent model,
whereas it is determined by the consistency condition in the rate-independent model.
For the case of isothermal, isotropic elasto-viscoplasticity, the state of a material element is characterized in Anand's model by the Cauchy stress T, and a scalar internal
variable called the isotropic deformation resistance. This scalar state variable is denoted
by s (for state), and taken to have the dimensions of stress. The rate-dependent model
then consists essentially of a coupled set of differential evolution equations for the state
variables (T,s).
In general, the differential evolution equations for stress and deformation resistance
can only be integrated by numerical means. Constitutive equations of this type have long
been known to be numerically very stiff (e.g., KRn~G [1977]; Sttm et ai. [1977]). With
an explicit Euler forward time-integration procedure, the size of the time increment is
generally restricted by numerical stability requirements (Copa~.Au [1975]). Although the


A . M . t . u s H et aL

Euler forward procedure is easily implemented for elasto-viscoplastic problems (e.g.,

ZIENKIEWICZ& CORMEAU [1974]; WILLIAM[1978]; ARGYRtSet al. [1978]; KUMARet al.
[1980]; TELLES& B~BStA [1982]; CHANDRA& MUKrmRJEE [1984]), this advantage is generally offset by the need for an excessive number of solution increments when a large
deformation finite element analysis is performed.
To overcome the stability-related time increment restrictions inherent in the Euler forward method, a number of authors (e.g., MILLER& SHIH [1977]; SHIH et al. [1977]; KASCHI et al. [19781; WILLIAM[1978]; ARGYRISet al. [1978]; OWEN & HINTON [19801; ZIRIY
8` KREMPL[1982]; PEIRCE et al. [1984]; ANAND et al. [1985]; TANAKA8` MILLER[1987])
have described semi-implicit time-integration schemes whereby implicit solution procedures, such as the generalized trapezoidal method, are approximated using two-term
Taylor's series expansions of the relevant constitutive functions about the (known) initial
state. These "forward gradient" schemes allow much larger time increments without
encountering stability problems or requiring constitutive level iterations. Their shortcoming, though, is that their accuracy severely deteriorates if large time increments are taken
during periods of rapidly changing conditions because the simple, two-term Taylor's
series expansions become inaccurate. Consequently, it is still necessary to control the
time increment size very carefully with these schemes in order to obtain an accurate solution (e.g., ANAND et al. [19851).
Various implicit time-integration schemes requiring constitutive level iteration have
been proposed in the literature (e.g., HUGHES8` TAYLOR [1978]; ARGYRISet al. [1978];
SNYDER & BATHE [1981]; TAYLOR8` BECKER [1983]; LUSH ~ ANAND [1986]; CORDTS 8,
KOLLMA~r~[1986]). A general characteristic of these schemes is that they can be made
unconditionally stable and are heavily damped, allowing them to span periods of rapidly changing viscoplastic flow conditions with reasonable accuracy. Accordingly, the
requirement of careful time increment size control that is associated with the forward
gradient schemes can be somewhat relaxed. Consequently, for typical large deformation analyses it is possible to improve the computational efficiency significantly by using
implicit methods, with little loss of accuracy. To realize this goal though, it is necessary
to employ a robust and efficient iterative scheme at the constitutive level. The purpose
of this paper is to formulate a fully implicit, robustly stable and efficient timeintegration procedure for implementing Anand's single scalar internal state variable
model in displacement-based finite element procedures. (Such a scheme was first outlined in the paper by LUSH 8` ANAND [1986].) Emphasis is placed on analyzing large
deformation, isothermal, hot metal working problems, by using the Euler backward
time-integration procedure. This procedure is ideally suited for this application, where
for reasons of efficiency it is desirable to take relatively large strain increments compared to the elastic strains, which are typically very small (of order 0.05o70). Further,
the Euler backward procedure is a generalization of the well known "radial-return" algorithm of classical rate-independent plasticity (e.g., WILKINS[1964]; Kamo & KEy [1976];
KRtEG ~ KRmG [1977]; SCH~YER et al. [1979]), and it should therefore be well suited
for implementation in large-scale finite element codes. We have implemented it in the
commercial, general-purpose finite element program ABAQUS (e.g., Hmarrr [1984]).
The plan of this paper is as follows. First we review the basic structure of the isotherm a l rate-dependent constitutive model in section 2. The evolution equation for stress
employs the Jaumann derivative which renders this model properly frame-indifferent.
Next, we define a rotation tensor and use it to transform the constitutive equations into
a form which makes the time-integration of the evolution equations straightforward. In
section 3 we detail the time-integration algorithm for updating the state variables (T,s).

Time-intelltatlot~ procedure


In section 4 we calculate the required constitutive contributions to the Jacobian matrix

for a global, Newton type equilibrium iteration scheme for an "implicit" finite element
code. Some important aspects of the implementation in ABAQUS are discussed in section 5. In this section, we also show the results of uniaxial tests plus two sample metal
forming problems: (a) isothermal upset forging of a cylindrical billet with sticking friction at rigid dies; and (b) plane-strain forging of a circular cylindrical billet to form a
cruciform shape. The specific constitutive functions used in these example problems are
the isothermal versions of the functions proposed recently by BgowN, KIM ~, A~Ar~D
[19891 for high temperature deformations.


Attention in this paper is focussed on isothermal constitutive equations for isotropic

metals with isotropic hardening, for which the state variables are taken to be (AsAND



where T is the Cauchy stress, and s is a scalar internal variable with dimensions of stress,
called the isotropic deformation resistance. The internal variable s represents an averaged isotropic resistance to macroscopic plastic flow offered by the underlying "isotropic" strengthening mechanisms such as dislocation density, solid solution strengthening,
subgrain and grain size effects, etc.
The evolution equations for the state variables are:

1. Evolution equation for the stress T:

T v = ,g [D - D p]
T v -" 2" - WT + TW

,~ -= 2#~1 + Ix - (2/3)#1 1 1

L " grad v
D E sym (L)
W - skew (L)


Jaumann derivative of Cauchy stress T;

material time derivative of Cauchy stress
fourth order isotropic elasticity tensor;
elastic shear and bulk moduli;
spatial gradient of the velocity v;
stretching tensor;
spin tensor;
fourth order identity tensor;
second order identity tensor.

The constitutive equation for D p, that is the flow rule, is:

D p = 3~PN,


where with T' the deviator of the Cauchy stress, and

# - ~/(3/2)T' .T;



A. NI. LUSHet al.

the equivalent tensile stress,

N --- ~ 3 / 2 ( T ' / 6 )


is the direction of plastic flow. Also, 6P is the equivalent tensile plastic strain rate
prescribed by a constitutive function
~P = f ( O , s ) .


2. Evolution equation f o r the internal variable s:

= g(O,s).


To complete this rate-dependent constitutive model for a particular material the material properties/functions that need to be specified are the elastic shear and bulk moduli,
/~ and r, respectively; the constitutive function (6) for the equivalent tensile plastic strain
rate; and the initial value and evolution function (7) for the deformation resistance.
Even for a particular material it is not expected that the same constitutive functions for
~P and s will be appropriate for all values of strain rates and temperatures. Indeed, different particular forms for these functions will in general be necessary for different
regimes o f strain rate and temperature. These forms should reflect the dominant features o f the underlying microstructural mechanisms which govern the material response
in the regime under consideration.
Note that in this rate-dependent model there is no switching parameter which turns
plastic flow off or on; plastic flow is assumed to occur at all nonzero values of stress.
Further, the equivalent plastic strain rate, which is determined by the consistency condition in the classical J2 rate-independent model, here needs to be prescribed by a constitutive function. Since there is no yield condition to be satisfied in the rate-dependent
model, there is also no consistency condition which needs to be satisfied in this model.
The overall mathematical structure o f this rate-dependent model is simpler than the classical J2 rate-independent model because the plastic flow rule is a smooth function,
although the particular form of the constitutive function for ~P may be mathematically
very stiff in certain regions of plastic flow, requiring special care in formulating timeintegration algorithms.
A transformation o f the constitutive equations. Let the current configuration of the
body be the configuration at time t, and a subsequent configuration be the configuration at time r, with z > t. Next, let Q(g') be the rotation tensor which is defined to be
the solution of the initial-value problem

Q(~-) =w(~-)Q(~-),
Q(t) = 1,



IAlthough these equations do not employ a yield condition, and associated loading, neutral-loading and
unloading criteria, by the use of appropriate forms of the equivalent plastic strain rate function, this ratedependent model can be made to simulate nearly rate-independem material behavior.



where W(~') is the spin tensor. Using rotations Q(l') soMef'med, we define the bar transformation of a symmetric second-order spatial tensor A(~') by
.~(~-) - Qx(~')At~')Q(~').


Then, upon using (8) and (10) we have the important result
~(~-) = QT(~')TV(~')Q(~').

(1 I)

Next, using (I0), (I I), the isotropy of .~, and the isotropy of the other constitutive
functions, we obtain the following set of bar-transformed equations:
1. Evolution equation f o r the stress T:

"~ = - e . [ b - D P ] ,


D p = x/~-2~PN,


~1 = 3 ~ ( T ' / # ) ,


0 = ~/(3/2)T'.T;




6P = f ( 0 , s ) .


2. Evolution equation f o r the deformation resistance s:

= g(O,s).


Note that after transformation, the evolution equation for stress involves only the
material time derivative of i" instead of the more complicated Jaumann derivative of
T. Such a transformation has previously been used by REED a ATLtmI [1983] and NAGTEGAAL& VELDPAU$ [1984] (see also, HUGHES [1984]; WEaER [1988]). Nagtegaal and
Veldpaus call the bar-transformed quantities "rotation-neutralized" quantities. Regardless of terminology, after transformation the constitutive equations take on a simple
form which greatly aids the time-integration procedure.


A procedure for integrating the evolution eqns 02) and (17) over a generic time increment of length 4 t in an incrememal finite element analysis is presented here. Previously,
we have defined the current configuration of the body as the configuration at time t,


A . M . L us~ et al.

and the subsequent configuration as the configuration at time 7". For this section it is
more convenient to make the following identifications
tgI ~

ln+ 1 E



to indicate the incremental nature of the time-integration procedure, with

In+ I = t n + A t .

Accordingly, subscripts 'n' and 'n + 1' on variables indicate that the variables are evaluated at times t~ and t.+~, respectively.
It is assumed that the initial state (T.,s~) is known, with T~ = T~ (see eqns (9) and
(10)). Our goal then is to determine the state (Tn+~,s.+~), and thus march the solution
forward in time. Using eqns (10), (12), (13), and (17) we obtain:


s~+l = sn +



s dt.

Here Qn+l is the rotation of the configuration at time t.+~ relative to the configuration
at time t~. It is given by the solution to the initial-value problem of eqns (8)and (9),
evaluated at time tn+l.
Using the Euler backward m e t h o d o f integration, the isotropy of ,g, and assuming
that l~ is constant across a time increment, the solution of eqns (18) and (19)may be
written as


Tn+l = i"~ + .g[zlE],


T~ -~ Q~+IT .Q~+l,


s~+l = s . +



AE E Q.+t


D dt



The rotation Qn+, and the strain increment AE are computed from the configurations of the body at tn and t~+j since these are the only data. Here, without going into

Time-integration procedure


the details of the computations of these quantities from the incremental kinematics, we
suppose that in the constitutive time-integration routine of a displacement-based finite
element program, 1". and zl E are provided as inputs (we will come back to this point
in Section V). Thus, T]+~ can be calculated directly at the beginning of the solution
process. To update the state variables using (20) and (21), we need to calculate Nn+t,
~+~ =f(#.+~,s.+~) and s.+t. We show next that N.+I is known in terms of T,~+~, and
hence it is also known at the beginning of the solution process. Therefore, the timeintegration problem reduces to determining s.+~ and #.+1.
Taking the deviatoric part of (20), using T;,+, = 2 ~ 0 . + ~ N.+~ and rearranging, we

( 2~#.+t + q-6#At~p , )N.+, = T~.,.


which shows that N.+~ is parallel in direction to T*~.~. Hence

Nn+, =


= 3~(T.+t/an+,).



8,~+1 - ~/(3/2)T.+x

. T n*'


Equation (26) may be rearranged to read

T~,+l = ~.+lT,~+l,


~n+l " 0n+l/O',~+l


By analogy to the radial-return method for the classical J2 flow theory, the factor r/.+l
may be called the "radial-return" factor.
Next, from the deviatoric part of (20) we obtain

Thus, from (21) and (30) the problem reduces to solving for s.+l and O.+l from the
pair of scalar equations

s.+l - s. - Atg(#.+~ ,s.+~) = 0,


#.+l - ~n+l + 3gAtf(O.+l,S.+l) = 0.


In the Appendix we suggest a two-level iterative method for obtaining the solution for
a large class of functions f and g.

Summary o f time-integration procedure

Step 1. Assume that T. and zlE are given. Calculate T*+I:
T*+~ = T. + JB[AEI.


A. 5,1. LUSHet


Step 2. Calculate the deviatoric part of TT,+, :

T2~-) = T,~+l -- (1/3)(trT~,+l)l.
Step 3. Calculate ~.+i.'*"


~(3/2) .+l"T.+l.

Step 4. Calculate s.+t and 0.+1 by solving

s.+1 - s . -


= O,

o.+l + 3#zltf(#.+1,S.+l)

= O.


#.+I -

Step 5. Calculate the radial-return factor ~.+1:




Step 6. Update the stress:

T.+l = rl.+lT~*~-i + (l/3)(trT~,+,)l.
A few comments are in order regarding the accuracy of the Euler backward method
of integration when applied to eqns (18) and (19). First, note that the strain increment
/t E represents only the time-averaged stretching during the increment (see eqn (24)). This
time averaging is inherent in any incremental finite element analysis. Therefore, since
we have an elasto-viscoplastic material that can be sensitive to the time history of D,
care must be taken not to average out any important details of the stress time history
by taking time increments that are too large. However, for typical large deformation
metal forming analyses, relatively large time and strain increments can be taken with
satisfactory accuracy, without having to monitor the fluctuations in D. This will be illustrated in the example calculations of Section 5. On the other hand, for problems such
as shear band formation, the stretching 9 can vary rapidly and small time increments
are essential. In such cases with small time increments, other time-integration methods
such as the forward gradient method (e.g., ASAr~D e t al. [1985]) are more accurate and
Next we concentrate on the accuracy of the deviatoric part of eqn (20), noting that
the volumetric part is hypoelastic and is integrated exactly for our constitutive model
with incompressible plastic flow. For D' constant across an increment, the deviatoric
part of eqn (20) can be rewritten as
A t ( 9 ' -- 9.P+~) = ( ~ )

(1";,+1 -- ~';,).

Here we note that the right hand side is the elastic deviatoric strain increment, which
is bounded and generally very small. Therefore, we expect that 9~+1 --" D' as At
increases. But physically, this is the precise behavior of the constitutive equations in the

Time-integration procedure


case of constant s. To see this, note that we can rewrite the bar-transformed evolution
equation for the deviatoric stress as follows:

This is recognized as a first-order, nonlinear, ordinary differential equation, with positive coefficients and (for a constant D' across a time step) a constant "forcing term"
on the right side. For typical functions f , the solution of this equation with arbitrary
initial conditions consists of a rapid asymptotic approach to the steady-state stress T~
at which B p = D' and ~' = 0, with no overshoot or oscillations because this is a first
order differential equation. Experience with this equation indicates that the asymptotic approach B p -~ D' is very close as long as A t is large enough to give a strain increment A E ' ( ~ A tD') that exceeds significantly the elastic strain increment (T~ - i",.') /
2~, where T; is the initial value of T' for the above differential equation. Thus, it may
be concluded that the Euler backward result for [)~+~ approaches the analytical behavior for large strain increments, and therefore the Euler backward result for stress Tn+~
must also approach the exact solution because the plastic stretching is a direct function
of stress in the case of constant s. This conclusion is consistent with the observations
made by HuGH~S ~, TA:O_OR [1978].
Consider next what happens when s evolves during the increment. The Euler backward result for sn+~ will have some error because the function g generally varies during an increment, whereas a constant value is assumed in using eqn (21). Although
eqn (20) still gives the DP+~ ~ D' as A t increases, this only suffices to give the correct
direction for the stress 1";,+~. The magnitude of this stress will generally be slightly in
error due to the approximate solution for s~+~. As will be shown in Section V, this
error may be controlled by limiting the size of the equivalent tensile plastic strain increments, where the equivalent tensile plastic strain is defined, as usual, by

~P(t) =

~0t ~P dt.


In typical "implicit" finite element procedures which use such nonlinear constitutive
models, the discretized (weak form of the) balance equation for linear momentum generates an estimated incremental motion which is used to calculate the integration point
values of the stress T and the deformation resistance s at the end of the increment. If
these stresses do not satisfy the momentum balance equation at the end of the increment, then the estimated incremental motion is revised and new end of increment
stresses are calculated; iteration continues until the momentum balance equation is satisfied to within acceptable tolerances. For a Newton type iterative method for revising the
estimated incremental motion, one needs to compute a consistent Jacobian matrix. As
emphasized by H u o ~ s [1984], Jacobian matrices are used only in the search for the
incremental motion that leads to satisfaction of the momentum balance equation, but
in the end have no effect on the accuracy of the solution. However, in order to achieve
the quadratic convergence which is characteristic of Newton's method, it is important


A.M. Lush et aL

to evaluate this linearized form accurately (NAGTEGAAL& VELDPAUS [1984], StMo ~ TAYLOR [1985]). In this section we calculate the constitutive contribution
e ( r ) -=



to the Jacobian matrix for a global Newton type equilibrium iteration scheme.
From (20),

e ( r ) = 0A---E0T*(r) - (x/-6t~zlt) N ( r ) 0 - ~

~P(r) + ~P(r) ~




Using (22), (26), and (27) straightforward calculations using the approximation: that
Q ( r ) is not influenced by a variation in AE, give
T*(r) -~ .~,


-6*(r) = 3 ~ M ( r ) ,



N(r) ( ~

t [2~(~ - ( 1 / 3 ) 1 @ 1) - N ( r ) @ M ( r ) ] ,


M ( r ) m ~ [ N ( r ) ] = 2/xN(r).


Next, linearization of (30) gives

dO(r) = dO*(r) - 3 ~ A t d d P ( r ) .


The quantity dO(r) is obtained by linearizing (31) and (32) and solving the resulting pair
of equations. This gives

dO(r) = c ( r ) d # * ( r ) ,
c(r) = [a~ + a~\~/)



2As shown by WEnER[1988], in order to compute a fully consistent Jacobian, the variation in Q(T) with
AE should be taken into account. However, for purposes of implementing our algorithm in ABAQUS, we
have had to make this approximation becausethe complete kinematic information required to implement the
exact Jacobian is not available to the user.

Time-integration procedure



at "


31~At~o fl,,


a2 = 3t~at ~s f l -


bl = At ~-~ gl,,


b2 --- I -


t O gl,-

Substituting for d#(r) from (40) into (39), solving for dlP(r) and using (36) we obtain


~u(r) =


atl3#(l - c(r))-t I

Finally, substituting (35), (37), and (46) into (34), using (38) and rearranging, we
~ ( r ) = ,l~(r) - ( 3 / 2 ) g ( r ) - I M ( r ) M ( r ) ,


~ ( r ) -= 2/2(r)(9 - ( 1 / 3 ) 1 1) + xl 1,


~(r) -= ,7(r)t~,


7/(r) -- [1


+ 3





M ( r ) = -~.[N(r)] = 2/~N(r).


Note that ~(7) is the radial-return factor defined in eqn (29). For programming purposes
it is useful to rewrite ~ ( r ) as
e ( r ) = 2t~(r)~l + {K - ( 2 / 3 ) M r ) l l 1 - 2t~l~(r) - c ( r ) l N ( r ) N ( r ) .


Note that as A t --, 0, e --, . When the time step is sufficiently large, the difference
between these two moduli can be substantial. Use o f the moduli d~ instead o f the moduli
e in the Newton procedure can lead to very slow convergence.


A . M . Lush et al.


The constitutive equations and time-integration procedures described in this paper

have been implemented in the implicit finite element code ABAQUS (Version 4.5-159)
(e.g., HmmTX [1984]) by writing a "user material" subroutine. This subroutine, named
UMAT, is called once for each integration point in the model for every global iteration.
Input provided to UMAT consists of the stress I"~ and the internal state variable s~ at
the beginning of the increment, plus the strain increment AE. The quantities Q~+~
(used in calculating "]',) and AE are calculated in ABAQUS by using the HUGHES &
WINGET [1980] algorithm. 3 Output expected from U*IAT consists of the stress T~~
and internal state variable sn+~ at the end of the increment, plus the contribution C to
the Jacobian matrix used in the overall Newton scheme. The procedure implemented in
the user material subroutine to solve (31) and (32) for S~+l and #~+~ is the one outlined
in the Appendix. The generality of ABAQUS's other features, combined with the provision for adding a separate "user material" subroutine, makes ABAQUS an extremely
useful tool for the development and implementation of new constitutive equations.
All ABAQUS calculations presented here were done with a slightly modified version
of its STATIC analysis procedure. The most important modification was to implement
an automatic time-stepping procedure to control the accuracy of the constitutive timeintegrations. This was done by using as a control measure the maximum equivalent plastic tensile strain increment A~maxoccurring at any integration point in the model during the increment. Although it is not a direct measure of the constitutive time-integration
error, this measure was found to be very effective for controlling the accuracy, Efficient
calculations were obtained by keeping A ~ x close to a specified nominal value A ~ .
Accordingly, the automatic time-steeping algorithm operated to keep the ratio

close to 1.0 by adjusting the size of the time increments. After an equilibrium solution
for a time increment/tt, = tn+~ - t~ was found, the value of R was checked to determine whether this solution would be accepted. If R was greater than 1.25, then the solution was rejected and a new time increment was clone that was smaller by the factor
(0.85/R). If R _< 1.25, then the solution was accepted and the value of R was used to
determine the first trial size for the next time increment. The following algorithm was
If 0.8 < R < 1.25 then At,+~ = Ate~R;
if 0.5 < R < 0.8 then Atn+l = 1.25At.;

R _< 0.5 then ,atn+~ = 1.50Atn.

Note that the measure A ~

was allowed to exceed the user specified value b y u p to
257o. This was done to avoid having to recalculate increments that came out just sfighfly
above the specified nominal value but were otherwise essentially acceptable. In the
example problems presented here, a considerable improvement in efficiency was obtained by doing this.
3Improved incrementally objective algorithms have been recently proposed by Huo~ms [1984], N^~T~AAL
REBEtO [1986], and WESER [1988], but we do not go into that matter here.

Time-integration procedure


A second modification to the STATIC procedure in ABAQUS concerned the preliminary iteration that was done for each increment. In this preliminary iteration, ABAQUS
determines the global stiffness matrix that is used to calculate the kinematical estimate
for the first iteration. As part of the procedure, ABAQUS calculates a small trial solution for the kinematical increment in order to establish the loading direction at each integration point. The loading directions are then used for determining the material point
Jacobians. For the example calculations presented here, it was not necessary to use these
preliminary loading directions. Instead, we determined the required Jacobian by extrapolating from the previous increment to approximate the parameters in eqn (53). An
appreciable reduction in computational expense was achieved by suppressing the
kinematic calculation in the preliminary iteration. The extrapolation Jacobian was
obtained by approximating the parameter 7/(~-) by
n ( r ) ~- 0 ( t ) / { e ( t )

+ 3~At~P(t)}.

If $(t) was small enough for SP(t) to be negligible, then it was assumed that ~(~') --- 1.
Equation (41) was used to evaluate c(r), although the parameters am, a2, bm, and b2
defined in eqns (42) through (45) were evaluated using the derivatives of f and g at the
beginning of the increment, instead of at the end. Finally, it was assumed that the direction N(r) was the same as N(t).
Specific constitutive f u n c t i o n s

The specific constitutive functions f and g used in our example problems are the following isothermal version of the functions for high temperature deformations proposed
recently by BaowN, K ~ A~Am~ [1989]:
gP = f ( O , s ) = A[sinh(~O/s)] m/.,
= g(O,s) = h(O,s)f(O,s).

The function h had two possible expressions, depending on whether s is less than or
greater than a saturation value s* given by
$* = g [ $ P l A } n.

When s _< s*,

h ( O , s ) = boil - (s/s*)] ~.

When s > s*,

h ( O , s ) = - h o [ ( S / S * ) - 1 la.

In both expressions, the functional dependence of h upon a comes from its appearance
in s*. For our example calculations, we have used the data given in Table 1 for Al
1100-O at 400C taken from Bnow~, ~
a ANAND [1989].


A . M . Lush e t a / .

Table 1. Material parameters for AI t i 0 0 - O at 673 K

(BRowy et al. [1989])

Material Parameter


4.75 10 -~ sec -~

29.7 MP a
1115.6 MP a
18.92 MPa
20.2 G P a
66.0 G P a


Preliminary uniaxial calculations

The performance of the time-integration procedure for the chosen constitutive functions was first evaluated using a uniaxial simulation computer program. Automatic timestepping using the scheme described above was implemented in the uniaxial program.
With this program, the efficiency of the iterative schemes given in the Appendix was
evaluated, and the effect on the accuracy o f different sized equivalent plastic tensile
strain increments was determined.
Figure 1 presents the uniaxial stress-strain results obtained for a constant strain rate
case (0.01 see -I) with equivalent tensile plastic strain increments of 270 and 1070. For
comparison, an extremely accurate reference curve obtained by using an explicit Euler
forward time-integration procedure and 40000 time increments is included in the figure.
It is seen that the results obtained with 270 strain increments are quite accurate, with
a maximum error of only 1.270 in stress at any fixed amount of strain. The calculation
with 10% strain increments was less accurate, as expected, with a maximum error of
4.2%. Note that the "elastic strain" was around 0.03% during the response. Therefore,





O ,

Euler backward:

2~; s t r a i n

Euler backward:

10~. s t r a i n


, , , , , , , , I , , , , t , , , l l . . , J t J , , , I , , , J , , J t l





Fig. 1. Uniaxial tension results for A L 1100-4) at 673 K with a constant strain rate of O.01/sec.

Time-integration procedure


the plastic strain increments were around 70 times the elastic strain for the 270 case, and
around 350 times the elastic strain for the 10070 case. The small errors observed in Fig. 1
are due primarily to the approximate integration of ~ given by eqn (21). For example,
in the accurate reference calculation the average value of $ during the first 10070 of strain
history was 0.649 MPa/sec, whereas for the first increment in the calculation with 10070
strain increments, the calculated value g(e,+~ ,s,+t) was only 0.497 MPa/sec. Consequently, the change in s during the first increment of the 10070 case was in error by
23.3070, leading to a 4.2070 error in s,+l which in turn led to a similar error in the stress
magnitude e,+l. Based on the results in Fig. 1, a 2070 limit on equivalent plastic tensile
strain increments was chosen for all subsequent calculations in this paper to ensure that
accurate results were obtained.
As described in the Appendix, a two-level iterative procedure was used to solve
eqns (31) and (32) for all calculations in this paper. It worked especially well for the
constant strain rate uniaxial calculations. As listed in Table 2, for the 2070 case in Fig. 1,
an average of 1.7 Level 1 iterations were required per increment, with a maximum of
3. In addition, an average of 1.1 Level 2 iterations were required for each Level 1 iteration, with a maximum of 3. For the 10070 case in Fig. 1, an average of 2.7 Level I iterations were required per increment, with a maximum of 4, and an average of 1.3 Level
2 iterations were required for each Level 1 iteration, with a maximum of 2. Note that
only 4 Level 1 iterations, each requiring at most 2 Level 2 iterations, were required when
a 10% plastic strain increment was taken starting from a stress-free state. Note also that
only one iteration was required at both levels for many increments in the 2070 case. This
means that the forward gradient starting estimates were accurate enough in these increments. It may be concluded that the iterative scheme performed very efficiently for this
Figure 2 presents the uniaxial stress-strain result obtained for an example problem
in which three abrupt strain rate changes occurred. The strain rate was initially 0.001
sec - t , jumping to 0.01 sec -t after 10070 strain had accumulated, and again to 0.1 sec -~
after 20% strain had accumulated. Finally, the strain rate was abruptly decreased to
0.001 sec -~ after 3070 strain had accumulated. For comparison, an extremely accurate
reference curve that was obtained by using an explicit Euler forward time-integration
procedure and approximately 40000 time increments is included in Fig. 2. It is seen that
the Euler backward result is quite accurate. This problem was a good test of the automatic time-stepping algorithm. Each time the strain rate was increased, the first attempt

Table 2. Statistics for the constitutive level iterations at material points for the example calculations
Level 1 iterations

Level 2 iterations
Level 1 iteration

Uniaxial (2% inc.)

1.7 ave
3 max

1.1 ave
3 max

Uniaxial (10% inc.)

2.7 ave
4 max

1.3 ave
2 max


1.1 ave
3 max

1.6 ave
6 max

Plane-strain forging

1.1 ave
5 max

1.9 ave
6 max



A.M. LUSHet aL





I .........

I .........




I .........
I ~=.001/sec




Euler backward: 2% strain inc.




















Fig. 2. Uniaxial tension results with abrupt strain rate changes for AL 1100-O at 673 K.

at the next increment resulted in a plastic strain increment that was too large, and the
increment had to be redone. On the other hand, when the strain rate was decreased by
a factor of 100, the automatic time-stepping algorithm could only increase the increment
size by 50070 with each successive increment. Consequently, it took 13 increments for the
algorithm to adjust the increment size appropriately.
Upset f o r g i n g e x a m p l e

As a simple metal-forming example, the proto-typical problem o f isothermal upset

forging o f a cylindrical billet was solved and c o m p a r e d with experimental results. To
simplify the calculation while maintaining the important features, the dies were modeled
as being rigid, with sticking friction acting to prevent sliding between the billet and die
faces when in contact. This friction caused barreling of the billet, with the material near
the corners folding over to come in contact with the dies. Consequently, this example
problem exhibits the realistic features of inhomogeneous deformation, with variable
rates o f straining at material points and time-varying die contact geometry. The billet
was 12.7 m m in diameter and 19.05 m m in height. For the calculations presented here,
the height o f the billet was reduced by 5970 in 90.0 sec, corresponding to a nominal
strain rate o f 0.01 see -I .
Figure 3 shows the finite element mesh containing 107 four-noded axisymmetric elements 4 (ABAQUS type CAX4). Near the c o m e r where roll-over occurs, the elements are
triangular in shape to a c c o m m o d a t e this deformation mode. Symmetry in the problem
allowed a ~ model o f the billet to be used. The die face was modeled as a rigid surface
and the external surface o f the model was covered with interface elements (ABAQUS
type IRS21A) to model the contact conditions.

4These elements in ABAQUS address the problem of mesh-lockingin (near) incompressible situations by
using the method of NAGI~G.~I.,PARKS~, RICE[1974].

Time-integration procedure








Fig. 3. Finite element mesh for axisymmetric upsetting problem.

Figure 4 shows the history of total die force versus die displacement for this calculation. An experimental result is included in the figure for comparison. Apart from the
initial load-up region, the agreement is excellent. The discrepancy between the calculated
and the experimental force/stroke curves in the initial regions is because the experimental data are the raw data, and it has not been corrected for the load-train compliance.
Note that jumps in die force occur in the calculated result whenever new nodes came
in contact with the die.
Figure 5 shows the deformed finite element mesh superposed on the undeformed mesh
after 59% height reduction. The billet is seen to have expanded radially by a considerable amount. Five elements have folded over and come in contact with the die.
Figure 6 shows contours of equivalent tensile plastic strain after 59% upsetting. A
"dead zone" with less equivalent plastic strain is seen in the upper left portion of the
mesh. It results from constrained radial flow due to frictional forces from the die. A
zone of more intense plastic flow is seen in the upper right corner of the mesh. This was












Fig. 4. Die force versus die stroke for axisymmetric upsetting of an AL 1100 billet at 673 K.


A, M. Lush et al.






, . . . . .








J , * l l l l l * t l
, o l l , l o o l ~ l
t t I D l l l , l * l
I * * l * l l t t * l



| l l , | * * l l l ,
i , i J l * * l , J a

Fig. 5. Results for the upsetting problem after 59% height reduction.










Fig. 6. Contours of equivalent tensile plastic strain.

][ D .













Fig. 7. Contours of deformation resistance s (in MPa).

associated with foldover o f the elements at the corner. Figure 7 shows contours o f the
deformation resistance s after 59% upsetting. A region o f softer material is seen at the
upper left in the figure, corresponding to the dead zone.
This calculation required 167 increments and a total solution time o f 4900 seconds on
a Data General MVI0000 machine. A n average o f 2.1 global iterations per increment
was required in this calculation to obtain the converged solution. It was not necessary
to repeat any increments due to excessive plastic strain increments or nonconvergence
o f the global iterations, although 6 global iterations were required for the first time
increment in the calculation, during which 13 nodes came in contact with the upper die.



The average value of the control measure R for the increments in this calculation was
0.96, indicating that the automatic time-stepping algorithm was controlling the calculation very effectively. Statistics of the constitutive level iterations for this problem are
given in Table 2. It may be concluded that the rate-dependent solution procedure described in this paper worked very well for this problem.

Plane-strain forging example

A miniature, hot, isothermal, closed die forging test was performed on aluminum
1I00 for the purpose of comparing the predictions of our constitutive equations and
computational procedures against experimental results from an actual forging operation.
The plane-strain forging process converted the cross section of a cylindrical aluminum
billet from a circular to a cruciform shape, as shown in Fig. 8. Proper sizing of the billet
ensured that the dies would be filled, and that a small amount of flash would be produced. An oil-based graphite lubricant was applied to the die and billet surfaces to minimize the effects of friction. The temperature of the billet and dies was maintained at
400C. Isothermal conditions were approximated by loading at a slow rate of 0.1
mm/sec. This forging example exhibits many important features such as: (a) nonhomogeneous deformation, (b) variable regions of contact between billet and dies, (c) timevarying deformation rates at material points, and (c) rapid rise of total die force when
the dies became filled.
In the finite element analysis it was assumed that there were two planes of symme-

Fig. 8. Schematic of the plane-strain forging process converting a billet from


circular to cruciformcross


A . M . LUSH e t ul.




Fig. 9. Finite element model for plane-strain forging problem.

try in the specimen and dies. Accordingly, only one quadrant of the specimen was
modeled, as shown in Fig. 9. A total of 96 ABAQUS type CPESR elements were used
for the model. These are eight-noded plane strain elements with "reduced" (2 x 2 Gaussian) integration. [These elements in ABAQUS address the problem of mesh-locking in
(near) incompressible situations by using reduced integration of the hydrostatic pressure.] The die was modeled as a translating rigid surface. Contact conditions between
specimen and die were modeled by covering the outer surface of the specimen with
plane-strain interface elements (ABAQUS type IRS22), which prevented penetration of
the die surface. Preliminary studies showed that the friction coefficient between the billet
and dies was close to zero with the lubricant used. Therefore, contact in the finite element calculations was modeled as frictionless. The specified value for maximum increments in equivalent tensile plastic strain was 270. The complete calculation required 19
hours on a Data General MV10000 computer. A total of 485 time increments were taken
to simulate the forging process. Figure 10 compares the die load versus stroke result for





Die s t r o k e - m m
Fig. 10. Die force versus die stroke for plane-strain forging of an A L I 100 billet at 673 K.

Time-integration procedure


this calculation with the experimental data. Overall, the agreement between the measured and predicted die load is very good.
Figure 11 shows the finite element mesh after several stages of deformation. Until
around 4 mm of stroke, the material flow is seen to be predominantly horizontal. When
the die becomes filled in this direction, the flow pattern changes and the load is seen to
rise in Fig. 10. Horizontal die filling occurred at a slightly smaller die stroke in the experiment than in the finite element calculation, but this can be attributed to slight imperfections in the die shape and asymmetry in the flow, which were not modeled. Frictional
effects associated with breakdown of the lubricant layer as a result of large sliding
motions may also have contributed to the discrepancy between the calculated and measured die force versus stroke curves. Contours of equivalent plastic tensile strain after
5.43 mm die stroke are shown in Fig. 12. Contours of internal variable s after 5.43 mm








3. Sg






5. RQ





Fig. 11. Finite element mesh after several stages of deformation for the plane-strain forging problem.


A . M . Lush e t a / .


8. Q

Fig. 12. Contours of equivalent plastic tensile strain after 5.43 mm die stroke in the plane-strain forging

die stroke are shown in Fig. 13. Note that two solid lines are included in Figs. 12 and
13 to indicate the boundaries within the element mesh across which the mesh density was
Referring to Fig. 11 again, the elements in the region where flash is being produced
are seen to be severely distorted. Clearly, the calculation would have benefitted from
a remeshing operation. In the flash region the plastic flow rate is very high causing the
allowable time step to be very small. Consequently, 447o of the increments were
required to complete the last 1.43 mm of stroke.
This calculation was a good test of the time-integration procedure. Statistics for the
constitutive level integrations are given in Table 2. The number of iterations taken at
each level are small, and this illustrates the rapid convergence of the two-level iteration
scheme in a non-trivial problem.
It is important to note that ABAQUS encountered some difficulties with the global
iterations for this problem. A total of 43 increments had to be repeated with smaller



Fig. 13. Contours of internal variable s after 5.43 mm die stroke in the plane-strain forging problem.

Time-integration procedure


time increments due to nonconvergence. In every instance, the nonconvergence occurred

just after a node contacted the dies. It is thought that the difficulty was associated with
the extremely soft material point Jacobian combined with the abrupt changes in flow
direction that occurred after contacts with the dies. To support this assertion, a numerical experiment was done in which the material point Jacobians were stiffened artificially
in their softest direction (direction Nn+~). This made a considerable improvement in
the convergence characteristics of the problem for increments where contacts occurred,
but the quadratic convergence properties of the global Newton method were compromised at other times. Clearly, what is needed is a more intelligent global iteration
scheme than the straightforward Newton-Raphson method. Even with the convergence
problems which limited the increment size at times, the average value of the control
measure R was 0.80 for the increments in this calculation, with only 32o7/oof the increments having R < 0.8. Therefore, the overall efficiency of this calculation is considered
reasonably good.

We have formulated, implemented and evaluated the performance of a stable, implicit

time-integration procedure 5 for a generic class of isotropic, rate-dependent constitutive
equations for elastic-plastic materials. These constitutive equations are a natural, more
physical generalization of the classical J2 rate-independent flow theory, and the timeintegration procedure is a generalization of the classical radial-return algorithm. These
two features of this work make it well suited for wide use in large-scale computations.
Acknowledgements-The substantial technical input from D.M. Parks is gratefully acknowledged. The experiments were performed by K.H. Kim and S. Hashimoto; their help is acknowledged. The primary financial
support for this work was provided by the U.S. National Science Foundation (Contract No. MEA-8315117),
and partial support was provided by the U.S. Army Materials and Technology Laboratory. (Contract No.
DAA46-K-0021). All computations were performed on a Data General MVI0000 computer donated to M.I.T.
by Data General Corporation.


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SFor plane stress problems, in which the out-of-plane strain components are not defined kinematically,
some modifications to the time-integration procedure will be necessary.




A . M . LUSHet at.

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Models," ASME Journal of Pressure Vessel Technology, 101, 226.
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15, 1862.
KUMAR,V., MORJARIA,U., and MtJKHERJEE,S., "Numerical Integration of Some Stiff Constitutive
Models of Inelastic Deformation," ASME Journal of Engineering Materials and Technology, 102, 92.
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Ltd., Swansea, UK.
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ZIRtN,R.M. and KREMPL, E., "A Finite Element Time-lntegration Method for the Theory of Viscoplasticity Based on Infinitesimal Total Strain," ASME Journal of Pressure Vessel Technology, 104,
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a New Hybrid-Stress Finite Element Algorithm," Computer Methods in Applied Mechanics and Engineering, 39, 245.
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Elastic-Viscoplastic Material Model," Intl. J. for Numerical Methods in Eng., 20, 1613.
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J.F.T., ZmNxm,aqcz, O.C., WooD, R.D., and ALEXANDER,J.M.
(eds.), Numerical Analysis of Forming Processes, John Wiley & Sons Ltd., New York, pp. 351-371.
PEIRCE,D., SHLH, C.F., and NEEDLe,N, A., " A Tangent Modulus Method for Rate Dependent
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!, 213.
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of internal variable type elasto-viscoplastic constitutive equations," Report of Research in Mechanics of Materials, Department of Mechanical Engineering, M.I.T.
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Time-integration procedure




gram for Analysis of Forming Processes," in MArrL~SSOS, K., SAMUELSSOr~,A., WOOD, R.D., and
ZmNgmWlCZ, O.C. (eds.), Proceedings of the 2nd International Conference on Numerical Methods
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Department of Mechanical Engineering, Room 1-310

Massachusetts Institute of Technology
77 Massachusetts Avenue
Cambridge, MA 02139, USA

(Received 17 September 1987; in final revised form 22 May 1988)


In Section III the time-integration procedure resulted in the equations

s . + l - s. - z a t g ( O . + l , s . + l )

= O,


6.+1 - 07~+1 + 3 1 x A t f ( # n + t , s n + l )

= 0


for determining s.+~ and 0.+1, where the subscript n designates that the quantity is evaluated at time t. and the subscript n + 1 designates that the quantity is evaluated at time
t.+~. In general, these equations can only be solved by iterative means. A two-level
iteration scheme has been found to work well for all functions f and g that have been
tried by the authors. The main iterative loop, denoted Level 1, operates to solve eqn (A. 1)
for s.+,, as follows. First, an estimate is made for s.+l. Next, eqn (A.2) is solved to
find the value #.+t that is consistent with the estimate s.+t. Solution of eqn (A.2) is
done using a bounded Newton-Raphson iteration scheme, which is denoted Level 2. The
consistent pair (0.+~ ,S.+l) are substituted in eqn (A.1) to determine whether the error
is within the prescribed tolerance. If not, the estimate for s.+l is corrected using a
Newton-Raphson scheme and the procedure is repeated.
Initial estimates are needed for 0.+1 and s.+l to start the iterations. A forward gradient approximate solution of the two governing equations is used. The functionsfand
g are approximated by Taylor's series expansions about the beginning state (O.,s.),
f.+, - f. + ~
(a., - ~.) + 7s. (s.+, - s.).


g.+, -- g. + ~


(a.+~ - a.) + Ts. (s.+, - s.).


A.M. Lusrl et aL

Substitution of these expressions in the governing equations gives

6~+~ ~ 6~ + I b2[~*+, - 6. - 3l~Atf.} - a..Atg., I + azbl

S.+I = S. + I b)[f*+l - - 6 . - - 3lxAtfnl + alAtg~ I

bza~ + a2bt

al -- 1 + 3t~At Of.
a. -- 3t~At Of'---z'



bl = At 36~'

b2 - 1 - A t Og~
Level 1 iterations
The following steps are done for a generic iteration k, in which a trial value s~+l is
being tested for satisfaction of eqn (A.I).
Step I. Determine the value 6~+~ that satisfies eqn (A.2) by performing the Level 2
iterations. The derivative da,+~/ds,+
k ~ is also determined, where it is understood that #~+l is'viewed implicitly in Level 2 as being a function of s~+~.
Step 2. Determine the error Eft associated with the estimate s~+t:
E: = sL,

- s . - ,a t g L t,

g nk+ l -~

g(O~+t ,Sn+l)

Step 3. Compare E~ with a suitable tolerance TOLs. If

IEkl--< TOLs,
the scheme has converged and s,+l = s~+~ and #,+t = #~+l. A good value for
TOLs has been found to be 10 -5 s,. Iteration continues if convergence has
not been obtained.

Time-integration procedure


Step 4. Calculate the Newton-Raphson correction ASk:

AS k =

dE~/ds~+ l '



I c)g~+l Og~+l d#~+l 1 "


Step 5. The estimate for the next iteration is


snk+z+ A s k.

Step 6. The initial estimate to start the next Level 2 iterations is


~.k+l = #~+l + ~

~.+ l

dSk+ l

As k.

Level 2 iterations
The following steps are done for a generic Level 2 iteration i, where the value s~+~
(for iteration k in Level 1) is specified and the value #ff~.] is being tested for satisfaction
of eqn (A.2).
Step 1. Determine the error Eok'~ associated with a-k,i

Eko,i = a.+l
-k,i - O*+t + 3pAtfff$il,

fn~i __f ( #n~',, snk+,).

Step 2. Compare Eok.i with a suitable tolerance TOLo. If

JE~'il < TOLo,

the scheme has converged and #~+l = #.~/l A good value for TOLo has been
found to be 10-5#*+1. If convergence has been obtained, the derivative


1 + 3#At(

is calculated for use in Level 1. Iteration continues if convergence has not

been obtained.


A . M . Lush et al.

Step 3. Calculate the Newton-Raphson correction Ao~,#.k,'-

dE~'k i /don;

k,i 1
Of n+
k,-------C= 1 + 3t~At *k,----'--C"
dan+ I
Step 4. Based upon the sign of the Newton-Raphson correction, update either the
upper bound O,ppe, or the lower bound Glower for O~+~, and then calculate the
maximum allowable correction, as given by a quasi-bisection scheme. If
A o ~ < 0, then
Gupper ~ On+
~k,i I

A O m a x = 2 (Olwer - - On+l).

If Ao~qk > O, then

Glower ~ On+l

A O m a x ~ Guppe r - - On+ 1.

Step 5. Determine which correction is to be used. If ] A o ~ k l > IAam~xl, then

/iGk, i

= A amax.

A{~ k,i ~__ A G Nk,i

Step 6. The estimate for the next iteration is

k , i +=l

~k i
A o k , i.
On~dl +

Each time the Level 2 iterations are performed, it is necessary to initialize the bounds
#up~r and #tower- The initial lower bound atower is always zero. The initial upper bound
is determined as follows. Given that
for iteration k in Level 1 (with estimate s;,+~)
from eqn (A.2) that
#~+l and f(Ok+l k
On+ I ~ Gtt+l,


Time-integration procedure


f(#~+t,s~+l) < #'~+.___L



Equation (A.3) gives an upper bound for #~+~ directly. Assuming that the function f
can be inverted, i.e.,
O= f-I(~P,s),

eqn (A.4) gives

[ #,:+1 s ~-

kn+' < f - ' ~3#At' "+']"


The smaller of the bounds given by eqns (A.3) and (A.5) is used to initialize #upper.
Note that eqns (A.3) and (A.5) correspond to the limiting cases where elastic and plastic
strain increments dominate the response, respectively. In many cases the correct solution may be very close to one of these hounds. Therefore, when the Nex~on-Raphson
correction is positive a sufficiently large correction is allowed by the bounding scheme
to place the next estimate ~,n+l
=k.i+l at the upper bound.
If the bounds are not enforced in Level 2, a large number of iterations could be
required because eqn (A.2) is very nonlinear for large strain increments and typical functions f. When an estimate on'k'i+~is too large, the Newton-Raphson correction is too
small, causing the iterations to converge very slowly from above. On the other hand,
when an estimate on+~'k'~is tOO small the Newton-Raphson correction is generally too
large, and the next iteration starts another slow convergence from above. It is these cases
with large strain increments for which eqn (A.5) provides an upper bound that is very
close to the correct solution, and the problems with slow convergence are eliminated.
If the function f c a n n o t be inverted, then #,~+~ is the only upper bound that is available, and a different iterative scheme should be used for Level 2. In this case, the expresk,i ~k,i and the new
sion for the error E~'i should be divided by the factor 1 + 3#Atf~n+i/On+l,
error tolerance ,,,m-sx'k'i,,n+~should be used. A different expression also results for dE~.i/
This modification increases the Newton-Raphson correction when the estimate
-k.i 1 is too large, improving the convergence characteristics considerably.
Many alternative procedures for solving the two governing equations were tried before
the procedure presented here was chosen. A two-variable Newton-Raphson method was
tried first, but the iterations often diverged unless very accurate initial estimates for
sn+~ and 5n+t were used. The above forward gradient approximate solution did not
provide sufficiently accurate initial estimates in many cases because the functionsfand
g were not well represented by the simple Taylor's series expansions. Much better convergence was obtained by using the forward gradient solution for sn+, together with a
consistent value for ~n+, that was calculated using the Level 2 iterative scheme. This
worked well because in general, the convergence problems resulted from poor initial estimates for an+j, and the Level 2 iterations provided a much improved initial estimate
for ~,,+,. Even with these improved starting values, it was still possible for the twovariable Newton-Raphson iterative procedure to diverge when the forward gradient
solution for sn+~ was not very accurate. In contrast, the two-level iterative scheme presented in this appendix has performed well in all cases tested to date.