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Duality Principles and Numerical Procedures for a Large Class of Non-convex Models in the Calculus of Variations

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14 February 2023

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15 February 2023

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Abstract
This article develops duality principles and numerical results for a large class of non-convex variational models. The main results are based on fundamental tools of convex analysis, duality theory and calculus of variations. More specifically the approach is established for a class of non-convex functionals similar as those found in some models in phase transition. Finally, in the last section we present a concerning numerical example and the respective software.
Keywords: 
Subject: Computer Science and Mathematics  -   Applied Mathematics

MSC:  49N15

1. Introduction

In this section we establish a dual formulation for a large class of models in non-convex optimization.
The main duality principle is applied to double well models similar as those found in the phase transition theory.
Such results are based on the works of J.J. Telega and W.R. Bielski [2,3,14,15] and on a D.C. optimization approach developed in Toland [16].
About the other references, details on the Sobolev spaces involved are found in [1]. Related results on convex analysis and duality theory are addressed in [5,6,7,9,13].
Finally, in this text we adopt the standard Einstein convention of summing up repeated indices, unless otherwise indicated.
In order to clarify the notation, here we introduce the definition of topological dual space.
Definition 1.1
(Topological dual spaces). Let U be a Banach space. We shall define its dual topological space, as the set of all linear continuous functionals defined on U. We suppose such a dual space of U, may be represented by another Banach space U * , through a bilinear form · , · U : U × U * R (here we are referring to standard representations of dual spaces of Sobolev and Lebesgue spaces). Thus, given f : U R linear and continuous, we assume the existence of a unique u * U * such that
f ( u ) = u , u * U , u U .
The norm of f , denoted by f U * , is defined as
f U * = sup u U { | u , u * U | : u U 1 } u * U * .
At this point we start to describe the primal and dual variational formulations.may be added if there are patents resulting from the work reported in this manuscript.

2. A General Duality Principle Non-Convex Optimization

In this section we present a duality principle applicable to a model in phase transition.
This case corresponds to the vectorial one in the calculus of variations.
Let Ω R n be an open, bounded, connected set with a regular (Lipschitzian) boundary denoted by Ω .
Consider a functional J : V R where
J ( u ) = F ( u 1 , , u N ) + G ( u 1 , , u N ) u i , f i L 2 ,
and where
V = { u = ( u 1 , , u N ) W 1 , p ( Ω ; R N ) : u = u 0 on Ω } ,
f L 2 ( Ω ; R N ) , and 1 < p < + .
We assume there exists α R such that
α = inf u V J ( u ) .
Moreover, suppose F and G are Fréchet differentiable but not necessarily convex. A global optimum point may not be attained for J so that the problem of finding a global minimum for J may not be a solution.
Anyway, one question remains, how the minimizing sequences behave close the infimum of J.
We intend to use duality theory to approximately solve such a global optimization problem.
Denoting V 0 = W 0 1 , p ( Ω ; R N ) , Y 1 = Y 1 * = L 2 ( Ω ; R N × n ) , Y 2 = Y 2 * = L 2 ( Ω ; R N × n ) , Y 3 = Y 3 * = L 2 ( Ω ; R N ) , at this point we define, F 1 : V × V 0 R , G 1 : V R , G 2 : V R , G 3 : V 0 R and G 4 : V R , by
F 1 ( u , ϕ ) = F ( u 1 + ϕ 1 , , u N + ϕ N ) + K 2 Ω u j · u j d x + K 2 2 Ω ϕ j · ϕ j d x
and
G 1 ( u 1 , , u n ) = G ( u 1 , , u N ) + K 1 2 Ω u j u j d x u i , f i L 2 ,
G 2 ( u 1 , , u N ) = K 1 2 Ω u j · u j d x ,
G 3 ( ϕ 1 , , ϕ N ) = K 2 2 Ω ϕ j · ϕ j d x ,
and
G 4 ( u 1 , , u N ) = K 1 2 Ω u j u j d x .
Define now J 1 : V × V 0 R ,
J 1 ( u , ϕ ) = F ( u + ϕ ) + G ( u ) u i , f i L 2 .
Observe that
J 1 ( u , ϕ ) = F 1 ( u , ϕ ) + G 1 ( u ) G 2 ( u ) G 3 ( ϕ ) G 4 ( u ) F 1 ( u , ϕ ) + G 1 ( u ) u , z 1 * L 2 ϕ , z 2 * L 2 u , z 3 * L 2 + sup v 1 Y 1 { v 1 , z 1 * L 2 G 2 ( v 1 ) } + sup v 2 Y 2 { v 2 , z 2 * L 2 G 3 ( v 2 ) } + sup u V { u , z 3 * L 2 G 4 ( u ) } = F 1 ( u , ϕ ) + G 1 ( u ) u , z 1 * L 2 ϕ , z 2 * L 2 u , z 3 * L 2 + G 2 * ( z 1 * ) + G 3 * ( z 2 * ) + G 4 * ( z 3 * ) = J 1 * ( u , ϕ , z * ) ,
u V , ϕ V 0 , z * = ( z 1 * , z 2 * , z 3 * ) Y * = Y 1 * × Y 2 * × Y 3 * .
Here we assume K , K 1 , K 2 are large enough so that F 1 and G 1 are convex.
Hence, from the general results in [16], we may infer that
inf ( u , ϕ ) V × V 0 J ( u , ϕ ) = inf ( u , ϕ , z * ) V × V 0 × Y * J 1 * ( u , ϕ , z * ) .
On the other hand
inf u V J ( u ) inf ( u , ϕ ) V × V 0 J 1 ( u , ϕ ) inf u V Q J ( u ) = inf u V J ( u ) ,
where Q J ( u ) refers to a standard quasi-convex regularization of J.
From these last two results we may obtain
inf u V J ( u ) = inf ( u , ϕ , z * ) V × V 0 × Y * J 1 * ( u , ϕ , z * ) .
Moreover, from standards results on convex analysis, we may have
inf u V J 1 * ( u , ϕ , z * ) = inf u V { F 1 ( u , ϕ ) + G 1 ( u ) u , z 1 * L 2 ϕ , z 2 * L 2 u , z 3 * L 2 + G 2 * ( z 1 * ) + G 3 * ( z 2 * ) + G 4 * ( z 3 * ) } = sup ( v 1 * , v 2 * ) C * { F 1 * ( v 1 * + z 1 * , ϕ ) G 1 * ( v 2 * + z 3 * ) ϕ , z 2 * L 2 + G 2 * ( z 1 * ) + G 3 * ( z 2 * ) + G 4 * ( z 3 * ) } ,
where
C * = { v * = ( v 1 * , v 2 * ) Y 1 * × Y 3 * : div ( v 1 * ) i + ( v 2 * ) i = 0 , i { 1 , , N } } ,
F 1 * ( v 1 * + z 1 * , ϕ ) = sup v 1 Y 1 { v 1 , z 1 * + v 1 * L 2 F 1 ( v 1 , ϕ ) } ,
and
G 1 * ( v 2 * + z 2 * ) = sup u V { u , v 2 * + z 2 * L 2 G 1 ( u ) } .
Thus, defining
J 2 * ( ϕ , z * , v * ) = F 1 * ( v 1 * + z 1 * , ϕ ) G 1 * ( v 2 * + z 3 * ) ϕ , z 2 * L 2 + G 2 * ( z 1 * ) + G 3 * ( z 2 * ) + G 4 * ( z 3 * ) ,
we have got
inf u V J ( u ) = inf ( u , ϕ ) V × V 0 J 1 ( u , ϕ ) = inf ( u , ϕ , z * ) V × V 0 × Y * J 1 * ( u , ϕ , z * ) = inf z * Y * inf ϕ V 0 sup v * C * J 2 * ( ϕ , z * , v * ) .
Finally, observe that
inf u V J ( u ) = inf z * Y * inf ϕ V 0 sup v * C * J 2 * ( ϕ , z * , v * ) sup v * C * inf ( z * , ϕ ) Y * × V 0 J 2 * ( ϕ , z * , v * ) .
This last variational formulation corresponds to a concave relaxed formulation in v * concerning the original primal formulation.

3. Another Duality Principle for a Simpler Related Model in Phase Transition with a Respective Numerical Example

In this section we present another duality principle for a related model in phase transition.
Let Ω = [ 0 , 1 ] R and consider a functional J : V R where
J ( u ) = 1 2 Ω ( ( u ) 2 1 ) 2 d x + 1 2 Ω u 2 d x u , f L 2 ,
and where
V = { u W 1 , 4 ( Ω ) : u ( 0 ) = 0 and u ( 1 ) = 1 / 2 }
and f L 2 ( Ω ) .
A global optimum point is not attained for J so that the problem of finding a global minimum for J has no solution.
Anyway, one question remains, how the minimizing sequences behave close the infimum of J.
We intend to use duality theory to approximately solve such a global optimization problem.
Denoting V 0 = W 0 1 , 4 ( Ω ) , at this point we define, F : V R and F 1 : V × V 0 R by
F ( u ) = 1 2 Ω ( ( u ) 2 1 ) 2 d x ,
and
F 1 ( u , ϕ ) = 1 2 Ω ( ( u + ϕ ) 2 1 ) 2 d x .
Observe
F ( u ) inf ϕ V 0 F 1 ( u , ϕ ) Q F ( u ) , u V ,
where Q F ( u ) refers to a quasi-convex regularization of F .
We define also
F 2 : V × V 0 R ,
F 3 : V × V 0 R
and
G : V × V 0 R
by
F 2 ( u , ϕ ) = 1 2 Ω ( ( u + ϕ ) 2 1 ) 2 d x + 1 2 Ω u 2 d x u , f L 2 ,
F 3 ( u , ϕ ) = F 2 ( u , ϕ ) + K 2 Ω ( u ) 2 d x + K 1 2 Ω ( ϕ ) 2 d x
and
G ( u , ϕ ) = K 2 Ω ( u ) 2 d x + K 1 2 Ω ( ϕ ) 2 d x
Observe that if K > 0 , K 1 > 0 is large enough, both F 3 and G are convex.
Denoting Y = Y * = L 2 ( Ω ) we also define the polar functional G * : Y * × Y * R by
G * ( v * , v 0 * ) = sup ( u , ϕ ) V × V 0 { u , v * L 2 + ϕ , v 0 * L 2 G ( u , ϕ ) } .
Observe that
inf u U J ( u ) inf ( ( u , ϕ ) , ( v * , v 0 * ) ) V × V 0 × [ Y * ] 2 { G * ( v * , v 0 * ) u , v * L 2 ϕ , v 0 * L 2 + F 3 ( u , ϕ ) } .
With such results in mind, we define a relaxed primal dual variational formulation for the primal problem, represented by J 1 * : V × V 0 × [ Y * ] 2 R , where
J 1 * ( u , ϕ , v * , v 0 * ) = G * ( v * , v 0 * ) u , v * L 2 ϕ , v 0 * L 2 + F 3 ( u , ϕ ) .
Having defined such a functional, we may obtain numerical results by solving a sequence of convex auxiliary sub-problems, through the following algorithm.
1.
Set K 150 and K 1 = K / 20 and 0 < ε 1 .
2.
Choose ( u 1 , ϕ 1 ) V × V 0 , such that u 1 1 , K / 4 and ϕ 1 1 , K / 4 .
3.
Set n = 1 .
4.
Calculate ( v n * , ( v 0 * ) n ) solution of the system of equations:
J 1 * ( u n , ϕ n , v n * , ( v 0 * ) n ) v * = 0
and
J 1 * ( u n , ϕ n , v n * , ( v 0 * ) n ) v 0 * = 0 ,
that is
G * ( v n * , ( v 0 * ) n ) v * u n = 0
and
G * ( v n * , ( v 0 * ) n ) v 0 * ϕ n = 0
so that
v n * = G ( u n , ϕ n ) u
and
( v 0 * ) n * = G ( u n , ϕ n ) ϕ
5.
Calculate ( u n + 1 , ϕ n + 1 ) by solving the system of equations:
J 1 * ( u n + 1 , ϕ n + 1 , v n * , ( v 0 * ) n ) u = 0
and
J 1 * ( u n + 1 , ϕ n + 1 , v n * , ( v 0 * ) n ) ϕ = 0
that is
v n * + F 3 ( u n + 1 , ϕ n + 1 ) u = 0
and
( v 0 * ) n + F 3 ( u n + 1 , ϕ n + 1 ) ϕ = 0
6.
If max { u n u n + 1 , ϕ n + 1 ϕ n } ε , then stop, else set n : = n + 1 and go to Item 4.
For the case in which f ( x ) = 0 , we have obtained numerical results for K = 1500 and K 1 = K / 20 . For such a concerning solution u 0 obtained, please see Figure 1. For the case in which f ( x ) = sin ( π x ) / 2 , we have obtained numerical results for K = 100 and K 1 = K / 20 . For such a concerning solution u 0 obtained, please see Figure 2.
Remark 3.1.
Observe that the solutions obtained are approximate critical points. They are not, in a classical sense, the global solutions for the related optimization problems. Indeed, such solutions reflect the average behavior of weak cluster points for concerning minimizing sequences.

4. A Convex Dual Variational Formulation for a Third Similar Model

In this section we present another duality principle for a third related model in phase transition.
Let Ω = [ 0 , 1 ] R and consider a functional J : V R where
J ( u ) = 1 2 Ω min { ( u 1 ) 2 , ( u + 1 ) 2 } d x + 1 2 Ω u 2 d x u , f L 2 ,
and where
V = { u W 1 , 2 ( Ω ) : u ( 0 ) = 0 and u ( 1 ) = 1 / 2 }
and f L 2 ( Ω ) .
A global optimum point is not attained for J so that the problem of finding a global minimum for J has no solution.
Anyway, one question remains, how the minimizing sequences behave close to the infimum of J.
We intend to use the duality theory to solve such a global optimization problem in an appropriate sense to be specified.
At this point we define, F : V R and G : V R by
F ( u ) = 1 2 Ω min { ( u 1 ) 2 , ( u + 1 ) 2 } d x = 1 2 Ω ( u ) 2 d x Ω | u | d x + 1 / 2 F 1 ( u ) ,
and
G ( u ) = 1 2 Ω u 2 d x u , f L 2 .
Denoting Y = Y * = L 2 ( Ω ) we also define the polar functional F 1 * : Y * R and G * : Y * R by
F 1 * ( v * ) = sup v Y { v , v * L 2 F 1 ( v ) } = 1 2 Ω ( v * ) 2 d x + Ω | v * | d x ,
and
G * ( ( v * ) ) = sup u V { u , v * L 2 G ( u ) } = 1 2 Ω ( ( v * ) + f ) 2 d x 1 2 v * ( 1 ) .
Observe this is the scalar case of the calculus of variations, so that from the standard results on convex analysis, we have
inf u V J ( u ) = max v * Y * { F 1 * ( v * ) G * ( ( v * ) ) } .
Indeed, from the direct method of the calculus of variations, the maximum for the dual formulation is attained at some v ^ * Y * .
Moreover, the corresponding solution u 0 V is obtained from the equation
u 0 = G ( ( v ^ * ) ) ( v * ) = ( v ^ * ) + f .
Finally, the Euler-Lagrange equations for the dual problem stands for
( v * ) + f v * sign ( v * ) = 0 , in Ω , ( v * ) ( 0 ) = 0 , ( v * ) ( 1 ) = 1 / 2 ,
where sign ( v * ( x ) ) = 1 if v * ( x ) > 0 , sign ( v * ( x ) ) = 1 , if v * ( x ) < 0 and
1 sign ( v * ( x ) ) 1 ,
if v * ( x ) = 0 .
We have computed the solutions v * and corresponding solutions u 0 V for the cases in which f ( x ) = 0 and f ( x ) = sin ( π x ) / 2 .
For the solution u 0 ( x ) for the case in which f ( x ) = 0 , please see Figure 3.
For the solution u 0 ( x ) for the case in which f ( x ) = sin ( π x ) / 2 , please see Figure 4.
Remark 4.1.
Observe that such solutions u 0 obtained are not the global solutions for the related primal optimization problems. Indeed, such solutions reflect the average behavior of weak cluster points for concerning minimizing sequences.

4.1. The Algorithm Through Which We Have Obtained the Numerical Results

In this subsection we present the software in MATLAB through which we have obtained the last numerical results.
This algorithm is for solving the concerning Euler-Lagrange equations for the dual problem, that is, for solving the equation
( v * ) + f v * sign ( v * ) = 0 , in Ω , ( v * ) ( 0 ) = 0 , ( v * ) ( 1 ) = 1 / 2 .
Here the concerning software in MATLAB. We emphasize to have used the smooth approximation
| v * | ( v * ) 2 + e 1 ,
where a small value for e 1 is specified in the next lines.
*************************************
  • clear all
  • m 8 = 800 ; (number of nodes)
  • d = 1 / m 8 ;
  • e 1 = 0.00001 ;
  • f o r i = 1 : m 8
    y o ( i , 1 ) = 0.01 ;
    y 1 ( i , 1 ) = sin ( π * i / m 8 ) / 2 ;
    e n d ;
  • f o r i = 1 : m 8 1
    d y 1 ( i , 1 ) = ( y 1 ( i + 1 , 1 ) y 1 ( i , 1 ) ) / d ;
    e n d ;
  • f o r k = 1 : 3000 (we have fixed the number of iterations)
    i = 1 ;
    h 3 = 1 / v o ( i , 1 ) 2 + e 1 ;
    m 12 = 1 + d 2 * h 3 + d 2 ;
    m 50 ( i ) = 1 / m 12 ;
    z ( i ) = m 50 ( i ) * ( d y 1 ( i , 1 ) * d 2 ) ;
  • f o r i = 2 : m 8 1
    h 3 = 1 / v o ( i , 1 ) 2 + e 1 ;
    m 12 = 2 + h 3 * d 2 + d 2 m 50 ( i 1 ) ;
    m 50 ( i ) = 1 / m 12 ;
    z ( i ) = m 50 ( i ) * ( z ( i 1 ) + d y 1 ( i , 1 ) * d 2 ) ;
    e n d ;
  • v ( m 8 , 1 ) = ( d / 2 + z ( m 8 1 ) ) / ( 1 m 50 ( m 8 1 ) ) ;
  • f o r i = 1 : m 8 1
    v ( m 8 i , 1 ) = m 50 ( m 8 i ) * v ( m 8 i + 1 ) + z ( m 8 i ) ;
    e n d ;
  • v ( m 8 / 2 , 1 )
  • v o = v ;
    e n d ;
  • f o r i = 1 : m 8 1
    u ( i , 1 ) = ( v ( i + 1 , 1 ) v ( i , 1 ) ) / d + y 1 ( i , 1 ) ;
    e n d ;
  • f o r i = 1 : m 8 1
    x ( i ) = i * d ;
    e n d ;
    p l o t ( x , u ( : , 1 ) )

5. A Convex Dual Variational Formulation for a Third Similar Model

In this section we present another duality principle for a third related model in phase transition.
Let Ω = [ 0 , 1 ] R and consider a functional J : V R where
J ( u ) = 1 2 Ω min { ( u 1 ) 2 , ( u + 1 ) 2 } d x + 1 2 Ω u 2 d x u , f L 2 ,
and where
V = { u W 1 , 2 ( Ω ) : u ( 0 ) = 0 and u ( 1 ) = 1 / 2 }
and f L 2 ( Ω ) .
A global optimum point is not attained for J so that the problem of finding a global minimum for J has no solution.
Anyway, one question remains, how the minimizing sequences behave close to the infimum of J.
We intend to use the duality theory to solve such a global optimization problem in an appropriate sense to be specified.
At this point we define, F : V R and G : V R by
F ( u ) = 1 2 Ω min { ( u 1 ) 2 , ( u + 1 ) 2 } d x = 1 2 Ω ( u ) 2 d x Ω | u | d x + 1 / 2 F 1 ( u ) ,
and
G ( u ) = 1 2 Ω u 2 d x u , f L 2 .
Denoting Y = Y * = L 2 ( Ω ) we also define the polar functional F 1 * : Y * R and G * : Y * R by
F 1 * ( v * ) = sup v Y { v , v * L 2 F 1 ( v ) } = 1 2 Ω ( v * ) 2 d x + Ω | v * | d x ,
and
G * ( ( v * ) ) = sup u V { u , v * L 2 G ( u ) } = 1 2 Ω ( ( v * ) + f ) 2 d x 1 2 v * ( 1 ) .
Observe this is the scalar case of the calculus of variations, so that from the standard results on convex analysis, we have
inf u V J ( u ) = max v * Y * { F 1 * ( v * ) G * ( ( v * ) ) } .
Indeed, from the direct method of the calculus of variations, the maximum for the dual formulation is attained at some v ^ * Y * .
Moreover, the corresponding solution u 0 V is obtained from the equation
u 0 = G ( ( v ^ * ) ) ( v * ) = ( v ^ * ) + f .
Finally, the Euler-Lagrange equations for the dual problem stands for
( v * ) + f v * sign ( v * ) = 0 , in Ω , ( v * ) ( 0 ) = 0 , ( v * ) ( 1 ) = 1 / 2 ,
where sign ( v * ( x ) ) = 1 if v * ( x ) > 0 , sign ( v * ( x ) ) = 1 , if v * ( x ) < 0 and
1 sign ( v * ( x ) ) 1 ,
if v * ( x ) = 0 .
We have computed the solutions v * and corresponding solutions u 0 V for the cases in which f ( x ) = 0 and f ( x ) = sin ( π x ) / 2 .
For the solution u 0 ( x ) for the case in which f ( x ) = 0 , please see Figure 5.
For the solution u 0 ( x ) for the case in which f ( x ) = sin ( π x ) / 2 , please see Figure 6.
Remark 5.1.
Observe that such solutions u 0 obtained are not the global solutions for the related primal optimization problems. Indeed, such solutions reflect the average behavior of weak cluster points for concerning minimizing sequences.

5.1. The Algorithm Through Which We Have Obtained the Numerical Results

In this subsection we present the software in MATLAB through which we have obtained the last numerical results.
This algorithm is for solving the concerning Euler-Lagrange equations for the dual problem, that is, for solving the equation
( v * ) + f v * sign ( v * ) = 0 , in Ω , ( v * ) ( 0 ) = 0 , ( v * ) ( 1 ) = 1 / 2 .
Here the concerning software in MATLAB. We emphasize to have used the smooth approximation
| v * | ( v * ) 2 + e 1 ,
where a small value for e 1 is specified in the next lines.
*************************************
  • clear all
  • m 8 = 800 ; (number of nodes)
  • d = 1 / m 8 ;
  • e 1 = 0.00001 ;
  • f o r i = 1 : m 8
    y o ( i , 1 ) = 0.01 ;
    y 1 ( i , 1 ) = sin ( π * i / m 8 ) / 2 ;
    e n d ;
  • f o r i = 1 : m 8 1
    d y 1 ( i , 1 ) = ( y 1 ( i + 1 , 1 ) y 1 ( i , 1 ) ) / d ;
    e n d ;
  • f o r k = 1 : 3000 (we have fixed the number of iterations)
    i = 1 ;
    h 3 = 1 / v o ( i , 1 ) 2 + e 1 ;
    m 12 = 1 + d 2 * h 3 + d 2 ;
    m 50 ( i ) = 1 / m 12 ;
    z ( i ) = m 50 ( i ) * ( d y 1 ( i , 1 ) * d 2 ) ;
  • f o r i = 2 : m 8 1
    h 3 = 1 / v o ( i , 1 ) 2 + e 1 ;
    m 12 = 2 + h 3 * d 2 + d 2 m 50 ( i 1 ) ;
    m 50 ( i ) = 1 / m 12 ;
    z ( i ) = m 50 ( i ) * ( z ( i 1 ) + d y 1 ( i , 1 ) * d 2 ) ;
    e n d ;
  • v ( m 8 , 1 ) = ( d / 2 + z ( m 8 1 ) ) / ( 1 m 50 ( m 8 1 ) ) ;
  • f o r i = 1 : m 8 1
    v ( m 8 i , 1 ) = m 50 ( m 8 i ) * v ( m 8 i + 1 ) + z ( m 8 i ) ;
    e n d ;
  • v ( m 8 / 2 , 1 )
  • v o = v ;
    e n d ;
  • f o r i = 1 : m 8 1
    u ( i , 1 ) = ( v ( i + 1 , 1 ) v ( i , 1 ) ) / d + y 1 ( i , 1 ) ;
    e n d ;
  • f o r i = 1 : m 8 1
    x ( i ) = i * d ;
    e n d ;
    p l o t ( x , u ( : , 1 ) )

6. An Improvement of the Convexity Conditions for a Non-Convex Related Model Through an Approximate Primal Dual Formulation

In this section we develop an approximate primal dual formulation suitable for a large class of variational models.
Here, the applications are for the Kirchhoff-Love plate model, which may be found in Ciarlet, [10].
At this point we start to describe the primal variational formulation.
Let Ω R 2 be an open, bounded, connected set which represents the middle surface of a plate of thickness h. The boundary of Ω , which is assumed to be regular (Lipschitzian), is denoted by Ω . The vectorial basis related to the cartesian system { x 1 , x 2 , x 3 } is denoted by ( a α , a 3 ) , where α = 1 , 2 (in general Greek indices stand for 1 or 2), and where a 3 is the vector normal to Ω , whereas a 1 and a 2 are orthogonal vectors parallel to Ω . Also, n is the outward normal to the plate surface.
The displacements will be denoted by
u ^ = { u ^ α , u ^ 3 } = u ^ α a α + u ^ 3 a 3 .
The Kirchhoff-Love relations are
u ^ α ( x 1 , x 2 , x 3 ) = u α ( x 1 , x 2 ) x 3 w ( x 1 , x 2 ) , α and u ^ 3 ( x 1 , x 2 , x 3 ) = w ( x 1 , x 2 ) .
Here h / 2 x 3 h / 2 so that we have u = ( u α , w ) U where
U = u = ( u α , w ) W 1 , 2 ( Ω ; R 2 ) × W 2 , 2 ( Ω ) , u α = w = w n = 0 on Ω = W 0 1 , 2 ( Ω ; R 2 ) × W 0 2 , 2 ( Ω ) .
It is worth emphasizing that the boundary conditions here specified refer to a clamped plate.
We also define
U ˜ = { u U : u < K 5 / 2 } ,
for a real constant K 5 > 0 to be specified in the next lines, and the operator Λ : U Y × Y , where Y = Y * = L 2 ( Ω ; R 2 × 2 ) , by
Λ ( u ) = { γ ( u ) , κ ( u ) } ,
γ α β ( u ) = u α , β + u β , α 2 + w , α w , β 2 ,
κ α β ( u ) = w , α β .
The constitutive relations are given by
N α β ( u ) = H α β λ μ γ λ μ ( u ) ,
M α β ( u ) = h α β λ μ κ λ μ ( u ) ,
where: { H α β λ μ } and h α β λ μ = h 2 12 H α β λ μ , are symmetric positive definite fourth order tensors. From now on, we denote { H ¯ α β λ μ } = { H α β λ μ } 1 and { h ¯ α β λ μ } = { h α β λ μ } 1 .
Furthermore { N α β } denote the membrane force tensor and { M α β } the moment one. The plate stored energy, represented by ( G Λ ) : U R is expressed by
( G Λ ) ( u ) = 1 2 Ω N α β ( u ) γ α β ( u ) d x + 1 2 Ω M α β ( u ) κ α β ( u ) d x
and the external work, represented by F : U R , is given by
F ( u ) = w , P L 2 + u α , P α L 2 ,
where P , P 1 , P 2 L 2 ( Ω ) are external loads in the directions a 3 , a 1 and a 2 respectively. The potential energy, denoted by J : U R is expressed by:
J ( u ) = ( G Λ ) ( u ) F ( u )

6.1. The Primal Dual Variational Formulation

In this subsection we establish a concerning approximate primal dual formulation.
For K 1 1 , K 5 = 1 / 50 , K 3 = 2 K 1 K 5 5 / 3 , define J 1 * : U ˜ × Y * R by
J 1 ( u , v * ) = J ( u ) + K 1 2 Ω ( v * ( K 5 + w ) K 3 ) 2 d x + 1 2 K 1 2 Ω ( v * ) 2 d x .
The Euler-Lagrange equations for J 1 * stands for
J 1 * ( u , v * ) w = J ( u ) w + K 1 ( v * ( w + K 5 ) K 3 ) v * = 0 ,
and
J 1 * ( u , v * ) v * = K 1 ( v * ( w + K 5 ) K 3 ) ( w + K 5 ) + v * K 1 2 = 0 ,
The solution v * of this last equation is given by
v * = ( K 1 K 3 ( K 5 + w ) ) / ( 1 / K 1 2 + K 1 ( K 5 + w ) 2 ) ,
so that, in such a case
K 1 ( v * ( w + K 5 ) K 3 ) v * = ( ( 4 K 1 6 K 5 10 / 3 ( K 5 + w ) ) / ( 1 + K 1 3 ( K 5 + w ) 2 ) 2 ) ( 4 K 5 1 / 3 ) = O 4 ( 50 ) 1 / 3 .
Hence, at a critical point, we have
J ( u ) w = 0 + O 4 ( 50 ) 1 / 3 ,
so that the original equation
J ( u ) w = 0
is approximately satisfied in an appropriate sense.
Finally, defining
J 2 ( u ) = inf v * Y * J 1 * ( u , v * ) ,
we obtain
2 J 2 ( u ) w 2 = 2 J 1 * ( u , v * ) w 2 + J 1 * ( u , v * ) w v * v * w ,
so that for v * and
v * w
obtained from (26) we have
2 J 2 ( u ) w 2 = 2 J ( u ) w 2 + 4 K 1 6 K 5 10 / 3 ( 1 + 3 K 1 3 ( K 5 + w ) 2 ) ( 1 + K 1 3 ( K 5 + w ) 2 ) 3 2 J ( u ) w 2 + 12 K 5 2 / 3 = 2 J ( u ) w 2 + O ( 12 ( 50 ) 2 / 3 ) .
Remark 6.1.
This new functional J 2 has a relevant improvement in the convexity conditions concerning the previous functional J.
Indeed, we have obtained a gain in positiveness for
2 J ( u ) w 2 ,
which has increased of order
12 ( 50 ) 2 / 3
.
Moreover the difference between the approximate and exact equation
J ( u ) w = 0
is of order 4 ( 50 ) 1 / 3 which corresponds to a small perturbation in the original equation for a load of P = 1500 N , for example. Summarizing, the exact equation may be approximate solved in an appropriate sense. Finally, we highlight the constants K 1 , K 3 , K 5 specified are suitable for a large class of materials and loads but obviously does not comprise all models and possible numerical values. In some other non-standard cases or even other models may be necessary to redefine such constants.
Remark 6.2.
Another simpler way for improving the convexity conditions of J is to define J 3 : U ˜ R by
J 3 ( u ) = J ( u ) + 10 Ω e K w K 3 / 2 d x .
In such a case for K = 100 and
U ˜ = { u U : w 0.01 } ,
we get
J 3 ( w ) w = J ( w ) w + 10 e K w K 1 / 2 J ( w ) w + O ( 1.5 ) ,
and
2 J 3 ( w ) w 2 = 2 J ( w ) w 2 + 10 e K w K 1 / 2 2 J ( w ) w 2 + O ( 50 ) .
This new functional J 3 has a relevant improvement in the convexity conditions concerning the previous functional J.
Indeed, we have obtained a gain in positiveness for the second variation 2 J ( u ) w 2 , which has increased of order O ( 50 ) .
Moreover the difference between the approximate and exact equation
J ( u ) w = 0
is of order O ( 1.5 ) which corresponds to a small perturbation in the original equation for a load of P = 1500 N / m 2 , for example. Summarizing, the exact equation may be approximate solved in an appropriate sense.

6.2. A Third Way of Improving the Convexity Conditions Concerning the Original Variational Model

Another third way for improving the convexity conditions of J is to define J 3 : U ˜ R by
J 3 ( u ) = J ( u ) + 267 10 Ω a K 7 b w K 8 ln ( a ) d x .
where here
a = 1.000000000001
b = P / | P | and K = 115 .
Thus, we may obtain
J 3 ( u ) w = J ( u ) w + 0.232174 b a 266001988046875 b w J ( u ) w + O ( 1 ) ,
and
2 J 3 ( u ) w 2 = 2 J ( u ) w 2 + 61.7642 b 2 a 266001988046875 b w 2 J ( u ) w 2 + O ( 100 ) ,
where in this case
U ˜ = { u U : w 0.01 and b w 0 , a . e . in Ω } .
Remark 6.3.
This new functional J 3 has a relevant improvement in the convexity conditions concerning the previous functional J.
Indeed, we have obtained a gain in positiveness for the second variation 2 J ( u ) w 2 , which has increased of order O ( 100 ) .
Moreover the difference between the approximate and exact equation
J ( u ) w = 0
is of order O ( 1 ) which corresponds to a small perturbation in the original equation for a load of P = 1500 N / m 2 , for example. Summarizing, the exact equation may be approximate solved in an appropriate sense.
Finally, for this last example, we highlight it is relatively easy to improve both such an approximation quality and the convexity conditions concerning the original variational model.

References

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  13. R.T. Rockafellar, Convex Analysis, Princeton Univ. Press, (1970).
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  15. A.Galka and J.J.Telega Duality and the complementary energy principle for a class of geometrically non-linear structures. Part I. Five parameter shell model; Part II. Anomalous dual variational priciples for compressed elastic beams, Arch. Mech. 47 (1995) 677-698, 699-724.
  16. J.F. Toland, A duality principle for non-convex optimisation and the calculus of variations, Arch. Rat. Mech. Anal., 71, No. 1 (1979), 41-61. [CrossRef]
Figure 1. Solution u 0 ( x ) for the case f ( x ) = 0 .
Figure 1. Solution u 0 ( x ) for the case f ( x ) = 0 .
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Figure 2. Solution u 0 ( x ) for the case f ( x ) = sin ( π x ) / 2 .
Figure 2. Solution u 0 ( x ) for the case f ( x ) = sin ( π x ) / 2 .
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Figure 3. solution u 0 ( x ) for the case f ( x ) = 0 .
Figure 3. solution u 0 ( x ) for the case f ( x ) = 0 .
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Figure 4. solution u 0 ( x ) for the case f ( x ) = sin ( π x ) / 2 .
Figure 4. solution u 0 ( x ) for the case f ( x ) = sin ( π x ) / 2 .
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Figure 5. solution u 0 ( x ) for the case f ( x ) = 0 .
Figure 5. solution u 0 ( x ) for the case f ( x ) = 0 .
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Figure 6. solution u 0 ( x ) for the case f ( x ) = sin ( π x ) / 2 .
Figure 6. solution u 0 ( x ) for the case f ( x ) = sin ( π x ) / 2 .
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