INTERNATIONAL JOURNAL FOR NUMERICAL METHODS IN ENGINEERING, VOL.

14, 1545-1557 (1979)

SPURIOUS MODES IN TWO-DIMENSIONAL
ISOPARAMETRIC ELEMENTS
N. BICANICt
Institute for Civil Engineering, Zagreb, Yugoslavia
E. HINTONS
Civil Engineering Department, University College Swansea, U.K.
SUMMARY
The reasons for the presence of spurious modes in plane isoparametric elements are examined. Eigenvalue
and eigenvector analyses of stiffness matrices for single elements and unconstrained and constrained
meshes reveal the types of mechanisms and near-mechanisms that can be expected when reduced or
selective integration techniques are used with quadrilateral isoparametric elements in the analysis of plane
strain problems.
INTRODUCTION
In limiting-type problems, such as the analysis of nearly incompressible solids or thin Mindlin
plates, overstiff solutions frequently occur when displacement based, numerically integrated
isoparametric elements are used. To overcome this kind of difficulty, reduced or selective
integration techniques have been adopted with considerable success and economy.'
Reduced or selective integration schemes are also attractive in transient dynamic problems,
especially for nonlinear cases in which the cost of the analysis depends heavily on the integration
order used.
Unfortunately, the use of low ordewof integration can be extremely dangerous and can lead
to elements which can produce not only rigid body response but also extra zero energy modes.
These extra modes can combine into either mechanisms, leading to singular stiffness matrices, or
into near-mechanisms which are spurious low-energy modes which mask the solution.
The object of this paper is to indicate the types of mesh instabilities which can develop when
reduced or selective integration techniques are used with linear 4-noded and quadratic 8- and
9-noded quadrilateral isoparametric elements in the analysis of plane strain problems.
The strain energy S is split into two parts,2 S1 and S2, where
is deviatoric strain energy, and
is volumetric strain energy.
t Research Assistant.
t Lecturer.
0029-5981/79/1014-1545$01.00
0 1979 by J ohn Wiley & Sons, Ltd.
Received 12 June 1978
Revised 16 October 1978 and 7 February 1979
1545
1546 N. BICANIC AND E. HINTON
In this representation of the strain energy, the usual stiffness matrix K is the sum of the two
If an n X n order Gauss-Legendre rule is required to integrate K exactly, we define the
matrices K1 and KZ, and x is the vector of nodal displacements.
following three integration techniques employed:
1. Full integration: an n X n rule is used for K1 and KZ (exact for parallelograms).
2. Selective integration: an ( n - 1) x (n - 1) rule is used for Kz and an n x n rule is used for K1.
3. Reduced integration: an (n - 1) x (n - 1) rule is used for K1 and K2.
For the elements under consideration, n =2 for the 4-noded element and n =3 for the 8- and
9-noded elements.
THE CANONI CAL FORM OF THE STIFFNESS MATRI X
In the solution of the problem
Kx=f
(3)
where K is symmetric, positive definite stiffness matrix, x is the vector of unknown nodal
displacements, and f is the given load vector, we can set
X = h (4)
Ky =Ay ( 5 )
where Q, is the matrix of eigenvectors of the standard eigenproblem
and a is the vector of modal participation factors.
Equation (1) is then rewritten as
KQ,a =f
and after premultiplying with aT we arrive at
CPTKQ,a =iDTf (7)
cPTKQ, =A (8)
As Q, contains the eigenvectors of matrix K, CPTKQ, is in fact the stiffness matrix in its canonical
form
where A is the diagonal matrix, with the eigenvalues A, on the diagonal.
The system of n linear equations can now he decomposed into n independent equations
A,&, =@?f i =l , n (9)
from which WJ can solve for a, directly
and finally for x since
x=Q,O!
This long-winded procedure clearly provides the solution to (3). It is not a viable approach,
however, since it requires the solution to the eigenproblem (9, which is usually much more
expensive than the solution of the linear equations. Its use is more demonstrative in nature, and
the di can be identified as primary deformation modes of the element or the mesh, the hi as
stiffness related to these particular deformation shape, and the ai as participation factors of
particular modes in the total solution.
TWO-DIMENSIONAL ISOPARAMETRIC ELEMENTS 1547
SINGLE-ELEMENT STIFFNESS CHARACTERISTICS
The transformation of the stiffness matrix K to its canonical form is now performed for single
unconstrained elements. The semidefinite matrix K is rendered positive definite by adding a shift
to the diagonal terms of K, leading to the eigenproblem
or
in which K* is positive definite and the real Ai are obtained from
A . = A ? : - P I 1 (14)
The results in Figures l(a)-(c) reveal that with both full and selective integration no
additional zero modes are present. With reduced integration, however, all three elements under
consideration have extra spurious zero energy modes. This suggests that mechanisms or
near-mechanisms may develop when individual elements are combined to form a mesh.
SIMPLE MESH CHARACTERISTICS
Similar procedures are now applied to unconstrained rectangular meshes in order to obtain the
number of zero eigenvalues associated with each mesh. The results using reduced integration are
shown in Figure 2. Unlike meshes with 4- and 9-noded elements, where there is a tendency for
the singularity to remain, the meshes with an 8-noded element show the interesting property
that even when only two elements are present no extra zero modes exist.
In fact, this can be clearly seen and predicted from the shape of the single 8-noded element
eigenvector, which is related to zero energy (Figure 1c)-the shape is not inter-element
compatible. On the other hand, the zero energy eigenvectors for 4- and 9-noded elements are
inter-element compatible.
The eigenvectors and eigenvalues of a 2 X 2 mesh (Figure 3) with the minimum number of
displacement constraints required to prevent rigid body motions, show that zero energy modes
on the element level combine into the well-known hourglassing or keystoning mode for the
4-noded element and into the so-called Escherf mode4 for the 9-noded element.
I t should be noted that these modes are related to zero stiffness and lead to singular system
matrices. This means that the problem cannot be solved. (There is an exception in explicit
transient dynamic schemes where the stiffness matrix is never assembled and these spurious
modes can pollute the solution.)
However, it will be shown in the next examples that the elimination of the overall matrix
singularity does not suppress the influence of the hourglassing or the Escher modes completely.
These spurious modes, which may be related to some finite energy or stiffness, can completely
destroy the solution if excited.
A CANTILEVER COLUMN
The cantilever column example shows clearly the dangers of spurious modes. The mesh with the
8-noded elements behaves well. The lower order of integration serves its purpose and no mesh
t M. C. Escher, a famous Dutch graphic artist.
1548 N. BlCANlC AND E. HINTON
instability occurs. For 4- and 9-noded element meshes with reduced integration, eigenvalues
and eigenvectors again show the presence of hourglassing and Escher modes of deformation, but
this time they are related to some finite stiffness. The assembled stiffness matrix is thus not
singular and a solution may be obtained. It also means that, unless the applied load vector is
orthogonal to the spurious mode, there must be a proportion of that eigenvector in the solution.
4F - 2/ 2
0 0 0 0 999 1 0 1 9 9 2 0 2 0
8F - 3/3
0. 0. 0 . 0.321 0.598 0 . 5 9 8 0 . 9 9 2 1 . 2
2. 21 2. 93 3.60 3. 60 3 . 9 4 4 . 1 7 8 . 8 0 8 . 8 0
9F - 3/3
DaLuLl zJ aDa 0 0 0 0 321 0 561 0 561 0 992 1 2
1 36 1 36 2 21 2 93 3 78 3 78 3 94 4 17
10. 4 1 0 . 4
Figure l(a). Single unconstrained element analysis-full integration (element size 1.0 x 1.0, E =2.0, Y =0.0, G =1.0)
TWO-DIMENSIONAL ISOPARAMETRIC ELEMENTS 1549
With reference to (10) the modal participation factors are non-zero if
qbTf #O and Ai #m (15)
From the first six modes, which are illustrated in Figures 4(a)-(c), it is clear that the
Ai of the spurious modes are low and consequently any contribution from q5Tf will be significant
in the solution.
4s - 2/1
0 0 0 0,777 0.777 1 - 9 9 2 . 0 2 . 0
8s - 3/2
Q 2 13 aDDDoEu 2 93 3 60 3 60 3 94 4 1 8 80 8 80
9s - 3/ 2
0. 0. 0. 0. 222 0, 554 0. 555 0 . 9 9 2 1 . o
a 1 13 !3 1 13 13 2 13 D 2 93 E! 3 73 3 73 El 3 94 Ezl 4 1
10. 0 10. 0
Figure l(b). Single unconstrained element analysis-selective integration (element size 1.0 X 1.0, E =2.0, Y =0-0,
G =1.0)
1550 N. BICANIC AND E. HINTON
4 R - 1/1
0
El 0
D 2 0
a 0
Q 0 958
Da 0 0
2 . 0 2 . 0
8R - 2/2
0. 0 0 . 0 . 5 9 8 0 . 5 9 8 0 . 9 5 8 0 . 9 5 8
2 . 6 6 3 . 6 0
0 0
3 . 6 0 3. 70 3. 7 0
9R - 2/2
0 0 0
0 . 9 5 8 2 . 0
2.66 3 . 6 0 3 . 6 0
8 . 8 0 8 . 8 0
TITD
0 598 0 598
3 . 7 0 3. 70
8. 80 8.80
Figure l(c). Single unconstrained element analysis-reduced integration (element size 1.0 x 1.0, E =2.0, u =I 0.0,
G =1.0)
To demonstrate this effect, two simple problems are solved in Figure 5. I t is, we hope,
instructive to see that in the case with the horizontal force, where the force vector is orthogonal
to the lowest spurious mode, the total solution is very reasonable. In the case with the vertical
force, however, the lowest spurious mode dominates the solution completely, making it
meaningless.
TWO-DIMENSIONAL ISOPARAMETRIC ELEMENTS 1551
5
4
3
2
1
z
171 El
I
5
I
1 2 3 4 5
/ MI / MI
Figure 2. Number of zero eigenvalues for unconstrained meshes (mesh size N x M rectangular elements)
A CONSTRAINED MESH
The examples presented so far contain few or no displacement constraints, thus enabling the
mechanisms and near-mechanisms to show clearly. However, if the same procedure is applied to
the highly constrained mesh of 9-noded elements using the reduced integration shown in Figure
6, it is seen that Escher modes are again present even for such a coarse mesh. Any forcing vector
which is not orthogonal to those eigenvectors must bring a contribution of spurious modes into
the solution. This effect will not be found when the 8-noded element is employed.
4 SOR 2.2 R 4 SOR 2.2 R 4 SOR 2.2 R 4 SOR 2.2 R 4 SQR 2.2 R
000 000 000 092 297
020 050 094 272 384
000 000 000 031 0 96
Figure 3. Square mesh 2 X 2 elements with minimum constraints-reduced integration (mesh size 2.0 x 2.0, E =2.4,
Y =0.2, G =1.0)
1552 N. BI ~ANI C AND E. HINTON
COL 4 FULL
COL 8 FULL
i
'
COL 4 FULL COL 4 FULL COL 4 FULL COL 4 FULL COL 4 FULL COL 4 FULL
377 690 825
376E- 02 803E- 01 971E 01
COL 8 FULL COL 8 FULL COL 8 FULL COL 8 FULL COL 8 FULL COL 8 FULL
136 275 308
1 4 ~0 2 Z~ZE- OI 385~- 01
E E B
COL 9 FULL COL 9 FULL COL 9 FULL COL 9 FULL COL 9 FULL COL 9 FULL COL 9 FULL
316E- 01 115 253 264
116E- 02 244E- 01
Figure 4(a). Lowest six eigenvalues and eigenvectors for simple cantilever-full integration (mesh size 2.0 x 6.0,
E =2.4, v =0.2, G =1.0, all support nodes fixed)
COL 4 SEL
1 COL 8 SEL
COL 9 SEL
TWO-DIMENSIONAL ISOPARAMETRIC ELEMENTS 1553
COL 4 SEL COL 4 SEL COL 4 SEL COL 4 SEL
334E- 02 738E-01 969E-01 35 1
COL 8 SEL COL 8 SEL COL 8 SEL COL 8 SEL
140E-02 291E-01 385E-01 135
COL 9 SEL COL 9 SEL COL 9 SEL COL 9 SEL
116E- 02 244E-01 316E-01 115
COL 4 SEL COL 4 SEl
557 785
COL 8 SEL
266
B COL 244 9 SEL
COL 8 SEL
303
1 COL 260 9 SEL
Figure 4(b). Lowest six eigenvalues and eigenvectors for simple cantilever-selective integration (mesh size 2.0 x 6.0,
E =2 4 , v =0.2, G =1.0, all support nodes fixed)
1554 N. BICANIC AND E. HINTON
COL 4 RED COL 4 REDCOL 4 RED COL 4 RED COL 4 RE0 COL 4 RED COL 4 RED
258E 02 258E 02 596E - 01 596E 01 993E 01 993E 01
COL 8 RED COL 8 RED CDL 8 RED COL 8 RED COL 8 RED COL 8 RED COL 8 RED
140E - 02 290E - 01 385E - 01 134 252 293
707E 01
COL 9 RED COL 9 RED COL 9 RED COL 9 RED COL 9 RED COL 9 RED COL 9 RED
116E 02 241E 02 243E 01 328E 01 487E 01
Figure 4(c). Lowest six eigenvectors and eigenvalues for simple cantilever-reduced integration (mesh size 2.0 X 6.0,
E =2.4, v =0.2, G =1.0, all support nodes fixed)
TWO-DIMENSIONAL ISOPARAMETRIC ELEMENTS
E = 2 1,
v = 0 2
1555
2 ~~ A x &~=~, Q I ZAxk3
1 19750 L572 1 L572
2 637 1
63 10
a
!
L53 2
00 0 0 L53 2
t i - 6 L 9 1 102 , L63L
00 00 , L634
0 0 00 L63 L
6 309 1 68 I L 7 0 2 - -
X 63 (FRONT SOLVER I 477 8
r;
COL 9 FULL 6 EIGENVECTORS
VER F ULL
2o ' VER LOAD 10
E = 2 L
v =0 2
0 0 0 0
- 10 0
COL 9 RED 6 EIGENVECTORS
HOR LOAD 10 HOR RED
e:i
00
- 4579
- L62 1
- 4695
0 0 - L695
y63 (FRONT SOLVER) - L z
I - IS the mode number
a, - is the participation factor for mode I
Axk3- is the contribution to the total horizontal
displacement at node 63 for mode I
xG3 - is the total horizontal displacement at
node 63 obtained using front solution
Figure 5. Horizontal and vertical point load on simple cantilever (9-noded element-full and reduced integration)
1556 N. BICANIC AND E. HINTON
9 SOR 6.6 FULL
238
9 SOR 6.6 FULL
501
9 SOR 6.6 FULL
238
9 SOR 6.6 FULL
642
9 SOR 6.6 SEL
238
9 SOR 6.6 SEL
507
9 SOR 6.6 SEL
64 1
9 SOR 6-6 FULL
35 1
9 SOR 6.6 FULL
670
9 SOR 6.6 SEL
35 1
9 SOR 6.6 SEC
670
9 SOR 6.6 RED 9 SOR 6.6 RED 9 SOR 6.6 RED
505 597 591
Figure 6. Lowest six eigenvectors and eigenvalues for constrained mesh with 9-noded element (mesh size 6 . 0 ~ 6 . 0 ,
E =2.4, v =0.2, G =1.0)
TWO-DIMENSIONAL ISOPARAMETRIC ELEMENTS 1557
CONCLUSION
On the basis of the transformation of the element and system stiffness matrices into their
canonical forms, it has been demonstrated that reduced integration, when applied to 4-noded
and 9-noded isoparametric elements in plane strain problems, leads to spurious hourglassing
and Escher modes, which-if excited-can completely destroy the solution. Further theoreti-
cal justifications of these phenomena can be found The discussion here was
confined to the stiffness properties of square elements in linear elastic analysis-with general
quadrilateral elements, spurious modes appear higher in the spectrum of eigenvectors, but their
effect cannot be completely i gn~red. ~
The same procedures for detecting spurious modes, can, of course, be used for a much broader
class of elements.
[N.B. Some additional useful references on spurious modes and related topics are listed after the
main references.]
REFERENCES
1. 0. C. Zienkiewicz, R. L. Taylor and J . M. Too, Reduced integration techniques in general analysis of plates and
shells, Znt. J. num. Meth. Engng, 3, 275-290 (1971).
2. E. Hinton, E. M. Salonen and N. BikaniC, A study of locking phenomena in isoparametric elements, MAFELAP 78,
Conf. Math. Finite Elements and Applications, Brunel University, April 1978, Proceedings to be published by
Academic Press.
3. K. J . Bathe and E. L. Wilson. Numerical Methods in Finite Element Analysis, Prentice-Hall, Englewood Cliffs, N.J .,
1976.
Swansea, 1978, to be submitted.
4. N. BiCaniC, Nonlinear finite element transient response of concrete structures, Ph.D. Thesis, University College
5. 0. C. Zienkiewicz, The Finite Element Method, 3rd edn, McGraw-Hill, London, 1977.
6. G. Strang and G. J . Fix, An Analysis of the Finite Element Method, Prentice-Hall, Englewood Cliffs, N. J ., 1973.
ADDI TI ONAL REFERENCES ON SPURIOUS MODES AND RELATED TOPICS
W. P. Doherty, E. L. Wilson and R. L. Taylor, Stress analysis of axisymmetric solids using higher order quadrilateral
finite elements, S.E.L. Report No. SESM 69-3, University of California, Berkeley (1969).
I. Fried, Numerical integration in the finite element method, Comp. Struct. 4, 921-932 (1974).
J . S. Holt and P. S. Hope, Displacement oscillation in plane quadratic isoparametric elements in orthotropic situation,
T. J . R. Hughes, R. L. Taylor and W. Kanoknukulchai, A simple and efficient finite element for plate bending, Znt. J.
T. J . R. Hughes, W. K. Liu and A. Brooks, Finite element analysis of incompressible viscous flow by the penalty function
B. M. Irons, Numerical integration applied to finite element method, Conf. Useof Digital Computers in Structural
B. M. Irons, Numerical integration applied to finite element method, C/R/161/71, Dept. of Civil Engineering,
B. M. Irons and T. K. Hellen, On reduced integration in solid isoparametric elements when used in shells with
B. M. Irons and S. Ahmed, Techniques for Finite Elements. Ellis Horwood, Chichester, U.K., to be published.
J . C. Nagtegaal, D. M. Parks and J . R. Rice, On numerically accurate finite element solution in the fully plastic range,
R. S. Sandhu and K. J . Singh, Reduced integration for improved accuracy of finite element approximations, Comp.
D. Kosloff and G. A. Frazier, Treatment of hourglass patterns in low order finite element codes, Znt. J. Num. Anal.
R. L. Taylor, P. J . Beresford and E. L. Wilson, Anon conforming element for stress analysis, Znt. J. num. Meth. Engng,
P. Tsipouras, Numerical stability of incompletely integrated shape functions, Comp. Struct. 7, 679-680 (1977).
K. J . Willam, Finite element analysis of cellular structures, Ph.D. Thesis, University of California, Berkeley, (1970).
Znt. J. num. Meth. Engng, to appear.
num. Meth. Engng, 11, 1529-1543 (1977).
formulation, J. Comp. Phys, to appear.
Engineering, University of Newcastle, U.K. (1966).
University College, Swansea, U.K. (1971).
membrane modes, Znt. J. num. Meth. Engng, 10, 1179-1183 (1976).
Comp. Meth. Appl. Mech. Eng. 4, 153-178 (1974).
Meth. Appl . Mech. Engng, 14, 23-37 (1978).
Meth Geomech. 2, 57-72 (1978).
10, 1211-1219 (1976).