Lecture Notes on

Elasticity Theory

Dragoş-Victor Anghel

Horia Hulubei National Institute of Physics and Nuclear

Engineering
Contents

1 General concepts 1
1.1 Strain tensor . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
1.1.1 Rigid transformations and deformations . . . . . . . . 3
1.1.2 Transformation properties . . . . . . . . . . . . . . . . 4
1.1.3 Symbolic notations and abbreviated subscripts . . . . . 5
1.2 Stress and dynamical equations . . . . . . . . . . . . . . . . . 6
1.2.1 Body forces and stresses . . . . . . . . . . . . . . . . . 6
1.2.2 The dynamical equations of acoustics . . . . . . . . . . 9
1.3 Elastic properties of solids . . . . . . . . . . . . . . . . . . . . 13
1.3.1 Transformation properties . . . . . . . . . . . . . . . . 13
1.3.2 Abbreviated subscripts . . . . . . . . . . . . . . . . . . 14
1.3.3 Transformations with abbreviated subscripts . . . . . . 15
1.4 Power flow and energy balance . . . . . . . . . . . . . . . . . . 17
1.4.1 Poynting’s theorem for the acoustic field . . . . . . . . 17
1.4.2 Physical conditions on c and s . . . . . . . . . . . . . . 20
1.4.3 Isotropy conditions . . . . . . . . . . . . . . . . . . . . 20
1.4.4 Young’s modulus and Poisson’s ratio . . . . . . . . . . 22

2 Three-dimensional systems 23
2.1 Plane waves . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
2.2 Potential theory . . . . . . . . . . . . . . . . . . . . . . . . . . 24
2.2.1 The stress tensor in terms of the potentials . . . . . . . 26
2.3 Boundary conditions . . . . . . . . . . . . . . . . . . . . . . . 26
2.3.1 Reflection and transmission at a plane
lossless interface . . . . . . . . . . . . . . . . . . . . . . 26
2.3.2 Snell’s Law . . . . . . . . . . . . . . . . . . . . . . . . 28
2.3.3 Horizontal shear . . . . . . . . . . . . . . . . . . . . . . 29
2.3.4 Mixed modes . . . . . . . . . . . . . . . . . . . . . . . 30

i
Final examination

Bibliography:

• Lecture Notes.

• Additional information in B. A. Auld, Acoustic Fields and Waves in

Solids, 2nd Ed., Robert E. Krieger Publishing Company, 1990.

Theory:

1. Define the displacement field u(r, t) and the displacement gradient ma-
trix [E] (see Section 1.1, Fig. 1.1, and Eqs. 1.1-1.4).

2. Define the strain tensor (Eqs. 1.5-1.7).

3. Transformation properties of the strain tensor under rotations of the

system of coordinates (Section 1.1.2).

4. Define the abbreviated subscript notations for the strain field (Eqs.
1.11-1.13).

5. Define the stress tensor (Eqs. 1.15 and Fig. 1.3).

6. Stress on an arbitrary oriented surface (see page 7 and Fig. 1.4).

7. Transformation properties of the stress tensor (Eq. 1.20, with proof).

8. The dynamical equations of acoustics, with the definition of ∇ · T

(omitting the discussion about the rotational equations of motion).

9. Stress tensor, the divergence of the stress tensor, and the dynami-
cal equations of acoustics in the abbreviated subscript notations (Eqs.
1.30-1.33).

ii
10. Definitions of the elastic stiffness constants (Eq. 1.34) and compliance
constants (Eq. 1.35).

11. Elastic stiffness constants and compliance constants in the abbreviated

subscript notations (Section 1.3.2)

12. Plane waves in isotropic three-dimensional systems–transversal and

longitudinal sound velocities (Section 2.1).

13. Definition of the scalar and vector potentials Φ and Ψ (Eq. 2.6); stress
tensor in terms of the potentials, for an isotropic solid (Section 2.2.1).

14. The boundary conditions for the reflection and transmission at a plane,
lossless interface (Section 2.3.1).

iii
Applications (general information can be found in Section Lowest branch
of symmetric modes)
Background
We are interested here only in the lowest branch (branch 0) of the sym-
metric modes (see Fig. 2.3). This branch starts in the quadrant 2 and passes
into the quadrant 3.
In the quadrant 2, xl ≡ iχl is imaginary and xt is real. In this case the
equation (2.44) for xk becomes
χ2l + Jx2t
x2k = , (1)
1−J
where J = c2t /c2l . Plugging Eq. (1) into Eq. (2.46) we get
tan(xt ) 4χl xt (χ2l + Jx2t )
= (1 − J) 2. (2)
tanh(χl ) [(1 − 2J)x2t − χ2l ]
Equation (2) defines the function xt (χl ) in the quadrant 2 (see Fig. 2.3). In
this quadrant xt takes values between 0 and π/2, whereas χl takes values
(0) (0)
between 0 and χl,inv , where χl,inv is the solution of the equation
χ2l − 4(1 − J)χl tanh(χl ) = 0. (3)
Taking cl = 10300 m/s and ct = 6200 m/s (corresponding to Si3 N4 ), we
(0)
obtain from Eq. (3) the solution χl,inv ≈ 2.518.
(0)
For χl > χl,inv the solutions of Eq. (2.37) for the symmetric modes lie in
the quadrant 3 and Eq. (2.44) for x2k becomes
χ2l − Jχ2t
x2k = . (4)
1−J
Plugging Eq. (4) into (2.37) for the symmetric modes we obtain
tanh(χt ) 4χl χt (χ2l − Jχ2t )
= (1 − J) 2. (5)
tanh(χl ) [(1 − 2J)χ2t + χ2l ]
Equation (5) defines the function χt (χl ) plotted in Fig. 2.3 in the quadrant 3.
Asymptotically, χt (χl  1) ∼ rχl , where r is the solution of the equation
1 4r(1 − Jr2 )
= . (6)
1−J [1 + (1 − 2J)r2 ]2
For cl = 10300 m/s and ct = 6200 m/s, r ≈ 0.487.

iv
 Subiecte
(0)
A1 Scrieti o subrutina care sa calculeze din ecuatia (3) solutia χl = χl,inv
folosind valorile cl = 10300 m/s, ct = 6200 m/s si J = c2t /c2l . Precizia
solutiei trebuie sa fie de 10−6 .
Scrieti o alta subrutina care, avand χl ca parametru de intrare, sa
(0)
verifice daca χl < χl,inv . In caz afirmativ, se calculeaza χt in cadranul
(0)
2, din ecuatia (2), cu o precizie de 10−6 . Daca χl ≥ χl,inv (deci solutia
nu mai este in cadranul 2 ), atunci subrutina returneaza χt = 0.

A2 Scrieti o subrutina care sa calculeze solutia r din ecuatia (6) pentru

cl = 10300 m/s, ct = 6200 m/s si J = c2t /c2l . Precizia solutiei trebuie
sa fie de 10−6 .
Scrieti o alta subrutina care sa calculeze χt (χl ) in cadranul 3, folosind
ecuatia (5). Daca χl ≤ 2.519, atunci χl = 0 (presupunem ca este in
cadranul 2 ), iar daca χl > 17, atunci χt = rχl , r fiind calculat de
subrutina precedenta.
Pentru calcularea solutiei ecuatiei (5), ne folosim de faptul ca intot-
deauna in cadranul 3 0 ≤ χt ≤ rχl .

Aceste aplicatii le-am facut in ultimile 3 cursuri.

v
Chapter 1

General concepts

The notes of this chapter are based on the book by B. A. Auld, Acoustic
Fields and Waves in Solids.

1.1 Strain tensor

Let us denote the particle positions in the undeformed body by r, and in
the deformed body by r0 . Then we can define the displacement field as
u(r) ≡ r0 − r. In the matrix representation we denote r and r0 by the
column vectors

x0
   
x
 0 
 y  and  y  (1.1)
 

z z0

respectively, where x, y, z, x0 , y 0 , z 0 are components of the vectors along

the orthogonal axes x̂, ŷ, and ẑ. In the general case we may also use the
notations xi and x̂i , where this simplifies the notations.
Let us now take two (close) points r and r + δr. In the deformed body,
these points correspond to r0 and r0 + δr0 (see figure 1.1). Keeping only the
terms linear in δr we have

3
X d
δu(r, t) = u(r, t)δxi , (1.2)
i=1 dxi

1
 particle a deformed
particle b state

dr’(r,t)
du(r,t)

u(r+dr,t)
u(r,t)
r’(r,t) dr
particle b equilibrium
particle a state
r
0

Figure 1.1: Displacement in an elastic body.

which, in the matrix form, becomes

 ∂u ∂ux ∂ux
 
x 
∂x ∂y ∂z δx
←
−  ∂u ∂uy ∂uy
δu = δr0 − δr = u · ∇ · δr ≡ y
 
 · δy 
. (1.3)
 ∂x ∂y ∂z 
∂uz ∂uz ∂uz δz
∂x ∂y ∂z

In Eq. (1.3) ∇ is the covariant gradient operator (∂/∂x, ∂/∂y, ∂/∂z) and the
arrow ←−· specifies the fact that the derivatives act on the quantities on the
left. The 3 × 3 matrix above is called the displacement gradient matrix and
we shall denote it by [E]:
 
∂ux ∂ux ∂ux
 ∂x ∂y ∂z 
 
 
 ∂uy ∂uy ∂uy 
[E] ≡  ∂x
 ∂y ∂z 

(1.4)
 
 
∂uz ∂uz ∂uz
∂x ∂y ∂z

A measure of the deformation of the body is ∆ ≡ |δr0 |2 − |δr|2 . Using Eq.

(1.3) we get  
∆ = δrt · [E] + [E]t + [E][E]t · δr,
where by ·t we denote the transpose of a vector or of a matrix. If the elements
of [E] are small and we denote its symmetric and antisymmetric parts by

2
[E]s ≡ 21 ([E] + [E]t ) and [E]a ≡ 12 ([E] − [E]t ), respectively, then we may keep
only terms linear in [E] and arrive to the expression
∆ ≈ 2δrt · [E]s · δr. (1.5)
The components of the matrix [E]s , denoted also by [] will be called the
components of the strain field. Explicitly,
" #
1 ∂ui (r, t) ∂uj (r, t)
ij = + . (1.6)
2 ∂xj ∂xi
To express [] in terms of the deformed coordinates, we use the rule of derivat-
ing composed vectorial functions:
∂u ∂u ∂r0
= ·
∂r ∂r0 ∂r
⇓
 ∂u1  ∂u1 ∂u1 ∂u1   ∂x0 ∂x01 ∂x01 
∂u1 ∂u1  1
∂x ∂x2 ∂x3 ∂x0 ∂x02 ∂x03 ∂x1 ∂x2 ∂x3
 ∂u12 ∂u2 ∂u2  ∂u12 ∂u2 ∂u2   ∂x 0 ∂x02 ∂x02 

= · 2
 ∂x01 ∂x02 ∂x03
 ∂x1  
∂x2 ∂x3    ∂x1 ∂x2 ∂x3 
∂u3 ∂u3 ∂u3 ∂u3 ∂u3 ∂u3 ∂x03 ∂x03 ∂x03
∂x1 ∂x2 ∂x3 ∂x01 ∂x02 ∂x03 ∂x1 ∂x2 ∂x3
⇓
∂ui ∂x0k
" #
∂ui ∂ui ∂uk
= 0
· ≡ 0
· δkj + ,
∂xj ∂xk ∂xj ∂xk ∂xj
so, in the linear approximation, we have
∂ui ∂ui
≈ . (1.7)
∂xj ∂x0k
From now we shall use r and r0 interchangeably.

1.1.1 Rigid transformations and deformations

The rigid transformations of the body are rotations and translations. In the
case of translations the field u(r, t) is independent of r, so it’s displacement
gradient matrix is identically zero.
For a clockwise rotation of small angle ψ around the direction α̂ ≡ x̂αx +
ŷαy + ẑαz , the displacement gradient matrix is antisymmetric:
 
0 −αz αy
[E] = ψ  αz

0 −αx 
. (1.8)
−αy αx 0

3
 y’ y
vy v

v’y
x’
v’x
x
vx
Figure 1.2: Clockwise rotation of coordinates system by angle ξ around axis
z.

1.1.2 Transformation properties

Let us find the transformation properties of the displacement gradient matrix
on the rotation of system of coordinates. For this assume that the system
of coordinates rotates with angle ξ clockwise around the z axis, as shown in
figure 1.2. If I denote by vx and vy the projections of the vector v on the
axes of the original system, then the projections on the rotated system are
vx0 = vx cos ξ + vy sin ξ and vy0 = vy cos ξ − vx sin ξ. Or, if I write in general

vi0 = aij vj

(where I assume summation over the repeating indices), then the matrix [a]
must be real and satisfy the condition

[v]t · [w] = [v 0 ]t · [w0 ] = [v]t · [a]t · [a] · [w] , ∀[u], [v] ,

which yelds
[a]t · [a] = [a] · [a]t = I .
Matrices which satisfy these properties are called orthogonal. Applying the
properties of [a] to the equation

du = [E]dr ,

4
we obtain

[u0 ] = [a][E][a]t [a][r] , (1.9)

which implies [E 0 ] = [a][E][a]t and obviously, [0 ] = [a][][a]t . So [] is a tensor

contravariant in the first subscript and covariant in the second.

1.1.3 Symbolic notations and abbreviated subscripts

In Section 1.1 we introduced the quantities
←−
[E] ≡ u · ∇, (1.10a)
du = [E] · dr, and (1.10b)
1 1 ←
−  ← −t
  
[] = [E] + [E]t = u· ∇ + u· ∇ ≡ [∇s u]; (1.10c)
2 2
in Eq. (1.10c) we introduced the notation ∇S in 3 × 3 matrix form, defined
by Eq. (1.6).

Abbreviated subscripts
The strain tensor is symmetric, so it contains only 6 independent elements.
It turns out that for practical purposes it is much more convenient to write
these independent components as a 6-elements vector, as follows:
1 1
 
 
1 
2 6

2 5
xx xy xz
 
 
 1 1

[] =  xy yy yz  ≡ 
 2 6 2  , (1.11)
 
2 4 
xz yz zz 



1 1

2 5

2 4
3

so the vector is
 
1

 2 

3
 
 
 =   . (1.12)

 4 

5
 
 
6

5
From the definition of  and equation (1.12) follows the definition of ∇s in
abbreviated subscript notations:
 
∂ux  ∂ 
∂x ∂x
0 0
   
   
∂uy
  
 0 ∂uy 
 

 ∂y

 ∂y
0 
1 







 

2  
∂uz
 
 0 ∂
  
0 ux
    
∂z ∂z
3
     
   
= = · uy 
. (1.13)
      
4
    
∂uy ∂uz   ∂ ∂ 
  
∂z
+ ∂y 
 0
∂z ∂y
 uz
5
    
     
 
6    
∂ux ∂uz 
 ∂ ∂


 ∂z
+ ∂x 

 ∂z 0 ∂x


   
   
 
∂ux ∂uy ∂ ∂
∂y
+ ∂x ∂y ∂x
0
| {z }
∇s

To distinguish the abbreviated subscripts, in what follows I shall denote

them by capital letters (e.g. I), while the normal subscripts will be denoted
as usual, by lower case letter (e.g. i). Using this convention, Eq. (1.13) may
be written in the compact form

I ≡ ∇Ij uj . (1.14)

1.2 Stress and dynamical equations

1.2.1 Body forces and stresses
Stresses within a vibrating medium are defined by taking the material parti-
cles to be volume elements of some orthogonal coordinate system, as shown
in figure 1.3. To specify the force, three force components are required for
each face of the particle. The traction force, or force per unit area, acting on
the element facing in the +x direction is

Tx = x̂Txx + ŷTyx + ẑTzx . (1.15a)

Similarly,

Ty = x̂Txy + ŷTyy + ẑTzy , (1.15b)

Ty = x̂Txz + ŷTyz + ẑTzz . (1.15c)

6
 Tz (r +δr) Ty(r +δr)
δz

Tx(r +δr)
δx
δy

r
z

Figure 1.3: Definition of stress: traction forces acting on a material particle.

Tx , Ty , and Tz , are forces per unit area.

Stress on an arbitrary oriented surface

We write the balance of the forces acting on the volume element δV , shown
in figure 1.4. First, the projections on the axis x:
Txn δSn − Txx δSx − Txy δSy − Txz δSz + F δV = 0 . (1.16)
If we reduce the volume element to zero, the term F δV disappears from the
equation, since δV /δSi → 0 in the limit. Moreover, taking into account that
δSi = ni δSn , i = 1, 2, 3,
we obtain
Txn = Txx nx + Txy ny + Txz nz . (1.17)
In the matrix form, equation (1.17) above may be written as
     
Txn Txx Txy Txz nx
 Tyn  =  Tyx Tyy Tyz  ·  ny  , (1.18)
     

Tzn Tzx Tzy Tzz nz

or symbolically,
Tn = T · n̂ . (1.19)

7
 z

−Tx δS x
−Ty δS y
Tn δS n

n
y

F δV
−Tz δS z
x
Figure 1.4: Stress on arbitrarily oriented surfaces.

Transformation properties of the stress tensor

If the coordinates systems is transformed so that a vectors changes as v0 =

[a]v, then
[T 0 ] = [a][T ][a]t . (1.20)

Proof of (1.20): The unit vectors of the coordinate system tranform as

x̂0i = [a]t x̂i , i = 1, 2, 3. (1.21)

So we write first
Ti = [T ][a]t x̂i = [a]t [a][T ][a]t x̂i ,

but in the transformed coordinates Ti is nothing but [a]Ti , which prooves

equation (1.20).

8
 0
Tz0+δT z Ty +δT y

δz

δx
δy Tx0+δT x

r
z

x
Figure 1.5: Translation force acting on an elementary volume.

1.2.2 The dynamical equations of acoustics

Translational equations of motion
We apply Newton’s law for an elementary volume δV :
Z Z Z
∂ 2u
Tn̂ dS + F dV = ρ 2 dV , (1.22)
δS δV δV ∂t
which, by application of Gauss theorem in the limit δV → 0, becomes

∂ 2u
∇·T=ρ − F. (1.23)
∂t2
To find the definition of the definition of ∇ · T, let me write the stress vectors
on each face of the elementary volume in figure 1.5. The strsses acting on
the faces oriented in the +x, +y, and +z directions are
∂ δx
T0x + δTx ≡ T0x + (x̂Txx + ŷTyx + ẑTzx ) ,
∂x 2
9
 ∂ δy
T0y + δTy ≡ T0y + (x̂Txy + ŷTyy + ẑTzy ) ,
∂y 2
∂ δz
T0z + δTz ≡ T0z + (x̂Txz + ŷTyz + ẑTzz ) .
∂x 2
Similarly,

T0−x + δT−x = −T0x + δTx ,

T0−y + δT−y = −T0y + δTy ,
T0−z + δT−z = −T0z + δTz .

Using the above equations, the definition of ∇ · T follows:

!
∂ ∂ ∂
∇ · T = x̂ Txx + Txy + Txz
∂x ∂y ∂z
!
∂ ∂ ∂
+ ŷ Tyx + Tyy + Tyz
∂x ∂y ∂z
!
∂ ∂ ∂
+ ẑ Tzx + Tzy + Tzz (1.24)
∂x ∂y ∂z

Rotational equations of motion

Let us now calculate the torques acting on an elementary volume δV , in the
elastic body. The froces are represented in figure 1.6. By multiplying the
stress with the area and moment arm, I get the momentum in the z direction:

Mz = (Tyx − Txy )δxδyδz . (1.25)

If I define by Gz the z component of the body torque, then the torational

equation of motion is
∂2
(Tyx − Txy + Gz )δxδyδz = Iz θz , (1.26)
∂t2
where θ is the rotation angle about z axis and Iz is the moment of inertia:

Iz = ρδxδyδz(δx2 + δy 2 )average ∝ ρδV 5/3 . (1.27)

Taking the limit δV → 0 in Eq. (1.26) and using Eq. (1.27), I get

Tyx − Txy + Gz = 0 ,

10
 y
x θz

Gz δ x δ y δ z

Figure 1.6: Body torque and traction force components that produce particle
rotation about the z axis.

or in general,

ijk Tij + Gk = 0 , (1.28)

where ijk is the Levi-Civita symbol, and is equal to +1 for even permutations
of ijk and −1 for odd permutations.
Even in strongly polarized media, G  Ti , so one can neglect G in
equation (1.28), which gives

Tij = Tji , ∀i, j = 1, 2, 3. (1.29)

11
Abbreviated subscript notations
Since [T ] is also a symmetric tensor, I can write it using abbreviated sub-
scripts as follows:
 
 
T1 T6 T5
Txx Txy Txz
 
 
 
[T ] =  Txy Tyy Tyz  ≡  T T T4  . (1.30)
 
 6 2

Txz Tyz Tzz 



T5 T4 T3

The divergence of tensor [T ] is (see Eq. 1.24)

 ∂ ∂ ∂
T + T + T

∂x xx ∂y xy ∂z xz
 
 
 ∂ ∂ ∂ 
∇·T =  ∂x Tyx + T
∂y yy
+ T
∂z yz  , (1.31)
 
 
 
∂ ∂ ∂
T
∂x zx
+ T
∂y zy
+ T
∂z zz

which in abbreviated subscript notations may be written as

 
 ∂
0 0 0 ∂ ∂  T1
∂x ∂z ∂y
  

T2 

T3
   

 0 ∂ ∂ ∂   
∇·T = ∂y
0 ∂z
0 ∂x  · 
   . (1.32)

   T4 

T5
   
∂ ∂ ∂  
0 0 0
∂z ∂y ∂x T6

So the divergence operator is the transpose of the symmetric gradient,

 ∂ ∂ ∂
0 0 0

∂x ∂z ∂y
 
 
∂ ∂ ∂ 
∇ ≡ ∇tS =

 0 0 0 ∂x  ,

 ∂y ∂z
 
 
∂ ∂ ∂
0 0 ∂z ∂y ∂x
0

and the translational equation of motion becomes

∂ 2 ui
∇iJ TJ = ρ − Fi , where (1.33)
∂t2
i = x, y, z and J = 1, 2, 3, 4, 5, 6.

12
1.3 Elastic properties of solids
Deformations of the elastic solid produce stress into the body and viceversa.
For small deformations (linear approximation), the strain and stress tensors
are proportional. The relation between stress and strain is given by the
fourth rank tensor c, and may be written as

Tij = cijkl kl . (1.34)

This is generalized Hooke’s Law. The tensor elements cijkl may be in-
terpreted as “microscopic spring constants” and are called elastic stiffness
constants. They have small values for easely deformed solids, and large val-
ues for rigid materials. There are in total 9 × 9 = 81 constants, but not
all of them are independent. Simply by using abbreviated subscripts, it can
be shown that tensor c may be written as a 6 × 6 matrix, so with only 36
elements. Moreover,
cijkl = cklij ,
which further reduces the number of constants to 21. This is the maximum
number of constants for any medium, but usually the number of constants is
much less than this.
Alternatively, one may invert Eq. (1.34) and write

ij = sijkl Tkl . (1.35)

The constants sijkl are called compliance constants and measure the deforma-
bility of the medium. Relations (1.34) and (1.35) are called elastic constitu-
tive relations.

1.3.1 Transformation properties

At a coordinate transformation, the stress and strain tensors transform as
0
Tmn = ami Tij anj , (1.36)
0
mn = ami ij anj . (1.37)

Inversion of (1.37) gives

ij = (a−1 )im 0mn (a−1 )jn = ami anj 0mn , (1.38)

13
Using equations (1.36), (1.37), and (1.38), I obtain
0
Tmn = ami cijkl kl anj = ami cijkl anj aok apl 0op , (1.39)

so
c0mnop = ami anj aok apl cijkl . (1.40)
Similarly, for the compliance tensor I get

s0mnop = ami anj aok apl sijkl . (1.41)

In tensors notations, Eqs. (1.34) and (1.35) are written

T = c : ,
 = s : T.

1.3.2 Abbreviated subscripts

From equation (1.34), I have for example

Txx = . . . + cxxyy yy ,

which, abbreviated subscripts may be written

T1 = . . . + c12 2 .

On the other hand,

Txy = . . . + cxyxy xy + cxyyx yx ,

which is
6 6
T6 = . . . + (cxyxy + cxyyx ) = . . . + 2cxyxy = . . . + c66 6
2 2
In general,
cIJ = cijkl . (1.42)
By similar arguments,

1 for I and J = 1, 2, 3,


sIJ = sijkl ×  2 for I or J = 4, 5, 6, (1.43)

4 for I and J = 4, 5, 6.

14
In these notations the Hooke’s Law becomes:

TI = cIJ J , where I, J = 1, 2, 3, 4, 5, 6. (1.44)

Inverting Eq. (1.44), I get

I = sIJ TJ , where I, J = 1, 2, 3, 4, 5, 6. (1.45)

Obviously,
[s] = [c]−1 .

1.3.3 Transformations with abbreviated subscripts

If [a] is the matrix of the transformation, then equation (1.36) becomes

TI0 = MIJ TJ , where I, J = 1, 2, 3, 4, 5, 6. (1.46)

The matrix [M ] is

a2xx a2xy a2xz

 
2axy axz 2axz axx 2axx axy
2 2

 ayx ayy a2yz 2ayy ayz 2ayz ayx 2ayx ayy 

a2zx a2zy a2zz 2azy azz 2azz azx 2azx azy
 
 
[M ] =  .

 ayx azx ayy azy ayz azz ayy azz + ayz azy ayx azz + ayz azx ayy azx + ayx azy 

azx axx azy axy azz axz axy azz + axz azy axz azx + axx azz axx azy + axy azx 
 

axx ayx axy ayy axz ayz axy ayz + axz ayy axz ayx + axx ayz axx ayy + axy ayx
(1.47)

Similarly, the [] matrix changes as

0I = NIJ J (I, J = 1, 2, 3, 4, 5, 6), (1.48)

where the matrix [N ] is

a2xx a2xy a2xz

 
axy axz axz axx axx axy
2 2 2

 ayx ayy ayz ayy ayz ayz ayx ayx ayy 

a2zx a2zy a2zz azy azz azz azx azx azy
 
 
[N ] =  .

 2ayx azx 2ayy azy 2ayz azz ayy azz + ayz azy ayx azz + ayz azx ayy azx + ayx azy 

2azx axx 2azy axy 2azz axz axy azz + axz azy axz azx + axx azz axx azy + axy azx 
 

2axx ayx 2axy ayy 2axz ayz axy ayz + axz ayy axz ayx + axx ayz axx ayy + axy ayx
(1.49)

15
Using the transformations for T and , I get also

[T 0 ] = [M ][c][N ]−1 [0 ]

⇓
c = [M ][c][N ]−1
0

⇓
s = [N ][s][M ]−1
0
(1.50)

Since [a]−1 = [a]t , it follows also that

[N ]−1 = [M ]t and [M ]−1 = [N ]t ,

so

c0 = [M ][c][M ]t ,
s0 = [N ][s][N ]t . (1.51)

For an isotropic medium,

 
c11 c12 c12 0 0 0

 c12 c11 c12 0 0 0 

c12 c12 c11 0 0 0
 
 
[c] =   , (1.52)

 0 0 0 c44 0 0 

0 0 0 0 c44 0
 
 
0 0 0 0 0 c44

where moreover,
c12 = c11 − 2c44 . (1.53)

Usually c11 and c44 are usually called the Lamé constants and denoted by

λ ≡ c12 ,
µ ≡ c44

(we’ll prove this in one of the exercise sessions).

16
1.4 Power flow and energy balance
1.4.1 Poynting’s theorem for the acoustic field
Definitions of tensor notations:

T · n̂ ≡ Tij nj single dot product ,

c :  ≡ cijkl kl double dot product ,
A : B ≡ Aij Bij also double dot product .

If we calculate T : , the product contains terms of the form

Tyz yz + Tzy zy = 2Tyz yz ≡ T4 4 .

In general,
T :  ≡ Tij ij = TI I .
We use Eqs. (1.14), (1.23), and (1.44),

 = ∇s u , (1.54a)
∂ 2u
∇ · T = ρ 2 − F, (1.54b)
∂t
T = c : . (1.54c)

I define
∂u
v≡ ,
∂t
the particle velocity field, and equation (1.54b) becomes
∂p
∇·T= − F, (1.55)
∂t
where
p ≡ ρv , (1.56)
is the momentum density. I rewrite equation (1.54a) as
∂
= ∇s v . (1.57)
∂t
Using the relation
 = s : T,

17
the set of equations (1.54a-1.54c) transforms into a set of two coupled equa-
tions:
∂v
∇·T = ρ − F, (1.58)
∂t
∂T
∇s v = s : . (1.59)
∂t
To obtain the Poynting Theorem, I multiply equation (1.55) by −v to
obtain
∂p
−v · (∇ · T) = −v · + v · F. (1.60)
∂t
If I multiply equation (1.57) by (−T :),

∂
−T : ∇s v = −T : , (1.61)
∂t
and add equations (1.60) and (1.61) together, I get

∂p ∂
−v · (∇ · T) − T : ∇s v = −v · −T: + v · F, (1.62)
∂t ∂t
which may be converted into

∂p ∂
−∇ · (v · T) = −v · −T: + v · F, (1.63)
∂t ∂t
by the use of the identity

∇ · (v · T) = v · (∇ · T) + T : (∇s v) . (1.64)

Now I integrate Eq. (1.63) over the volume V and the integral of the diver-
gence becomes integral over the volume’s surface:
I Z
∂p Z ∂ Z
(−v · T) · n̂ = − dV v · − dV T : + dV v · F . (1.65)
S V ∂t V ∂t V

Now I interpret equation (1.65). First I assume that the surface S is

stress-free, so T · n̂ ≡ 0. Under this assumption, I get
!
Z
∂p ∂ Z
dV v· +T: = dV v · F . (1.66)
V ∂t ∂t V

18
The term to the r.h.s. of the equation above represent the power supplied
into the volume V by the sources, Ps . Since there is no energy loss in the
system, the l.h.s. must be the rate of change of stored energy in the system.
The first term may easely be identified as the rate of change of kinetic energy
density:
∂uv ∂v ∂ 1 2
 
= ρv · = ρv , (1.67)
∂t ∂t ∂t 2
while the second term must be the rate of change of elastic energy density,
stored in the medium (strain energy), us . Using the relation

TI = cIJ J ,

I write the strain energy as

∂uS ∂ ∂I
=T: = cIJ J , (1.68)
∂t ∂t ∂t
so
dus = cIJ J dI , (1.69)
which implies
1
us ≡ J cIJ J (1.70)
2
Equations (1.70) implies also that
∂ 2 us ∂ 2 us
cIJ = = = cJI , (1.71)
∂I ∂J ∂J ∂I
as stated in the beginning of Section 1.3. Since c is symmetric, its inverse, s
is also symmetric:
sIJ = sJI .
With these identifications, Eq. (1.65) may be written
I
∂U
(−v · T) · n̂ + = Ps , (1.72)
S ∂t
where by Z
U≡ (uv + us )dV ,
V
I denote the total, kinetic plus elastic stored energy in V . In this case, the
integrand
P · n ≡ −v · T · n̂

19
may be interpreted as the power flux in the direction n̂, and

P ≡ −v · T (1.73)

is the acoustic Poynting vectors.

1.4.2 Physical conditions on c and s

If the zero strain reference point is a point of static equilibrium, it must corre-
spond to a state of minimum strain energy. The strain energy must increase
as the medium is deformed, so the strain energy density us = 12 I cIJ J can
never become negative, and goes to zero only when the strain components
go to zero. Therefore, us is a positive definite quadratic function and must
satisfy the following constants:


cII > 0
 cII cIJ 
 > 0

cIJ cII 


det[cIJ ] > 0 .

Analogous relations apply also to s.

1.4.3 Isotropy conditions

By using the fact that in isotropic media the coordinate axes are equivalent,
it can be shown that

c11 = c22 = c33

c44 = c55 = c66

and

c12 = c13 = c23

Using invariance of [c] under rotations through 180◦ about the coordinate
axes, one may observe that all the other components of [c] have to be zero,

20
yielding the rather simple form:
 
c11 c12 c12 0 0 0

 c12 c11 c12 0 0 0 

c12 c12 c11 0 0 0
 
 
[c] =  

 0 0 0 c44 0 0 

0 0 0 0 c44 0
 
 
0 0 0 0 0 c44

By an arbitrary rotation through an angle ξ about the z axis, the stiffness

matrix [c] transforms to

c011 c012 c12 0 c016

 
0
0 0

 c12 c11 c12 0 0 −c016 

c12 c12 c11 0 0 0
 
[c0 ] =
 
 ,

 0 0 0 c44 0 0 

0 0 0 0 c44 0
 
 
0 0
c66 −c66 0 0 0 c066

where
1
c011 = c11 − (c11 − (c12 + 2c44 )) sin2 (2ξ)
2
1
c012 = c12 + (c11 − (c12 + 2c44 )) sin2 (2ξ)
2
1
c016 = − (c11 − (c12 + 2c44 )) sin(2ξ) cos(2ξ)
2
1
c066 = c44 + (c11 − (c12 + 2c44 )) sin2 (2ξ),
2
The invariance of [c] under such transformations, gives an additional isotropy
condition:
c12 = c11 − 2c44 , (1.74)
which reduces the number of independent stiffness constants for an isotropic
medium to two. Usually, the two independent constants are chosen to be

λ = c12 , and µ = c44 , (1.75)

which are called the Lamé constants.

21
1.4.4 Young’s modulus and Poisson’s ratio
The elastic constants of an isotropic solid can also be expressed by Poisson’s
ratio σ and Young’s modulus E in the following way [1]:

(1 − σ)E
c11 = ,
(1 + σ)(1 − 2σ)
E
c44 = ,
2(1 + σ)

where σ is restricted to [2]

−1 ≤ σ ≤ 0.5 .

For media with negative σ, a stretch (compression) in one direction produces

expansion (shrink) in the other two perpendicular directions. Such materials
are rather seldom and so σ is considered to be positive (0 ≤ σ ≤ 0.5). In
this case it can be shown that:
c2l c11 1
2
= =1+ > 1, (1.76)
ct c44 1 − 2σ
c2 1 1
1 − 2t = ,
cl 21−σ
c2
⇒ 12 ≤ 1 − t2 ≤ 1, (1.77)
cl
Eσ
c2l − 2c2t = ≥ 0. (1.78)
ρ(1 + σ)(1 − 2σ)

The relations above will be useful later.

22
Chapter 2

Three-dimensional systems

2.1 Plane waves

Multiplying Eq. (1.10c) to the left by [c], and using Eqs. (1.23) and (1.44)
to eliminate T (see also Eqs. 1.54), we obtain
∂ 2u
∇tS ([c] · ∇S u) = ρ −F (2.1a)
∂t2
or, equivalently,
∂ 2 ui
∇iK cKL ∇Lj uj = ρ − Fi . (2.1b)
∂t2
Looking for plane wave solutions of an infinite medium, in the absence of
external forces,
u ∼ exp(−i[k · r − ωt]),
∇S can be replaced by
 
nx 0 0

 0 ny 0 
0 0 nz 
 

∇S → −ik   (2.2)

 0 nz ny 

nz 0 nx 
 

ny nx 0

where n̂ = ~k/k. Then (2.1) can be written as

k 2 Γij uj = −ρ(∂t2 ui ) = ρω 2 ui (2.3a)

23
which is called the Christoffel equation. The tensor Γ in Eq. (2.3a) is called
the Christoffel 3 × 3 tensor, and has the elements
Γij ≡ (niK cKL nLj ). (2.3b)
Rotating the coordinates axes so that ~k k ẑ, Γ becomes diagonal,
 
c44 0 0
Γ=
 0 c 44 0 
. (2.4)
0 0 c11
Equation (2.4) shows that in a solid there are three independent polarizations
of the plane wave solutions: two transversal and one longitudinal, with the
dispersion relations
q q
ωt = kt c44 /ρ and ωl = kl c11 /ρ, (2.5a)
respectively (the subscripts l and t designate the polarizations). These dis-
persion relations give the transversal and longitudinal sound velocities
q q
ct = c44 /ρ and cl = c11 /ρ, (2.5b)
respectively.

2.2 Potential theory

To emphasize the longitudinal and transversal polarizations of the velocity
field, it is, by using Helmholtz’s theorem (see for example Ref. [3]), conve-
nient to write the velocity field v as
u = ∇Φ + ∇ × Ψ (2.6)
where Φ and Ψ are called the scalar and vector potentials of the elastic field.
Φ and Ψ describe the longitudinal and transversal polarizations of the field,
respectively. The dynamic equations for the potentials is obtained from the
Christoffel equation (2.3), by rewriting the tensor Γ corresponding to a plane
wave solutions as
(c11 − c44 )n2x + c44
 
(c11 − c44 )nx ny (c11 − c44 )nx nz
Γij =  (c11 − c44 )ny nx

(c11 − c44 )n2y + c44 (c11 − c44 )ny nz  
(c11 − c44 )nz nx (c11 − c44 )nz ny (c11 − c44 )n2z + c44
n2x nx ny nx nz
 

≡ c44 · [1] + (c11 − c44 )  ny nx n2y ny nz  . (2.7)

 

nz nx nz ny n2z

24
But since

n2x nx ny nx nz
     
ux nx (nx ux + ny uy + nz uz )
2
 ny nx

ny ny nz  ·  uy  =  ny (nx ux + ny uy + nz uz ) 
   

nz nx nz ny n2z uz nz (nx ux + ny uy + nz uz )
= n · (n · u),

Eq. (2.3) becomes

k 2 c44 u + (c11 − c44 )k(k · u) = ρω 2 u. (2.8)

The above equation refers to the plane wave solutions. In the differential
form, the Christoffel equation reads

c44 ∇2 u + (c11 − c44 )∇(∇ · u) = ρ∂t2 u. (2.9)

Using the identity

∇ × ∇ × A = ∇(∇ · A) − ∇2 A, (2.10)

Eq. (2.9) becomes

c11 ∇(∇ · u) − c44 ∇ × ∇ × u = ρ∂t2 u. (2.11)

Using Eqs.(2.6) and (2.11), together with the identities ∇ · (∇ × Ψ) = 0 and

∇ × (∇Φ) = 0, one gets

∇(c11 ∇2 Φ − ρ∂t2 Φ) − ∇ × (c44 ∇ × ∇ × Ψ + ρ∂t2 Ψ) = 0. (2.12)

Using the identities (2.10) and ∇ × ∇(∇ · Ψ) = 0, Eq. (2.12) is satisfied if

both equations

c44 ∇2 Ψ − ρ∂t2 Ψ = 0 and c11 ∇2 Φ − ρ∂t2 Φ = 0 (2.13)

are satisfied simultaneously. These are the equations that will be solved
in the concrete calculations that will follow (together with the boundary
conditions). For simplicity, the convention ∇ · Ψ = 0 shall also be used.
Restrictions imposed by this convention, plus Eqs. (2.13), have no effect on
the physical field u.

25
2.2.1 The stress tensor in terms of the potentials
Expressed in terms of the potentials Φ and Ψ, the stress is

T = [c] · (∇S u) = [c] · [∇S (∇Φ + ∇ × Ψ)] (2.14a)

c12 ∇2 Φ + 2c44 [∂x2 Φ + ∂x (∂y Ψz − ∂z Ψy )]
 

 c12 ∇2 Φ + 2c44 [∂y2 Φ + ∂y (∂z Ψx − ∂x Ψz )] 

c12 ∇2 Φ + 2c44 [∂z2 Φ + ∂z (∂x Ψy − ∂y Ψx )]
 
 
= 
 c [2∂ ∂ Φ + (∂ 2 − ∂ 2 )Ψ + ∂ (∂ Ψ − ∂ Ψ )]

 (2.14b)
 44 y z z y x x y y z z 
 c44 [2∂x ∂z Φ + (∂x2 − ∂z2 )Ψy + ∂y (∂z Ψz − ∂x Ψx )]
 

c44 [2∂x ∂y Φ + (∂y2 − ∂x2 )Ψz + ∂z (∂x Ψx − ∂y Ψy )]

To describe a wave propagating in the yz plane, we take all the derivatives

with respect to x to be equal to zero and Eq. (2.14b) simplifies to

c12 ∇2 Φ
 

 c12 ∇ Φ + 2c44 [∂y2 Φ + ∂y ∂z Ψx ]
2 

c12 ∇2 Φ + 2c44 [∂z2 Φ − ∂z ∂y Ψx ]
 
 
T=  . (2.15)

 c44 [2∂y ∂z Φ + (∂z2 − ∂y2 )Ψx ] 

c44 ∂z (∂y Ψz − ∂z Ψy )
 
 
c44 ∂y (∂y Ψz − ∂z Ψy )

2.3 Boundary conditions

2.3.1 Reflection and transmission at a plane
lossless interface
In the following chapters shall be seen that the eigenmodes of the Christoffel
equation in finite systems are no longer simple plane waves. This is due to
the fact that the longitudinal and transversal modes, which are independent
in infinite systems, mix-up after interacting with the boundaries. To under-
stand the boundary effects, a plane, lossless interface between two media with
different acoustic properties, shall be considered first. The contact between
the two solids demands that both, the displacement and the stress fields are
continuous at the interface [3]:

u = u0 (2.16a)
[T ] · n = [T 0 ] · n. (2.16b)

26
 z z
t’ t’
θ’l θ’l
θ’t l’ θ’t l’
y y

θt θt θt
θl l l θl l
θl
(a) t t (b) t

Figure 2.1: scattering of plane waves at an interface between two solids

Let’s assume that the interface between the two media is the plane xy, as
in Fig. 2.1. If the incident wave is transversal, polarized in the x direction,
the displacement field is
   
ux 0
u =  0  ≡ ∇ ×  Ψy  (2.17)
   

0 Ψz

If one of the media is vacuum (free boundary), the stress along the inter-
face is zero:

[T ] · ~n = 0 (2.18)

In what follows, the planar boundaries will be oriented parallel to the xz

plane, so the angles of incidence, reflection, and transmission will be mea-
sured with respect to the y axis. Due to the rotation symmetry around the y
axis, in the concrete calculations of boundary scattering the plane k̂ŷ (where,
as usual, ~k is the wave vector and k̂ ≡ ~k/k) is taken to be the yz plane (see
Fig. 2.1). Moreover, the two possible transversal polarizations (orthogonal
to each-other) will be chosen so that one is parallel to the interface – the hor-
izontal shear mode (SH) – and the other one lies in the k̂ŷ plane – the vertical
shear mode (SV). The longitudinal mode (l) will sometimes be referred to as
the pressural mode (P).

27
2.3.2 Snell’s Law
In general, a plane wave that strikes a free boundary or an interface between
two dissimilar solids, will be scattered and split up into several waves. Here
the behaviour of the horizontally polarized shear modes goes analog to the
case of light beams in optics, where an incident horizontally polarized light
beam is being split up into one reflected and one transmitted light beam of
the same polarization.
The vertical shear and pressural modes mix up when striking an interface.
This means that one incident vertical shear or pressural wave will be split up
into four waves, as shown in Fig. 2.1. Here shear modes are symbolized by
a t for transversal and pressural waves by an l for longitudinal. Transmitted
waves are marked with t’ or l’.
That means that in the presence of a plane boundary or interface (or
more than one, if they are parallel to each other), two of the three modes,
which were former independent of each other, are now coupled to each other
and make calculations much more complicated. These coupled modes will
later on always be referred to as mixed modes. As the horizontal shear stays
independent of the other modes, it can always be treated separately first,
which gives already a good approximation for the behavior of the whole
system.
The angles of incidence, transmission and reflection are given by the so
called Snell’s Law. As the plane of incidence was before chosen to be the
yz plane, the x components of all wave vectors are zero. The boundary
conditions (2.16a) and (2.16b) demand that stress and velocity field at the
interface are continuous for all points of the interface z and all times t. This
is only possible if
ω = ω0 and kz = kz0 , (2.19)
from where directly follows the Snell’s Law:
ω
kz = kt · sin(ϑt ) = sin(ϑt )
ct
sin(ϑt ) sin(ϑl ) sin(ϑ0t ) sin(ϑ0l )
⇒ = = = (2.20)
ct cl c0t c0l
Each of the relations (2.20) has a critical angle of reflection. In the case of
horizontal shear this means that a wave, coming from the medium with the
lower sound velocity in an angle bigger than the critical angle, will be totally
reflected at the interface. In the case of the mixed modes it means that,

28
each time a critical angle of (2.20) is reached, one of the emerging waves
disappears.

2.3.3 Horizontal shear

The boundary conditions can be satisfied by the SH polarized waves, inde-
pendent of the other two polarizations. The displacement field of the SH
mode is
   
ux 0
uSH  0 =∇
=   ~ ×
 Ψy  ,

(2.21)
0 Ψz

where Ψx = Φ = 0. Since kx = 0 by definition, the only stress component

that is not identically zero on the membrane surface is (see Eq. 2.15)

T6 = Txy = c44 ∂y (∂y Ψz − ∂z Ψy ) (2.22)

The plane waves are reflected back and forth between the free boundaries
and the most general ansatz is
 
ψy = a1 eiky y + b1 e−iky y eikk z , (2.23a)
 
ψz = a2 eiky y + b2 e−iky y eikk z , (2.23b)

where we ignored the factor e−iωt , representing the time variation of the
fields. Imposing the condition ∇ · Ψ = 0 on the components (2.23) we obtain
   
0 = iky a1 eiky y − b1 e−iky y eikk z + ikk a2 eiky y + b2 e−iky y eikk z
h i
= i (ky a1 + kk a2 )eiky y − (ky b1 − kk b2 )e−iky y eikk z ,

which leads to the relations

a1 a2 b1 b2
= − ≡ a and = ≡ b. (2.24)
kk ky kk ky

Plugging Eqs. (2.24) into Eqs. (2.23) we obtain

 
ψy = kk aeiky y + be−iky y eikk z , (2.25a)
 
ψz = ky −aeiky y + be−iky y eikk z . (2.25b)

29
From Eqs. (2.25) we get first
   
∂y Ψz − ∂z Ψy = −ikk2 aeiky y + be−iky y eikk z − iky2 aeiky y + be−iky y eikk z
  
= −i kk2 + ky2 aeiky y + be−iky y eikk z , (2.26)

and then, using Eq. (2.22), we obtain

  
T6 = c44 ky kk2 + ky2 aeiky y − be−iky y eikk z . (2.27)

To set T6 (y = b/2) = T6 (y = −b/2) = 0, we must impose a = i(α/2)e−iky b/2 ,

b = i(α/2)eiky b/2 , and ky = mπ/b, where m is an integer, positive or zero.
This leads to
" 2 # " !#
mπ 2 mπ mπ b

T6 = −αc44 kk + sin y− eikk z (2.28)
b b b 2
and
" !#
mπ b
ψy = iαkk cos y− eikk z , (2.29a)
b 2
" !#
mπ mπ b
ψz = α sin y− eikk z . (2.29b)
b b 2

From Eqs. (2.21) and (2.29) we obtain

" !#
mπ b
2
ux = ∂y Ψz − ∂z Ψy = αk cos y− ei(kk z−ωt) ,
b 2

where k 2 = kk2 + (mπ/2)2 . Then the dispersion relation reads

ω2
2
mπ

2
= + kk2 , (2.30)
ct b
which is plotted in Fig. 2.2. The functions ω(m, kk ), of fixed m and variable
kk will be simply called branches.

2.3.4 Mixed modes

The boundary conditions cannot be satisfied by the l (P) or SV modes inde-
pendently. Since uSV = ∇ × (x̂Ψx ) and ul = ∇ · Φ, both, Ψx and Φ, have to

30
 20

18

16

14

12

bω 10
2ct

0
0 2 4 6 8 10 12 14 16 18 20
b
k
2 k

Figure 2.2: The five lowest branches of the SH modes.

be taken different from zero. The most general ansatz is

t t
Ψx = (αt eiky y + βt e−iky y )eikk z , (2.31a)
ikyl y −ikyl y
Φ = (αl e + βl e )eikk z , (2.31b)
where the super- and subscripts t and l stand for transversal and longitudinal
respectively and we neglected again the time dependent part of the wavedunc-
tions e−iωt . The boundary conditions for this problem are Tyy (y = ± 2b ) = 0
and Tyz (y = ± 2b ) = 0.
To calculate the stress tensor from the ansatz (2.31) we have first
∂y2 φ = −(kyl )2 φ (2.32a)
∂z2 φ = −kk2 φ (2.32b)

31
 ∇2 φ = −[(kyl )2 + kk2 ]φ ≡ −kl2 φ (2.32c)
ikyl y −ikyl y
∂y ∂z φ = −kyl kk (αl e − βl e )eikk z (2.32d)
ikyt y −ikyt y
∂y ∂z ψx = −kyt kk (αt e − βt e )eikk z (2.32e)
(∂z2 − ∂y2 )ψx = −[kk2 − (kyl )2 ]ψx (2.32f)

Combining Eqs. (2.32) we get

T1 = −c12 kl2 φ (2.33a)

h i
ikyt y −ikyt y
T2 = −c12 kl2 φ − 2c44 (kyl )2 φ + kyt kk (αt e − βt e )eikk z
n  l l

= −c44 [(kyt )2 − kk2 ] αl eiky y + βl e−iky y
 t t
o
+2kyt kk αt eiky y − βt e−iky y eikk z (2.33b)
h i
ikyt y −ikyt y
T3 = −c12 kl2 φ − 2c44 (kyl )2 φ − kyt kk (αt e − βt e )eikk z (2.33c)
h l l
i
T4 = −c44 2kyl kk (αl eiky y − βl e−iky y )eikk z + [kk2 − (kyt )2 ]ψx (2.33d)
T5 = 0 = T6 , (2.33e)

where we used the dispersion relations for the longitudinal and transversal
waves (Eqs. 2.5) and the fact that the frequencies of the longitudinal and
transversal waves must be the same (Eqs. 2.19), to obtain the second relation
for T2 (Eq. 2.33b). Setting αl = βl and αt = −βt or αl = −βl and αt = βt ,
equations (2.33b) and (2.33d) are satisfied if
[(kyt )2 − kk2 ]2 + 4kyl kyt kk2 sin( 2b [kyl − kyt ])
= ± ,
[(kyt )2 − kk2 ]2 − 4kyl kyt kk2 sin( 2b [kyl + kyt ])

which can be transformed into

tan( 2b kyt ) 4kyl kyt kk2
= − (2.34a)
tan( 2b kyl ) [(kyt )2 − kk2 ]2

and
tan( 2b kyt ) [(kyt )2 − kk2 ]2
= − . (2.34b)
tan( 2b kyl ) 4kyl kyt kk2

Equations (2.34) and the Snell’s Law

ω 2 = c2t ((kyt )2 + kk2 ) = c2l ((kyl )2 + kk2 ), (2.35)

32
form two sets of transcendental equations which can be solved numerically
in general and analytically only in some special cases.
Referring to the symmetry of the uz field at the transformation y → −y,
the solutions of the two sets will be called symmetric (2.34a) and antisym-
metric (2.34b) modes. The fields of the symmetric (2.34a) modes are:
!
h i b  
Ψx = −i (kyt )2 − kk2 cos kyl sin kyt y ei(kk z−ωt) ,
2
!
b  
Φ = 2kyt kk
cos kyt
cos kyl y ei(kk z−ωt) ,
2
( !
tb
 
t l
uy = kk −2ky ky cos ky sin kyl y
2
! )
l b
h i  
t 2 2
+ (ky ) − kk cos ky sin ky y ei(kk z−ωt) ,
t
2
( !
b  
uz = ikyt 2kk2 cos kyt cos kyl y
2
! )
l b
h i  
t 2 2
+ (ky ) − kk cos ky cos ky y ei(kk z−ωt) ,
t
2
while the fields of the antisymmetric modes (2.34b) are
!
h i b  
Ψx = (kyt )2 − kk2 sin kyl cos kyt y ei(kk z−ωt) ,
2
!
b  
Φ = 2ikyt kk sin kyt sin kyl y ei(kk z−ωt) ,
2
( !
tb
 
t l
uy = ikk 2ky ky sin ky cos kyl y
2
! )
l b
h i  
t 2 2
+ (ky ) − kk sin ky cos ky y ei(kk z−ωt) ,
t
2
( !
b  
uz = −kyt 2kk2 sin kyt sin kyl y
2
! )
l b
h i  
t 2 2
− (ky ) − kk sin ky sin ky y ei(kk z−ωt) .
t
2
Like in the case of horizontal shear modes, the dispersion relation of the
mixed modes splits into branches, but this time kyt and kyl are functions of
kk for each branch.

33
 In general, the solutions of Eqs. (2.34) have to be found numerically, but
for certain values or ranges of the variables analytical solutions or approxi-
mations can be found. For fixed kk each of these equations has an infinite
number of solutions (kyt , kyl ), which correspond to the branches of the disper-
sion relation. Vice-versa, varying kk from zero to infinity along each branch,
one can find the functions kyt (kk ) and kyl (kk ) by solving Eqs. (2.34) and
(2.35). Furthermore, inverting for example kyl (kk ), which is transformed into
kk (kyl ), one can find kyt (kyl ) for each branch and each symmetry (see Figs. 2.3
and 2.4). Using these functions and Eq. (2.35), the dispersion ω p (kk ) can be
calculated (see Figs. 2.5 and 2.6).
Equations (2.34) become more clear and easier to handle if we put them
in adimensional form. By introducing the notations
b b b
xt ≡ kyt , xl ≡ kyl , and xk ≡ kk . (2.36)
2 2 2
we can write (2.34) as
 ±1
tan(xt )  4xl xt x2 
k
= − 2 2 2
, (2.37)
tan(xl )  [xt − xk ]

where the exponent +1 corresponds to the symmetric modes and the expo-
nent −1 corresponds to the antisymmetric modes. Similarly, by multiplying
Eq. (2.35) by (b/2)2 we obtain
!2
b
ω = c2t (x2t + x2k ) = c2l (x2l + x2k ). (2.38)
2

Since the term bω/2 does not enter into Eqs. (2.37), we can solve the coupled
equations (2.37) and (2.38) without making reference to the thickness of the
sample.

34
 Calculation of the dispersion relations for the symmetric modes
In Fig. 2.3 we show the parametric plots xt (xk ) vs xl (xk ) for the symmetric
branches. In this section we give some indications about how these branches
are calculated.

Quadrant 2: kyt ≥ 0, κl ≥ 0, kyl ≡ iκl kyt 2b Quadrant 1: kyt , kyl ≥ 0

9π
+ − + − + − 2
cl
ct
√ 1 − + − + − + 4π
1−2J
7π
+ − + − + − 2

− 3π
+ − + − +
5π
+ − + − + − 2

2π
− + − + − +
3π
+ − + − + − 2

π
− + − + − +
π
2
+ − + − + −
κl 2b π 3π 5π kyl 2b
0 2
π 2
2π 2
3π

cl /ct ≈ 1.66 and corresponds to Si3 N4

J ≡ c2t /c2l ≈ 0.362

Quadrant 3: κt ≥ 0, κl ≥ 0, kyt ≡ iκt , kyl ≡ iκl Quadrant 4: not used

κt 2b

Figure 2.3: The parametric plots (kyl (kk ), kyt (kk )) for symmetric modes. We
plot kyt vs kyl (Quadrant 1), kyt vs κl (Quadrant 2), and κt vs κl (Quadrant 3).
In Quadrants 2 and 3 κl increases from right to left, whereas in Quadrant 3
κt increases from top to bottom.

We write Eq. (2.37) for the symmetric modes,

tan(xt ) 4xl xt x2k

= − 2 . (2.39)
tan(xl ) 2
xt − xk 2

35
First of all we have to identify the starting points of the branches. This point
corresponds to xk = 0 (or kk = 0). In such a case Eq. (2.38) becomes simply
cl
xt = xl , (2.40)
ct
so the starting points of all the branches should be on the line defined by Eq.
(2.40). Furthermore, if xk = 0, then from Eq. (2.37) we obtain

tan(xt )
= 0, (2.41)
tan(xl )
which is satisfied if either tan(xt ) = 0 or tan(xl ) = ±∞. This leads to the
two sets of solutions
b t b ct
xt = k = nπ and xl = kyl = nπ (2.42a)
2 y 2 cl
or
b t (2n + 1)π cl b (2n + 1)π
xt = ky = · and xl = kyl = . (2.42b)
2 2 ct 2 2
Equations (2.40) and (2.42) fully define the starting points of each branch, as
one can see in Fig. 2.3. The 0th branch starts in xl = xt = xk = 0, whereas
the other branches are numbered 1, 2, . . . , in increasing order of xl (xk = 0)
or xt (xk = 0), or going from 0, upwards, along the line defined by Eq. (2.40)
drawn in Fig. 2.3.
To find other points on the branches 1, 2, . . . , let us notice that the right
hand side (rhs) of Eq. (2.37) is negative for real and positive xt , xl . Therefore
the left hand side (lhs) of Eq. (2.37) should also be negative and this restricts
considerably the ranges of values for xl and xt . In Fig. 2.3 we divided the
first quadrant (upper right) into squares of dimensions (π/2) × (π/2) and
we marked them by + and −. Inside the “+ squares”, tan(xt )/ tan(xl ) > 0,
whereas in the “− squares”, tan(xt )/ tan(xl ) < 0. Therefore the solutions
of Eq. (2.37) are to be found only in the “− squares”. Furthermore, since
solutions cannot exist in the “+ squares”, the curves xt (xl ) have to pass from
one “− squares” to the other, as xk increases, only through the corners
m cl
(xl , xt ) = (nπ, mπ), where > or (2.43a)
n ct
" #
(2n + 1)π (2m + 1)π 2m + 1 cl
(xl , xt ) = , , where > (2.43b)
2 2 2n + 1 ct

36
(n and m are integers). For this reason, once we know the starting point of a
branch (Eqs. 2.42), we also know all the corners through which this branch
will passes until xl reaches zero.
If we denote by J ≡ c2t /c2l , from Eq. (2.35) we can write one of the
variables in terms of the other two, namely
Jx2t − x2l x2l + (1 − J)x2k
x2k = , x2t = or x2l = Jx2t − (1 − J)x2k ; (2.44)
1−J J
one can prove that in any elastic material J < 1/2. Using the first of the
Eqs. (2.44) one can find xk at the corners defined in the Eqs. (2.43).
With increasing xk , xl approaches zero (although xl may not be mono-
tonically decreasing with increasing xk ) and then becomes imaginary. This
can be seen in Fig. 2.3 by going along any of the branches 1, 2, . . . : first the
solutions are in the quadrant 1, where both, xl and xt are real and positive,
and then they pass into the quadrant 2, where xl ≡ iχl is imaginary and xt
is real–we shall always take χ ≥ 0.
To express the Eq. (2.37) in the quadrant 2, we use the definitions
eix + e−ix eix − e−ix sin(x)
cos(x) ≡ , sin(x) ≡ , and tan(x) ≡ , (2.45)
2 2i cos(x)
valid for any complex x. Using (2.45), the Eq. (2.37) for the quadrant 2
becomes
 ±1
tan(xt )  4χl xt x2 
k
= ± 2 2 2
, (2.46)
tanh(χl )  [xt − xk ]
where the + sign corresponds to the symmetric waves and the − sign cor-
responds to the antisymmetric waves. Since all the variables on the rhs of
the Eq. (2.46) are positive, then then for the symmetric waves the ratio
tan(xt )/ tanh(χl ) should also be positive in the quadrant 2, which means
that xt should take values only in intervals of the form [nπ, (2n + 1)π/2], as
shown in Fig. 2.3. This means that xl reaches zero only at
(n)
xt ≡ xt (xl = 0) = nπ, (2.47)
where n is the branch number. Relations (2.44) readily give us the value
of xk at which the solutions of Eq. (2.37) change from the quadrant 1 into
quadrant 2 s
(n) J
xk ≡ nπ. (2.48)
1−J

37
 In the quadrant 2, xt increases monotonically with xk (as well as with χl )
up to xt = (2n + 1)π/2 and then decreases monotonically with xk (as well as
with χl ) to the value xt = nπ, which is reached asymptotically when xk → ∞
(n)
(and χl → ∞). At the point of maximum xt = xt,max , tan(xt ) diverges and
so does the rhs of Eq. (2.46). Therefore we have

(n) (2n + 1)π (n) (n) (2n + 1)π

xt,max = ⇒ xk,max = xt,max =
2 2
(n) (2n + 1)π √
and χl,max = 1 − 2J, (2.49)
2
where the last expression was obtained by plugging the first two expressions
into Eqs. (2.44). From the first and the last of the Eqs. (2.49) we observe
that the ratio
(n)
xt,max 1
(n)
=√ , (2.50)
xl,max 1 − 2J
is independent of n, so the points of maximum xt for all the branches lie on
a straight line, as shown in Fig. 2.3.

Lowest branch of symmetric modes

We see from Fig. 2.3 that the lowest branch of symmetric modes starts at
xk = xl = xt = 0, goes into the quadrant 2 (where xl = iχl is imaginary and
xt is real) and then passes into the quadrant 3 (where both, xl = iχl and
xt ≡ iχt , are imaginary). In the quadrant 2, xt reaches the maximum value
π/2, corresponding to n = 0 (in the previous section we discussed the case
n > 0), where

(0) π (0) (0) π (0) π√

xt,max = , xk,max = xt,max = and χl,max = 1 − 2J. (2.51)
2 2 2
(0)
For χl > χl,max , xt decreases monotonically with increasing χl (and in-
creasing xk ), until reaches 0, and then the 0th symmetric branch passes into
the quadrant 3, where xt = iχt . In the quadrant 3, χt increases monotonically
with χl . The values of xk and χl corresponding to xt = 0 can be found from
Eq. (2.37) by taking the limit xt → 0, which leads (for the symmetric case)
to the equation
x2k − 4χl tanh(χl ) = 0. (2.52)

38
From Eq. (2.44), with the condition xt = 0, we obtain x2k = x2l /(1 − J),
which, combined with Eq. (2.52), leads to an equation for χl ,

χ2l − 4(1 − J)χl tanh(χl ) = 0. (2.53)

Taking cl = 10300 m/s and ct = 6200 m/s (corresponding to Si3 N4 ), we

(0) (0)
obtain from Eq. (2.53) the solution χl,inv ≈ 2.518. Therefore, for χl > χl,inv
the solutions of Eq. (2.37) for the symmetric modes lie in the quadrant 3,
where Eq. (2.37) becomes
 ±1
tanh(χt )  4χl χt x2 
k
=  2 . (2.54)
tanh(χl ) [χt + x2k ]2 

Furthermore, from Eqs. (2.44) we obtain

χ2l − Jχ2t χ2l − (1 − J)x2k

x2k = , χ2t = , and χ2l = (1 − J)x2k + Jχ2t . (2.55)
1−J J
(0)
Solving Eqs. (2.54) and (2.55) for χl > χl,inv , we obtain a monotonically
increasing function χt (χl ). For high values of χt and χl , both hyperbolic
tangents approach the value 1 and Eq. (2.54) simplifies to
4χl χt x2k
1 = . (2.56)
[χ2t + x2k ]2

The same result is valid for the antisymmetric lowest branch (see below).
Plugging the expression (2.55) into Eq. (2.56) and simplifying by χ4l we
obtain the equation
1 4r(1 − Jr2 )
= , (2.57)
1−J [1 + (1 − 2J)r2 ]2
where r ≡ χt /χl . For the parameters of Si3 N4 the solution of Eq. (2.57) of
physical interest for us is r ≈ 0.487. Therefore the function χt (χl ) in the
quadrant 3 approaches asymptotically the linear dependence χt = rχl for
large values of χl .
Similarly, we can eliminate χl or χt from Eq. (2.56), using Eqs. (2.44),
and find equations for the asymptotic values of rt ≡ χt /xk or rl ≡ χl /xk . In
this way we find q
4rt 1 − J + Jrt2
1= (2.58)
(1 + rt2 )2

39
 Practically, since
x1
tanh(x) ∼ 1 − 2e−2x , (2.59)
then
tanh(χt )
∼ 1 − 2e−2χt + 2e−2χl , (2.60)
tanh(χl )
so the numerical precision of the computer is reached for relatively small
valued of χt and χl .

40
 Calculation of the dispersion relations for the antisymmetric modes

In Fig. 2.4 we show the parametric plots xt (xk ) vs xl (xk ) for the asymmetric
branches, which we discuss in this section.

Quadrant 2: kyt ≥ 0, κl ≥ 0, kyl ≡ iκl kyt 2b Quadrant 1: kyt , kyl ≥ 0

9π
√ + − + − + − 2
c2l −2c2t cl
cl ct 4π
− + − + − +
7π
2
+ − + − + −
3π
− + − + − +
5π
2
+ − + − + −
2π
− + − + − +
3π
2
+ − + − + −
π
− + − + − +
π
2
+ − + − + −
κl 2b π 3π 5π kyl 2b
0 2
π 2
2π 2
3π

cl /ct = 1.66 and corresponds to Si3 N4

J ≡ c2t /c2l ≈ 0.362

Quadrant 3: κt ≥ 0, κl ≥ 0, kyt ≡ iκt , kyl ≡ iκl Quadrant 4: not used

κt 2b

Figure 2.4: The parametric plots (kyl (kk ), kyt (kk )) for the asymmetric modes.
We plot kyt vs kyl (Quadrant 1), kyt vs κl (Quadrant 2), and κt vs κl (Quadrant
3). In Quadrants 2 and 3 κl increases from right to left, whereas in Quadrant 3
κt increases from top to bottom.

We start by writing Eq. (2.37) for the antisymmetric modes,

 2
tan(xt ) x2t − x2k
= − . (2.61)
tan(xl ) 4xl xt x2k

41
Setting xk = 0 we recover Eq. (2.40), which defines the line with slope cl /ct
from the quadrant 1 of Fig. 2.4. Furthermore, for xk = 0 we obtain

tan(xl )
= 0, (2.62)
tan(xt )

which is equivalent to either tan(xl ) = 0 or tan(xt ) = ±∞. These conditions

are satisfied if
b l b cl
xl = k = nπ and xt = kyt = nπ (2.63a)
2 y 2 ct
or
b l (2n + 1)π ct b (2n + 1)π
xl = ky = · and xt = kyt = . (2.63b)
2 2 cl 2 2

Equations (2.63) define the starting points of the antisymmetric branches.

Like in the symmetric case, the 0th branch starts at xt = xl = xk = 0,
but then continues directly in the third quadrant, i.e. both, xt and xl are
imaginary: xt ≡ iχt and xl ≡ iχl , where χt and χl are real.
In the quadrant 1 xl and xt are real and tan(xl )/ tan(xt ) ≤ 0. Therefore
the solutions of Eq. (2.61) always go through the “−squares” of Fig. 2.4, as
in the case of symmetric modes. The passage from one “−squares” to the
other is done only through the corners defined by Eqs. (2.43). Using again
Eqs. (2.44), we can define all the variables xl , xt , and xk in these corners.
As xk increases, xl approaches 0 and the solutions pass into the quadrant 2.
In the limit xl = 0, Eq. (2.61) gives
 2
x2t − x2k
tan(xt ) = − < 0, (2.64)
4xt x2k

which determines xt . To calculate xt (xl = 0), we use x2k = Jx2t /(1 − J) (from
Eqs. 2.44) and obtain

(1 − 2J)2
tan(xt ) = −xt , (2.65)
J(1 − J)

which has solutions in the interval (nπ − π/2, nπ), where the integer n > 0
is the branch number.

42
 In the quadrant 2, xl = iχl is imaginary, whereas xt is real. In this case
Eq. (2.61) takes the form
 2
tan(xt ) x2t − x2k
= − . (2.66)
tanh(χl ) 4χl xt x2k

The solution xt (χl ) of Eq. (2.66) increases with χl , until it reaches xt = nπ,
where n is the branch number. At this point tan(xt ) = 0 and xk = xt = nπ.
From Eqs. (2.44) we obtain
√
xt = xk = nπ, χl = nπ 1 − 2J. (2.67)

The lowest branch of the antisymmetric modes

In the quadrant 3, xt = iχt and xl = iχl ,, where χt and χl are both real and
positive. In this case Eq. (2.61) becomes
 2
tanh(χt ) χ2t + x2k
= . (2.68)
tanh(χl ) 4χl χt x2k

Like in the case of symmetric modes, if xk  1, then χl  1 and χt  1,

and Eq. (2.68) reduces to Eq. (2.56), which gives the asymptotic value of
the ratio r = χt /χl from Eq. (2.57).
On the other hand, we observe that if we set χt = xk , then from Eqs.
(2.55) we obtain χt = χl = xk and in this case Eq. (2.68) is identically
satisfied. This means that one solution for Eq. (2.68) in the quadrant 3 is
χt = χl = xk . Nevertheless, this is not the only solution. There is always
another solution with χt < xk , which implies that also χl < xk , and we are
going to search for that.
In the limit xk  1, we can use the Taylor expansion
( )
2 2J(1 − J) 27 − 20J
 
χl ≈ xk 1 − J(1 − J)x2k + 4
− J(1 − J) x(2.69a)
k
3 9 5
( )
2 2(1 − J) 27 − 20J
 
2
χt ≈ xk 1 − (1 − J)xk + − (1 − J) x4k (2.69b)
3 9 5

43
 8π

7π

6π

5π

bω
2ct 4π

3π

2π

0
0 2 4 6 8 10 12 14 16 18 20
kk 2b

Figure 2.5: The dispersion relations for the symmetric branches and cl /ct =
1.66

44
 8π

7π

6π

5π

bω
2ct 4π

3π

2π

0
0 2 4 6 8 10 12 14 16 18 20
kk 2b

Figure 2.6: The dispersion relations for the antisymmetric branches and
cl /ct = 1.66

45
Bibliography

[1] S. W. Wenzel. Applications of Ultrasonic Lamb Waves. PhD thesis,

University of California, Davis, 1982.

[2] L. D. Landau and E. M. Lifshitz. Theory of Elasticity, Third Edition,

volume 7. Butterworth-Heinemann, 3 edition, 1986.

[3] B. A. Auld. Acoustic Fields and Waves in Solids, 2nd Ed. Robert E.
Krieger Publishing Company, 1990.

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