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Auxetic Behaviour: Appearance and Engineering Applications

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phys. stat. sol. (b) 242, No. 3, 710 – 720 (2005) / DOI 10.1002/pssb.200460388

Auxetic behaviour: appearance and engineering applications

G. E. Stavroulakis*, 1, 2
1
Department of Mathematics, Division of Applied Mathematics and Mechanics, University of Ioannina,
GR–45110 Ioannina, Greece
2
Institute of Applied Mechanics, Department of Civil Engineering,
Carolo Wilhelmina Technical University, 38106 Braunschweig, Germany

Received 25 June 2004, accepted 2 November 2004

Published online 15 February 2005

PACS 46.25.–y, 46.70.Lk, 46.90.+s, 62.20.Dc, 81.90.+c

Materials with negative Poisson’s ratio are characterized as auxetic materials. They arise quite rarely in
nature, so that our engineering intuition can not help us understand their mechanical behaviour or, further,
use them effectively for innovative products and processes. From a literature review and from analytical
calculations confirmed with the use of numerical homogenization, it seems that some nonconvex-shaped
(re-entrant) microstructure is the most understandable origin of the auxetic behaviour. The picture is quite
clear in elastostatics, for which a quite large number of potential applications have been discussed in the
engineering literature. Analogous problems in elastodynamics and in the area of viscoelasticity have not
been discussed thoroughly in the open literature. The purpose of this article is to summarize the available
knowledge in the area of auxetics and to point out interesting directions for further research and develop-
ment work.

© 2005 WILEY-VCH Verlag GmbH & Co. KGaA, Weinheim

1 Introduction
Materials with negative Poisson’s ratio are characterized as auxetic materials. The Poisson’s ratio meas-
ures the change of length (deformation) of an elastic material in the perpendicular direction with respect
to the loading. Thus, for a common material with a positive Poisson’s ratio, if one takes a rod specimen
and applies a tensile load, a shrinkage (reduction of length) appears in the direction perpendicular to the
loading direction (i.e., a reduction of the cross-section). Analogously the cross section increases in com-
pression (cf. barreling effect). The opposite effects appears in materials with negative Poisson’s ratio.
Due to this increasing of the cross-section in compression they have been called auxetic materials (from
the Greek word ‘afxetos’, see [1, 2]). Other names used are anti-rubber [3] and dilatational materials [4].
The name anti-rubber arises from the fact that negative Poisson’s ratio materials become fatter in cross
section when stretched. By contrast rubber becomes thinner. The name dilatational arises from the fact
that solids with negative Poisson’s ratio easily undergo volume changes. By contrast, rubbery materials
easily undergo shape changes (shear deformation) but are much stiffer in relation to volume changes.
Auxetic materials arise quite rarely in nature, although certain examples of crystalline structures with
this property have been presented [5]. Moreover, it is more appropriate to speak about auxetic behaviour
in certain directions, since this effect also arises in given directions for composite materials and struc-
tures. Although a negative Poisson’s ratio is allowed even in the case of the classical linear and isotropic
elasticity, most researchers seem to forget this evidence and restrict their investigations to the range of

*
e-mail: gestavr@cc.uoi.gr, g.stavroulakis@tu-bs.de

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positive Poisson’s ratios. This lack of scientific information in connection with the restricted number of
applications makes the further development in this field difficult, although a number of patents issued in
the name of known companies certainly demonstrate the potential of having innovative applications and
engineering products based on the auxetic behaviour effect.
From a literature review and from analytical calculations confirmed with the use of numerical homog-
enization, it seems that some nonconvex-shaped (re-entrant) microstructure is the origin of the auxetic
behaviour. The picture is quite clear in elastostatics (see, for example, [6]). Analogous problems in elas-
todynamics and in the area of viscoelasticity have not been discussed in detail in the open literature.
For engineering applications the auxetic effects and it’s dependance on the microstructure can be
studied by using homogenization techniques (see, among others, [7 – 11]).
A number of potential applications of the auxetic behaviour for the design of innovative materials and
structural elements or for new processing techniques have been outlined in the engineering literature.
The importance of using cork, which is a material with nearly zero Poisson’s ratio, for sealing wine bot-
tles, is well known. Another class of applications is based on the sound-absorbing properties of auxetic
materials, which make them interesting for both civil and military applications. Furthermore, several
authors speculate auxetic (elastic, visco- or poro-elastic) behaviour in biomechanics (for example, for the
spongy part of the bones), with obvious implications for the efficient design of prostheses, in cork [12]
and in skin [13, 14]. Evidence of auxetic behaviour in cracked rocks has been documented in [15] and
studied theoretically in independent work [16]. The micromechanical modeling of auxetic behaviour can
be investigated and combined with iterative methods for optimal material design, which have been de-
veloped earlier (see [17, 18]) for the optimal design of model devices and structural parts taking advan-
tage of the auxetic behaviour. This possibility, which has been investigated in our previous papers [18,
19], seems to be less known in the literature. The importance of the auxetic behaviour and several possi-
ble applications are described, among others, in the review articles [20 –24] and [25]. The reference [22]
contains also citations to several recent patents given in this area.
A number of concrete applications can be envisaged, like the design of sealing for pipelines and ma-
chine components, of orthotropic laminate plates, which require less effort during cold pressing and of
composite plates with optimal noise and vibration absorbing behaviour. The reader may study some of
the proposed ideas by using recent, general purpose, finite element modelling software. Finally the area
of anisotropic elasticity, large deformation analysis and multiphysics (piezo-thermo-electro-elasticity),
including auxetics, seems to provide several open problems and interesting topics for research.

2 Theoretical background
In the case of linear elasticity and for three-dimensional isotropic bodies the following limits of accept-
able Poisson’s ratios hold: -1 £ n £ 12 . These limits are computed by the requirement that the deformation
energy is a positive semidefinite quadratic form, which in other words means that no material instabili-
ties are allowed for and that the material is thermodynamically admissible (no energy is produced during
every possible deformation of the material element). For two-dimensional problems the limits become
-1 £ n £ 1. Details can be found, for example, in [26, p. 353], or in [27, p. 45]. Analogously, limits for
anisotropic materials can be calculated. It is interesting to notice that the limits in this case are relative to
the elasticity constants and, in particular, the Poisson’s ratio may theoretically attain very large or very
small values. For example, for orthotropic materials the Poisson’s ratios between directions i and j
1/ 2
ÊE ˆ
are limited by: |n ij | £ Á i ˜ , where Ei is the elasticity modulus along the orthotropy direction i. Thus,
ËE ¯
j

the existence of directions with auxetic behaviour is connected with high anisotropy.
It is clear that in the case of large deformations the Poisson’s ratio is not constant. There exist several
definitions, in analogy to the definition of strain measures for large deformations. Their discussion ex-
ceeds the purpose of this text. Details can be found in [28– 30] or [31].

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712 G. E. Stavroulakis: Auxetic behaviour: appearance and engineering applications

3 Origin of auxetic behaviour: nonconvex microstructure

The auxetic behaviour is attributed to some nonstandard microstructure. Several models have been pro-
posed for the explanation of this effect. These models allow for the analytical or numerical reproduction
of the auxetic behaviour. The more general approach for the study of the microstructural effect (texture)
on the mechanical behaviour is based on the numerical homogenization. The most plausible microstruc-
ture which allows for the explanation of the auxetic behaviour is composed of nonconvex or inverted
hexagonal microstructures. In fact, auxetic behaviour can be calculated by using the analytical models of
beam-type microstructures which have the form of hexagonal cells and have been proposed for the mod-
elling of cellular solids and of honeycombs (see, among others, the monograph [32] or, for large dis-
placements [31]).
Other micromechanical models, including micromechanisms, multi-rank layered composite materi-
als [4], nematic microstructures and chiral microstructures [33], have been proposed and used for certain
applications. Even exotic microstructures, described by fractals, have been proposed as possible causes
of the auxetic behaviour (cf. [34]). In this review the nonconvex microstructure of a composite or a
beam-like microstructure is only discussed, since this is the most easily understandable case for classi-
cally trained engineers.
Finally, the general approach to study the effects of texture and of microstructure on the mechanical
properties of the material is to use the theory of homogenization. The general theory of homogenization
is quite well understood for the elastostatic and elastodynamic behaviour of two- and three-dimensional
structures and is continuously being extended in the area of electric, thermal and acoustic behaviour or in
multiphysics (multiple, combined fields). Technical descriptions of the theory, which allow for numeri-
cal computations with the finite element method, are given in [8, 10]. Recent applications of homogeni-
zation include composite and concrete materials modeling [35] as well as micromechanical modeling of
multiphysics problems (in fact, materials with negative thermal coefficients have also been designed,
see [36, 37]).
A simplified but sufficient homogenization technique has been used in our previous publications for
the study of the negative Poisson’s effect in two-dimensional elastostatics, see [19, 38 –40] and [18]. The
method is able to study the auxetic behaviour of composites with nonconvex inclusions. An example is
shown in Fig. 1. One fourth of the periodicity cell with appropriate symmetry boundary conditions along
the external boundaries ab and cd is studied in detail with the finite element method, as it is shown in
Fig. 2. For simplicity, a very weak matrix is assumed and it is neglected in the analysis. In fact, loading
at the left-hand side boundary leads to overall auxetic behaviour, as can be seen from the deformations of
the upper boundary in the same figure. It must be underlined here that the material of the inclusion has a
positive Poisson’s ratio. The auxetic behaviour is caused by the shape of the inclusion.
Recently, more efficient homogenization techniques for elastostatics and elastodynamics which use
the boundary element method have been proposed (see, among others [41] and relevant modelling of
composites in [42]). Further development of numerical homogenization techniques include consideration
of nonlinear effects and use of different computational mechanics techniques (boundary elements, mesh-
less methods). One should be aware of the fact that several simplified homogenization techniques (rules
of mixture) do not take into account the microstructure, therefore they can not be used for the study of
auxetic behavior.

Fig. 1 (online colour at: www.pss-b.com) A composite

with a nonconvex inclusion. Periodicity cell and one-
fourth model.

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phys. stat. sol. (b) 242, No. 3 (2005) / www.pss-b.com 713

Max: 2890

Fig. 2 (online colour at: www.pss-b.com) Auxetic behaviour demonstrated from the finite element
analysis of the one-fourth of the periodicity cell.

At this point it should be noted that in our discussion and our use of homogenization the limits be-
tween ‘material’ and ‘structure’ are not sharp. This is, in particular, true for composite structures where
the auxetic behaviour appears in some directions of the anisotropic medium (see, e.g., [43 –48]).

4 Technological, experimental and manufacturing issues

Experimental evidence of auxetic behaviour has been reported in a number of publications for both natu-
ral and man-made materials. Among others, a spectroscopic investigation of auxetic PTFE (poly-
tetrafluoroethylene) is reported in [49], a holographic interferometry study of re-entrant, auxetic copper
foam is described in [50], investigation of auxetic nematic structures in liquid crystals is reported in [51]
and analysis of the material microstructure are presented in [52, 53]. Experimental investigation of dy-
namic properties of foams and their dependence on temperature effects are reported in [54].
Several manufacturing processes for the construction of auxetic materials (foams) have been described
in the literature or in patent descriptions. One simply understandable thermomechanical process involves
heating of a polyurethane foam, which produces the classical cellular microstructure and, subsequently,
compression and buckling of the thin walls of the cellular microstructure to form the inverted, noncon-
vex microstructure which is responsible for the auxetic behaviour. Finally the resulting material is stabi-
lized. Pictures of deformation patterns for classical and auxetic foams, as well as simple models with re-
entrant unit cell materials made of poster board are published in [55]. Relevant information on manufac-
turing processes and further experimental results are given, among others, in [56– 60]. Recently, novel
techniques based on stereolithography have been proposed for the construction of auxetic materials, see,
among others, [61 –64].

5 Modelling: analytical and numerical homogenization

Using homogenization one can replace a material with a complicated microstructure with an equivalent
‘homogeneous’ material having some mean-valued, homogenized properties (mechanical, thermal,
acoustic etc). In the next step one uses this fictitious homogeneous material for structural analysis, opti-
mal design and other purposes. From the mathematical point of view the main question posed in the
theory of homogenization is in what space the homogenized material (if such a material exists) should
live. The auxetic behaviour illustrates clearly this point, since a mixture of two classical materials (with
positive Poisson’s ratio) leads, due to the microstructure, to a homogenized material with a negative
Poisson’s ratio.

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714 G. E. Stavroulakis: Auxetic behaviour: appearance and engineering applications

a) b) c)
Fig. 3 (online colour at: www.pss-b.com) Three test loads of a unit cell, which can be used for a simplified ho-
mogenization.

In practice one analyses in details one small representative element (representative volume element or
representative cell, cf. Fig. 1) of the structure for appropriately defined loading and boundary conditions
and determines, this way, the homogenized material constants. This general methodology, which can be
extended to large deformation and nonlinear problems, is only applicable with numerical algorithms
based on the finite element or the boundary element method (see, among others, [8 – 11]).
A simplified method for numerical homogenization has been used in our initial investigation of the
auxetic effect [6]. The method can be outlined as follows. Let us suppose a suitable unit cell which is
modelled with all microstructure and material details using finite elements. The parameters of this model
are denoted by superscript II . A similar model made of the unknown homogeneous material is consid-
ered. The set of all unknown (homogenized) material parameters for this latter model, which may be an
isotropic or general anisotropic elastic plate, are gathered in vector z . The results are denoted by super-
script I . Let us suppose that both unit-cell models are subjected to the same test loadings. For example,
let us consider the three loading cases of Fig. 3: (a) fixed left-hand side and horizontal loading of the
right-hand side, (b) fixed l.h.s. and vertical loading of the r.h.s. and (c) fixed lower side and vertical load-
ing of the upper side. On the assumption that x is the horizontal axis and y the vertical one, the three
cases roughly correspond to the unitary loadings exx = 1, exy = 1 and eyy = 1. For brevity we denote them
by e(i ) , i = 1, 2, 3. Let the calculated internal energy of the corresponding elastostatic analysis problems
I II

be denoted by ’ ( e( i ) , z) = Ú s e dW and ’ ( e( i ) ) = Ú s e dW . Here W is the area of the two-dimensional

in W in W
unit cell, s and e denote the stress and strain tensors at equilibrium, while e( i ) , i = 1, 2, 3 denote the de-
pendance of the considered test loading case. The homogenization problem can be written as a parameter
identification problem, i.e. best fitting of parameters z from the unit cell I , using the results of unit cell
II and the internal energy, in the following sense: find z as a solution of the optimization problem
2
1
3
Ï I II
¸
min  wi Ì’ ( e(i ) , z) - ’ ( e(i ) )˝ . (1)
zŒZad 2
i =1 ÓÔ in in ˛Ô
Here, Z ad is the set of admissible values for the unknown material parameters of the homogenized cell I
and wi , i = 1, 2, 3 are appropriate weights which transform a general multi-objective optimization prob-
lem into a classical one. The previously defined optimization problem can be solved with every available
method of numerical optimization, with genetic algorithms or even neural network techniques. It must be
underlined that for problems of linear elasticity the solution of the unit cell I of the homogenized mate-
rial can be solved analytically. Therefore a numerical technique, like the finite element method, is re-
quired for the analysis of cell II only. This concept can be extended to nonlinear or dynamic problems,
as will be mentioned later.
Furthermore, simple microstructural models in elasticity allow for analytical calculation of the ho-
mogenized material properties. This is the case for honeycomb cellular microstructures, which are ana-
lysed using framework models (see, e.g., [32, 55, 65, 66]) or of chiral microstructures [33]. Nematic

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phys. stat. sol. (b) 242, No. 3 (2005) / www.pss-b.com 715

microstructures with rigid plates connected with rods have been used for the analytical modelling which
is extended in the range of large deformations and includes locking effects due to contact of the con-
nected parts (see, e.g., [67, 68]) and have been compared with experimental results in [69].
Finite element homogenization studies for auxetic materials in elastostatics have been presented in
[6, 65, 70, 71]. The latter reference [71] includes a comparison with experimental results taken from an
aramid paper re-entrant honeycomb sample using an image data detection technique. Auxetic behaviour
in thermoelasticity has been studied using topology optimization in [36].
Elastodynamic behaviour is considered in a very restricted number of publications. Some work with
analytical models is extended into the area of dynamic behaviour and the study of the absorbing effects
which are attributed to the auxetic behaviour. For example, in [72], the dispersion of acoustic waves and the
appearance of cut-off frequencies in foams have been studied by using beams of a micromechanical model
which involves convoluted, rib-shaped beams. Results on the vibration characteristics of sandwich plates
with in-plane auxetic behaviour have been published in [73]. Recently a topology optimization approach for
optimal material design with beneficial damping in viscoelasticity has been presented in [74]. Recent inves-
tigations on auxetic properties and design are published, among others, in [75–77]. Nevertheless, a lot of
work still remains to be done in dynamics. The results must be able to predict, among others, the depend-
ence of the wave propagation in a solid with microstructure on the frequency and the direction. Develop-
ment of the numerical homogenization approach in this area, as well as in the cases of viscoelasticity and
poroelasticity by using the parameter identification approach and the solution of the previously defined
optimization problem (1), are being investigated by a related research group at the Technical University of
Braunschweig (Dr. M. Schanz, Prof. H. Antes and Mr. S. Alverman, with the support of the German Re-
search Foundation). Their results will be reported in the near future. The reader may also consult the paper
by Drs. M. Ruzzene and F. Scarpa in the present volume for more information and related results.

6 Implications of auxetic behaviour in statics and dynamics

Some of the implications of the auxetic behaviour in the static analysis are mentioned here. The discus-
sion is supported with a few results of finite element analyses. The density of an auxetic material coming
in contact with a hard indentor increases, thus the apparent hardness of the material, as it is measured
during an indentation test is increased [78]. The deformation pattern of a sandwich plate with auxetic
behaviour is different from one made of classical material (synclastic curvature feature). Moreover, the
transverse shear modulus increases. These two properties suggest applications of sandwich plates with
auxetic honeycombs in double curved thin sandwich shells used in aerospace applications and duct liners
(see, e.g., [79]). The deformation pattern of a pipe made of auxetic material is different, thus biome-
chanically compatible stends or arterial prostheses may be constructed (see, e.g., [80]). Other effects
include enhanced strength and resistance against crack propagation. In dynamics the arising theoretical
questions are not discussed in detail in the open literature. Certainly, the wave propagation patterns
change in auxetic materials. A few analytical and experimental results which demonstrate enhanced
vibration absorption have been published.

Fig. 4 (online colour at: www.pss-b.com) A simple model for indentation.

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716 G. E. Stavroulakis: Auxetic behaviour: appearance and engineering applications

Fig. 5 (online colour at: www.pss-b.com) Stress dis- Fig. 6 (online colour at: www.pss-b.com) Stress dis-
tribution (von Mises) for a classical material. tribution (von Mises) for an auxetic material.

Let us briefly demonstrate the effect of auxeticity on an indentation problem. The model of Fig. 4 is
solved for an isotropic material with E = 2.06 ¥ 1011 and n = 0.33 and n = - 0.33 . All quantities are in
compatible units. The von Mises stresses and the plot of horizontal stresses s xx under the indentor are
shown in Figs. 5–7. From the comparison between Figs. 7(a) and (b) one observes a faster decay of the
tensile stresses directly under the compressive loading. In fact these stresses become compressive for the
auxetic material. All quantities which are dependent on stress distribution are influenced accordingly.
The picture becomes more complicated in anisotropic and layered materials, as is the case for composite
materials, where stronger auxetic behaviour in chosen directions may arise.

7 Existing and potential applications

Since the auxetic materials have enhanced hardness (cf. [78]) they have certain advantages for the con-
struction of wear-resistant machine components.
The design of a press-fit fastener which takes advantage of the auxetic behaviour of its material is
described in [81]. The insertion of the fastener is facilitated by the lateral contraction which negative
Poisson’s ratio materials exhibit under compression. Removal of the fastener is resisted by the corre-
sponding elastic expansion under tension. Rivets can also be designed based on this concept, where the
rivet will get fatter (tighter fit) as it is stretched. An analogous design of an auxetic anchor with enhanced
fastening properties is discussed in [82] and it is proposed for use in chirurgical operations.

a) b)
Fig. 7 Stress distribution (s xx ) along a vertical line under the indenter, for (a) a classical and (b) an auxetic material.

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Fig. 8 (online colour at: www.pss-b.com) A

two-dimensional discretized model of a fastener.

a) b)
Fig. 9 (online colour at: www.pss-b.com) Comparison of stresses (von Mises) and deformed shape for the fastener
made of (a) classic and (b) auxetic material.

a) b)
Fig. 10 Comparison of stresses s xx along the upper boundary, for the fastener made of (a) classic and (b) auxetic
material.

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718 G. E. Stavroulakis: Auxetic behaviour: appearance and engineering applications

a) b)
Fig. 11 Comparison of stresses s yy along the upper boundary, for the fastener made of (a) classic and (b) auxetic
material.

Let us demonstrate the effect of auxetic behaviour on a fastener shown in Fig. 8. Fixed support on a
rigid wall is supposed along parts ab and fe of the boundary. A tensile loading is applied on part cd. An
isotropic elastic material is supposed with elastic constant E = 2.06 ¥ 1011 and Poisson’s ratio n = 0.33
and n = -0.33 , respectively. The auxetic behaviour is demonstrated in Figs. 9 – 11. The contact stresses
along the upper boundary of the plate for the classical and the auxetic material are compared in Figs. 10
and 11. The results are based on the stresses of the finite elements near the upper boundary. A drastic
difference, especially in the normal contact stresses s yy of Fig. 11 which are responsible for debonding
can be observed.
The auxetic effect can further be used for the design of efficient piezoelectric sensors with applica-
tions in hydrophones, ultrasonic devices and other sensors (see, e.g., [83, 84, 22]).
Similar applications in gaskets, which could seal better (contract) upon compression loading, or seals
have been outlined in [22].
In dynamics several applications in shock and sound absorbing materials are possible (see also the
micro-mechanical modelling reported in [72], the article [54] with experimental results of static and
dynamic shear moduli and loss tangents, the experimental study of acoustic reflection in [85] and the
study of vibrational characteristics in sandwich plates reported in [73]). Recent results in dynamics and
multi-physics applications (electromagnetic or thermal effects) are reported in [75 – 77, 86] and [87 –89],
respectively.
Another area of application is in the design of biomedical components. The deformation pattern of a
pipe made of an auxetic material is different from one composed of a classical material, thus biome-
chanically compatible stends or arterial prostheses may be constructed (see, e.g., [80]). Analogous ques-
tions of mechanical biocompatibility between spongy bone, which is speculated to be auxetic, and pros-
theses have been posed, but the investigation in this area is far from closed.

8 Conclusions and hints for further research

A quite simple notion of elasticity, which takes values outside of our ‘classical’ ones, opens the road for
new investigations and interesting technological applications. Computational mechanics technology and
recent mathematical and numerical developments in fields like homogenization, optimal structural de-
sign and microstructures allow us to investigate the potential applications of this effect. The real poten-
tial of all proposed applications is their coupling with computer aided manufacturing (CAM) techniques,

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which will allow us to produce the tailored materials or structural components. The various applications
in fields like wave propagation, dynamic fracture, multiphysics etc. have to be studied in the near future.

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