Ministry of Higher education

Faculty of engineering, Tanta University

Structural Engineering Department (2023/2024)
Rock mechanics

ABSTRACT
The study of geology is the study of the
Earth, and so is ultimately the study of rocks.
Geologists define a rock as:
A bound aggregate of minerals, mineraloids,
or fragments of other rocks

Eng. Ahmed Mamdoh Ali

Rock Mechanics

ROCK ENGINEERING-
BACKGROUND

Prof/ Mohamed Sakr

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Rock mechanics
Definition
Rock mechanics is the branch of geotechnical engineering concerned with the
engineering mechanics and the properties of rocks.

In general, civil engineers deal with two types of earth materials: soils and rocks.
Geotechnology is a term used in the literature to describe both the science and
engineering of soil deposits, rock masses, and the fluids they contain.
Soils Rocks
are aggregates of mineral grains that can are aggregates of mineral grains that are
be separated by slight mechanical means connected by strong and permanent
such as agitation in water. forces.

a soil refers to a material that can be a rock is a material for which blasting is
excavated without blasting (with a required for excavation. From a
mechanical ripper for instance) behavioral point of view
soils are the end-products of the the engineering properties (deformability,
mechanical or chemical weathering of strength, permeability, etc..) of a rock
rocks. mass do change as it weathers.

The zone where the rock is weathered, also called the "weathered zone", can be a
few feet thick in arid areas and several hundred feet thick in tropical (hot and
humid) areas.

A rock that is not weathered is called "fresh" (weathering grade I), whereas a fully
weathered rock is called a soil (weathering grade VI). Obviously, there is a wide
range of materials in nature that fit in between those two extremes. some of them
have properties that are more rock dominant whereas others have properties that
are more soil dominant. These materials are sometimes called rock-like soils or soil-
like rocks. As civil engineers, we need to know the vertical and lateral extent of the
weathering zone, the different grades of weathering, and the depth to the fresh un-
weathered rock.

In general, geologists classify rocks into three major groups: igneous, sedimentary,
and metamorphic. Rocks are classified from a genetic point of view, i.e. how they
were formed. Each rock group is further divided into sub-groups based on the grain
size, the rock texture, etc. On the other hand, engineers are more interested in how
rocks behave in practice. They classify rocks based on their performance in various
engineering applications such as drilling, blasting, tunneling, rock/dam interaction,
etc.

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Rock identification and classification

Introduction

The study of geology is the study of the Earth, and so is ultimately the study of
rocks. Geologists define a rock as:

A bound aggregate of minerals, mineraloids, or fragments of other rocks.

Chert

The use of the word 'bound' means that a rock must have structural integrity, e.g.
an aggregate of sand does not become a rock until the grains are bound together.
Typical binding agents are very fine grained minerals (e.g. calcite, clay)
or mineraloids (e.g. chert, glass), though in some rock types the crystals are
intergrown and no binder is required.

Classification

There are three major groups of rocks:

1. Igneous rocks are those that have formed by the cooling and crystallization
of magma, either at the Earth's surface or within the crust.
2. Sedimentary rocks are those that have formed when eroded particles of
other rocks have been deposited (on the ocean floor, stream/lake beds, etc.)
and compacted, or by the precipitation of minerals / mineraloids from water.
3. Metamorphic rocks are those that have formed when existing rocks have
undergone pressure and / or temperature changes so that their original
mineralogy has been changed.

Each of these rock groups contains many different types of rock, and each can be
identified from its physical features.

Being able to describe and name rocks is one of the fundamental skills of a
geologist. Important information regarding the nature of rocks is communicated
through concise, accurate descriptions. This information allows the geologist to
identify the rock, and, in the process, to learn about its history and the geological
environment in which it was formed.

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A knowledge of field relationships between different rock units is fundamental to

the study of rocks. It is gained from mapping and observing rocks in the field. In
depth analysis of rocks using a microscope or sophisticated analytical laboratory
equipment provides important information on their composition. In between these
extremes is the observation and description of hand specimens. The term hand
specimen refers to an easily manageable piece of rock that can be picked up and
easily transported back to the geologist's base for further investigation.

Methodology

Rock identification is a systematic process, requiring concise, accurate descriptions

of physical characteristics. This process is called petrography. Geologists
use petrographic descriptions to communicate the essential features of rocks in
writing (with illustrations / photographs if appropriate). Petrographic descriptions
also summarize these characteristics for future reference. They should contain
sufficient information to allow identification of the rock.

Systematic petrographic descriptions, as the name suggests, should follow a

systematic pattern detailing the necessary information in a set order. Geologists
need to be able to determine the physical properties of rocks based on observations
and simple tests that can be conducted in the field

Igneous rocks
Igneous rocks are formed by the solidification of magma, a silicate liquid generated
by partial melting of the upper mantle or the lower crust. Different environments of
formation, and the cooling rates associated with these, create very different
textures and define the two major groupings within igneous rocks:

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Volcanic rocks
Volcanic rocks form when magma rises to the surface and erupts, either as lava
or pyroclastic material. The rate of cooling of the magma is rapid, and crystal growth
is inhibited. Volcanic rocks are characteristically fine-grained. Volcanic rocks often
exhibit structures caused by their eruption, e.g. flow banding (formed by shearing
of the lava as it flows), and vesicles (open cavities that represent escaped gasses).

Plutonic rocks
Plutonic rocks form when magma cools within the Earth's crust. The rate of cooling of
the magma is slow, allowing large crystals to grow. Plutonic rocks are
characteristically coarse-grained.

Textures of igneous rocks

The environment of formation produces characteristic textures in igneous rocks
which aid in their identification. These textures are:

Phaneritic - This texture describes a rock with large, easily visible, interlocking
crystals of several minerals. The crystals are randomly distributed and not aligned
in any consistent direction. A phaneritic texture is developed by the slow cooling and
crystallization of magma trapped within the Earth's crust and is characteristic
of plutonic rocks.

Porphyritic - This texture describes a rock that has well-formed crystals visible to the
naked eye, called phenocrysts, set in a very fine grained or glassy matrix, called
the groundmass. A porphyritic texture is developed when magma that has been
slowly cooling and crystallizing within the Earth's crust is suddenly erupted at the
surface, causing the remaining uncrystallized magma to cool rapidly. This texture is
characteristic of most volcanic rocks.

Aphanitic - This texture describes very fine grained rock where individual crystals
can be seen only with the aid of a microscope, i.e. the rock is mostly groundmass.
An aphanitic texture is developed when magma is erupted at the Earth's surface and
cools too quickly for large crystals to grow. This texture is exhibited by
some volcanic rocks.

Eutaxitic (applies only to welded ignimbrites) - This texture describes a rock with a
planar fabric in which flattened pumice clasts are surrounded by a fine
grained groundmass of sintered ash. The flattened pumice clasts are lenticular (lens-
shaped) in cross-section and are called fiamme (Italian for flame).
An eutaxitic texture is developed when hot, pumice-rich material is erupted
explosively and is then compressed by overlying material while still in a hot, plastic
state.

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Other features

The chemical composition of the magma determines which minerals will form and in
what proportions they will occur. Therefore, identification of the minerals present in
the rock is an important step in being able to correctly identify the
rock. Magmas that are relatively low in silica (SiO 2) crystallize olivine, pyroxene
( augite) and calcium-rich plagioclase, while magmas that are high in
SiO2 crystallize quartz, sodium-rich plagioclase, orthoclase, biotite and hornblende.
As with minerals, igneous rocks can be broadly divided
into mafic and felsic types. Mafic rocks are generally darker, and have higher
abundances of mafic minerals. Felsic rocks are generally lighter in colo r, having a
higher concentration of felsic minerals.

Sedimentary rocks
Sedimentary rocks are the product of the erosion of existing rocks. Eroded
material accumulates as sediment, either in the sea or on land, and is then
buried, compacted and cemented to produce sedimentary rock (a process
known as diagenesis).

There are two major groupings of sedimentary rocks:

Clastic sedimentary rocks

The fragments of pre-existing rocks or minerals that make up a sedimentary rock
are called clasts. Sedimentary rocks made up of clasts are
called clastic (clastic indicates that particles have been broken and
transported). Clastic sedimentary rocks are primarily classified on the size of
their clasts.

Clast size in clastic rocks

Name Grade Size range (mm) Comments

Boulder > 200 Clasts should be identifiable.

Gravel Very coarse 60 – 200

Coarse 20 – 60

Medium 6 – 20

Fine 2–6

Sand Coarse 0.6 – 2 Clasts visible to the naked eye. Grains

often identifiable.
Medium 0.2 – 0.6

Fine 0.06 – 0.2

Mud < 0.002 – 0.06 Clasts not visible to the naked eye. Feels
smooth.

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Clast shape, or the degree of rounding of clasts, is important in differentiating some

sedimentary rocks. Clasts vary in shape from rounded to angular, depending on the
distance they have been transported and / or the environment of deposition, e.g.
rounded clasts are generally the product of long transportation distances and / or
deposition in high energy environments (beaches, rivers).

Clasts in sandstone

The degree of sorting of clasts can be an important indicator of depositional

environment. In water, larger clasts are generally not transported great distances,
and they settle faster. For example, in a mixture of mud and sand being
transported in a river to the sea, the sand (larger clast size, heavier) would begin to
deposit as soon as the river's energy dissipated, while the mud (fine, light-weight)
would be transported far off shore. Therefore, a well sorted (clasts of approximately
the same size), coarse sandstone indicates deposition in a reasonably high energy
environment (near-shore) probably close to the source of the sand. Conversely, a
mudstone generally indicates deep water deposition (low energy environment, far
off shore).

Structures produced during deposition, e.g. bedding and cross-bedding, can give
clues as to depositional environment. So can structures produced by re-working by
tidal or storm-generated currents, e.g. ripple marks, rip-up clasts.

Non-clastic sedimentary rocks

These sedimentary rocks occur when minerals / mineraloids are precipitated
directly from water, or are concentrated by organic matter / life. Components have
not been transported prior to deposition. No clasts are present.

Metamorphic rocks
Metamorphism is the alteration of pre-existing rocks in the solid state due to
changes in temperature and pressure. Under increasing temperature and / or
pressure existing minerals become unstable and break down to form new minerals.
In the case of regional metamorphism the rocks are subjected to tectonic forces
which provide the necessary mechanisms for metamorphism. Products
include schist and slate. Contact metamorphism involves metamorphosis through
heating by an intruding plutonic body. Hornfels is the result of this type of
metamorphism.

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Metamorphic rocks are classified according to the conditions under which they
recrystallized, known as their metamorphic facies. The key parameters in this
classification are index minerals which indicate particular pressure / temperature
conditions. These minerals may only be present in small proportions, and in many
cases are difficult to recognize in hand specimen. An alternative classification,
useful in the field or for hand specimens, is based upon the degree of
recrystallization of the original minerals, and so grain size and the degree
of foliation (see below) are important. As metamorphism occurs in areas undergoing
deformation, look also for structures that indicate deformation, such as folding
(often shown as crenulations or small crumpled folds), and small fractures or faults.

Metamorphic textures
The two distinctive metamorphic textures are:

Foliation planes in gneiss

Foliation - This represents a distinct plane of weakness in the rock. Foliation is caused
by the re-alignment of minerals when they are subjected to high pressure and
temperature. Individual minerals align themselves perpendicular to the stress field
such that their long axes are in the direction of these planes (which may look like
the cleavage planes of minerals). Usually, a series of foliation planes can be seen
parallel to each other in the rock. Well developed foliation is characteristic of most
metamorphic rocks. Metamorphic rocks often break easily along foliation planes.

Granular - This describes a metamorphic rock consisting of interlocking equant

crystals (granules), almost entirely of one mineral. A granular texture is developed if
a rock's chemical composition is close to that of a particular mineral. This mineral
will crystallize if the rock is subjected to high pressure and temperature.
A granular texture is characteristic of some metamorphic rocks.

Note: As the grade of metamorphism increases (more temperature and pressure),

both crystal size and the coarseness of foliation increase.
Therefore, gneiss represents more intense metamorphism (or a higher grade) than
does schist.

Some fine-grained metamorphic rocks, e.g. schist, have larger crystals present.
These crystals are called porphyroblasts. Porphyroblasts represent minerals that

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crystallize at a faster rate than the matrix minerals. Garnet is a common

porphyroblast mineral.

Guide to the classification of metamorphic rocks by texture

Grain size
Fine Medium Coarse
Poorly foliated Hornfels Marble, quartzite Marble, quartzite
Well foliated Slate Schist Gneiss
Well foliated and sheared Mylonite Mylonite, schist Augen gneiss

Application of Rock mechanics

Rocks can be used in themselves as raw sources for construction materials
(aggregates, construction stones, decorative stones, etc..). Also, many engineering
activities involve rocks either as construction or foundation material. These include:

 Design of foundations for buildings, bridges, dams, towers, etc...

 Design of rock slopes and surface excavations for canals, highways, railways, spillways, pipelines,
penstocks, dam abutments, open pit mines, quarries, etc.
 Design of underground excavations such as tunnels, mines and other underground chambers, etc.
 Design of structures associated with energy development such as underground nuclear plants,
repositories for storage of nuclear and chemical wastes, LNG and oil.

Although the methodology may differ from one activity to the other, all these
activities have three basic similarities. First, they all require an evaluation of the
site geology, i.e. rock types, extent of each rock unit, extent and type of
weathering, etc... This is usually done by conducting detailed site exploration and
investigation using surface mapping, boreholes, trenches, or geophysical survey.
Site exploration and investigation is usually conducted in several steps (preliminary,
advanced, etc..). Second, all the aforementioned activities require an assessment of
the engineering properties (strength, deformability, permeability, etc..) of the rocks
involved in the projects. This is done by testing samples of intact rock in the
laboratory and by conducting field tests. Finally, engineers need to take into
account possible geologic hazards and their impact on existing and future
structures. In general, geological hazards can be divided into hazards from
geological materials (reactive minerals, asbestos, gas hazards), and hazards from
geological processes (volcanoes, earthquakes, landslides and avalanches,
subsidence, floods, coastal erosion).

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Objectives of rock mechanics

For most engineering projects involving rocks, the objectives of rock mechanics are
essentially of three fold:
a) Determine the properties of the rock and the rock mass associated with the project of interest.
These properties may be physical, mechanical, hydraulic or thermal. Not all properties need to
be determined but only those that are deemed necessary. In addition to these properties, the in
situ stress field needs to be measured as well. The intact rock and rock mass properties are
usually determined in the laboratory and in the field, respectively.
b) Model and predict the behavior of the rock mass when subjected to the new loads associated
with the engineering structure to be built.
c) Finally, once the engineering structure is built and upon its completion, the third objective is to
observe and monitor its response and behavior with adequate instrumentation.

Historical development of rock mechanics

Compared to the field of soil mechanics, the development of rock mechanics has
been much slower. The need for understanding the behavior of rocks has been
recognized by geologists and mining engineers at the turn of the 20th century.
Several attempts to characterize and model the behavior of rock masses have been
carried out by engineers involved in the construction of tunnels in the Alps at the
beginning of this century. One has to wait until 1957 for rock mechanics to become
a separate discipline with the first treatise written by Talobre.

Unfortunately, two major disasters have contributed to the advancement of rock

mechanics and have forced the engineering profession to better understand the
behavior of rock masses. One of these disasters took place in France. On December
02, 1959, the Malpasset dam burst due to an instability of its left abutment killing
421 people. Another disaster took place a few years later in Italy; on October
09,1963, a major rock slide caused the Vaiont disaster killing 2600 people.

The two previous disasters triggered the creation of the International Society for
Rock Mechanics (ISRM) which organized its first congress in Madrid in 1966. Since
then, other ISRM sponsored international congresses have taken place in Belgrade
(1971), Denver (1974), Montreux (1979), Melbourne (1983), Montreal (1987),
Aachen (1991) and Tokyo (1995).

Over the past 30 years, the number of engineering projects involving rock either as
construction or foundation material has increased drastically. These engineering
activities have strongly enhanced the need for a better understanding of rock
behavior. As a result, a large body of literature is now available on the subjects of
rock mechanics and rock engineering.

Modern rock mechanics is an interdisciplinary field. Indeed, in order to solve rock

mechanics problems, information from other fields are needed. These include:

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engineering geology, geology, mechanics, hydraulics, mathematics, physics,

chemistry, and soil mechanics, among others.

Classification of Discontinuities
Planes of weakness in rock are formed through failure in extension/tension, shear
or in more complex failure modes that involve a combination of both. Failure
surfaces formed in shear are usually smooth with some gouge material whereas
failure surfaces formed in extension are rough and usually clean. Once formed,
planes of weakness are more susceptible to weathering than the intact rock.

The properties of planes of weakness that affect the engineering behavior of rock
structures include: (i) scale, frequency, continuity, density, spacing, (ii) roughness,
type and degree of infilling, moisture conditions, hardness and degree of
weathering, (iii) mechanical properties (shear strength and deformability) and
hydraulic properties (permeability or conductivity) and, (iv) orientation.

Different terminologies are used by geologists, engineers and engineering

geologists to describe the different types of planes of weakness in rocks. The term
"discontinuities" is often used as a collective term for all structural breaks in
geologic materials which usually have zero or low tensile strength. The term "joint"
is also used as a generic term by rock engineers to include such structural breaks.
The terminology and the descriptive criteria used here are those recommended by
the U.S. Bureau of Reclamation for engineering works (see Table 1).

Discontinuities can be separated into five groups: fractures, shears, faults,

shear/fault zones and shear/fault disturbed zones based on the mode of
discontinuity movement and the scale of the discontinuities. The fractures are
themselves divided into several groups based on rock core observation.

Note that joints often occur in sets. In each set, the joints have approximately the
same orientation and usually the same character. Rock masses can contain several
joint sets and some of them may be dominant. Several joint sets are frequent in
igneous and metamorphic rock masses and can have special patterns such as
columnar joints formed during the cooling of lava beds or sheet joints that are
extension features resulting from the unloading near the free surfaces of massive
rock masses.

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Joints and veins

Joints
A joint is a fracture that shows a small (hardly visible in many cases) wall-
perpendicular opening with no or negligible shear offset. Most joints are extension
(Mode I or open mode) fractures that accommodate small amounts of extensional
strain (opening), although the small offsets typically involved can make it difficult
to evaluate displacement.

Vein: Extension fracture filled with mineral(s).

Almost all rock outcrops exhibit joints – thin extension fractures that penetrate
rocks without any appreciable shear displacement – and many well-exposed regions
show joint systems defined by sets of parallel and planar joints. Because there are
so many of them, and because they weaken rocks and conduct fluids, they can be
extremely important structures in the uppermost crust. Tunnel makers, reservoir
engineers, solid rock hydrogeologists and magmatic geologists trying to understand
intrusion mechanisms all have to deal with joints in one way or another, simply
because they are weak and laterally extensive structures that easily affect geologic
processes. For example, petroleum geologists and engineers are concerned with
joints. Geologists do not want them in the cap rock of hydrocarbon structures, but
production engineers deliberately create them in reservoir formations to enhance
the flow of fluids into production wells. As structural geologists we also study joints
because they tell us something about the state of stress in rock layers at the time
when they formed, and by studying their relative timing with other structures they
add important information about the structural or tectonic evolution of a region.
Extension fractures can also become mineralized to form veins, sometimes with
economically interesting minerals. Also the mineral fill found in veins may preserve
a record of the history of vein formation and hence add important information to
our understanding of the brittle deformation history of an area.

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A single joint is a continuous fracture that has planar or curviplanar geometry,

where planar joints are referred to as regular, and non-planar types as irregular
joints.

Examples of irregular joints are the non-systematic joint set between the regular
and long joints in Figure 7.5b, and the polygonal joints in Figure 7.5c.

Joints that are straight, parallel and repeat themselves with more or less constant
spacing are called systematic (first set in Figure 7.5a, b, and both sets in d).

The two sets in Figure 7.6 are both regular and systematic. Joints that are
irregular with respect to geometry, orientation and spacing do not define sets and
are called non-systematic.

The cross-joints in Figure 7.5a, b are examples of non-systematic joints. Joints

with similar orientation and morphology define a joint set, and two or more sets
define a joint system. Figure 7.5a, b, d each show systems consisting of two joint
sets

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Figure 7.5 Some common types of joint patterns. Note that “conjugate” joint sets
are not really conjugate because the two sets must have formed at different times
(in different stress fields).

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Figure 7.6 Two high-angle sets of joints developed in the Permian Cedar Mesa
Sandstone of Canyonlands National Park, Utah.

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Joints are sometimes referred to as sharp discontinuities. This means that the
structures are sharply defined under the microscope as well as in hand samples and
outcrops (Figure 7.7), and also that they abruptly change the rock’s mechanical
properties, particularly its cohesion. Loss of cohesion is a very important property
of jointed rocks. For this reason, joints control topographic expressions in many
places. They also make many rocks split into blocks, making quarrying much easier.
At the same time, joints make many rock slopes unstable, which can lead to serious
rock falls and avalanches.

Figure 7.7 Densely jointed sedimentary rocks (calcareous shale) intruded by mafic
dikes. During intrusion, some of the joints were slightly sheared as rock layers were
twisted. Hovedøya, Oslo, Norway.

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Joints are opening-mode fractures that in principal form in the part of the Mohr
envelope where the normal stress is negative, i.e. to the left of the vertical shear
stress axis in Figure 7.8. This negative side of the diagram also hosts opening-
mode fractures, for which there is both an opening and a shear component. Hence,
joints that show a minute component of shear offset may possibly have formed as
such hybrid fractures, and not necessarily by reactivation in a rotated stress field. If
the rock is deeply buried and thus on the right-hand side of the Mohr diagram, we
need to build up an internal fluid pressure in the incipient joint that counteracts and
exceeds the compressional σ3 in the host rock

Figure 7.8 Ideally, joints are tension fractures that involve no or almost no shear
stress, i.e. they are represented by the point where the fracture envelope crosses
the horizontal axis in the Mohr diagram. T = tensile strength.

Shear fractures tend to form conjugate sets with an acute angle of something like
60°, or somewhat less as we cross into the tensile field (left-hand side) of the Mohr
diagram (Figure 7.8). Hence where we find two joint sets that make this type of
angular relationship, we need to consider the possibility that they formed as shear
or hybrid fractures. We need to look for evidence of displacement, for relative age
relations between the two sets and for regional explanations for their orientations.
If we find evidence for shear along the two sets, and still believe that they initiated
as pure extension fractures, we need three phases of deformation: (1) a stress field
with σ3 oriented perpendicular to the first joint set; (2) new deformation with σ3

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oriented perpendicular to the second joint set (possibly generating some shear
along the first set); and (3) σH (max horizontal compressive stress) oblique to the
two sets to reactivate them as shear fractures. The alternative interpretation, i.e.
that the two sets initiated simultaneously as shear or hybrid fractures, only requires
one phase of deformation (one stress field). Our choice of model has very important
implications for understanding the stress or deformation history of the region.
Hence, even though joints by definition represent extension fractures, we should be
careful as to how we interpret joint-like fractures in the field.

Joint formation requires tensile effective stress and low differential stress.

Figure 7.9 Columnar joints in basalt, formed as the lava contracted during cooling.
Reynir, Iceland.

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Veins
In general, a vein is a fracture or elongate cavity filled with secondary mineral(s)
deposited from a water-rich fluid entering the fracture. As structural geologists we
are particularly interested in the type of veins that form during the opening of the
vein walls (margins), i.e. veins that are syn-kinematically filling dilation or
extension veins. The other group of veins fill voids and fissures in the uppermost
crust that were already open for various reasons. While such veins may contain
interesting ore or gem minerals, they do not bear any record of the opening history
(some even grow in voids created by dissolution), and we will not dwell on such
veins here.

The term vein is also used for melt-filled fractures such as small dikes and sills,
and about leucosomes in migmatites. Furthermore, some structural geologists
include pressure or strain shadows among the different types of veins. In the
current treatment of veins we focus on extension veins, which we define as
elongate volumes of secondary mineral(s) that were introduced into a fracture in
the host rock as the fracture was opening, and are therefore related to the
kinematics of the associated deformation (Figure 7.10)

Figure 7.10 Example of calcite veins in shale. These veins are shooting off a right-
dipping mother vein that was reactivated in dextral shear (violet arrows), creating
extension veins (wing cracks) in the upper left part of the hanging wall.

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Faults
Definition
A fault is any surface or narrow zone with visible shear displacement along the
zone.

This definition is almost identical to that of a shear fracture, and some geologists
use the two terms synonymously. Sometimes geologists even refer to shear
fractures with millimeter- to centimeter-scale offsets as micro-faults. However,
most geologists would restrict the term shear fracture to small-scale structures and
reserve the term fault for more composite structures with offsets in the order of a
meter or more.

The thickness of a fault is another issue. Faults are often expressed as planes and
surfaces in both oral and written communication and illustrations, but close
examination of faults reveals that they consist of fault rock material and subsidiary
brittle structures and therefore have a definable thickness. However, the thickness
is usually much smaller than the offset and several orders of magnitude less than
the fault length. Whether a fault should be considered as a surface or a zone largely
depends on the scale of observation, objectives and need for precision.

Faults tend to be complex zones of deformation, consisting of multiple slip

surfaces, subsidiary fractures and perhaps also deformation bands. This is
particularly apparent when considering large faults with kilometer-scale offsets.
Such faults can be considered as single faults on a map or a seismic line, but can
be seen to consist of several small faults when examined in the field. In other
words, the scale dependency, which haunts the descriptive structural geologist, is
important. This has led most geologists to consider a fault as a volume of brittlely
deformed rock that is relatively thin in one dimension:

A fault is a tabular volume of rock consisting of a central slip surface or core,

formed by intense shearing, and a surrounding volume of rock that has been
affected by more gentle brittle deformation spatially and genetically related to the
fault.

The term fault may also be connected to deformation mechanisms (brittle or

plastic). In a very informal sense, the term fault covers both brittle discontinuities
and ductile shear zones dominated by plastic deformation. This is sometimes
implied when discussing large faults on seismic or geologic sections that penetrate
much or all of the crust. The term brittle fault (as opposed to ductile shear zone)
can be used if it is important to be specific with regard to deformation mechanism.
In most cases geologists implicitly restrict the term fault to slip or shear
discontinuities dominated by brittle deformation mechanisms, rendering the term
brittle fault redundant:

A fault is a discontinuity with wall-parallel displacement dominated by brittle

deformation mechanisms.

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By discontinuity we are here primarily referring to layers, i.e. faults cut off rock
layers and make them discontinuous. However, faults also represent mechanical
and displacement discontinuities. Figure 8.1 illustrates how the displacement field
rapidly changes across faults in both map view and cross-section. A kinematic
definition, particularly useful for experimental work and GPS-monitoring of active
faults can therefore be added:

A fault is a discontinuity in the velocity or displacement field associated with

deformation.

Figure 8.1 Faults appear as discontinuities on velocity or displacement field maps

and profiles. The left blocks in the undeformed map (a) and profile along lower
edge (b) are fixed during the deformation. The result is abrupt changes in the
displacement field (arrows) across faults.

Geometry of faults
Non-vertical faults separate the hanging wall from the underlying footwall (Figure
8.2). Where the hanging wall is lowered or downthrown relative to the footwall, the
fault is a normal fault. The opposite case, where the hanging wall is upthrown
relative to the footwall, is a reverse fault. If the movement is lateral, i.e. in the
horizontal plane, then the fault is a strike-slip fault. Strike-slip faults can be sinistral
(left-lateral) or dextral (right-lateral) (from the Latin words sinister and dexter,
meaning left and right, respectively).

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Figure 8.2 Normal (a), strike-slip (sinistral) (b) and reverse (c) faults. These are
end-members of a continuous spectrum of oblique faults. The spherical projections
represent the fault plane (great circle) and the displacement vector (red point).

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While faults may look simple when portrayed as lines on geologic maps and
interpreted seismic sections, more detailed considerations reveal that they are
complicated and composite structures. Although our understanding of faults and
related structures has increased significantly over the last couple of decades, much
research remains to be done before we reach the point where we can predict or
model their geometries and properties based on inputs such as tectonic regime,
lithology and burial depth. Some key points and review questions from this chapter
are presented here:

• Faults consist of a central core, which is a high-strain zone dominated by

fault rock and slip surface(s).
• The damage zone is a low-strain zone around the core formed during the
formation and evolution of the fault.
• Both the damage zone and the fault core thickness tend to increase with
increasing fault displacement, but the relationship is complicated and not
related to gradual widening of the two during growth.
• Faults grow from small fractures to map-scale structures by accumulating
displacement from successive earthquakes.
• Faults accumulate displacement as they grow in length and height.
• Ideally, fault displacement increases from the tip-line toward the center of
the fault. During growth, faults tend to interact and link up.
• Fault linkage is a gradual process from underlapping via overlapping to hard
linking of fault segments.
• Fault relay structures are areas of complications and involve much small-
scale deformation (damage zones).
• Drag can form by faulting of a fault-propagation fold.
• The geometry of drag folds can be used to determine the sense of
displacement on a fault.
• Smearing of clay or shale along faults can cause the fault to be sealing.
• A sealing fault stops fluids from flowing from the hanging wall to the footwall
or vice versa.

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Folds and folding

Definition
Structures formed by ductile deformation (folding) of more or less planar surfaces,
such as bedding or tectonic foliations, into curved surfaces. Folding of already
folded surfaces is called refolding.

Folds form when initially planar structures transform into curved structures during
ductile deformation. It is fascinating to watch folds form and develop in the
laboratory, and we can learn much about folds and folding by performing controlled
physical experiments and numerical simulations. However, modeling must always
be rooted in observations of naturally folded rocks, so geometric analysis of folds
formed in different settings and rock types is fundamental. Geometric analysis is
important not only in order to understand how various types of folds form, but also
when considering such things as hydrocarbon traps and folded ores in the
subsurface. There is a wealth of descriptive expressions in use, because folds come
in all shapes and sizes. Hence we will start this chapter by going through the basic
jargon related to folds and fold geometry

Folding: mechanisms and processes

Every geologist mapping or describing folds in the field probably has the same
question in mind: how did these structures actually form?

As geologists we tend to look for a simple history or mechanism that can explain
our observations reasonably well. Folding is no exception, and there are different
approaches and process-related terms.

One approach is to consider the way force or stress acts on a layered rock, which
leads to the threefold classification and terminology shown in Figure 12.15. Other
terms are related to how the layer(s) react to force and stress, for instance whether
layers fold by layer-parallel shearing, orthogonal flexure or some other mechanism
that is controlled by rock rheology.

Still other classes of folding, such as kinking and chevron folding, are related to fold
geometry. For this reason, several different fold mechanisms are defined, and many
of them overlap in definition. This is why terms such as buckling, kink folding and
bending can be confusing when discussed in terms of mechanisms such as flexural
slip and simple shear.

In summary, we are dealing with differences in orientation of stress axes relative to

the layering, kinematics, and mechanical and rheological properties, and thus
mechanisms that emphasize different aspects of folding.

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Figure 9.1The relation between how force is applied and fold mechanisms.

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Folds are eye-catching and visually attractive structures that can form in
practically any rock type

Simple models of folding, such as flexural slip and simple shear, are attractive and
quite useful at times. Nevertheless, we should be aware of the possibility that
natural folds have gone through a growth history where different mechanisms have
been active at the same time or during different parts of the deformation history.
We can use strain distribution and fold geometry to try to discover the dominant
mechanism, and from field observations and experimental results we can to some
extent predict both mechanism and geometry if we have knowledge of such factors
as competence contrasts, layer thickness, mineralogy and anisotropy. Use the
following summary points and review questions to test your knowledge of folds and
folding:

• Folds form and occur at all levels in the crust.

• Buckle folds and chevron folds imply layer-parallel shortening.
• Shear folds involve an increase in layer length and not necessarily shortening
perpendicular to the axial surface.
• Thick layers produce longer-wavelength folds than thin layers.
• No fold is perfectly cylindrical, and the most non-cylindrical folds form in
shear zones.
• The asymmetry of parasitic folds indicates the geometry of the higher-order
fold that they are related to.

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• Small asymmetric folds do not have to be related to higher-order structures,

for example in shear zones, where they may indicate sense of shear.
• Folds forming in soft sediments tend to lack axial plane cleavage and are
confined to certain stratigraphic levels.

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