Modern Structural Practice

A structural geology laboratory manual for the 21st Century

Richard W. Allmendinger

v. 1.9.0, © 2015-2019
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MODERN STRUCTURAL PRACTICE R. W. ALLMENDINGER © 2015-19
TABLE OF CONTENTS

Preface ....................................................................................ix

Chapter 1 ................................................................................1
Measurement: What and How
Introduction 1
Primitive Geometric Objects 1
Data Collection 2
Instruments Used in the Field 2
Measuring Lines and Planes 3
Uncertainties 8

Graphical Representation of Orientation Data 10

Maps 11
Stereonets 17

Computing 21
Exercises—Chapter 1 24

Chapter 2 ..............................................................................29
Coordinate Systems and Vectors
Coordinate Systems 29
Vectors: A Review 32
Vector components, magnitude, and unit vectors 32
Vector Addition, Subtraction, and Scalar Multiplication 33
Dot Product and Cross Product 34

Geological Features in Cartesian Coordinates 36

Direction Cosines from Trend and Plunge 36
Trend and Plunge from Direction Cosines 38

Some Practical Applications Using Vectors 39

Mean Vector 39
Rake of a Line in a Plane 44
True Dip from Two Apparent Dips 45

Exercises—Chapter 2 47

Chapter 3 ..............................................................................49

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TABLE OF CONTENTS

Extracting Information from Geological Maps & Folds

Geologic Maps 49
Three Point Problems 50
Stratigraphic Thickness from Maps 54
Analysis of Folded Rocks 57
Cylindrical Folds 57
Dip Isogons 60
Folds in Map View 60

Structural Contour Maps 62

Exercises—Chapter 3 64

Chapter 4 ..............................................................................69
Transformations
Introduction 69
Transformations of Coordinates and Vectors 70
Coordinate Transformations 70
Transformation of Vectors 72
A Simple Coordinate Transformation 74

Structural Geology Applications of Transformations 74

Stratigraphic Map Thicknesses 74
Down-Plunge Projection 77
Rotations 80

Summary 83
Exercises—Chapter 4 84

Chapter 5 ..............................................................................87
The Orientation and Stress Tensors
Introduction 87
Matrices and Indicial Notation 88
Tensors 90
Tensors as Linear Vector Operators 90
Principal Axes of a Tensor 91
Tensor Transformations and the Mohr’s Circle 93

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TABLE OF CONTENTS

The Orientation Tensor 96

Least Squares Best Fit Fold Axis 96
Types of Line Distributions 98

The Stress Tensor 99

Cauchy’s Law 99
Mohr’s Circle for Stress 102
Mean Stress & Deviatoric Stress 104

Exercises—Chapter 5 105

Chapter 6 ............................................................................107
Faulting and Stress
Introduction 107
Fault Geometry Review 108
Terminology 108
Determining Slip from Piercing Points 110

Stress and Faulting 113

Failure in the Brittle Realm 113
Reactivation of Pre-existing Planes of Weakness 115
The Effect of Pore Fluid Pressure 118
Calculating the Normal and Shear Stress Vectors on any Plane 119
The Principal Stress Ratio 124

Exercises—Chapter 6 126

Chapter 7 ............................................................................131
Deformation and Infinitesimal Strain
Introduction 131
Strain 132
One Dimensional Measures of Strain 132
Three Dimensional Deformation 134
Infinitesimal Strain 136

Some Geological Applications 142

Strain from GPS 142
Analyzing Brittle Faults 145

Exercises—Chapter 7 149

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TABLE OF CONTENTS

Chapter 8 ............................................................................151
Large Strains
Introduction 151
Comparison to Infinitesimal Strain 152
A Plethora of Finite Strain Tensors 152
Multiple Deformations 154
Mohr’s Circle for Finite Strain in the Deformed State 155
Progressive Strain 156

Strain from Geological Objects 159

Finding Principal Axes 160
Deformed Spherical Objects 160
Three Deformed Lines Graphically 163
Three Deformed Lines with Inverse Methods 166

Exercises—Chapter 8 169

Chapter 9 ............................................................................173
Rheology, Stress in the Crust, and Shear Zones
Introduction 173
Relationship Between Stress and Strain 173
Elasticity 174
Plasticity 175
Strain Rate and Viscosity 176

Environmental Factors 177

Deformation Mechanisms 179
State of Stress in the Earth 179
Frictional Slip on Preexisting Fractures 180
Power Law Creep 181
Stress Variation in the Lithosphere 183

Shear Zones 184

Brittle Shear Zones 185
Ductile Shear Zones 188
Displacement in Heterogenous Shear Zones from Foliations 191
General (2D) Shear 193

Exercises—Chapter 9 195

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Chapter 10 ..........................................................................199
Fault-Related Folds and Cross Sections
Introduction 199
Uncertainty in a Simple Depth Projection 200
Drawing Cross Sections 202
Preparation for drawing a cross section 203
Step-by-Step Section Construction 204

Fold-Fault Models 206

Fold Kinematics 206
Fold Type and the Propagation/Slip Ratio 208
Fault-bend Folds 210
Fault-propagation Folds 213
Kink Fault-propagation Folds 213
Trishear 214
Extensional Drape Folds 218
Roll-over Anticlines and Listric Normal Faults 218

Balanced Cross-sections 220

The Fundamental Bases for Balanced Cross-sections 221
Line Length Balancing 223
Area Balancing 226
A Final Word About Balancing 229

Exercises—Chapter 10 231

Chapter 11 ..........................................................................237
Structural Interpretation of Seismic Reflection Data
Introduction 237
Echo Sounding 238
Common Mid-Point (CMP) Method 241
Data Redundancy and Signal to Noise Ratio 241
Correction for Offset from the Source 242
Migration 245

Resolution of Seismic Reflection Data 246

Vertical Resolution 248
Horizontal Resolution 248

Diffractions 249

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TABLE OF CONTENTS

Artifacts 250
Velocity Pullup/pulldown 250
Multiples 250
Sideswipe 252
Buried Focus 253

Structural Interpretation of Seismic Profiles 253

Truncations and Discontinuities 254
Kink Axes 256
Kink Axes and Growth Strata 256

Exercises — Chapter 11 259

Chapter 12 ..........................................................................265
Solid Mechanics and Structural Geology
Introduction 265
The Mechanical Approach 266
Physical Principles 267
Constitutive Equations 269
Elasticity 269
Viscosity 271
Plasticity 271
Boundary Conditions and Initial Values 271

Some Simple Geological Examples 273

Mechanics of Thrust Belts 273
Hubbert and Rubey’s (1959) Force Balance for Thrust Plates 273
Critically-Tapered Wedges (Dahlen, 1990) 275
Step-up Angle of Thrusts 278
Holes and Cracks: Some Important Results from Linear Elastic Fracture Mechanics 279
Circular Holes 280
Cracks 282

Final Thoughts: Simulation vs. Illumination 285

Exercises — Chapter 12 287

Postface ...............................................................................291
What you’ve accomplished and where to go next

References Cited .................................................................295

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TABLE OF CONTENTS

Appendix A: Quick Reference ............................................301

Appendix B: SmartPhone Compass Apps ..........................315

Introduction 315
Smart Phone Apps and Operating Systems 315
Stereonet Mobile 316
Device Sensors 316
Device Coordinate System and Determining Orientation 317
Redundant sampling 321

Best practices for smart phone data collection 322

Appendix B References 324

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PREFACE

Preface
The subtitle, "A structural geology lab manual for the 21st Century", as well
as the rationale for a new manual, needs a little explanation (and, perhaps, some
justification). There are several decent structural geology lab manuals out there and
the fact that a new one has not appeared in many years would suggest that the field
is mature and not changing rapidly, so why write a new one? Because the field of
structural geology, indeed all of geology, has changed enormously in the last
decade or two. Consider the following:
• Large online digital databases for topography, satellite imagery,
scanned geologic maps, GPS data, earthquake data, etc have be-
come readily available
• Digital devices are seeing increasing use in the field. We collect
data using tablets and, increasingly, smart phones will replace ana-
log compasses
• Using programs, apps, and web apps to analyze data is now com-
mon place. Most structural geologists use such programs in prefer-
ence to paper, whether drawing sections or plotting stereonets
The world has gone digital, but our teaching of structural geology has lagged
far behind: many of the exercises that we ask students to do in structure lab have
changed little over the last fifty years. We are not teaching our students how to take
advantage of this new world, nor how the tools that they will use in their profession
(e.g., stereonet programs, etc.) actually work internally. Digital means that, sudden-
ly, lots of numbers are available to us. To analyze those numbers, requires some
math and computing. Most of the math is just additions and multiplications done
in a very systematic way as well as, of course, trigonometry. Students have much of
the needed math background already (vectors, calculus) so why don't we encourage
them to use those skills in their chosen major? Additional concepts — for example
matrices — can be learned in the context of problems that are actually of interest
to us.
Computing can take many forms but the lowest common denominator is the
humble spreadsheet program, which is what Modern Structural Practice uses. Everyone

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PREFACE

already knows the basics of using a spreadsheet and it is almost certain that every-
one already has a spreadsheet on their computer. This enables us to implement al-
gorithms without the overhead of learning a computer language. Students who al-
ready know how to program should be encouraged to use their skills rather than
the spreadsheet. For the rest, once you see the power of algorithms, you can decide
what flavor of computing to learn and use in your subsequent endeavors.
A more mathematical approach benefits all of us in another way: it helps lay
the necessary groundwork for understanding difficult concepts from mechanics.
This manual has several chapters devoted to stress and strain which, of course,
constitute only a very small part of the field of solid mechanics. However, the
background gained will help the motivated student to understand the entirety of
mechanics in subsequent studies.
The other thing that is almost entirely lacking from current lab manuals is
even a passing emphasis on uncertainty and error analysis. Modern Structural Practice
does not delve into these topics in great detail but does, at least, mention them.
Even something as seemingly well know as the elevation of a point on the surface
of the earth can vary by 15 m or more depending on the dataset used. This is par-
ticularly important when a student first encounters a geologic map or makes a mea-
surement with a compass. If you can make a lot of measurements, which digital
tools now enable us to do, then you can begin to evaluate uncertainty.
Some might question whether this approach removes us from classical geolo-
gy but quite the opposite is true: if you go digital, there is a huge amount of quanti-
tative information that can be extracted from a geologic map or a digital data set.
In the past, the manual methods of extracting that information were so tedious that
it was too painful to explore the map. Some of the software tools that are used in
Modern Structural Practice make it trivially easy to extract quantitative 3D information
which can then be analyzed as the student and professor wish.
This manual is a work in progress: The current version has been used by my
own students to whom I am deeply grateful for their feedback and their willingness
to try something different. I also appreciate the time that Néstor Cardozo, Haakon
Fossen, David Pollard, and Ray Fletcher have taken to read over parts of this mate-
rial, though they are neither responsible for any errors nor do they necessarily en-

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PREFACE

dorse the overall approach! I welcome comments and suggestions from faculty and
students. I know that some of the material is hard — nothing ventured nothing
gained — so the type of feedback that really helps me is to help identify sections
that are unclear or missing entirely. Students, please note that, while I would like to
help with the solution to the exercises at the end of each chapter, I really don’t have
time to do so.
My current plan is that Modern Structural Practice remain a free resource, up-
dated periodically. It is more important to me that it is widely used (nothing like
free to help make that happen) than that it is published. Besides, students already
pay too much for textbooks. Think of it as crowd-sourcing the revisions. The
downside of this “self-published” version is that the reader has to suffer with my
minimal page layout skills and limited artistic ability with the figures. An advantage
is that color can be used with abandon and it is still free!
This manual is for teaching and learning. Most of the concepts herein are
delivered more rigorously and in more detail in:
Allmendinger, R. W., Cardozo, N. C., and Fisher, D., 2012, Structural Geology
Algorithms: Vectors & Tensors: Cambridge, England, Cambridge University
Press, 289 pp.
Please refer to that published resource if you use the concepts here in your own re-
search.
Rick Allmendinger
Ithaca, New York, August 2015


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PREFACE

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 Chapter 1
Measurement: What and How

Introduction
The purpose of the laboratory portion of most structural geology courses is
to learn how to define quantitatively the geometry of deformed rocks. Further-
more, we would like to develop the tools to allow us to convert, easily and precisely,

between the geometries of rock bodies at two different times in their history. These
times may be the present, deformed, state and the initial, undeformed state or the
two times may capture only a small part of the rock's history. Finally, the lab should
lay the groundwork for at least a basic understanding of mechanics. All of these
goals require that the structural geologist be very precise about geometry and the
coordinate systems used to define the geometry, so that is where we will start.

Primitive Geometric Objects

Rocks are composed of linear and planar elements: bedding and secondary
foliations such as cleavage can be defined, at least locally, by planes whereas things
CHAPTER 1 MEASUREMENT & DISPLAY

like fold axes, mineral lineations, and paleocurrent directions are lines. It turns out
that, because there is one line oriented perpendicular to any particular plane, all
planes can also be represented by their corresponding perpendicular line which is
known as the normal or the pole to a plane.
The previous paragraph is an oversimplification because, in the vast majority
of cases, all of these lines have a direction in which they point. The paleocurrent,
for example, flowed towards a particular direction. The pole to bedding can point
in either the direction in which strata become younger or become older. The direc-
tion matters and thus our geological lines commonly have an arrowhead and tail;
that is, they are a geometric and mathematical quantity known as a vector. In
some cases, we care about the length, or magnitude, of our vector as in the case
of the displacement of a fault or the thickness of a stratigraphic unit. But in many
other cases, we only care about its orientation in space. We will use vectors exten-
sively in subsequent chapters but before we can do that there are some more basic
things to address: how do we measure lines and planes and what coordinate systems
do we use, because it is impossible to talk about vectors without reference to a co-
ordinate systems.

Data Collection

Instruments Used in the Field

Traditionally, a structural geologist used a geological compass/clinometer to
measure the orientation of features of interest. These are precision analog instru-
ments that enable the geologist to measure the orientation of a feature of interest
to within a degree or less. The Brunton Pocket Transit (Fig. 1.1), most commonly
used in North America, excels at taking bearings — horizontal angles measured
with respect to North — and inclinations — angles in a vertical plane measured
with respect to the horizontal — over long distances; thus the word "transit" in its
formal name, though most people just refer to it as a "Brunton compass". In Eu-
rope and other parts of the world, a Freiberg compass is more common. This type
of instrument is less suitable for sighting bearings over long distances but is very ef-
ficient at measuring planar and linear features by placing the top or edge of the
compass flush against the rock.

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CHAPTER 1 MEASUREMENT & DISPLAY

Precision analog compasses have

been around for centuries but it is likely
that, within a few years, they will largely be
replaced by digital devices, most commonly
in the form of smart phone programs or
apps (Appendix B). Most smart phones con-
tain accelerometers, gyroscopes, and elec-
tronic magnetometers which enable apps to
determine the exact orientation in space.
Additionally, such devices also keep accu-
Figure 1.1 — Two ways of measuring
rate track of the time and date and can de- the orientations of geological lines and
termine their position very accurately using planes. Smartphone app (Stereonet
Mobile) on left and traditional Brunton
the Global Positioning System (GPS) as well Compass on right.
as triangulation on cell phone towers and
wireless networks. Thus, one can hypothetically capture a large number of mea-
surements quickly using a compass app on a smart phone. Several such apps are
already available for iOS and Android operating systems and, with proper calibra-
tion, can yield excellent results. To date, most smart phone compass apps for geo-
logical use have taken to mimicking analog compasses and thus use the same ter-
minology and coordinate system. There is a great deal of room for innovation in
this space and it is likely that future apps will provide substantially more informa-
tion. As a simple example, it is not possible to measure directly the pole to a plane
with a traditional analog compass; the geologist must do a simple calculation in the
field or more likely back in the office to get this value. A smart phone app, like Stere-
onet Mobile (Appendix B), measures the pole to a plane directly rather than the strike
and dip separately. Thus, the phone can be placed flush on the bedding surface in
any orientation, yielding the correct result.

Measuring Lines and Planes

Both types of compasses and most smart phone compass apps measure bear-
ings or azimuths clockwise with respect to the rotation axis of the Earth, i.e., north,
and the angle downward or upward from the horizontal. The previous sentence has
several important assumptions built in that are seldom explicitly stated: what is our

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CHAPTER 1 MEASUREMENT & DISPLAY

vertical plane upward pole or Figure 1.2 — Orientations

normal vector
of lines and planes. Lines
are defined by their az-
imuth or bearing — the an-
gle with respect to North
N
horizontal plane measured in a horizontal
plane — and their plunge,
trend
and angle measured
rik
e downwards from the hori-
st
zontal in a vertical plane.
e
rak e line A Likewise, planes are repre-
plung
sented by the orientation
of a horizontal line within
dip the plane (the strike) and a
vertical angle (the dip). Al-
ternatively, you can specify
the orientation of a plane
by its dip direction and dip,
or the trend and plunge of
its pole.

coordinate system and what are the conventions used to indicate whether a number
is positive or negative? Traditionally in structural geology, horizontal angles are
positive measured clockwise from North and vertical angles are measured positive
downwards. If you think about it for a minute, this is just the opposite of the con-
vention that you use when you make a graph or plot data on a map. Graphs follow
an engineering convention where angles are measured positive up from the x-axis
(i.e., counterclockwise) and on maps, elevations are positive upward and depths are
negative! The point is, it doesn't matter what convention you choose as long as you
are clear and consistent. In a subsequent chapter, we will learn how to change from
one convention and corresponding coordinate system to another, an operation that
will help us solve lots of interesting problems.
A plane can be defined by the azimuth of a horizontal line contained within
it, known as the strike and the maximum angle measured downward from the
horizontal to the plane, a quantity knows as the dip (Fig. 1.2). The azimuth of the
dip — that is, the projection of the dip onto the horizontal — is known as the dip
direction or dip azimuth. The true dip direction is always 90° from the strike.
The most convenient way to think of the strike line is to imagine the plane half-

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CHAPTER 1 MEASUREMENT & DISPLAY

Figure 1.3 — The strike

ri ke visualized as the water

st line on an inclined plane
partially submerged in
water.

water body

Figure 1.4 — True dip

t dip
a re n
str
ik e
d of a
pp
nt d
ip and apparent dip. True
tren are
app dip is the largest angle
between the horizontal
e! and the plane of inter-
ri k
st
lt
o est (left block). Appar-
true lle
dip ts
pa
ra
ent dip is the angle be-
cu
p
in tween the horizontal
di

p ar
e nt
and the plane observed
ap
no in a vertical cut parallel
to the trend of the ap-
parent dip (expanded
true right block). The appar-
dip
ent dip in cuts parallel
to the strike is zero.

submerged in a body of water. Because the surface of the water is necessarily hori-
zontal, the waterline on the plane is a horizontal line in the plane (Fig. 1.3).
The dip deserves further consideration. Let’s say that you are studying a ver-
tical road cut in a region where the rocks have a uniform strike and dip. The orien-
tation of the road cut will determine what you see: if the road cut is parallel to the
strike, then the strata will appear to be flat because the strike is a horizontal line in
the plane of bedding (Fig. 1.4, left block). If the road cut is perpendicular to strike,
then you will see the true dip of bedding. At any other orientation of the road cut,
you will see an apparent dip of bedding, which is always less than the true dip
(Fig. 1.4, right block). Problems involving apparent dips are extremely common in

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CHAPTER 1 MEASUREMENT & DISPLAY

structural geology. In subsequent chapters, we will learn quantitative methods for

calculation of true dip from two apparent dips or apparent dip given true dip and
apparent dip direction but for now a little practice in visualization is in order.
The specification of a strike and dip for a plane is subject to a number of po -
tential ambiguities that do not plague the dip direction and dip format. Which di-
rection of the strike line do you use? How do you make sure that the plane dips in
the correct direction? Because in the past structural geologists have tried to ac-
commodate all possible combinations of strike direction and dip direction — that is
they did not settle upon a standard and stick to it — a number of inefficient and
potentially error-prone formats have sprung up (Fig. 1.5). The “quadrant” format is
perhaps the worst offender: one must write down (correctly!) a combination of five
numbers and letters such as “N 47 W, 22 S”. The student is strongly encouraged
not to use this format even though you will need to know how to read it. One can
eliminate two letters simply by using the azimuth of the horizontal bearing: 313, 22
S. In this book, we will use either dip direction/dip or more commonly a format
known as the right hand rule (RHR). Using the RHR, one gives the strike direc-
tion such that the dip is to the right when looking in the direction of the strike az-

N
15°
0°
15
=
ke

Figure 1.5 Conventions for

ra

how to specify the orienta-

tions of two planes that
share the same strike line.
line A

Specifying the rake of a line

45°
30° is also given. Stick figure is
looking away from the
reader and holding out his/
her right hand. Avoid using
Plane 1!
1 Format!
Format Plane 2!
2 Line A rake!
rake
W
N 15 E, 45 W! Quadrant
Quadrant! E
N 15 E, 30 E! SE
30 SE!
the quadrant format!
015, 45 WW! Azimuth
Azimuth! 015, 30 E
E! 150
150!
195, 45
45! Right-hand Rule
Rule! 015, 30
30! 150
150!
285, 45
45! Dip
Dip direction & Dip! 105, 30

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CHAPTER 1 MEASUREMENT & DISPLAY

imuth (Fig. 1.5)1. Thus, we can further reduce the plane orientation given previous-
ly to: 133, 22.
The orientation of a line is also specified by a horizontal azimuth, or trend,
defined by the projection of the line onto the horizontal plane and the plunge, a
vertical angle measured from the horizontal downwards to the line (Fig. 1.2). Note
that for lines, or vectors, where the the arrowhead points upwards, their plunge has
a negative value. There are many times in geology when we are interested in lines
that are contained within planes: for example, a paleocurrent direction in sedimen-
tary bedding or slickensides on a fault plane. In these cases, it is often most conve-
nient to measure the angle between the strike of the plane and the line of interest,
which is known as the rake or pitch (Figs. 1.2, 1.5). Although strikes and trends
are measured in horizontal planes and dips and plunges in vertical planes, the rake
is commonly measured in an inclined plane. Traditionally, the rake has been mea-
sured from either end of the strike line, yielding two possible values, with the cor-
rect value identified by giving the general quadrant direction. This is a recipe for
confusion! The convention followed here is that the rake is always measured from
the given strike azimuth and thus varies between 0 and 180°.
There are several ways to measure the orientations of lines and planes. The
two most common have their origins in the unique capabilities of the two types of
compasses mentioned earlier: Freiberg compasses, as well as certain modern ver-
sions of the Brunton compass, can measure dip and dip direction in a single opera-
tion. To measure a plane, the top cover of the compass is rotated so that it is flush
against the rock layer. An air bubble is brought to the center of the bullseye level on
the face of the compass, ensuring that the compass face defines a horizontal plane.
The geologist can then read the dip azimuth of the plane from the number that the
North needle points at on the face of the compass. The vertical angle that repre-
sents the dip is read directly off a scale on the side of the compass.
If one is using a traditional Brunton compass, a different approach is used:
First, the side edge of the main part of the compass is placed on the rock and ad-

1 Two other reasons for using the RHR will be seen in a later chapter: (a) the strike, true dip, and pole (SDP) define a
right handed cartesian coordinate system that is convenient for solving problems related to bedding; and (b) double
couple focal mechanisms of earthquakes are commonly giving using the Aki-Richards convention where the plane is
specified using RHR and the sign of the rake gives the sense of slip (positive for thrust faulting and negative for
normal faulting.

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CHAPTER 1 MEASUREMENT & DISPLAY

justed by rotating it until the bullseye level is level. One can then read the strike of
the plane as the number to which the north arrow points. It takes a second opera-
tion to measure the dip angle: the side edge of the compass is placed flush on the
rock so that the brass arm of the compass points either up or down dip. The lever
on the back side of the compass is then rotated until the bar level is horizontal and
the dip value (or apparent dip value) read off of the clinometer scale on the face of
the compass.

Uncertainties
Of course, rocks seldom define perfectly smooth planes or exactly straight
lines. They have irregularities that can be quite significant. Several field methods
have been developed for dealing with this fact. Students are commonly admonished
to place a field book or other non-magnetic planar object on the surface of the
plane to be measured to smooth out the irregularities. Using a more advanced field
technique, the geologist positions themselves so that their eye is in the plane of
bedding and they see the plane “edge-on”. They then set the clinometer of a Brun-
ton-style compass to horizontal and sight through the hole in the mirror to located
a horizontal line in the plane. Finally, they take a bearing on the horizontal line in
the plane to get the strike. This method does a better job of smoothing out the ir-
regularities at the scale of the entire outcrop and can also be used to measure a
plane’s orientation where one cannot physically access the plane (e.g., across a roar-
ing river or a busy six lane highway). It does, however, take considerable practice to
master!
Without knowing why one is measuring the plane in the first place, it is im-
possible to know which is the best method to use. For a regional mapping job, one
commonly wants the best orientation at the scale of the entire outcrop. On the oth-
er hand, the variations, themselves, maybe the subject of study as for example
where one is trying to define asperities on a fault plane. However, the scale-invari-
ant nature of irregularities in any natural surface or linear feature means that,
whatever the scale of the problem being addressed, the measurement of its orienta-
tion will not be perfect.

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CHAPTER 1 MEASUREMENT & DISPLAY

In addition to natural irregulari-

In past times and even today, some structur-
ties, there are other reasons why it is al geologists acknowledge(d) that their strike
impossible to define the “correct” strike and dip measurements were “only good to
and dip of the plane. Two different ge- about 5°” and thus they would round their
ologists may use slightly different dip values on their maps to the nearest five
methods for measuring a line or plane degree increments. It is relatively easy to tell
on a published map when they did this even
and even the same geologist who makes
though it is seldom stated explicitly because
multiple measurements of the same
all of the dips on the map end in either a 0
plane at the same location will come up or a 5! Needless to say, this is a poor substi-
with a range of values because of tute for actually determining the natural
seemingly trivial changes in measure- variation in our measurements, and even
ment methodology. Thus, ideally one stating that a dip is 33±5° is better than
would make multiple measurements of recording the dip as “35°”. Maps with strike
and dip value recorded to the nearest 5°
a plane or a line and average them.
leave something to be desired!
That way, although we cannot state
with certainty what the “correct” orien-
tation is, we could at very least come up with the best estimate of the orientation
and even use standard statistical techniques to calculate the uncertainty (standard
deviation) in the orientation. We will do exactly that in a following chapter.
The uncertainties we have discussed so far are of the type known as ran-
dom, uncorrelated errors (Fig. 1.6a, b). There is no way to predict whether the
next measurement will be higher or lower than the previous one or, within some
range, by how much. They result from stochastic variations in natural features
and our own inability to measure them completely accurately. These errors are
amenable to calculation of a mean and a standard deviation (which we will do in
the next chapter). The smaller the uncertainty, for these types of errors, the more
reliable the result. Non-random, systematic or correlated errors are an en-
tirely different beast (Fig. 1.6c, d). Take for example, the geologist who unwittingly
measured a bunch of strikes and dips near a large magnetic body or with the dec-
lination set incorrectly on his or her compass. In the case of nonrandom errors,
even though the statistics might be good (e.g., Fig. 1.6c), the results will be crummy.
This discussion brings up two important terms: accuracy and precision. Ac-
curate means that our measurements are a reasonably good representation of the

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CHAPTER 1 MEASUREMENT & DISPLAY

Random
small large
(a) (b) Figure 1.6 — Illustration of the
difference between random and
systematic errors. Each dia-
gram shows a target with a
small

number of shots. Note that, in

this case, we know what the
“right” answer was (i.e., the
center of the target) and there-
Systematic

fore the systematic error is

clear. In the natural features
that we study, we don’t know
(c) (d) what the right answer is (i.e.,
there is no target) and thus we
can evaluate whether the ran-
dom errors are large or small
large

but we cannot evaluate the sys-

tematic errors. Based on a con-
cept by Taylor (1997).

true value, even if we can never know exactly what the true value is. Precise, on
the other hand, means that a measurement has been made with instruments that
record the observation to a large number of significant figures. Ideally, our mea-
surements should be both accurate and precise (Fig. 1.6a). Even experienced scien-
tists, however, often fall into the trap of thinking that because a measurement is
precise, it must also be accurate; that is a fallacy. In the case of nonrandom errors,
our measurement can be very precise but not very accurate (Fig. 1.6c). Earlier in
this chapter, we mentioned the advent of data collection via digital devices such as
smart phones. With any digital device, however, one must be careful to acknowl-
edge that, although the answer produced is precise, its accuracy must not be as-
sumed but proven. Digital sampling systems are highly subject to nonrandom er-
rors!

Graphical Representation of Orientation Data

There are two fundamental ways that structural geologists display their ori-
entation data with quantitative rigor. In maps, we are concerned about both ori-
entation and the spatial relation of one feature to another. In the second type,

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CHAPTER 1 MEASUREMENT & DISPLAY

Horizontal Surface

Figure 1.7 — Map as a projection onto the horizontal surface. In this case,
we show contour lines (lines of equal elevation) on an oblique view of the
topography and projected onto a horizontal surface

stereographic projections, commonly called stereonets, we are just concerned

with orientations, alone.

Maps
Geological maps are one of the most fundamental, original data sources in
our profession. They show the distribution, known and inferred, of rock units on
the surface of the earth, the nature of contacts separating them (e.g., stratigraphic,
unconformities, intrusive contacts, faults), and are the basic way that we evaluate
the distribution and geometry of deformed rock layers. Maps commonly show
strike and dip symbols in the layered units, and may show the orientations of sec-
ondary structures such as cleavage, lineations, and joints. A map is a formal scien-
tific document and should be treated as such.
All maps are a projection of features that lie on the irregular, but approxi-
mately spherical, surface of the earth onto a horizontal plane (Fig. 1.7). This has an
immediate practical implication: when you measure a distance on a map (i.e., a
map distance), it is a horizontal distance not the longer distance that you actually

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CHAPTER 1 MEASUREMENT & DISPLAY

slo
pe
dis
tan Figure 1.8 — Map distance, slope dis-
Change in ce tance, and slope angle. The slope dis-
elevation tance is always larger than or equal to
slope the map distance.
angle

map distance

travel along a slope (i.e., the slope distance; Fig. 1.8). The slope angle is mea-
sured between the slope and the horizontal and is usually calculated by:

⎛ Δ elevation ⎞
" slope angle = tan −1 ⎜
⎝ map distance ⎟⎠

where Δ means “change in”. A related measure of steepness of slope is the percent
grade, which you are likely to have seen on highway signs in mountainous terrain:

⎛ Δ elevation ⎞
" percent grade = ⎜ × 100 .
⎝ map distance ⎟⎠

Humans are notoriously poor at estimating slopes. On a road over a steep moun-
tain pass, you are likely to see a sign reporting “8% Grade Ahead”. If you take the
arctangent of 0.08, that “steep” grade has a slope angle of just 4.6°!
Beyond this practical implication, there is a more profound aspect to the fact
that maps represent projections: Although the Earth is approximately spherical, the
piece of paper or computer screen that displays the map is flat. There is inevitably
some distortion that occurs when we project a spherical surface onto a flat medium.
There are a myriad of map projections that accomplish this task depending on
the size of the map area and the purpose for which the map is needed (Snyder,
1987). For now, you mostly need to know that all maps represent tradeoffs of the
following factors:
• Conformal — preserves the same scale in every direction, locally,
thus maintaining the correct shape of the features

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• Equal Area — preserves the area throughout, but distorts the shape
• Equidistant — depicts the correct distance between a point at the
center of the projection and points in any direction away from the
center
• Equal Angle — Shows true angles or bearings, locally
You cannot have all of the above in a single map! For example, a map that is both
conformal and equal area is impossible, as is a map that is equidistant and equal
angle. As we shall see below, stereonets have exactly the same limitations because
they are fundamentally the same thing: a projection of spherical data onto a flat
screen or paper.
Map coordinates are usually given in terms of longitude and latitude. You
are, of course, familiar with a globe with its lines of longitude running from pole to
pole and lines of latitude running around the globe perpendicular to its rotation
axis (Fig. 1.9). Lines of longitude are known as great circles; if you slice the globe

Figure 1.9 — Left: the globe with lines of longitude and latitude. Right: a cut-away view of
the earth showing how the position of New York City is defined by a vector from the cen-
ter of the Earth that pierces the surface of the sphere in a point

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CHAPTER 1 MEASUREMENT & DISPLAY

through the middle, the intersection on the surface is a great circle. A more con-
crete way of visualizing great circles is to think of a peeled orange or grapefruit:
the lines made by the segments of the fruit are great circles because all of the seg-
ments meet in the middle. You have probably heard people speak of “great circle
routes” as the shortest distance between two points. That is true because that line is
an arc or segment of a great circle. The lines of latitude are small circles be-
cause they do not cut through the center of the globe. The complete coordinates of
any point on a globe, say New York City, are given by its longitude — the angle be-
tween the great circle that goes through Greenwich, England and that which goes
through New York — and the latitude — the angle between the equator and a line
drawn from the center of the Earth to New York (Fig. 1.9 right). Lines through the cen-
ter of a sphere intersect the surface at a point (e.g., New York City). Finally, you can see
that if you were to rotate the vector from the center to New York City about the ro-
tation axis of the Earth, it would sweep out a cone and the intersection of the cone
with the sphere produces a small circle (Fig. 1.9), which is why they are sometimes
called conic sections.
Mapping has been revolutionized in the last decade or two by three trends:
(1) the advent of geographic information systems (GIS) of varying complexity, (2)
the availability of large digital data sets, especially digital topography and ubiqui-
tous satellite imagery with resolutions of a few meters, and (3) small portable de-
vices like tablets, smart phones, and ruggedized laptops equipped with GPS re-
ceivers for accurate positioning. Mapping has gone digital and with it, the need for
geologists who know how to manipulate and extract information from large collec-
tions of numbers has increased dramatically.
Ironically, as the power of the tools and data sets we use has increased, the
number of geologists creating new maps has plummeted. Many students in struc-
tural geology today will never get a chance to make a geologic map beyond what-
ever they experience in field camp. Even so, today’s geologists need to know how to
extract quantitative information from the reams of paper maps published by state
and federal geological surveys for more than 100 years. A few years ago, this would
have meant spreading the map out on a drafting table with scale, compass, and
protractor in hand and carefully carrying out graphical constructions. Today, we
have a variety of software tools available to do these tasks and many government

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CHAPTER 1 MEASUREMENT & DISPLAY

30

15
30

15

Figure 1.10 — Strike and dip symbol for bedding dipping 30° to the east-south-
east and a lineation symbol showing the trend and plunge of a linear feature in
the plane of bedding in map view (left) and visualized as a block diagram
(right).

entities have made raster images of maps available online at little or no cost. We
will work with these scanned maps extensively in this course.
The way we represent the orientation of a planar feature on a map is with a
strike and dip symbol (Fig. 1.10). The exact nature of the symbol varies with
the feature that it represents, but they all have the same basic design: a long line
drawn parallel to the strike of the planar feature and a short tick mark indicating
the dip direction. The magnitude of the dip is commonly shown whereas the strike
value is not. Linear features, like paleocurrent directions, are shown with a lin-
eation symbol which is an arrow with the value of the plunge shown at the ar-
rowhead (Fig. 1.10).
In addition to strike and dip symbols on maps, there is another way to ex-
tract orientation data: because surface of the Earth is irregular — that is, it has
topography — the way planar units cross the surface of earth reflects their orienta-
tion. We call this the rule of V’s because, when seen in map view, contacts that
represent planar surfaces make the form of the letter “V” when they cross topog-
raphy. Where a bed crosses a valley, the tip of the “V” points downstream when the
bed is inclined or dips downstream (Fig. 1.11) and it points upstream when the bed
dips upstream, is horizontal, or dips downstream at an angle less than the stream

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CHAPTER 1 MEASUREMENT & DISPLAY

200 0! 1000 m

Figure 1.11 — The Rule of V’s depicted using

the same geologic map visualized in different
ways. Upper left: the map has been draped over
a digital elevation model and shaded with an
artificial sun in the northeast. Note how the
geological units, especially “Js” cross the valley
in the middle of the map, “V-ing” down
stream. Upper right: oblique block diagram of
the same map area, illustrating how the beds
dip down stream to the East (right). Lower left:
traditional three-point construction for calcu-
lating the dip. Two points along the lower sur-
face of Js are at the same elevation (7600 ft.)
and thus determine the strike direction. The
third point is at a lower elevation. See Figure
1.12 for construction.

gradient. Vertical surfaces cross topography in a straight line, V-ing neither up nor
downstream.
Of course, to interpret correctly the orientation of beds using the rule of V’s,
one has to be able to determine hills, valleys, and which way the rivers flow. Most
geologic maps published by geological surveys contain topographic contours,
lines of equal elevation. If you were to walk exactly along a contour line, you would
go neither up nor down hill; walk perpendicular to the contours and you are going
in the direction of maximum slope. Modern mapping increasingly uses shaded
digital elevation models (DEMs) to portray topography but for quantitative
analysis students still need to know how to use topographic contour maps.

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CHAPTER 1 MEASUREMENT & DISPLAY

7600 ft Figure 1.12 — Classical three point

construction to determine the dip of
bed Js in Figure 1.11. The diagram is a
vertical plane oriented in the true dip
Js direction (parallel to the line labeled
“1025.5” in Figure 1.11. Note that maps
⎛ 800 ft ⎞ are a projection onto a horizontal
δ = tan −1 ⎜ = 38°
⎝ 1025.5 ft ⎟⎠ plane.
6800 ft
1025.5 ft

(a) Equal Angle (b) Equal Area

Figure 1.13 — Two types of stereonets: (a) the equal angle, or Wulff, net; and (b) the equal
area, or Schmidt, net. All of the blue shaded small circles are the same size and shape on
the surface of the sphere (they all have a 10° radius). You can see that the equal angle net in
(a) is conformal (shape is preserved, that is they are all circles) but is not equal area or
equidistant (the 10° spacing gets bigger as you go from the center to the edge of the net).
Conversely, in the equal area net (b) the circles are distorted except at the center but they
all have the same area and the 10° spacing from the center outward is constant (equidis-
tant).

Stereonets
Structural geologists use stereographic projections to display orientation data
when the spatial relation of the individual observations with respect to each other is
not important. A stereonet can also used to do complex calculations such as rota-
tions, calculating lines of intersection, etc. by placing a sheet of tracing paper over
the grid of lines and rotating it about the center. That function has been largely re-

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CHAPTER 1 MEASUREMENT & DISPLAY

placed by computer stereonet programs that are far more powerful, accurate, and
precise in terms of computation and provide publication quality graphics automat-
ically. Here, we emphasize only the use of stereonets to display orientation data.
One’s first view of a stereonet is instantly familiar: it looks like a globe or a
map of the entire Earth (Fig. 1.9 left). There are great circles, just like lines of lon-
gitude, running from pole to pole, and small circles, similar to lines of latitude, that
run across the globe from east to west. Of course, our picture of a stereonet, just
like the globe, on the screen is a projection of a sphere onto a flat surface and, as
shown in Figure 1.9, left, can only display half of the sphere. As with any mapping,
depicting a sphere on a flat surface inevitably involves distortion. Two types of
stereonets are commonly in use: the equal area (Schmidt) net and the equal angle
(Wulff) net (Fig. 1.13).
Stereonets used in mineralogy, structural geology, geophysics embody all of
the same concepts as our globe. Planar features are plotted as great circles and lin-
ear features plot as points and there are different types of distortion depending on
the type of projection used. In a similar fashion to our example of a globe, miner-

(a)
(b)

β
e β
strik α 90–α
α
δ ike γ
str
90–δ

δ
great a line pierces the
hemisphere in a great
circle circle
point

Figure 1.14 — The lower hemisphere projection (a) oblique view, and (b) top view.
Planes intersect the hemisphere as great circles and lines plot as points. δ is the true
dip, α is the apparent dip, and β is the angle between the strike and the trend of the
apparent dip. Note similarity of (b) with Figure 1.15b.

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CHAPTER 1 MEASUREMENT & DISPLAY

(a) (b) N
s tr i
ke
=
05

E
6°

α
N

–
90
α
β
γ
δ = 35° β
W 90–α E
90–δ α
ike γ
str
strike

90–δ

S
δ
W

great circle
n e cl e

of plane
pla cir

S
o f e at
gr

Figure 1.15 — Plotting a plane and doing an apparent dip calculation by hand,
by rotating a piece of tracing paper over the stationary grid of the stereonet.
(a) shows the paper rotated so that one can plot the great circle that represents
the plane, and (b) shows the tracing paper rotated back so that N on the paper
and on the grid are aligned.

alogists use an upper hemisphere projection whereas in structural geology and

geophysics we use a lower hemisphere projection (Fig. 1.14). The latter projec-
tion means that we are looking down into a cereal bowl and seeing the inside of the
bowl projected onto the horizontal plane through the center of the sphere (Fig.
1.14). Visualizing this geometry is fundamental to understanding how stereonets
display data.
Plotting stereonets by hand is tedious and imprecise. The basic idea is shown
in Figure 1.15. An equal angle, or more likely equal area, grid is mounted on a
piece of cardboard or some other firm but thin surface. The geologist then places a
sheet of tracing paper over the grid and puts a push pin or thumbtack through the
tracing paper into a hole in the center of the firm backing to which the grid is
mounted. The tracing paper can now rotate about the center of the grid. After
marking North on the tracing paper, the geologist is ready to begin plotting. To plot

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CHAPTER 1 MEASUREMENT & DISPLAY

a plane, rotate the tracing paper by an amount equal and opposite to the strike of
the plane. For example, in Figure 1.15, the plane has a strike of 056° so the geolo-
gist rotates the tracing paper by 56° counterclockwise. Once this rotation is accom-
plished, one counts in on the east axis of the grid an amount equal to the dip value
and then traces by hand the corresponding great circle. Rotating the tracing paper
back to alignment with the grid — so that north on the tracing paper is aligned
with north on the grid puts the great circle that represents the plane in its correct
position (Fig. 1.15b).
The great circles and small circles on the stereonet grid are read in degrees,
just like longitude and latitude are marked off in degrees on the globe. In Figure
1.15, the grid is drawn in 10° increments, whereas most paper stereonets are in 2°
increments (most computer programs allow you to adjust the grid increment). If
you read in along the EW grid line (Fig. 1.15), you’ll see that you can measure from
0° at the edge of the net (known as the primitive or horizontal) to 90° at the center;
a vertical line will plot as a point exactly at the center of the net (a plunge of 90°).
Angles measured in the plane (e.g., rakes) can be determined by counting off the
number of degrees along the great circle. For example, in Figure 1.15a, you can see
that the rake of the apparent
dip line (that has a plunge of
α) is 40°; likewise, the angle in
the plane between the appar-
ent dip line and the true dip
line is 50°.
If all that sounds com-
plicated, it is but nonetheless
the procedure is a skill that
can be learned with a small
amount of practice. The
problems with this approach,
Figure 1.16 — Two planes and the line of intersection
however, are two-fold: first, between the visualized in three dimensions using the
several of the operations have Macintosh program Stereonet3D (Cardozo and All-
mendinger, 2013). Programs like this can help if you
nothing to do with learning are having trouble relating a stereonet plot to the
how to interpret these displays three dimensional objects it represents.

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CHAPTER 1 MEASUREMENT & DISPLAY

but only with the limitations of drawing great circles by hand. How does rotating
the tracing paper in a direction opposite to the rotation of the strike with respect to
north make this process clearer? Hint: it doesn’t! Second and more importantly, few
structural geologists use paper stereonets now, anyway, as there are a number of
good programs available for Mac, Windows, Android, and iOS. The computer cer-
tainly isn’t virtually rotating a piece of paper with respect to a grid; it is using sim-
ple but powerful mathematical algorithms and displaying the results on a stereonet
because that’s what structural geologists are used to! Thus, in most of this book, we
are going to learn how to do structural calculations the way the computer does and
only use stereographic projects to visualize our results (Fig. 1.16).

Computing
Structural geologists use a large number of computer programs to speed up
their work. These programs may be written in a variety of languages: a few
decades ago the language was likely to be Fortran, Pascal, or Basic; today it is more
likely to written in some flavor of C, Python, Java, or Matlab. What is important,
however, is not the language but the algorithm behind the language. In this book,
we will use a very simple computing environment, the humble spreadsheet pro-
gram, usually exemplified by Microsoft Excel®. There are several advantages to
this approach:
1. You have probably used spreadsheets before so they are familiar.
That means that you can just focus on the algorithm and not worry
about language syntax, development environment, etc.
2. It is quite likely that you already have Microsoft Office® installed
on your computer and thus you already have Excel®. No addition-
al purchase necessary!
3. A spreadsheet is naturally in the form of a table, or matrix, and
many of the things we would like to calculate in structural geology
are best thought of as tables of numbers.
Computers have a couple of traits that you will probably find either exhilarating or
frustrating: they are dumb and they are logical. Because computers are dumb ma-
chines, they are extremely literal: they will do exactly what you tell them to do, even

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CHAPTER 1 MEASUREMENT & DISPLAY

if it is not really what you wanted! Second, be-

Those of you who already know a
cause they are logical, you have to understand programming language should,
the logic of your calculation before you can tell by all means, do the exercises in
the computer what to do. Nonetheless, comput- this book using that language
ing is a profoundly powerful skill for a scientist rather than in a spreadsheet.
to possess, and it is in that spirit that this book More advanced programing lan-
guages have many features that
emphasizes simple computing via spreadsheets
simplify the overall task of im-
to solve structural geology problems. Once you
plementing an algorithm. For ex-
understand the power of the calculation, that is ample, a simple do/for loop in a
the algorithm, you will have greater motivation programing language is more
to learn a programming environment much cumbersomely implemented in a
more powerful than a spreadsheet program. spreadsheet by manually copying
and pasting rows containing for-
A spreadsheet, like any program, has cer- mulae and nested loops are even
tain rules that one must follow. For those of you more difficult.
who have never used a spreadsheet for anything
more than making a table, we offer the following
abbreviated set of rules:
• To fill a cell with a computed value, the first character in the cell
must be the equals sign, “=”. Following the equals sign is the for-
mula that you want to compute.
• In formulas, one refers to the input data, whether a number or an-
other computed value, via its cell address. The cell address is com-
posed of a letter that indicates the column of the cell followed by a
number that indicates the row. For example, “C3” refers to the val-
ue in column C, row 3. When entering a formula, after the equals
sign you can usually enter the cell address by just clicking on the
cell that you want.
• When you copy a formula from one part of the spreadsheet to an-
other, the cell addresses are adjusted automatically — that is, the
cell addresses are relative. If you have a formula in C3 that uses the
value in A1, when you copy the formula to D4 (one column over
and one row down from the original), it will automatically adjust to

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CHAPTER 1 MEASUREMENT & DISPLAY

use the value in B2 (one over and one down from A1). Relative cell
addresses are one of the reasons why spreadsheets are so powerful.
• Sometimes, however, you want to keep using the original value
even though you have copied the formula. For this you need an ab-
solute cell address which is indicated with a “$” in front of the col-
umn and/or row letter/number. If, in the above example, you
wanted to keep using the value in A1 when the formula was copied
to a different cell, you would type the address as “$A$1” in the
formula.
• Finally, for now, all computer languages, including spreadsheets, do
trigonometric calculations using radians rather than degrees. Use-
ful formulae for converting from radians to degrees are:
180∘
1 radian = = 57.2958° (1.1)

π
π 3π
90° = ; 180° = π; 270° = ; 360° = 2π
2 2

Say you want to calculate the sine of the angle in cell A3. In the
cell where you want the answer to appear (e.g., A4) you would type:
=SIN(RADIANS(A3))

To convert the value in A4 back to degrees you would enter

=DEGREES(ASIN(A4))

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CHAPTER 1 MEASUREMENT & DISPLAY

Exercises—Chapter 1

1. For the following block diagrams, fill in the bed geometry on each exposed side
of the block. For each side, indicate whether one would see a true dip or an ap-
parent dip of the bed if you observed that side of the block head on (looking
perpendicular to that face of the block).


(a) (b)

30 90

(c) (d)

10
30

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CHAPTER 1 MEASUREMENT & DISPLAY

2. For each of the map snippets below, state qualitatively which way the bedding
dips. Start by using the topographic contours to identify ridges and valleys and
then determine which way the creeks in the valley flow (i.e., the up- and down-
stream directions). Then, use the way that the stratigraphic contacts cross the
valley to determine the dip direction. For each map, it is sufficient to state that
“the bedding dips to the east” or “the bedding dips to the SW”.

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CHAPTER 1 MEASUREMENT & DISPLAY

3. Below are five orientations of planes. Convert them into right-hand rule for-
mat:
a. Convert from Quadrant to RHR format: (i) W 15 S, 61 S; (ii) N 56 E, 20
NW; (iii) S 30 E, 33 W;
b. Convert from Dip direction and dip to RHR format: (i) 237, 74; (ii) 099, 48

4. The instructor will set up a tilted layer or rock in the lab or will take you out to
a place where you can measure strikes and dips of a natural planar surface.
Each person in the class, including the instructor or other experienced geolo-
gist, should measure the plane the same number of times, at least10 or 15 times
would be good.
a. Describe the variation in your answers: How much variation in strike is
there? In dip? Does it appear easier to measure the strike or the dip more
accurately? What factors might determine which is easier?
b. Now compare your answers to those of your classmates and instructor. Can
you tell which answers are more precise or whose are more accurate? How?

5. Plot your results from Question 4 in a stereonet program as (a) great circles, and
(b) poles to the planes.

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CHAPTER 1 MEASUREMENT & DISPLAY

6. The following stereonet plots show planes and or lines. Describe the orienta-
tions in each and answer any additional questions written next under the plot.


what is the approximate orienta-

tion of the line of intersection of
the black and blue planes?

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CHAPTER 1 MEASUREMENT & DISPLAY

All of the questions below apply to the following table. Each row in the table is a
single datum, i.e. a single plane with one or more lines in it. Planes are given in az-
imuth format and lines in trend, plunge format. Asterisks show missing values; ***
is a missing azimuth or bearing, and ** is a missing plunge or dip. Some of the val-
ues are redundant: for example, once you know the true dip and dip direction, you
also know the strike and dip.
Datum Strike & Dip of Plane True Dip (T&P) Apparent Dip(s)
(T&P)

1 050, **, * ***, ** 090, 25

2 ***, **, * ***, ** 159, 34 and 270, 43

3 ***, **, * 010, 48 321, ** and 090, **

7. Solve for the missing values for each of the three datums using a stereonet to
solve for each of the missing values in each row.
(a) In the second datum, above, you are given two apparent dips. Use a stere-
onet to determine the angle between those to apparent dips, measured in
the plane that contains them.
(b) Assume that the plane in datum three is a bedding plane. Restore the plane
to horizontal. What were the original bearings of the two apparent dip di-
rections prior to the tilt of the bedding?
Rotate the plane in row 1 by returning the plane in row 2 back to its original hori-
zontal position. What is the orientation of the plane in row one after you have per-
formed this rotation?


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 Chapter 2
Coordinate Systems and Vectors

Coordinate Systems
When we use a compass to measure features of interest to the structural ge-
ologist, we are implicitly using a spherical coordinate system defined by the rotation
axis and surface of the Earth. Another spherical coordinate system based on the

Earth is given by latitude and longitude. Geologists have successfully used these co-
ordinate system for a couple hundred years; they are accurate and work well be-
cause the Earth is a nearly spherical body. As we saw in the last chapter, any rec-
tangular coordinate system applied to the Earth must necessarily have some distor-
tion. The most obvious examples of this are maps where, via various algorithms,
the sphere of the earth is projected onto a flat piece of paper (or computer screen).
A map can display areas or angles correctly but not both, something that also ap-
plies to Stereonets.
Even so, just as it is more convenient to carry around a flat map that can be
folded, rolled up, or displayed on a computer screen rather than a physical globe, it
CHAPTER 2 COORDINATE SYSTEMS & VECTORS

is commonly more convenient to do structural

The three axes of a Cartesian co-
calculations in rectangular Cartesian co- ordinate system are commonly re-
ordinates. Those are the main focus of this ferred to as X, Y, and Z. We start
section. Before we get to Cartesian coordinates out the same way here because that
commonly used in geology, a few formalities is most familiar, but when we start
are in order. talking about coordinate systems
more formally, we will switch to
The axes of any graph have positive and using X1, X2, and X3, which are
negative directions, of course, and most of us more convenient for numerical cal-
are used to seeing two dimensional graphs culations in a computer.
where the horizontal axis, commonly referred
to as the “X” axis or abscissa, is positive to the right and the vertical “Y” axis (the
ordinate) is positive upwards. This means that angles are measured positive in a
counterclockwise direction from the horizontal axis, just the opposite of how angles
are measured on a compass rose (clockwise from the top). But, what happens if we
add a third axis? How do we determine the positive direction for that axis?
Convention suggests that we should follow a right-handed naming con-
vention: If you hold you hand so that your thumb points in the positive direction
of the first axis, your fingers should curl from the positive direction of the second
axis toward the positive direction of the third (Fig. 2.1). To follow this convention in
the case of our graph above where X is horizontal and points to the right, we have
two options: the new third, or “Z”, axis can be horizontal and point off the page

+X3 (+Z) +X2 (+Y)

Figure 2.1 — (a) Right-handed

+X2 (+Y) +X3 (+Z)
and (b) left-handed coordinate
systems. As the disembodied
hand shows, for a right-hand-
ed system, if the thumb of the
right hand points in the direc-
tion of positive X1, then the
fingers curl from positive X2
towards positive X3.
+X1 (+X) +X1 (+X)

(a) Right handed (b) Left handed

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CHAPTER 2 COORDINATE SYSTEMS & VECTORS

+X3 = Up
+X1 = North

+X2 = North

Figure 2.2 — Right-handed

coordinate systems common-
ly used in structural geology,
+X2 = East geophysics, and mapping.

+X3 = Down
+X1 = East

(a) Structural Geology (b) Geophysics, Topography

towards the viewer, or we can rename the vertical axis the Z-axis and add a new
horizontal Y-axis pointing into the page away from the viewer. Though neither are
wrong, the second option is the more common of the two and is, in fact, the coor-
dinate system used in maps: the east direction is the first axis, the north direction
the second, and elevation (positive upwards) is the third. This means that a car
traveling southward is going in the negative direction. The point is, the labeling of
axes is not arbitrary but follows well-established conventions. This “map” conven-
tion of axes is used extensively in geophysics as well as mapping and is sometimes
referred to as an East-North-Up (ENU) system (Fig. 2.2).
Structural geologists, because of our reliance on magnetic compasses and
out predilection for treating angles measured downwards from the horizontal as
positive, use a different convention: We treat the North direction as the first axis,
the East direction as the second axis and the Down axis as the third axis, an NED
coordinate system (Fig. 2.2). This system is consistent with angles like strikes and
trends measured clockwise from North, and because down is positive, angles mea-
sured downwards from the horizontal (e.g., dips, plunges) are positive. Of course it
is easy to change between the two coordinate systems: A point that has coordinates
(100, 200, 350) in an ENU system would have coordinates (200, 100, and –350) in
a NED system.

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CHAPTER 2 COORDINATE SYSTEMS & VECTORS

Vectors: A Review
Most structural geology students have learned the basics of vectors in their
math courses. We’ll first review those basic concepts and then put that knowledge
to work because, as mentioned in the last chapter, most linear features that we
might wish to measure in structural geology are vectors.

Vector components, magnitude, and unit vectors

Because structural geometry is three dimensional, all of our vectors will have
three components. Each of the three numbers that define a vector refer to a specific
coordinate axis: for example, v2 (or vy) is the value of our vector, v, projected onto
the second axis of the coordinate system, X2 or Y. In a NED coordinate system, v2
is the projection of v onto the East axis, but in an ENU coordinate system, v2 is v
projected onto the North axis. Therefore, the numbers that define a vector depend
on the specific coordinate system. We write out vector as:

v" = [v1 v2 v3] = [vx vy vz] (2.1)

One of the most fundamental characteristics of a vector is its length or magni-

tude. Magnitude is a scalar quantity because it has no directional significance and
furthermore, it is the same in all coordinate systems. The magnitude is given by:

" v = v12 + v22 + v32 (2.2)

In two dimensions, you can see that the magnitude is calculated from the Py-
thagorean theorem which gives the length of a hypotenuse as the square root of the
sum of the squares of the two sides (Fig. 2.3). The extension to three dimensions is
straightforward.
But, what if we don’t care about the magnitude? What if we are only inter-
ested in the orientation of our vector? In this case, we simply assume that the vec-
tor has a length of one and call it a unit vector. A special symbol is reserved for a
unit vector, a triangular hat or circumflex accent over the vector symbol: v" ̂. Unit
vectors have a special property that makes them especially useful for orientations.
The projection of a unit vector onto a coordinate axis is just equal to the cosine of

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CHAPTER 2 COORDINATE SYSTEMS & VECTORS

X3
X2
(v 2
1 +v 2
)
1
v = v12 + v22 = ( v12 + v )
1
2 2 2 2
2

v v3 v
γ
v2 = v cosβ

β β
v2
v1 α X2
α
X1
v1 = v cosα
X1
(a) (b)

Figure 2.3 — The length or magnitude of a vector, v (in red) is calculated

using the Pythagorean Theorem in both two (a) and three (b) dimensions.

the angle that the vector makes with that axis (Fig. 2.3a). Thus, the components of a
unit vector are:

v̂ = [cos α cos β cos γ] (2.3)

where α is the angle with respect to the X1 axis, β with X2, and γ with X3. cosα,
cosβ, and cosγ are known as direction cosines and, as with the magnitude, the
proof is straightforward in two dimension and easily extended into three dimen-
sions.

Vector Addition, Subtraction, and Scalar Multiplication

Vector addition or subtraction from another is no more complicated
than adding, or subtracting, the individual components (Fig. 2.4):

v + u = [v1 v2 v3] + [u1 u 2 u3] = [(v1 + u1) (v2 + u 2) (v3 + u3)] (2.4a)

And likewise

v − u = [v1 v2 v3] − [u1 u 2 u3] = [(v1 − u1) (v2 − u 2) (v3 − u3)] (2.4b)

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CHAPTER 2 COORDINATE SYSTEMS & VECTORS

u u–v
u+v

v –v
(a) (b)

Figure 2.4 — Vector addition (a) and subtraction (b) via the parallelogram
rule.

In scalar multiplication, each component of the vector is multiplied by

the same scalar quantity:

a v = a [v1 v2 v3] + = [av1 av2 av3] (2.5)

The concept of a unit vector and vector addition allows us to define vectors
in a more explicit and elegant way: base or reference vectors are unit vectors
parallel to the three axes of the coordinate system. Any vector can thus be written
as the sum of the three base vectors multiplied by the scalar components of the
vector:

v = v1 i ̂ + v2 j ̂ + v3k̂

Dot Product and Cross Product

There are two operations that are unique to vectors and uniquely useful to
structural geology: the dot product (also known as the scalar product) and the
cross product (or vector product). The dot product of two vectors yields a sin-
gle, scalar number:

u⋅v =v⋅u= u v cos θ = v1u1 + v2u 2 + v3u3 (2.6)

If u and v are both unit vectors, then the term " û v̂ = 1 . We can then rearrange
equation 2.6 to give us an extremely convenient equation for the angle between two
lines, which we will be using a lot:

θ = cos−1 (v1u1 + v2u 2 + v3u3) (2.7)

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The cross product is similarly useful because it yields a third vector which is
perpendicular to the first two vectors (Fig. 2.5). There will be many times in struc-
tural geology when we will want to calculate a vector which is perpendicular to two
other vectors. Notice that the direction that the third vector points depends on the
order in which you cross the first two. The formula for the cross product is:

v×u=−u×v = v u sin θ = [(v2u3 − v3u 2) (v3u1 − v1u3) (v1u 2 − v2u1)] (2.8)

If v and u are unit vectors, then the length or magnitude of the new vector is equal
to the sine of the angle between the two vectors. This brings up an important
point: the cross product of two unit vectors produces a third vector, perpendicular
to the first two, whose length varies between zero and one. The only time that the
cross product produces a unit vector is when the first two vectors are at 90° to each
other. It turns out that this is a surprisingly common occurrence in some, but not
all, of the problems we will face in structure.

vˆ × û

û
Figure 2.5 — The cross product produces a
third vector that is perpendicular to the first
two vectors. If u and v are unit vectors, then
θ
the magnitude of the cross product is equal
to the sine of the angle between u and v. The
cross product follows a right-hand rule con-
v̂
vention.

û × vˆ

–ˆ

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CHAPTER 2 COORDINATE SYSTEMS & VECTORS

Geological Features in Cartesian Coordinates

Direction Cosines from Trend and Plunge

As mentioned before, all lines in geology are vectors so it makes sense that, in
Cartesian coordinates, the orientation of a line should be represented by direction
cosines. We will also represent planes by their pole or their normal vector. So, the
question becomes, how to convert from the familiar trend and plunge, or strike and
dip, to direction cosines? As shown in Figure 2.3, we will by convention represent
the angle that our vector makes with the first axis (North) by the Greek letter α, the
angle with the second axis (East) with β and the angle with the third axis (Down) as
γ. We can get some idea of the orientation of a vector simply by looking at the
signs of the direction cosines (Fig. 2.6). The cosine function is positive (or zero) be-
tween −90° (or 270°) and 90 and
negative (or zero) between 90 and
N
270°. Thus, a line that has a trend
and plunge in the northeast quadrant
α
will have all positive direction cosines
cos α (+)!
because the angle that it makes with cos β (–)!
cos γ (+) β
each of the three axes is between γ
zero and 90° (red point in Fig. 2.6). A
D E
point in the southwest quadrant will
be more than 90° from East and cos α (–)! cos α (–)!
cos β (–)! cos β (+)!
more than 90° from North and thus cos γ (+) cos γ (+)
cosα and cosβ will both be less than
zero.
However, what we would real-
ly like are formulae for converting Figure 2.6 — Lower hemisphere projection
showing how the sign of each direction co-
from spherical coordinates (trend and sine varies with quadrant. Note that α and β
plunge or strike and dip) to direction are angles from N and E respectively mea-
sure in inclined (i.e., non-vertical) planes,
cosines and back again. To calculate whereas γ is measured in a vertical plane.
these exact values, we’re going to In the northeast quadrant where the red
point is, all three direction cosines are posi-
have to do a bit of trigonometry be- tive.

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CHAPTER 2 COORDINATE SYSTEMS & VECTORS

cos α
e)
plung
trend cos(

α ge
plun cos β Figure 2.7 — Perspective view of the
E geometry needed to derive the direction
β
cosines of a unit vector, v, given its trend
and plunge. The pink plane is the vertical
nge plane that contains the vector.
– plu
90
cos γ γ=
v̂

cause α and β are not measured in vertical planes (Fig 2.6). The basic geometry and
the angles involved are shown in Figure 2.7. The easiest direction cosine to calcu-
late is cosγ because it is just equal to the sine of the plunge. From the relationships
on the horizontal plane of Figure 2.7, you can see that:

cos α = cos (t ren d ) cos (plu nge) (2.9)


cos β = sin (t ren d ) cos (plu nge)

With a similar set of derivations, one can also calculate the directions cosines for
the pole to a plane from the plane’s strike and dip. Table 2.1 gives the complete set
of equations for determining the direction cosines from the spherical coordinates.

Table 2.1
Axis Direction Cosine Lines Poles to Planes

(strike & dip using RHR)

North cosα cos(trend)cos(plunge) sin(strike)sin(dip)

East cosβ sin(trend)cos(plunge) –cos(strike)sin(dip)
Down cosγ sin(plunge) cos(dip)

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CHAPTER 2 COORDINATE SYSTEMS & VECTORS

Trend and Plunge from Direction Cosines

Doing the reverse calculation — trend and plunge given the direction cosines
— is a little less straightforward. The plunge is a piece of cake:

plu nge = sin−1 (cos γ)

If the trend varied only from zero to 180° there would be no problem, but the
trend in fact varies from 0 to 360°. For any inverse trigonometric function — arc-
sine, arccosine, or arctangent — there are two possible angles between 0 and 360°.
How do you choose the correct one? The answer is to use the signs of the direction
cosines to determine which quadrant the trend lies within.
There are several possible ways to solve for the trend. The simplest, though
with a caveat, is to observe from Equation 2.9 that:

sin (t r en d ) cos (plu nge)

∴ t r en d = tan−1 (
cos α )
cos β cos β
= = tan (t r en d ) (2.10)
cos α cos (t r en d ) cos (plu nge)

From the graph in Figure 2.8 and by inspection of Figure 2.6, you can see that:

( cos α )
cos β
tren
" d = tan−1 if cos
" α > 0 (2.11a)

( cos α )
cos β
" tren d = 180∘ + tan−1 if cos
" α < 0 (2.11b)

The caveat, of course, is that you have to test for the special case of cos
" α = 0:

trend = 90° if (cos α = 0 and cos β ≥ 0) (2.11c)

trend = 270° if (cos α = 0 and cos β < 0) (2.11c)

There are several other ways of solving for the trend, but all involve testing the sign
of either cosα or cosβ. Despite the extra test required for cos
" α = 0, the tangent is
convenient because it involves a simple addition of 180° (π radians) when cos" α < 0.

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CHAPTER 2 COORDINATE SYSTEMS & VECTORS

180° (π radians)

cosα > 0
Tangent (trend)

30 60 90 120 150 180 210 240 270 300 330 360

Trend (°)

cosα > 0 cosα < 0

Figure 2.8 — Plot of the trend versus the tangent of the trend.

Some Practical Applications Using Vectors

Okay, it is time to dust off your spreadsheet skills because even the basic
vector operations we have looked at so far enable us to do some very powerful
calculations. At the start, here, we will see how to set up the spreadsheet and what
formula to type into each cell. After this section, it will be assumed that you can do
so on your own and we will just concentrate on the equations, themselves.

Mean Vector
Suppose we have group of vectors, how do we calculate the average or mean
vector that represents the entire population of vectors? Our vectors may represent
paleocurrent directions, paleomagnetism vectors, slip vectors on a fault surface, or
any other geological feature that can be represented as a vector. This first example
involves nothing more than vector addition, with some scalar division at the end.
Even so, this example is impossible to do via a paper Stereonet or by any other ap-
proach. For the very final step, we will see how to calculate the uncertainty about
the mean vector.

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CHAPTER 2 COORDINATE SYSTEMS & VECTORS

(a) (b) r

(c) (d)

r/5 r̂

Figure 2.9 — The steps in a mean vector calculation, depicted graphically. (a) a
group of five unit vectors. (b) Adding the five vectors together and drawing the
resultant vector (red). (c) Normalizing the resultant vector. Note that the red vec-
tor is somewhat shorter than the five unit vectors. (d) the mean vector (unit vector
parallel to the resultant vector) calculated by dividing r by its own magnitude.

To determine the mean of any scalar measurement, say temperature, we

simply add together all of the measurements and divide by the number of mea-
surements. The procedure is exactly the same with unit vectors, except now you
sum each of the three scalar components of the vector with the corresponding
components of every other vector. The resultant vector, r, is what you get when
you add several vectors together. Graphically, vector addition is just like placing the
tail of one vector at the head of a previous vector; the resultant vector is drawn
from the tail of the first vector to the head of the last vector (Fig. 2.9b). The length
of the resultant vector is, itself, a measure of the
preferred orientation of the group of unit vec-
Spreadsheets and full-fledged
tors. If all of the unit vectors had exactly the same computer programs are not
orientation, then the magnitude of resultant vector, very useful if they are not well
|r|, would be equal to the number of vectors (if organized and clearly labeled
there were five vectors, |r| = 5). When comparing (i.e., commented). People who
different groups of unit vectors with different use or modify the program
after you, not to mention your
numbers, it is convenient to normalize r by divid-
Professor and Teaching As-
ing each of its components by the number so that r sistant, will thank you!
will always vary between zero and one (Fig. 2.9c).
Eventually, though, we will have to convert r into its

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CHAPTER 2 COORDINATE SYSTEMS & VECTORS

Figure 2.10 — Simple spreadsheet to calculate the mean vector for five vectors
whose orientation in spherical coordinates is shown in columns A and B, rows 2-6.
Areas with calculated values shown in blue shading and the answer in yellow. The
formulae for those cells are given in Table 2.2. See text for discussion.

equivalent unit vector, r̂ (Fig. 2.9d), so that we can extract the mean vector orien-
tation. Now, let’s do the same thing numerically.
The completed spreadsheet to calculate the mean vector for five lines is
shown in Figure 2.10. The original data are outlined in the box beneath the trend
and plunge and all data calculated by formulae are in blue. Note that calculating
the magnitude of the unit vector from the original direction cosines is redundant:
we know that they have a magnitude of one already. Nonetheless it is a useful check
on your calculations to make sure that you didn’t enter any equations incorrectly.
For this particular data set, you can see that the normalized resultant vector magni-
tude is 90% of a unit vector indicating a fairly strong preferred orientation.
The equations in each of the cells in row 2-11 is given in Table 2.2 (the
equals sign, “=”, has been omitted from in front of each equation). Note that, for
rows 2-6, you would use the appropriate row number in each of the equations; all
you have to do is fill in the equations for row 2 and then copy them to rows 3-6 and
the spreadsheet program will automatically adjust the row numbers. Line 8 does
the vector addition simply by summing the columns of individual direction cosines.
Finally, note that we have used an absolute cell reference, “$G$9”, in row 11 be-

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CHAPTER 2 COORDINATE SYSTEMS & VECTORS

cause all three formulae in columns D, E, and F reference the same cell in column
G. If we had not used an absolute reference, then when the formula in D11 was
copied to E11, the spreadsheet would have adjusted it automatically to read E9/H9
… not what we want at all.

Table 2.2
row(s) D (cos(alpha)) E (cos(beta)) F (cos(gamma)) G (Magnitude)

COS(RADIANS(B2))
 SIN(RADIANS(B2))
 SIN(RADIANS(C2)) SQRT(D2^2 + E2^2 + F2^2)

2-6
*COS(RADIANS(C2)) *COS(RADIANS(C2))

8 SUM(D2:D6) SUM(E2:E6) SUM(F2:F6) SQRT(D8^2 + E8^2 + F8^2)

9 D8/5 E8/5 F8/5 SQRT(D9^2 + E9^2 + F9^2)

11 D9/$G$9 E9/$G$9 F9/$G$9 SQRT(D11^2 + E11^2 + F11^2)

To get the trend of the mean vector in row 11, column B, we need to use a
conditional statement (i.e., if… then… else…) because we have to check the sign of
cosα as described above. The formula for the trend is:

=IF(D11>=0, DEGREES(ATAN(E11/D11)), DEGREES(ATAN(E11/D11))+180)

Between the parentheses following the IF are three statements separated by commas
(this is how spreadsheets do these things…): the first is the logical test (i.e., if the
value in D11 is greater than or equal to zero), the second statement is what to do if
the logical test is true, and the third is the calculation if the logical test is false. This
formula takes a shortcut because it does not check for whether or not cosα is equal
to zero, which you would clearly want to do in any general purpose program. The
formula for the plunge in C13 is:

=DEGREES(ASIN(F11))

In both formulae, DEGREES converts from radians to degrees because the inverse
trigonometric functions always return the angle in radians.
Like any calculation that involved determining a mean, we can also deter-
mine the statistical standard deviation. For three dimensional mean vector data,
the standard deviation is given by:

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( R ) (1 − p)
N−R 1 N−1
cos δαp = 1 − −1 (2.12)

where p is the probability, N is the number of vectors, R is the magnitude of the re-
sultant vector. δαp is the apical angle of the cone of uncertainty at probability, p.
For example, if you wanted to calculate the probability at two standard deviations,
or 95%, you would set p = 0.95. You can see that, for the perfect case of all vectors
having the same orientation, cosδαp = 1 and δαp = 0 because N=R. Though not
terribly useful with so few measurements, the 2σ (or δα95) cone of uncertainty
around our mean vector in the data set shown if Figure 2.10 is 28.2°: we are 95%
certain that the correct answer lies within 28.2° of the mean vector that we calcu-
lated.
What we have just seen is undeniably powerful: it is exactly the calculation
that geologists who study paleomagnetism make when they determine a paleomag-
netic pole. However, be careful: the mean vector calculations is very literal. That
raises a common pitfall: the case where the direction of the vector doesn’t matter
and we are plotting exclusively in the lower hemisphere. We commonly think of
lines that plot on the opposite sides of a stereonet — say, 090, 05 and 270, 05 — as
having very nearly the same orientation, that is they are very nearly parallel. How-
ever, the mean vector calculation treats them as vectors pointing in opposite direc-
tions as shown in Figure 2.11. When we add the two together, the resultant vector is
vertical and very short. This is the right thing to do if we are summing anything
where the direction matters but it is not what we want if, say, intersection lineations
are being analyzed. For these lines that have no directional significance, there are
-û
Figure 2.11 — Oblique
view of a lower hemi-
v̂ - û sphere projection show-
v̂ ing the result of adding
û to vectors with shallow
plunges on opposite
û + v̂ sides of the net (red vec-
tors). When the vectors
have no directional sig-
nificance, we usually
want the blue vector.

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other methods but we’ll need to develop some additional concepts before we get
there.

Rake of a Line in a Plane

Recall that the rake of a line is just the angle between the line and the strike
of a plane that contains the line. Here, we are going to follow the format that the
rake is always given with respect to the right-hand rule strike. The dot product
(Eqn. 2.7) will serve us nicely for this calculation. One line is given by its trend and
plunge; the second line is the strike line which has a trend equal to the strike and a
plunge of zero.
The spreadsheet for this calculation is shown in Figure 2.12. The formulae
for the direction cosines of the line in row 2 are straightforward and the same as
used in the previous example. The plane in row 3 requires a bit more explanation:
we are treating the strike as a horizontal line in the plane so we don’t actually use
the dip value at all! Instead, the direction cosines are calculated for a line with a
trend equal to the strike and a plunge of zero (because the strike is a horizontal
line… you get the idea). That is why the third direction cosine for the strike in F3 is
equal to zero. If a line has zero plunge, the angle that it makes with the down axis,
gamma, is 90° and cosine of 90° is equal to zero.
The formula for the rake in cell B5 is just:

Figure 2.12 — Spreadsheet for calculating the rake of a line in a plane. Note that
the direction cosines in row 3 are for a line with a trend of 053 and a plunge of 00.

=DEGREES(ACOS(D2*D3 + E2*E3 + F2*F3))

As before, we don’t really need and don’t even use the magnitude column but it is a
useful check to make sure that our formulae are entered correctly.

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CHAPTER 2 COORDINATE SYSTEMS & VECTORS

True Dip from Two Apparent Dips

There are many times when we observe in nature two cuts or slices through a
plane, but neither cut is in the true dip direction (i.e., perpendicular to strike). This
can happen in quarry walls, road cuts, mine tunnels, etc. In these cases, we may
have to calculate the orientation of the plane — that is, the strike and true dip —
from the available observations of apparent dip. In terms of the concepts devel-
oped in this Chapter, we know two vectors that lie in the same plane and want to
calculate the orientation of the plane, itself. You may recall that one way to specify
a plane is by the normal to the plane or the pole (Fig. 2.13). The pole is, by defini-
tion, perpendicular to every line in the plane, including the two apparent dip lines,
so our solution to this problem will use the cross product (Eqn. 2.8, Fig. 2.5).
As before, the procedure that we will follow is similar to what we’ve done in
other examples in this chapter:
–n̂
1. Calculate the direction cosines
uˆ × v̂
of the two apparent dip lines
from their trends and plunges
θ
sin

2. Calculate the cross product us-

ing Equation 2.8 v̂
θ
3. If the cross product gives us an
upper hemisphere pole, which
vˆ × û
you can determine from the sign
of the third direction cosine, n̂
û

then convert it to a lower hemi-

sphere pole by multiplying all Figure 2.13 — Any two vectors in a plane
three direction cosines by –1. can be used to find the pole to the plane
using the cross product. As shown, the
4. Convert the vector product to a order in which you cross the vectors de-
termines whether the pole is upward or
unit vector by dividing by the downward pointing. The cross product
magnitude of the vector (which, of any two unit vectors has a length
equal to the sine of the angle between
remember, is equal to the sine of the two vectors. You must calculate the
the angle between the two vectors). unit pole vector, n̂, parallel to the cross
product before converting it back to
5. Determine the trend and plunge of trend and plunge.

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CHAPTER 2 COORDINATE SYSTEMS & VECTORS

the pole from the direction cosines of the unit vector calculated in
step 4.
6. The right hand rule strike of the plane will just be equal to the pole
plus 90° and the dip will be 90°–plunge of the pole.
The spreadsheet that carries out these steps is shown in Figure 2.14. The two lines
in rows 2 and 3 are processed just the way they were in the previous examples. The
cross product in row 5 is an upward pointing vector as shown by the fact that the
third component is negative. To reverse the direction of the vector so that it points
into the lower hemisphere, each component is multiplied by –1 in row 6. The direc-
tion cosines for the unit vector parallel to the cross product are calculated in row 8
by dividing the components in row 6 by the magnitude of the vector. The trend of
the pole to the plane is calculated from these direction cosines by using the same
formula that we used in the mean vector example:

=IF(D8>=0, DEGREES(ATAN(E8/D8)), DEGREES(ATAN(E8/D8))+180)

As before, we haven’t checked for the special case of cosα = 0. The resulting trend
of the pole is a negative number, which translates to an azimuth of 308.35°; we
don’t bother to change it because we need to add 90° to it, anyway, to get the right-
hand rule strike, which is done in row 10.


Figure 2.14 — Spreadsheet for calculating the orientation of a plane from two
apparent dips, labeled line 1 and line 2. The strike of the plane is given using
right-hand rule format.

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CHAPTER 2 COORDINATE SYSTEMS & VECTORS

Exercises—Chapter 2

1. Practice thinking about coordinate system labeling.

(a) Devise three different right-handed coordinate systems that start with West
as the positive X1 axis.
(b) Likewise, determine three different left-handed coordinate systems that start
with South as the positive X1 axis.

2. If you multiply a vector times 3, does the resulting vector have a magnitude
three times greater than the original vector? Prove your answer.

3. From the poles to bedding that you calculated for your measurements in exer-
cise 1.4 in Chapter 1, calculate the mean pole vector and its uncertainty (Eqn
2.12).

You should recognize the table below; they are the same problems as in Week 1 of
the course. The table below lists a series of orientations. Planes are given in az-
imuth format and lines in trend, plunge format. Asterisks show missing values; ***
is a missing azimuth or bearing, and ** is a missing plunge or dip. Some of the val-
ues are redundant: for example, once you know the true dip and dip direction, you
also know the strike and dip.
Datum Strike & Dip of Plane True Dip (T&P) Apparent Dip(s)
(T&P)

1 050, **, * ***, ** 090, 25

2 ***, **, * ***, ** 159, 34 and 270, 43

3 ***, **, * 010, 48 321, ** and 090, **

4. Solve each of these problems with a spreadsheet program or Matlab using the
cross product or dot product as necessary. You will need to convert all of the
values to direction cosines, do the calculations, then convert the values back to
trend and plunge or strike and dip. Remember that the cross product does not
normally give you a unit vector so you must convert your answer to a unit vec-
tor before you can get its orientation in trend and plunge.


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 Chapter 3
Extracting Information from Geological Maps & Folds

Geologic Maps
Geologic maps are one of the most fundamental types of geologic docu-
ments and yet they are a strange mixture of data and interpretation; it is often not
easy to tell one from the other. Published maps are all solid colors and bold, confi-
dent lines; they look like they are representing data. In this Chapter, we will build
on the visualization that we began in Chapter 1 and the vector methods from

Chapter 2 to introduce you to some of the types of information that you can ex-
tract from a geologic map.
Most of the features that we deal with at a map scale are approximately pla-
nar features — stratigraphic contacts, faults, dikes, etc. — and, more often than
not, they are not horizontal. At a regional scale, the surface of the earth where we
make most of our observations is pretty planar but, at more detailed scales, topog-
raphy is very irregular. Mapping the outcrop patterns of these planar features is ba-
sically an exercise in locating the line of intersection between the planar feature
and the irregular 3D surface of the Earth.
CHAPTER 3 GEOLOGIC MAPS & FOLDS

Three Point Problems Some Common Map Symbols

Contact

A geologist cannot always go the the

field and put a compass on the rock to de-
Fault

Thrust fault, saw teeth on upper plate

termine a strike and dip. Even when s/he
Fault, bar and ball on downthrown side
can do so, we frequently want to know the
orientation of a planar rock unit at a scale Anticlinal trace of axial surface

larger than the outcrop scale. That is, we synclinal trace of axial surface

want to know the average orientation at a Overturned anticline trace of axial

surface with trend and plunge of hinge
map scale. Fortunately, our geologic maps
provide sufficient information to enable the Overturned syncline trace of axial surface

structural geologist to determine orientation Strike and Dip of Bedding, of overturned

bedding

independent of outcrop and compass. Strike and Dip of Cleavage or foliation,

of joint

The orientation of a plane can be de-

termined if we know the positions of three non-collinear points within the plane.
Because the surface of the earth has variable topography, we can commonly find
three points on a plane at different topographic elevations. Geologic maps com-

7600 ft

slo
pe Js
dis
tan
ce
⎛ 800 ft ⎞
δ = tan ⎜
−1
= 38°
⎝ 1025.5 ft ⎠⎟
6800 ft
map distance = 1025.5 ft

200 0! 1000 m

Figure 3.1 — The classical three-point problem where a line is draw between two points of
equal elevation on a planar surface, yielding the strike (left). On the right is the construc-
tion in a vertical plane parallel to the line labeled “1025.5” (feet) on the map for calculating
the dip using the elevation values (in feet) and map distance.

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CHAPTER 3 GEOLOGIC MAPS & FOLDS

monly depict topography with contour lines and, even if they don’t, modern digital
elevation models are available for most of the earth’s surface and the elevation of
any point can be determined via the Internet.
Figure 3.1 shows the classical way of determining strike and dip from a geo-
logic map with topographic contours. This simple method takes advantage of the
fact that a line connecting two points of equal elevation along a mapped contact of
a planar feature define the strike of a plane. The dip can then be calculated from a
third point at different elevation from a simple geometric construction. Both the
map distance, and the elevation difference to the third point, perpendicular to the
strike, can be read directly off the geologic map.
A more general method takes advantage of the vector methods we’ve just
learned in the previous chapter. It is more flexible because all three points can be at
different elevations and can be used wherever we have spot elevations but no topo-
graphic contours (e.g., in Google Earth). We use the cross product of two vectors in
a plane — just like we did in the previous chapter to determine the true dip from
two apparent dips — but this time we are not using unit vectors describing orienta-
tions of two lines in the plane, but are using position vectors whose magnitudes
are much greater than one (Fig. 3.2).
A position vector is a line connecting a point in space to the origin of the co-
ordinate system (P1, P2, and P3 in Fig. 3.2). The coordinates of the position vector
are just the scalar components of the vector projected onto the coordinate system
axes. In the case of our geologic map, we could use the UTM coordinates (eastings

N Figure 3.2 — Three points in a plane can

v be used to calculate the orientation of a
P2 plane. The coordinates of the three points
u are the coordinates of the three position
vectors, P1, P2, and P3. To get the vectors
P1 P3 that lie within the plane, v and u, we use
vector subtraction as described in the text.
The pole to the plane is calculated from v
× u.

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CHAPTER 3 GEOLOGIC MAPS & FOLDS

and northings) plus elevation to define the position vector in an East-North-Up co-
ordinate system. Or, we could use any other local Cartesian coordinate system.
To calculate the pole to the plane, we will use the cross product of two vec-
tors in the plane, v and u. These two vectors can be calculated from the position
vectors using vector subtraction. The complete sequence of steps is given, below:
The first step is to subtract the position vectors to get v and u. Note that at
this point, we are working in an ENU coordinate system so the subscripts in the fol-
lowing equation correspond to the axes of our coordinate system: 1=E, 2=N, and
3=U.

v = [(P 21 − P11) (P 22 − P12 ) (P 23 − P13)] (3.1)

u = [(P 31 − P11) (P 32 − P12) (P 33 − P13)]

To convert these to a lower hemisphere NED centric coordinate system — which

we will need in order to calculate our orientations — we switch the order of the
first two components of the vector and multiply the third by –1:

v = [(P 22 − P12 ) (P 21 − P11) −(P 23 − P13)] (3.2)

u = [(P 32 − P12) (P 31 − P11) − (P 33 − P13)]

The cross product is defined as:

v′ × u′ = [(v2u3 − v3u 2) (v3u1 − v1u3) (v1u 2 − v2u1)] = [s1 s2 s3] (3.3)

The cross product gives us the pole to the plane but we need to convert it to a unit
vector before it can be transformed back into geographic orientations like trend
and plunge or strike and dip. We start by calculating the magnitude of cross prod-
uct, smagn:

smagn = s12 + s22 + s32 (3.4)

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CHAPTER 3 GEOLOGIC MAPS & FOLDS

" ̂ , by dividing each component of s by

And now we calculate the unit pole vector, p
its magnitude, smagn.

"p̂ = [p1 p2 p3] = [ smagn smagn ]

1 s s2 s3
smagn (3.5)

If the third component is negative, i.e., p3 < 0, then the unit pole vector we have
calculated points into the upper hemisphere. To covert to the lower hemisphere in
this case, multiply each component by –1.
We’re now ready to convert our unit pole vector back to trend and plunge.
The plunge is straightforward because it is just the arcsine of the p3 component of
the pole to the plane:

plu nge = sin−1( p3) (3.6)

As we saw in Chapter 2, the trend is a function of p2 and p1 and the sign of p1. If p1
≥ 0 then you use the equation on the left, below; otherwise use the equation on the
right:

( p1 ) ( p1 )
p2 p
t ren d = tan−1 or t ren d = 180∘ + tan−1 2 (3.7)

To get the right-hand rule strike, just add 90° to the trend; the dip is 90°–plunge.

Figure 3.3 — A
three point calcu-
lation in GMDE.
This program can
also calculate the
uncertainties;
those shown here
are given a hori-
zontal and vertical
uncertainty of 40
ft.

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CHAPTER 3 GEOLOGIC MAPS & FOLDS

Figure 3.4 — The spreadsheet to

do the same calculation as shown
in Figure 3.3. Note that the switch
from an ENU to a NED coordinate
system occurs in row 11.

The program GeolMapDataExtractor (GMDE) can do this calculation for

you automatically (Fig. 3.3), and the equations we have just seen are exactly how
the program does it. As a scientist, you are, of course, not content to trust your pre-
cious data to a canned program, and thus will want to calculate these values your-
self. Figure 3.4 shows you how to set up your spreadsheet using the same values as
in Figure 3.3.

Stratigraphic Thickness from Maps

Stratigraphic thickness is defined as the thickness of a unit measured per-
pendicular to the upper and lower surfaces of the unit. For people truly interested
in stratigraphic sequences, there is still no substitute for going out in the field and
measuring a stratigraphic section with tape, compass, Jacob staff, or whatever. Mea-
suring section that way is certainly the most accurate way to determine the thick-
ness of a unit but the process is time-consuming. For the rest of us, especially when
drawing cross sections, we are more likely to calculate the thickness of a strati-
graphic unit from a geologic map, commonly called a map thickness. In this sec-
tion, we will see how to determine the map thickness in the way that geologists have
for many decades. In the next chapter, we’ll learn how to do the calculation in a
much more flexible way after learning a new concept.
To calculate a map thickness, t, using traditional methods (Fig. 3.5), you must
determine the map distance, h, between the top and bottom of the unit measured
in the true dip direction (i.e., perpendicular to strike); the vertical distance, v, be-

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CHAPTER 3 GEOLOGIC MAPS & FOLDS

Figure 3.5 — Cross section illus-

t = v cos(δ) + h sin(δ) trating the traditional way of cal-
h
v
culating map thickness. In all
t three cases, the cross section is
t = –v cos(δ) + h sin(δ) perpendicular to the strike of the
h unit so that the true dip, δ, is used.
v
There are three cases (from left to
h
t
right): the unit dips in the same
t direction but less steeply than the
v slope; the unit dips in the oppo-
t = v cos(δ) – h sin(δ) site direction from the slope; and,
the unit dips in the same direction
as the slope but more steeply.

tween base and top along the same transect; and the true dip, δ. There are three
equations and the correct one to use depends on the relationship between the dip
direction and the slope direction (Fig. 3.5). For cases where the stratigraphic unit
dips more steeply and in the same direction as the slope, one uses:

t = − v cos δ + h sin δ (3.8a)

When the slope and dip direction are the same, but the slope is steeper, the correct
formula to use is:

t = v cos δ − h sin δ (3.8b)

And finally, where the dip and the slope are in opposite directions, the equation is:

h
α
s v Figure 3.6 — The two right triangles
necessary to solve for the thickness on
α
t your own. The equations shown in the
δ graphic will eventually simplify to
–1 Equation 3.8c, though it is not neces-
α = tan (v/h) sary to take it that far.
s = h/cos(α)#
t = s sin(α+δ)

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CHAPTER 3 GEOLOGIC MAPS & FOLDS

t = v cos δ + h sin δ (3.8c)

I highly recommend that, rather than memorizing these equations, you simple de-
rive the equation from the geometry when you need it. Trying to recall which spe-
cial case to use can lead to errors and it is usually faster to derive the correct equa-
tion than to look up and use an equation out of a book, cookbook style. To work
out the equations yourself, note that there are two right triangles as shown in Figure
3.6. You first calculate the slope angle, α, and slope distance, s, and then you use
those quantities along with the dip to derive the thickness. Similar graphics can be
devised for the other two special cases.
The necessity to construct these diagrams in the true dip direction and re-
member the three special cases (Fig. 3.5) is limiting when it come to writing a single
general equation to accomplish the task of determining map thickness. In the next
chapter, we will learn a powerful set of methods known as coordinate transforma-
tions that will enable, not only a general solution to this problem but to a whole set
of interesting problems typically encountered in structural geology.

e
l in e
st lin
e e
cr g
in
h

ur f a ce e e
ls lin lin
a xi a e h
g
of in u
g
h o
ce

tr
tra

Figure 3.7 — Basic fold terminology illustrated with two folded surfaces.
The hinge line connects points of maximum curvature on a surface
whereas the crest and trough lines connect the topographically highest
and lowest points, respectively, on the surface. The axial surface is the
surface that contains all of the hinge lines on all of the folded surfaces.

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CHAPTER 3 GEOLOGIC MAPS & FOLDS

Analysis of Folded Rocks

Folded rocks (Fig. 3.7) are some of the most aesthetically pleasing of all geo-
logical structures and are quite important economically as hydrocarbon traps.
When folded rocks intersect the irregular surface of the Earth, the resulting out-
crop patterns can be quite complex. On a map, the fold is usually represented by
the trace of the axial surface (the intersection between the surface of the earth and
the axial surface) or sometimes the crest line. For folds with shallowly dipping axial
surfaces (i.e., recumbent folds) the trace can be quite complex.

Cylindrical Folds
The simplest fold model is that of a cylindrical fold (Fig. 3.8) in which
there is a line of zero curvature, known as the fold axis, and non-zero curvature at
any point along the fold in a direction perpendicular to the fold axis. the resulting
structure is completely two dimensional such that a measurement of bedding orien-
tation in one part of the fold should be identical to bedding measured in any other
part of the fold parallel to the fold axis. If you were to measure bedding throughout
a cylindrical fold and plot the poles. They would lie within a single plane known as
the profile plane (Fig. 3.8). The profile plane is perpendicular to the fold axis and
provides the “truest” view of the fold. Any profile plane constructed anywhere
along the fold will show the same view as long as it is perpendicular to the fold axis.

poles
to be
d ding
Figure 3.8 — A perfect cylindrical
fold illustrating the concept of a
fold axis (line of zero curvature
shown in red) and profile plane. All
of the poles to bedding should be
oriented parallel to the profile
plane. In the real case, bedding is
is not measured along a single arc,
ax
l d but can be measured anywhere on
Fo
the surface and the projected paral-
lel to the fold axis to a common
pro plane.
file
pla
ne

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CHAPTER 3 GEOLOGIC MAPS & FOLDS

(a) (b)

π
β

Figure 3.9 — Finding a cylindrical fold axis by plotting bedding orientations on

a stereonet. (a) β-diagram of great circles representing the strikes and dips of
bedding and the region of intersection defines the fold axis. (b) π-diagram of
poles to bedding. The pole to the best fit great circle through the bedding poles
defines the fold axis.

The cylindrical fold model is highly oversimplified and very few natural folds are
perfectly cylindrical. Nonetheless, the model provides a quick way of determining a
fold axis and it allows us to project a plunging fold geometry to depth.
Determining the fold axis is simple: as implied in the previous paragraph, we
measure a number of bedding orientations around a fold and plot them on a stere-
onet. Two different approaches can be used: in a β-diagram, we plot the great
circles of bedding and locate the fold axis where the maximum number of intersec-
tions occur (Fig. 3.9a). In the π-diagram, the poles to the bedding planes are cal-
culated and a great circle fit to the bedding poles. The pole to the best fit great cir-
cle defines the fold axis (Fig. 3.9b). As you can imagine looking at Figure 3.9a, the
β-diagram can get messy very quickly with a lot of bedding measurements. For that
reason, and because the numerical solution to this problem uses the poles anyway
as we shall see in a later chapter, most structural geologists prefer the π-diagram.
Either type of diagram is easy to use in a stereonet program (look for the “Cylin-
drical best fit” menu option).
Most folds are not as nicely curved as the idealized folds depicted in Figures
3.8 and 3.9. Instead, they tend to have mostly planar limbs and a narrow hinge
zone where the dip changes occur over a narrow area. In this case, the geologist

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CHAPTER 3 GEOLOGIC MAPS & FOLDS

(a) (b)

fold fold
axis axis

ne
p la
a xi a l p l a n e

a xi a l
Figure 3.10 — Determining the fold axis and axial plane on a stereonet. At the top of each
diagram is a profile view of a bed (in green) with the axial plane in blue. In the stereonet
views, below, the poles to bedding are shown with green dots, the cylindrical best fit and
fold axis in red and the axial plane in blue. Dashed lines with arrows show where each
limb plots on the stereonet. (a) and upright asymmetric fold. The downward pointing
poles for both limbs are plotted. (b) an overturned asymmetric fold. The poles of the over-
turned limb are plotted as upward pointing poles.

who conscientiously measures bedding orientations at regular intervals is more like-

ly to see two point clusters, corresponding to the two limbs, with a relatively small
number of measurements in-between (Fig. 3.10). Furthermore, if the fold is asym-
metric, then there will be fewer measurements from the shorter limb. In these cases,
the resulting π-diagram can be used to locate not only the fold axis but also the fold
axial plane. Where bedding thickness is preserved across the fold, the axial plane
bisects the angle between the limbs of the fold and contains the fold axis. This cal-
culation is straightforward for upright folds (Fig. 3.10a); you can see on the stere-
onet that the axial plane plots between the two point clusters. However, overturned
folds are more problematical because, whereas for the upright limb we plot the
downward pointing poles, for the overturned limb we are plotting the upward
pointing poles so they will appear in the lower hemisphere (Fig. 3.10b). In this case
the axial plane will bisect the large obtuse angle between the two point clusters.

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CHAPTER 3 GEOLOGIC MAPS & FOLDS

Figure 3.11 — The construction of dip isogons and the three general classes of
folds: (a) Class 1 dip isogons where the radius of curvature of the lower bedding
surface is smaller than the upper surface. (b) Class 2 dip isogons where both bed-
ding surfaces have the same curvature; and (c) class 3 dip isogons where the lower
surface has a larger radius of curvature than the upper surface.

Dip Isogons
Cylindrical folds come in several flavors. A common way to classify them is
with dip isogons, which are used to describe the geometric relationship of one
bedding surface to the next. A dip isogon connects two points on adjacent bedding
surfaces which both have the same dip relative to the axial plane of the fold. As
shown in Figure 3.11, there are three general classes of folds based on dip isogons.
Where bedding thicknesses are preserved, Class 1 dip isogons are also known as
parallel folds (Fig. 3.11a). Class 2 dip isogons result from similar folds (Fig.
3.11b). Finally, Class 3 dip isogons indicate a fold where the inner surface is less
curved than the outer surface. We will return to fold geometry and kinematics in
Chapter 10 because cross section construction relies heavily on choosing an appro-
priate fold model.

Folds in Map View

A cylindrical fold is just about the simplest fold form you can imagine and
yet, when you convolve the form with the topography of the earth, the resulting
map pattern can be highly complicated. Even in the absence of topography, correct
interpretation of the fold axis and axial trace can be counterintuitive. Because the
axial plane is, well, a plane, the trace that the axial plane makes across the land sur-
face is plotted on the map, i.e., the intersection between the plane and the topogra-

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CHAPTER 3 GEOLOGIC MAPS & FOLDS

(a) (b)

Figure 3.12 — Folds and topography in (a) map view, and (b) down-plunge view. In the map
view (a), the heavy black lines are index topographic contours and the light gray lines are
other topo contours; a hill with NW-trending ridge is depicted. The yellow lines are traces of
fold axial planes with standard symbols for over-turned anticlines and synclines. the block
diagram in (b) shows the down-plunge view of the structure — tilted so the viewer is looking
parallel to the trend and plunge of the folds — where the true fold geometry is revealed. In
this view, axial traces are approximately straight lines. In (b) only the index contours are
shown as discontinuous black lines. Diagrams created with Visible Geology (thanks,
Rowan!).

phy (Fig. 3.12a). The fold axis is a line that, in general, intersects the surface in a
point (really a point for each geological surface). Thus, we show the trend and
plunge of the fold axis as a small arrow pointing in the direction of the trend of the
axis with a number next to it for the plunge (Fig.
3.12a). The down-plunge view of a cylindrical
fold, which can be approximately achieved by There is a spectacular web-based
resource, Visible Geology,
tilting the map so that you are looking in the di-
where you can create your own
rection of plunge, provides the most accurate
3D models, look at those created
perspective on the fold geometry and can help by other people or visualize a
make sense of a seemingly complicated map pat- stereonet in 3D:
tern (Fig. 3.12b). In the next chapter, we will see http://app.visiblegeology.com
how to calculate down-plunge views of folds.
Working out the geometry of fold axis and

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CHAPTER 3 GEOLOGIC MAPS & FOLDS

axial plane is not always straight forward, even in the absence of significant topog-
raphy. A couple of tricks will help you to interpret folds more quickly. Most impor-
tantly, as shown in Figure 3.10, the fold axis is a line contained within the axial
plane, but it can have any rake within that plane. Thus, for some types of folds
known as reclined folds, the trend of the fold axis can actually be as much as 90° to
the strike of the axial plane. If we know the strike of the axial plane and the trend
and plunge of the fold axis, we can determine the dip of the axial plane. Alterna-
tively, by using the trace of the axial plane in down-plunge view and the trend and
plunge of the axis from a π-diagram, we can calculate the orientation of the axial
plane using the cross product or on a stereonet.
The other “trick” is equally useful, enabling rapid determination of the
trend and plunge of the fold axis: the strike of any vertical bedding must be
parallel to the fold axis trend and the dip of any bedding that strikes
perpendicular to the fold axis must be equal to the plunge of the fold
axis. Thus, if you find bedding dipping 90° in one part of an area that has experi-
enced one episode of cylindrical folding, you know that the trend of the folds is
parallel to the strike of that bed!

Structural Contour Maps

Just about any value can be contoured to
show its spatial variation and structure data are no A 3752

exception. In a structural contour map, one con- 3500

tours lines of equal elevation on a surface of inter- 3000

est. Surfaces can be smoothly varying or they can be B

disrupted by faults. Automatic contouring algo- 2500 2940

rithms can do a good job where the elevations are 2000

smoothly varying but tend to have trouble where
contours terminate abruptly against a fault. Fur- 1475 C
1500

thermore, the geologist has a better idea of what de-

Figure 3.12 — Contouring via
formed geological surfaces actually look like so is in linear interpolation along the
a better position to draw realistic contours, though sides of a triangle with apices
of know elevation.
one must always be aware of unintended bias.

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CHAPTER 3 GEOLOGIC MAPS & FOLDS

A geologist doing a first pass at contouring a surface would operate very

much as a computer program does: s/he would construct a mesh of triangles —
such a mesh is frequently accomplished using Delaunay triangulation — with
apices at the points of known elevation and would then linearly interpolate be-
tween the points (Fig. 3.12). This sort of contouring is tedious to do by hand but
easy to implement in a computer program.
A significant difference between contours of the topographic surface and a
geologic surface of interest is that the surface of the Earth is continuous whereas
the geologic surface can have gaps and overlaps across faults. A normal fault will
produce a gap (Fig. 3.13a) and a thrust fault will produce an overlap (Fig. 3.13b).
Folded surfaces that are also faulted yield the most complex patterns (Fig. 3.13c).
Clearly, a good structure contour map, except in the simplest case of an inclined
planar surface with constant strike and dip, requires extensive subsurface data to
construct. Such data may be available where there has been extensive hydrocarbon
industry exploration.


0
6000

6000
700
5000
5000

1000 6000 0
4000

600 4000
0
5000
2000 2000
500
0
4000
6000

4000
5000
6000

3000
5000

3000
4000

4000

3000

(a) (b) (c)

Figure 3.13 — Examples of structure contour maps. (a) A normal fault produces a
gap, (b) thrust or reverse fault an overlap, and (c) a cylindrically folded surface cut by
a thrust fault striking perpendicular to the fold axis.

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CHAPTER 3 GEOLOGIC MAPS & FOLDS

Exercises—Chapter 3
These exercises and those of the next Chapter will rely heavily on the program
GeolMapDataExtractor (GMDE) and a digital copy of the Poker Peak geologic
map from the US Geological Survey (Albee and Cullens, 1975). GMDE, in either
Macintosh or Windows version can be downloaded from:

http://www.geo.cornell.edu/geology/faculty/RWA/programs/strikedipthickness.html

and the Poker Peak Quadrangle map can be downloaded from the class Web site.
GMDE will allow you to make quick accurate measurements on the map. Note
that you will need an Internet connection for the program to get elevations auto-
matically. For Exercises 1 and 2, you will also need a copy of Google Earth, which
you can download for free from:

http://www.google.com/earth/download/ge/agree.html

1. Open the Poker Peak Quad in GMDE and make sure it is georeferenced (it
should automatically be unless you have separated the .jpg file of the map from
the .txt file of the same name (the .txt file contains the georeferencing informa-
tion.) Locate the part of the map shown to the right. Notice that a fault is
shown offsetting the stratigraphic
units.
(a) Across the entire segment of the map
shown, digitize the following con-
tacts: base of Kp, top of Kp, top
of Kb, top of Kd.
(b) Save your contacts as a .kml file
(File>Export KML>contacts),
and then open the .kml file in
Google Earth.
(c) Kp and Kd are two very light
gray to nearly white limestone
units. Trace these white units on
the Google Earth image from
the northern end of your digi-
tizing to the south.
(d) Evaluate the mapping job and

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CHAPTER 3 GEOLOGIC MAPS & FOLDS

the evidence for a fault, based on the agreement or lack of agreement of

your digitized contacts with the units that you see in Google Earth. It will
probably help to tilt and pan the Google Earth view to evaluate different
perspectives. Turn in a paragraph with your assessment of the mapping.

2. With the Poker Peak Quad loaded into

GMDE, digitize about 60 strikes and
dips around the Big Elk Anticline, the
area outlined in the red polygon to the
right.
(a) In GMDE, select
Settings>Mode>Strike & Dip Only.
Each time you want to measure a
strike and dip, select
Operations>Drag Strike Line or se-
lect ⌘D from the keyboard (easier).
To drag a strike line, click at the in-
tersection of the strike line and dip
tick mark and then drag the mouse in
the direction of the right-hand rule
strike (you can correct it if you drag
in the wrong direction with the pop-
up menu). You will have to type the
dip value in by hand. Once you are
happy with the strike and dip, press the “Record Strike & Dip” Button. The
program should draw a new strike and dip symbol over the one that you just
measured.
(b) When you have measured and recorded all of the strikes and dips in the out-
lined area, save your data. You should save it in three ways:
(i) first, select File>Save Data>Thickness/Orientation Data. This will allow
you to read your data back in to GMDE easily which will be useful in
next week’s lab.
(ii) Next select File>Export Strikes & Dips. This file can be easily read into
Stereonet.
(iii) Finally, select File>Export KML>Strikes & Dips to make a file for visual-
ization in Google Earth. In the dialog box that appears, just click Okay
which will use the default values.

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CHAPTER 3 GEOLOGIC MAPS & FOLDS

(c) Open the KML file in Google Earth. The strikes and dip symbols are ren-
dered in three dimensions so you can clearly see the relationship between
strike and dip and the actual stratification. Be sure that you have topography
turned on in Google Earth and tilt and pan to get a good feeling for the 3D
nature of the geology. In Google Earth, save an image of the screen
(File>Save image) which you think shows especially well the rela-
tionship between the measured strike and dip and the geology
and turn it in with a sentence about why you liked it.
(d) Open the second file in Stereonet. Calculate the poles to the plane, make a
π-diagram, and determine the fold axis of the Big Elk Anticline. Turn in
your plot with the fold axis clearly annotated.

3. In GMDE with the Poker Peak

Quad loaded, find the area in the
northeast corner of the map shown
to the right.
(a) Select Settings>Mode>Strike &
Dip Only and uncheck the
check box that says “user en-
tered strike and dip”. Use
GMDE to find the East, North,
and Up coordinates of three
points on the base of the purple
TRa where it crosses the ridge
with the number “14” on it. To
do so click the “click” button
next to one row, then click on the
map exactly where you want to place the point. Repeat for the other two
points. If you have an Internet connection enabled, the program will get the
elevation for you automatically; otherwise, you will have to type in the eleva-
tion coordinate by hand.
(b) Copy the ENU coordinates of the three points you have defined into a
spreadsheet and calculate the strike and dip of the unit in the spreadsheet
using vector subtraction and the cross product. You can compare your an-
swer to the correct answer that GMDE calculates automatically.
(c) Compare your calculated value to the strike and dip symbol that the geolo-
gist measured on the ridge for the base of TRa and discuss the uncertainties
and reasons for the difference in two values, if any. Once you record your

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CHAPTER 3 GEOLOGIC MAPS & FOLDS

strike and dip, you can see it’s location in a satellite image by choosing Da-
tum Details from the Window menu. This may help you in your discussion.
Turn in both the spreadsheet with the calculation of the strike
and dip and the your comparison with the mapped value and
your discussion.

4. GMDE allows you to make accurate distance measurements: just click and drag
the mouse from the top (or base) of the unit in the direction of the true dip to
the base (or top) of the unit. The distance and azimuth of the line you drag is
shown in the box at the lower left corner of the map view. Be sure to read the
distance before releasing the mouse! You can read the elevations off of the topo
contours on the map or, if you have an Internet connection, hold down the op-
tion key while you click the mouse at the point for which you want the eleva-
tion.
(a) On the same ridge that you used for problem 3, calculate the thickness of
TRa using the appropriate Equation 3.8. Do the calculation for both the ge-
ologist measured orientation and the orientation that you determined from
the three-point problem in Exercise 3.
(b) Make a drawing and derive a set of equations for the two right triangles
that you would use to get a the answer in part (a). You don’t have to derive
Equation 3.8 but the equations that you do get have to give you the same
answer as Eqn. 3.8!

5. On the next page is a map showing a number of borings that were made to de-
termine the elevation of the Jurassic Twin Creek Limestone in the subsurface
around the nose of the Big Elk anticline. Contour these elevations by hand us-
ing a contour interval of 500 ft and describe the resulting surface. You do not
need to do a formal linear interpolation between adjacent points.

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CHAPTER 3 GEOLOGIC MAPS & FOLDS

7,072 4,112 2,910

5,771

38,500
6,865 4,933
2,013

964
6,414 3,704
36,500

7,615 2,838
5,712

34,500
7,234 4,600
2,193

6,066
1,538
4,721

32,500 Jtc outcrop 7,619 3,610

5,576 1,971
North

30,500 7,166
3,437
8,078 5,536

6,717
6,787 7,335 2,788
7,478
28,500 5,247
6,348 4,713

4,801 6,655
5,958 6,482
3,496 5,391
5,491
4,502 3,986
26,500 3,523 5,720
4,549 3,718
3,727 4,333 5,168
2,619 4,394

3,405 3,890
2,914
24,500
4,560
3,529
3,352
3,366

22,500
0

00

00

00
00

00

00

0
,0

,0

,0

,0
5,

7,

9,

11

13

15

17

East
East
17,000
15,000
13,000
11,000
9,000
7,000
5,000
22,500
24,500
26,500
28,500
30,500
32,500
34,500
36,500
A
38,500
North
4,933
6,414
3,704
5,712
4,600
7,234
6,066
7,619
5,576
3,610
2,838
2,013
7,166
5,536
3,437
7,335
6,348
4,713
5,391
3,986
3,890
5,168
5,720
3,529
3,405
4,333
6,655
7,478
5,491
5,958
6,787
6,482
4,549
2,788
1,971
9
2,193
2
964
5
2,910
5,771
7,615
8
6,717
8,078
4
4,721
4,112
3
3,718
1
3,366
7
1,538
6
A
7,072
6,865
,933
,414
,704
,712
,600
,234
,066
,619
,576
,610
,838
,013
,166
,536
,437
,335
,348
,713
,391
,986
,890
,168
,720
,529
,405
,333
,655
,478
,491
,958
,787
,482
,549
,788
,971
,193
64
,910
,771
,615
,717
,078
,721
,112
,718
,366
,538
,072
,865

MODERN STRUCTURAL PRACTICE "68 R. W. ALLMENDINGER © 2015-19

 Chapter 4
Transformations
Introduction
Many times in geology, as in other disciplines, the problem we are interested
in solving is simpler when viewed from a different perspective. Anyone who plays
computer games or flight simulators knows this to be true. So far, we have been
dealing with geographic-centric coordinate systems — either NED or ENU – be-
cause we measure our world with respect to geographic coordinates. But there is a

whole class of problems that benefit from a change in coordinate system or trans-
formation. In the last chapter, we noted that the profile view of a plunging fold is
the most accurate representation of the structure. The profile view is defined by a
different coordinate system — the fold coordinate system — rather than the geo-
graphic view. In this Chapter, we will learn how to switch back and forth between
these two views and in the process begin to lay the foundation for understanding
entities more complicated than geometry such as stress and strain. Before getting to
interesting geological problems, however, we’ll need to develop the simple mathe-
matical foundation of transformations.
CHAPTER 4 TRANSFORMATIONS

X2 X2
X′ 2 X′ 2
ĵ
θ22
θ12 X′ 1 X′ 1
î
θ21 a22
a12
θ11
X1 a21 a11 X1
(a) (b)

Figure 4.1 — A two-dimensional rotation of a coordinate system between an old,

unprimed coordinate system in black and a new primed coordinate system in red.
(a) The rotation defined by four angles, and (b) defined by four direction cosines
which are the projections of the base vectors of the new coordinate system on the
axes of the old system. In both cases, the first subscript (in red) identifies the new
axis and the second subscript (in black) the old axis

Transformations of Coordinates and Vectors

Coordinate Transformations
At the simplest level, a transformation involves a change in orientation of the
coordinate system. Like many things, we will visualize this first in two dimensions
(Fig. 4.1) and then in three dimensions (Fig. 4.2). In the text that follows, we will al-
ways refer to the new coordinate axes as the primed coordinate system, X′, and the
old coordinate system as the unprimed system, X. To define the rotation of a coor-
dinate system in two dimensions, there are four angles between the two new coor-
dinate axes and the two old axes. One needs to be very careful systematic about naming these
angles: The first subscript refers to the new coordinate axis and the second subscript
to the old coordinate axis. For example, θ21 is the angle between the X2′ axis and
the X1 axis (Fig. 4.1a). After the last few chapters, it should come as no surprise that
we will typically be using the direction cosines rather than the angles themselves
(Fig. 4.1b). The subscript convention is exactly the same and the relations between
the angles and their direction cosines are:

a11 = cos θ11; a12 = cos θ12; a 21 = cos θ21; a 22 = cos θ22 (4.1)

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CHAPTER 4 TRANSFORMATIONS

X3
X′3

Old Axes
θ23 X′2 X1 X2 X3
X′1 a11 a12 a13

New Axes
θ22
X2 X′2 a21 a22 a23
θ21 X′3 a31 a32 a33

X1
X′1
(a) (b)

Figure 4.2 — Coordinate transformation in three dimensions: (a) the new axes
(primed) in red and the old in black. As before the first subscript refers to the new
axis and the second to the old axis. (b) The array of directions cosines: each row
refers to a new axis and each column to an old axis.

The extension to three dimensions is quite straightforward (Fig. 4.2). Because

we now have three coordinate axes in the new system and three in the old system,
there will be nine angles and nine direction cosines. This 3×3 table, or array, of di-
rection cosines is known as the transformation matrix:

a11 a12 a13 cos θ11 cos θ12 cos θ13

aij = a 21 a 22 a 23 = cos θ21 cos θ22 cos θ23 (4.2)
a31 a32 a33 cos θ31 cos θ32 cos θ33

We will be using the shorthand aij a lot in the following sections because it is much
more compact than writing out those matrices all the time. Just recall that i and j
can each have values ranging between 1 and 3.
As you no doubt notice in the case of the 2D transformation, not all of the
angles, or direction cosines, are independent. In that case, only one angle is inde-
pendent and the rest can be calculated from it. In the 3D case, only three angles are
independent and the rest can be calculated from those three. Matrix a is technically
known as an orthogonal matrix and the equations that relate the direction
cosines are known as the orthogonality relations:

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CHAPTER 4 TRANSFORMATIONS

2 2 2
a11 + a12 + a13 =1 a 21a31 + a 22 a32 + a 23a33 = 0
2
a 21 2
+ a 22 2
+ a 23 = 1 and a31a11 + a32 a12 + a33a13 = 0 (4.3)
2
a31 2
+ a32 2
+ a33 =1 a11a 21 + a12 a 22 + a13a 23 = 0

While we won’t bother to do so in detail here, both of these sets of equations are
easy to prove: the left equations come from the fact that the base vectors of the new
coordinate system have magnitudes of 1, and the right hand equations are due to
the fact that, because the base vectors are perpendicular to each other, the dot
product of each of the base vectors with the other is zero.

Transformation of Vectors
The transformation matrix by itself is not very useful. Its power comes from
the fact that, once we know the transformation matrix and the components of a
vector in one coordinate system, we can immediately calculate the components of
the vector in the other coordinate system. Figure 4.3 shows how this works in two
dimensions to calculate the v′
" 1 component of the vector in the new coordinate sys-
tem as a function of the old components v1 and v2. In terms of direction cosines we
could write the equation as:

v′1 = a11v1 + a12 v2

(a) X2 (b) X2
D D
X′2 X′2

v′1 X′1
v2 v X′1 v2 v
A
θ12 v′1 θ12 1
osθ 1
v 1c θ12
v′2 v′2 C
θ11 θ11 θ 12
v1 v1 o s
O X1 O B v 2c X1

Figure 4.3 — the transformation of a vector. (a) shows the components of vector v in the
old (black, unprimed) and new (red, primed) coordinate systems. (b) the graphical con-
struction to calculate the value of v′1 in terms of the old coordinates. The blue and yellow
highlighted triangles are used to trigonometrically calculate v′1 in terms of v1 and v2.

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CHAPTER 4 TRANSFORMATIONS

Perhaps the most important thing to notice is that, although the coordinate systems
have changed, and therefore the values of the components of the vector in the two
coordinate systems are different, the fundamental nature of the vector itself has not
changed at all. This seems trivially obvious but it is exactly this property that de-
termines whether or not something is a tensor property! Yes, a vector is sometimes
referred to as a first order tensor. More on that in later chapters.
In three dimensions, there are three equations that describe the components
of the vector in the new system as a function of the old components:
v′1 = a11v1 + a12 v2 + a13v3
v′2 = a 21v1 + a 22 v2 + a 23v3 (4.4)
v′3 = a31v1 + a32 v2 + a33v3

And, there are another three equations that give the components of the vector in
the old coordinate system as a function of the new coordinates:
v1 = a11v′1 + a 21v′2 + a31v′3
v2 = a12 v′1 + a 22 v′2 + a32 v′3 (4.5)
v3 = a13v′1 + a 23v′2 + a33v′3

These equations consist of nothing more than multiplications and additions

done in an extremely systematic way. If you look at Equations (4.4), you can see
that the order in which the a terms occur is that same as in the matrix in Equation
(4.2). In each equation, you can see that the subscript of the v terms varies from 1
to 2 to 3; In fact, the subscript of the v term in each
equation matches the second subscript of the a term X3 = U

that multiplies it. In Equation (4.5), you’ll notice that X2 = N

the subscripts of a appear “flipped” relative to the a X′1 = N

subscripts in (4.4). In technical terms, the matrix a has

been transposed. The reason for the systematic vari-
ation in subscripts is because Equations (4.4) and (4.5) 180°
X1 = E
represent matrix multiplications. X′2 = E

Figure 4.4 — The transformation from ENU (a map coordi-

nate system) to NED (structural geology coordinate system). X′3 = D

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CHAPTER 4 TRANSFORMATIONS

A Simple Coordinate Transformation

There is a coordinate transformation that we already know how to do but,
nonetheless it is illustrative to see that it works as expected: the transformation from
an ENU to a NED coordinate system. It is simple because all the angles involved
are 0, 90, or 180° but important because it is a transformation that we do frequent-
ly. The geometry is shown in Figure 4.4. You can see that, for example θ11 = 90°,
θ12 = 0°, and θ13 = 90°. Writing it out in the form of the matrix, we have:

cos 90 cos 0 cos 90

aij = cos 0 cos 90 cos 90
cos 90 cos 90 cos 180

This simplifies to:

0 1 0
(0 0 −1)
aij = 1 0 0 (4.6)

When we use this transformation matrix in Equation 4.4, we get:

v′1 = v2; v′2 = v1; v′3 = −v3 (4.7)

Structural Geology Applications of Transformations

The equations (4.4) and (4.5) give us some real power to solve interesting
problems in structural geology. In all of these problems, the key is determining
what the transformation matrix, a, looks like and that is where we will spend most
of our time, below. As a general rule, the components of the transformation
matrix are just equal to the direction cosines of the new axes in the old
coordinate system. Thus, we will be seeing combinations of the equations in
Table 2.1 a lot. Most importantly, though, recall that the math required is nothing
more than multiplications and additions done in a very systematic way.

Stratigraphic Map Thicknesses

We start with a problem first introduced in the previous chapter: determina-
tion of the thickness of a geological unit from map data. The general method in-

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CHAPTER 4 TRANSFORMATIONS

X3 (U)
X2, X′1 (N)
X′′1 (Strike)

Figure 4.5 — Diagram showing the co-

top ordinate transformation from an ENU
e
to Strike-Dip-Pole (SDP) coordinate sys-
bas tem. The thickness can be calculated
from any point on the top and any point
on the base of the bed by subtracting
X1, X′2 (E)
there X′3 coordinates.

X′′3 X′3 (D) X′′2 (Dip)

(Pole)

troduced here (Allmendinger and Judge, 2013), like all methods to determine thick-
ness assumes that the top and bottom surfaces of the bed are planar and parallel.
Our basic approach will be a transformation into the bedding coordinate system
where the strike is the first axis, the dip the second axis and the pole the third axis,
an SDP system (Fig. 4.5). In this coordinate system, the thickness is just the differ-
ence between the X′′3 coordinate of a point on the top of the bed and X′′3 coordi-
nate of any point on the base (not necessarily in the dip direction).
A slight wrinkle of this method is that the position vector of the points on the
top and base of the bed are given in an ENU coordinate system but the direction
cosines of the strike, the dip direction and the pole will be in a NED coordinate sys-
tem (Fig. 4.5). Let’s assume that the point (i.e., position vector) on the top has coor-
dinates [tE, tN, tU] and the point on the base has coordinates [bE, bN, bU] in the
ENU system. Our first step will be to transform that into the coordinates in a NED
system as we have seen before. In the NED system the two vectors are:

t′ = [tN tE −tU] and b′ = [bN bE −bU]

Now we can use the direction cosines of the strike, dip and pole to construct the
transformation matrix. The strike is our X′′1 axis so the first row of the transforma-
tion matrix will be its direction cosines in the NED system:

(cos(st r ik e)cos(0) sin(st r ik e)cos(0) sin(0))

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CHAPTER 4 TRANSFORMATIONS

Recall that the strike is a horizontal line with a plunge of 0°. The second row of
the transformation matrix are just the direction cosines of the dip and dip direction
(X′′2) in an NED system (assuming strike in right hand rule format):

(cos(st r ik e + 90)cos(dip) sin(st r ik e + 90)cos(dip) sin(dip))

Finally, the pole is the third axis of our new coordinate system, X′′3 and its direc-
tion cosines in the NED system are:

(cos(st r ik e − 90)cos(90 − dip) sin(st r ik e − 90)cos(90 − dip) sin(90 − dip))

Assembling all three rows of transformation matrix and making the necessary
trigonometric simplifications, we get:

cos (st r ik e) sin (st r ik e) 0

aij = −sin (st r ik e) cos (dip) cos (st r ik e) cos (dip) sin (dip) (4.8)
sin (st r ik e) sin (dip) −cos (st r ik e) sin (dip) cos (dip)

Now we can transform the top position vector, t′, in the NED coordinate sys-
tem into the new bedding system (the bottom vector will look identical):
t′′1 = a11t′1 + a12 t′2 + a13t′3
= cos (st r i k e)tN + sin (st r i k e)tE + 0 (−tu)
t′′2 = a 21t′1 + a 22 t′2 + a 23t′3
= [−sin (st r i k e) cos (dip)] tN + [cos (st r i k e) cos (dip)] tE + [sin (dip)] (−tu) (4.9)
t′′3 = a31t′1 + a32 t′2 + a33t′3
= [sin (st r i k e) sin (dip)] tN + [−cos (st r i k e) sin (dip)] tE + [cos (dip)] (−tu)

The thickness is " t 3′′− b3′′ so only the third line above matters and we can write the
thickness as:

t′′3 − b′′3 = [sin (st r i k e) sin (d ip)] (tN − bN ) − [cos (st r i k e) sin (d ip)] (tE − bE)+
" (4.10)
[cos (d ip)] (bU − tU)

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CHAPTER 4 TRANSFORMATIONS

The order of t and b in the third term are reversed because it is really: [–tu – (–bu)].
To reemphasize, strike and dip must be in right hand rule format for this equation
to work.
The spreadsheet solution to this problem is shown in Figure 4.6. The 3×3
block of numbers labeled “Transformation Matrix” are calculated using Equation
4.8. The actual transformation from NED to SDP coordinate system occurs in
rows 14 and 15; you can see the formula for cell D15 expanded and color coded to
show which values are being used. In those formulae, we use absolute cell refer-
ences (i.e., the “$” signs) to the transformation matrix so their cell positions will not
change when we copied the formulae from row 14 to row 15. Finally, note that be-
cause NED is positive downwards, we actually subtract the top from the base!

Figure 4.6 — The spreadsheet for

calculating stratigraphic thick-
ness using the Equations 4.6 and
4.7.

Down-Plunge Projection
As we saw in the previous Chapter, cylindrical folds have a profile plane that
is perpendicular to the fold axis (Fig. 3.8). The profile plane contains the least dis-
torted view of a cylindrically folded surface, known as a down-plunge projec-
tion. Constructing down plunge projections by hand usually involves orthographic
projection and can be particularly tedious, so much so that most structural geology
lab manuals omit the 3D version entirely and instead only teach students how to do
a two dimensional construction that assumes that the surface of the earth is flat!

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CHAPTER 4 TRANSFORMATIONS

e
p lan
file
pro
X′′3

X3 (U) X′′1 Figure 4.7 — The two coor-

dinate systems in the down
X2 (N) plunge projection. See text
for discussion.

horizontal
)
axis
fold
X1 (E)
X ′′ 2 (

However, a full three dimensional down-plunge projection can be calculated using

the transformation methods in this chapter.
The two coordinate systems are shown in Figure 4.7: the first is our usual ge-
ographic coordinate system East-North-Up. It makes sense to use a map coordinate
system because the contacts that describe the bedding surfaces to be projected will
be digitized from a geologic map. The second coordinate system is defined by the
fold axis2. As before, if we want to use the trick that the direction cosines of the
transformation matrix are just the direction cosines of the axes in NED given by
Table 2.1, we first have to transform the position vectors of the digitized bed from
ENU to NED, like we did in the previous example. Let’s assume that a digitized
point along a bedding surface has coordinates x1, x2, x3 in an ENU coordinate sys-
tem. Our first transformation using Equation (4.7) gives us:

x′1 = x2; x′2 = x1; x′3 = −x3 (4.11)

The second transformation matrix will be based on the trend and plunge of the
fold axis (X′′2), TFA and PFA, respectively. As you can work out from Figure 4.7,
the trend and plunge of X′′1 will be (TFA+90), 0 and the trend and plunge of X′′3
will be TFA, PFA-90. The plunge of X′′3 will be negative because the arrow points

2The derivation that we do here is different from that in Allmendinger et al. (2012), including the numbering of the
axes. In Allmendinger et al., they derive a single transformation from ENU directly to the fold coordinate system.
Here we use an easier to follow two step transformation in which the fold axis is the X′′2 axis, not the X′3 axis.

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CHAPTER 4 TRANSFORMATIONS

upwards in a NED coordinate system. Now, we can use the equations in Table 2.1
to construct the second transformation matrix from NED to the fold coordinate
system. Without bothering with the intermediate steps, it is:

cos (TFA + 90) cos (0) sin (TFA + 90) cos (0) sin (0)
bij = cos (TFA) cos (PFA) sin (TFA) cos (PFA) sin (PFA) 

cos (TFA) cos (PFA − 90) sin (TFA) cos (PFA − 90) sin (PFA − 90)
−sin (TFA) cos (TFA) 0
bij = cos (TFA) cos (PFA) sin (TFA) cos (PFA) sin (PFA) (4.12)
cos (TFA) sin (PFA) sin (TFA) sin (PFA) −cos (PFA)

The second transformation is then

x′i′ = bij x′j (4.13a)

x′1′ = b11 x′1 + b12 x′2 + b13 x′3

x′2′ = b21 x′1 + b22 x′2 + b23 x′3 (4.13b)
x′3′ = b31 x′1 + b32 x′2 + b33 x′3

Where " xi′′ is the coordinate of a point on a digitized bed in fold coordinates," x ′j is
the coordinate of the same point in NED coordinate system which was trans-
formed from its original ENU coordinates via Equation. 4.11.
To implement these equations, you will first need to digitize some contacts,
specifying an East coordinate, a North coordinate, and an elevation for each vertex
of the polygon drawn along the contact. A program like GMDE makes the process
relatively painless and will also show you what your calculated projection should
look like. Then, you will import the coordinates of your digitized polygon along the
bedding contact into a spreadsheet program (Fig. 4.8). The fold axis — presumably
determined by constructing a π-diagram (Fig. 3.9b) — must also be entered. The
first transformation (Fig. 4.8) follows Equation 4.11; the transformation matrix
comes from Equation 4.12 and the actual transformation from Equation 4.13. No-
tice in the spreadsheet in Figure 4.8 that the equations implementing the second
transformation should have absolute cell references to the transformation matrix.

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CHAPTER 4 TRANSFORMATIONS

Figure 4.8 — Part of the spreadsheet for doing a down-plunge projection. The first
transformation switches from ENU to NED, and the second changes from NED to
the fold coordinate system defined by the fold axis.

To see your down-plunge projection in the spreadsheet, select the columns G

and I, representing coordinates along the X′′1 and X′′3 axes respectively, and choose
scatter plot (you can do non-contiguous selections in most programs using the
command key rather than the shift key). The plot will probably be distorted be-
cause spreadsheet programs to do not try to scale the two axes equally. Thus you
will have to, either by hand or using the chart dialog box, adjust the scales so that
they are equal.

Rotations
Rotations are a way of life in structural geology because we frequently want
to restore some feature to its initial, pre-deformation orientation: What direction
did the current flow prior to tilting of bedding? How can well tell whether magnet-
ic vectors were imprinted on the rock before folding or after? What orientation was
the dike when it was intruded? These questions have been answered for decades by
using a stereonet with paper and pencil. Rotations done in this manner are straight-
forward when the rotation is about a horizontal axis (e.g., returning dipping bed-
ding to horizontal) but rotations about inclined axes require breaking the rotation
up into two or more separate rotations. Computer stereonets, of course, do rota-
tions completely differently and thus do not suffer any of the limitations of paper
stereonets. Let’s see how computers accomplish this task.

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CHAPTER 4 TRANSFORMATIONS

X1
X′3

α
Figure 4.9 — Rotation as a coordinate
ω transformation. The old axes are NED
and the new coordinate axes are shown
ω
β
in red. The rotation axis orientation is
γ β
–X′1
defined by the angles that it makes with
θ22 X2 the NED axes; the magnitude of rotation
X3
X′2 is ω. Note that the rotation angles are
ω
defined along small circles centered on
the rotation axis whereas the angles be-
tween axes such as θ22 are measured
ω along great circles.

–X1

Given its appearance in this Chapter, it should come as no surprise that most
computer programs use coordinate transformations for rotations. The type of
transformation, though, is a bit more complicated to derive than in previous exam-
ples because the rotation axis does not coincide with either the new or the old co-
ordinate system. The old coordinates, of course, are our NED coordinate system,
but we do not know a priori what the orientations of the new axes will be; we have
to calculate them.
Figure 4.9 shows the angular relations involved. The stereonet grid has been
repositioned to be centered on the rotation axis. All points will move parallel to the
small circles in this projection. The givens are the orientation of the rotation axis,
specified in terms of the angles α, β, and γ that it makes with North, East, and
Down, respectively, and the magnitude of the rotation, ω. As shown (Fig. 4.9), the
amount of rotation and the angle between new and old axes are different things.
From those values, the direction cosines of the transformation matrix must be
calculated. Here, we’ll just give you the matrix; the derivations are not particularly
difficult but are tedious to follow. You can find the derivation in terms of spherical
trigonometry in Allmendinger et al. (2012) and in terms of matrix multiplications
in any linear algebra textbook.

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CHAPTER 4 TRANSFORMATIONS

The following equations (4.14) comprise the transformation matrix for a

general rotations:

a11 = cos ω + cos2 α (1 − cos ω)

a12 = − cos γ sin ω + cos α cos β (1 − cos ω)
a13 = cos β sin ω + cos α cos γ (1 − cos ω)
a 21 = cos γ sin ω + cos β cos α (1 − cos ω)
a 22 = cos ω + cos2 β (1 − cos ω) (4.14)
a 23 = − cos α sin ω + cos β cos γ (1 − cos ω)
a31 = − cos β sin ω + cos γ cos α (1 − cos ω)
a32 = cos α sin ω + cos γ cos β (1 − cos ω)
a33 = cos ω + cos2 γ (1 − cos ω)

These equations are put into practice in the spreadsheet in Figure 4.10: (a) enter
the trend and plunge of the lines to be rotated as well as the rotation axis and the
magnitude of the rotation (columns A and B). (b) Calculate the direction cosines of
those lines and the rotation axis (columns C, D, E). (c) Calculate the transformation
matrix (F14-H16) using the Equations (4.14), above. Don’t forget that you have al-
ready calculated the cosα, cosβ, cosγ for the rotation axis so you do not need to do
that again! Although it is not necessary, a quick check on your equations is to calcu-
late the magnitude of the vector in each row of the transformation matrix; as

Figure 4.10 — Spreadsheet to rotate the eight lines in rows 3-10. See Text for discussion

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CHAPTER 4 TRANSFORMATIONS

shown in I14-I16, they should all be equal to 1. (d) Transform the direction cosines
in columns C-E to the rotated direction cosines in columns F-H using the trans-
formation matrix. As you can see from the exposed formula, be sure to use absolute
cell references. (e) Finally, convert your rotated direction cosines back to trend and
plunge (columns I, J) using Equations (2.11).

Summary
This chapter covers a hugely important technique — transformations — and
the illustrations here only scratch the surface of what you can do with this ap-
proach. The theory is easy to grasp in two dimensions and the extension to three
dimensions is straightforward. One only needs to be very systematic in making sure
that the subscripts are in the correct order and apply to the axes we think they ap-
ply to. Most importantly, the subscripts always apply to a specific coordinate axis.
Understanding this will help us a lot when we get to stress and strain. Finally, al-
though the approach is very systematic and logical, the math is very simple: just
multiplication and additions, something that you have know how to do since middle
school!

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Exercises—Chapter 4
Once again, these exercises rely heavily on the program GeolMapDataExtractor
(GMDE) and a digital copy of the Poker Peak geologic map from the US Geologi-
cal Survey (Albee and Cullens, 1975). GMDE, in either Macintosh or Windows
version can be downloaded from:

http://www.geo.cornell.edu/geology/faculty/RWA/programs/strikedipthickness.html

And the Poker Peak Quadrangle map can be downloaded from the web site.
GMDE will allow you to make quick accurate measurements on the map. Note
that you will need an Internet connection for the program to get elevations auto-
matically. For Exercises 1 and 2,you will also need a copy of Google Earth, which
you can download for free from:

http://www.google.com/earth/download/ge/agree.html

1. Open the Poker Peak Quad in GMDE and

make sure it is georeferenced (it should au-
tomatically be unless you have separated the
.jpg file of the map from the .txt file of the
same name (the .txt file contains the georef-
erencing information.) Locate the part of
the map shown to the right. Notice that a
fault is shown offsetting the stratigraphic
units.
(a) Digitize the tops of the following con-
tacts all the way around the fold: Jn, Jp,
Js, Ke, Kp, Kb, Kd.
(b) Save the contacts as a text file (File>Save
Data>Digitized Contacts), and then Save
the contacts as .kml file (File>Export
KML>Contacts).
(c) Open the file you just saved in a spread-
sheet program. Use the coordinate and
vector transformation that we derived in class, and the fold axis that you de-
termined last week, to produce a down-plunge projection of the Big Elk an-

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CHAPTER 4 TRANSFORMATIONS

ticline. Beside to adjust the scales of the two axes so they are approximately
the same.
(d) Open the KML file in Google Earth and rotate the image around so that
you see the same down plunge projection that you produced in your spread-
sheet. Capture a screen shot in
Google Earth and turn in with
your spreadsheet.

2. Back to the NE corner of the Poker

Peak Quad: find, again the ridge
shown to the right in GMDE. In
this question, we will determine the
thickness of the following units us-
ing a coordinate transformation:
TRa, JTRn, and Jt.
(a) In GMDE, select
Settings>Mode>Strike Dip
Thickness. GMDE can and will
calculate the thickness for you Trend Plunge
(which you can use as a check on your calculations), but 113 73
for this problem, we are mostly interested in using the 76 78
program to get accurate coordinates for two points, one 175 71
on the top surface and one on the bottom surface. We 229 62
will just use the strike and dip information measured by 75 62
the field geologist for this problem. 111 77
(b) Once your have determined the coordinates of the 78 85
points at the top and bottom of each surface, in a 316 53
spreadsheet program, calculate the thickness of each 25 78
unit using a coordinate transformation from geograph- 21 57
ic coordinates to bedding plane coordinates. 81 77
80 58
58 62
3. Using the transformation matrix for rotations about an 40 57
arbitrary axis (equations 4.14) rotate the data to the right 42 71
by a magnitude of 56° about an axis that has a trend and 229 23
plunge of 113, 29. You should do the rotation in a spread- 110 72
sheet. You may check your answer in a Stereonet Pro- 278 61
gram.
 264 78

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 Chapter 5
The Orientation and Stress Tensors
Introduction
The topic of tensors typically produces significant anxiety for students of
structural geology. That is due, at least in part, to the fact that the term is studiously
avoided until it is sprung on the student when introducing the topic of stress, thus
conflating two difficult to grasp concepts. In our case, the previous chapters have
already introduced the concept of vectors as a type of first order tensor so the
X3
X′2
X′3

X2

X′1
X1

fundamental definition — an entity that can be transformed from one coordinate

system to another, changing its components in predictable ways such that its fun-
damental nature doesn’t change — is already understood on an intuitive level. In
the case of our vector, it has the same magnitude and orientation on the page re-
gardless of the orientation of the coordinate axes (Fig. 4.3). We are now fully pre-
pared to tackle second order tensors, which will allow us to quantify the rela-
tions between different families of vectors. These second order tensors will take us
to the very core of structural geology. We will still be doing just multiplication and
additions (mostly), but first, we’ll need to introduce some concepts about matrices.
CHAPTER 5 ORIENTATION & STRESS TENSORS

Matrices and Indicial Notation

In the last chapter, we saw that the transformation of a vector could be de-
scribed with three simple equations (4.4), repeated here:
v′1 = a11v1 + a12 v2 + a13v3
v′2 = a 21v1 + a 22 v2 + a 23v3 (5.1)
v′3 = a31v1 + a32 v2 + a33v3

As was pointed out at the time, the subscripts in these equations, all of which refer
to specific coordinate axes, vary in an extremely systematic and precise way. That is
because these equations are an alternative way of writing down a matrix multi-
plication:

v′1 a11 a12 a13 v1

v′ = av = v′2 = a 21 a 22 a 23 v2 (5.2)
v′3 a31 a32 a33 v3

Note that the subscripts of the matrix a vary in exactly the same way as the sub-
scripts, or indices, of aij in (5.1). Equation (5.2) works because there are the same
number of columns of a as there are rows of v. For this reason, you cannot write
the left side of the equation as v′ = va because v has only one column but a has
three rows. That is, matrix multiplication is non-commutative: the order of the
multiplication matters. This will be an extremely important insight when we come
to finite strain in a few more chapters; strain is mathematically represented as a ma-
trix multiplication so the order in which strain is superimposed determines the final
outcome.
Matrix multiplication gives us another way to write the dot product of two
vectors, where we use the transpose of one of the vectors (i.e., one of the vectors
is “flipped”):
v1
u ⋅ v = uv = [ 1 2 3] v2 = u1v1 + u 2 v2 + u3v3
T u u u (5.3)
v3

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CHAPTER 5 ORIENTATION & STRESS TENSORS

You can imagine that it gets pretty tedious to keep writing out the equations
in (5.1) or the right side of (5.2) and the bold text on the left side of (5.2), known as
matrix notation, is one type of shorthand. There is a second type of shorthand,
known as the summation convention, that is more convenient, especially when
it comes to implementing these equations in a programing language. Using the
summation convention, we would write Equations (5.1) and (5.2) as:

v′i = aij vj (5.4)

Let’s break this down and see how it works. As we have already seen i and j can
vary from 1 to 3 in value because there are three axes to our Cartesian coordinate
system. There is one i one each side of the equation and it is referred to as the free
suffix; that means there will be three equations and, in each, i will have a constant
value. The index j is known as the dummy suffix and appears twice on the right
hand side, only, of Equation (5.4). Thus, the summation occurs with respect to j in
each of the three equations as shown in the following equation:
3

∑
v′i = aij vj = ai1v1 + ai2 v2 + ai3v3 (5.5)
j=1

The “recipe” for the summation convention takes a little practice but it turns out to
be quite powerful and so is worth learning.
We will encounter various properties of matrices in the subsequent chapters
but for right now, we’ll wrap up with three important terms: a matrix is symmet-
ric if there are six independent values and the three off-diagonal components
above the principal diagonal are the same as the three below the principal diagonal
(Fig. 5.1). That is, T12 = T21, T13 = T31, and T23 =

( )
T32. If a matrix is asymmetric then there are nine T11 T12 T13
independent components and T12 ≠ T21, T13 ≠ T31, off-
T21 T22 T23 diagonal
and T23 ≠ T32. Finally, a matrix can be antisym-
metric with three independent components where T31 T32 T33
off- principal
the values along the principal diagonal are all zeros diagonal
diagonal
and T12 = –T21, T13 = –T31, and T23 = –T32.
Figure 5.1 — Anatomy of a 3
× 3 matrix.

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CHAPTER 5 ORIENTATION & STRESS TENSORS

Tensors
In this Chapter, when we use the term “tensors”, we are specifically referring
to second order or second rank tensors. All tensors can be expressed as matrices (a
3 × 3 matrix in the case of second order tensors) but not all matrices are ten-
sors. In order to be a tensor, the matrix must represent an entity or quantity that
transforms like a tensor; that is, the components must change in a logical and sys-
tematic way during a coordinate transformation. Note that the transformation ma-
trix, a, is itself not a tensor! A common convention is that tensors are written with
brackets, [ ], whereas matrices that are not tensors are written with parentheses, ( ).
We used this convention, for example, in Equation (5.2). Because all tensors can be
written as matrices, they can be symmetric, asymmetric, etc., and any operation
that can be performed on a matrix can likewise be performed on a tensor.

Tensors as Linear Vector Operators

The best way to think of a second order tensor is that it relates two families
of vectors. In the case of stress, discussed later in this chapter, the stress tensor re-
lates the stress vector (or traction) on a plane to the orientation of the plane. In the
case of strain, as we shall see in a subsequent chapter, the displacement gradient
tensor (one of many tensors related to strain!) relates the position vector of a point
to the displacement of the point during a deformation. If we know the stress tensor,
we can calculate the stress vector on a plane of any orientation within a body. You
can imagine that this is hugely important in any study of earthquakes, induced
seismicity, faulting, etc. Likewise, with the displacement gradient tensor, we can cal-
culate how all points within a body are displaced as a function of position during a
deformation.
The basic way that this relationship is written is as follows:

"ui = Tij vj (5.6a)

Where u and v are generic vectors and T a generic tensor that relates the two vec-
tors. This equation expands following the rules of summation or tensor notation:

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CHAPTER 5 ORIENTATION & STRESS TENSORS

u1 T11 T12 T13 v1

" u2 = T21 T22 T23 v2 (5.6b)
u3 T31 T32 T33 v3

u1 = T11v1 + T12 v2 + T13v3

u 2 = T21v1 + T22 v2 + T23v3 (5.6c)
u3 = T31v1 + T32 v2 + T33v3

You already know how to do this expansion because it looks a lot like Equations
(5.1-5.3). All of these equations represent the multiplication of a 3 × 3 and a 3 × 1
matrix. Beyond this mathematical similarity, they are entirely different. First, in
Equation (5.1) it is the same vector, v, on both sides of the equation whereas u and
v are two entirely different vectors in Equation (5.6). Secondly, T is a tensor as
shown by the brackets in (5.6b), whereas a in Equation (5.2) is not.
There is a second way to make a second order tensor out of two vectors by
taking the dyad (tensor) product of those two vectors. In indicial notation, we
can write:

T = u ⊗ v = uT v or Tij = ui vj (5.7a)

The right hand side of (5.7) does not involve any summation because there is no
dummy (i.e., repeated) suffix. So T simply works out to:

u1v1 u1v2 u1v3

Tij = u 2 v1 u 2 v2 u 2 v3 (5.7b)
u3v1 u3v2 u3v3

The dyad product has important applications in earthquake and faulting studies
and also in constructing the orientation tensor as we shall see below. This is just one
example of the magic of matrix multiplication: uvT (eqn. 5.3) give you a scalar
whereas uTv (eqn. 5.7) yields a second order tensor!

Principal Axes of a Tensor

Because our second order tensor is, well, a tensor, we can rotate the axes of
the coordinate system and the values of the tensor will change. It turns out that, for

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CHAPTER 5 ORIENTATION & STRESS TENSORS

X3
X′2
X′3
Figure 5.2 — The magnitude ellip-
soid of a tensor and two different
coordinate axes through the ellip-
soid. The red, primed coordinate
system coincides with the principal
X2 axes of the ellipsoid. In that coordi-
nate system, we can define the prin-
cipal axes of the tensor.
X′1
X1

symmetric tensors, there is one set of axes where all the off-diagonal components
will be zero and there will only be values along the principal diagonal. Because
symmetric tensors can be represented by ellipsoids, this special set of axes occurs
when the coordinate system is aligned with the principal axes of the ellipsoid (Fig.
5.2). Not surprisingly, these are called the principal axes of the tensor and,
when referring to magnitude and not orientation, are labeled from largest
to smallest T1, T2, and T3. For the magnitude ellipsoid shown in Figure 5.2 we
would write:

T11′ 0 0 T2 0 0
Tij′ = 0 T22′ 0 = 0 T1 0 (5.8)
0 0 T33′ 0 0 T3

The magnitude does not have to coincide with the number of the same axis! In fig-
ure 5.2, the long axis of the magnitude ellipsoid is parallel to the X′2 axis. Double
subscripts and the position in the matrix always refer to the coordinate system axes
and not to the magnitude. Thus, in this example, T′22 = T1.
The transformation from a random coordinate system to one where the axes
are parallel to the principal axes is usually determined numerically by solving the
eigenvalue problem. The derivation and solution to the eigenvalue problem is be-

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CHAPTER 5 ORIENTATION & STRESS TENSORS

yond the scope of this manual; see Allmendinger et al. (2012) or any book on Lin-
ear Algebra. The mathematical procedure gives us a cubic polynomial:

λ 3 − Iλ2 − IIλ − III = 0 (5.9)

The three roots of λ are the three eigenvalues, which correspond to the magnitudes
of the three principal axes. Once one has the eigenvalues you can calculate the
eigenvectors, which give the orientations of the three principal axes. The three
coefficients, I, II, and III are known as the invariants of the tensor and they turn
out to have important physical significance in many cases. Their values are:
I = T11 + T22 + T33 + = T1 + T2 + T3

(TijTij − I )
2

II = = − (T1T2 + T2T3 + T3T3) (5.10)

2
III = det T = Tij = T1T2T3

Where det T = Tij is the determinant of tensor T. The significance of the in-
variants is that they have the same values in any coordinate system. When we say
that the fundamental nature of a second rank tensor doesn’t change upon trans-
formation, we are referring to the invariants.

Tensor Transformations and the Mohr’s Circle

Given that we just mentioned tensor transformations, how does one go about
transforming a tensor? In principle, it is similar to a vector transformation: if we
have a transformation matrix and a tensor in the old coordinate system, we can
calculate the same tensor in the new system. However, it is more involved because a
second order tensor is a more complicated entity than a first order tensor (i.e., a
vector). The derivation of the tensor transformation equation is relatively straight-
forward; you can find it in Nye (1959), Allmendinger et al. (2102), or a variety of
other sources. Here it is using the summation convention, yielding the new tensor
in terms of the old:

" ij′ = aik ajlTkl

T (5.11)

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This equation looks complicated and it does represent nine equations with nine
terms each! The expansion is not so much complex as it is tedious. Here, for exam-
ple is the expansion of one of the nine terms:
(l = 1) (l = 2) (l = 3)
a11a31T11 + a11a32T12 + a11a33T13 (k = 1)
T13′ = (5.12)
+a12 a31T21 + a12 a32T22 + a12 a33T23 (k = 2)
+a13a31T31 + a13a32T32 + a13a33T33 (k = 3)

Don’t worry! You’re not going to be asked to expand these equations. This type of
systematic equation is what computers live for and nobody solves these by hand
anymore. If you ever want to impress your friends (uh… sure), the parenthetical
statements in Equation (5.12) show you how k and l vary systematically. With the
single equation arranged the way it is, you can see that k increments by one in each
row whereas l increments by 1 in each column.
Long before there were computers to do these calculations for us, in the late
1800s a German engineer by the name of Otto Mohr introduced a clever graphical
solution to a common, but special case of tensor transformation which has become
known as Mohr’s Circle. In the Mohr construction, the old coordinate system is
parallel to the principal axes of the tensor. The coordinate system is then trans-
formed by rotating by θ° about one of the principal axes, commonly T2 (Fig. 5.3).
Thus the initial form of the tensor in the old coordinate system is:

X3
X′3

Figure 5.3 — The coordinate transformation

X2 , X′2
involved in constructing Mohr’s circle for a
generic tensor, T, by rotating the coordinate
T3
system around the intermediate principal axis
T2 X′1 of the tensor

T1 X1

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CHAPTER 5 ORIENTATION & STRESS TENSORS

T1 0 0
Tij = 0 T2 0 (5.13)
0 0 T3

And the transformation matrix is:

cos θ cos 90 cos (90 − θ ) cos θ 0 sin θ

a= cos 90 cos 0 cos 90 = 0 1 0 (5.14)
cos (90 + θ ) cos 90 cos 0 −sin θ 0 cos θ

For example, expanding Equation (5.12) we get:

Tij′ = cos θ(−sin θ)T1 + cos θ (0) (0) + cos θ cos θ (0)
+(0) (−sin θ) (0) + (0) (0) T22 + (0) cos θ (0)
+sin θ (−sin θ) (0) + sin θ (0) (0) + sin θ cos θ T3
= − cos θ sin θ T1 + sin θ cos θ T3
= (T3 − T1) cos θ sin θ

The entire tensor, T, in the new coordinate system is:

(T1 cos θ + T3 sin θ) 0 (T3 − T1) sin θ cos θ

2 2

Tij′ = 0 1 0 (5.15)
(T3 − T1) sin θ cos θ 0 (T1 sin θ + T3 cos θ)
2 2

These equations can be put into a more useful form by substituting some common
double angle formulae:
1 − cos 2θ 1 + cos 2θ
sin 2θ = 2 sin θ cos θ; sin2 θ = ; cos2 θ = (5.16)
2 2

The coordinates of the tensor in the new coordinate system are:

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CHAPTER 5 ORIENTATION & STRESS TENSORS

( 2 ) ( 2 )
T1 + T3 T1 − T3
T11′ = + cos 2θ

( 2 ) ( 2 )
T1 + T3 T1 − T3
T33′ = − cos 2θ (5.17)

( 2 )
T1 − T3
T13′ = T31′ = − sin 2θ

These equations are in the parametric form of a circle with

( 2 ) ( 2 )
T1 + T3 T1 − T3
center at: ,0 and a radius, r =

We’ll see just how this works in the section on stress, below. However, you should
realize that just about any second order tensor can be represented by a Mohr Circle
construction. Time for some geological applications.

The Orientation Tensor

The first application harkens back to Chapter 2 and the limitations of the
mean vector calculation (Fig. 2.11) and Chapter 3 and the π-diagram (Fig. 3.9). The
solution is to calculate the least squares best fit to a distribution of lines (poles, real-
ly). The result, however, will allow us to characterize any line distribution and it will
not suffer from the lower hemisphere artifacts that plague the mean vector calcula-
tion.

Least Squares Best Fit Fold Axis

In Chapter 3, we simply “eye-balled” in a great circle which fit the bedding

poles in the π-diagram (or perhaps you used a cylindrical best fit plotting option
without knowing how it worked). Here, we will actually calculate the best fitting
great circle and fold axis by minimizing the sum of the squares (Charlesworth et al.,
1976). If a unit bedding pole p̂ [i] is perfectly oriented, then the angle between it and
the unit vector parallel to the fold axis, f,̂ is 90° (Fig. 5.4); it is the deviation from
this perfect case that we will minimize. Fortunately, there is a simple function that
we can use: the dot product of f ̂ and p̂ [i], written as in Equation (5.3) is:

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CHAPTER 5 ORIENTATION & STRESS TENSORS

p[i]
Figure 5.4 — Finding the best fit fold axis given
a number number of bedding poles. The dot
1 product of a single bedding pole unit vector p[i]
θ
and and the fold axis unit vector, f, is the cosine
of the angle between them, θ. A perfectly ori-
ented pole should be 90° from the fold axis and
f
so the cosine should equal zero. The deviation
from zero is the deviation we are trying to min-
imize.

θi = p̂ [i]f T̂
cos (5.18)

where p̂ [i] is the i’th bedding pole in the data set. The sum of the squares of the de-
viations of all of the poles, S, is:
n n

(p̂ [i]f )
2
2 ̂
T
∑ ∑
S= cos θ[i] = (5.19)
i=1 i=1

Because the dot product is commutative, it can be written as:

p̂ [i]f T̂ = f p
̂ ̂T
[i] (5.20)

And we can rewrite Equation (5.19) as:

n n n

∑(
̂ ̂ T p̂ f T̂ = f ̂T f T̂ where T = p̂ T p̂ pi pj)
∑ ∑ [i] [i]
S= fp [i] [i] = (5.21)
[i]
i=1 i=1 i=1

T is known as the orientation tensor and it is composed of the sum of the dyad
products of each unit pole vector with itself (Eqn. 5.7a). Expanding for one vector:

cos α[i] cos2 α[i] (cos α[i] cos β[i]) (cos α[i] cos γ[i])
p̂ T[i]p̂ [i] = cos β[i] [cos α[i] cos β[i] cos γ[i]] = (cos β[i] cos α[i]) cos2 β[i] (cos β[i] cos γ[i])
cos γ[i]
(cos γ[i] cos α[i]) (cos γ[i] cos β[i]) cos2 γ[i]

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CHAPTER 5 ORIENTATION & STRESS TENSORS

So the entire orientation tensor, T, will be:

∑ cos2 α[i] ∑ (cos α[i] cos β[i]) ∑ (cos α[i] cos γ[i])
T= ∑ (cos β[i] cos α[i]) ∑ cos2 β[i] ∑ (cos β[i] cos γ[i]) (5.22)
∑ (cos γ[i] cos α[i]) ∑ (cos γ[i] cos β[i]) ∑ cos2 γ[i]

The smallest eigenvalue of this symmetric matrix is the minimization of the sum of
the deviations; thus the corresponding eigenvector should be the fold axis.

Types of Line Distributions

The orientation tensor was derived for fitting a fold axis to the distribution of
lines in a plane (i.e., the profile plane). It turns out that it is a much more generally
useful calculation. Figure 5.5 depicts three very different end member types of line
distributions and the resulting eigenvalues and eigenvectors of the orientation ten-
sor. The bipolar distribution (Fig. 5.5a) is the one that fails miserably in a mean vec-
tor calculation because the vectors plunging in opposite directions cancel each oth-
er out. However, the orientation tensor captures the preferred orientation quite
nicely with the eigenvector of the largest eigenvalue coinciding with the NW-SE
orientation of the point cluster. The relative values of the three eigenvalues clearly
identify a single cluster because there is one large eigenvalue (near 1) and two small,

(a) (b) (c)

1 1
2

3 2

3 3
2

Eigenvalue Trend & Plunge Eigenvalue Trend & Plunge Eigenvalue Trend & Plunge
1. 0.9278 307.9, 01.1 1. 0.5672 306.7, 53.0 1. 0.3710 352.8, 59.6
2. 0.0597 048.3, 83.7 2. 0.4229 211.8, 03.7 2. 0.3507 106.5, 13.3
3. 0.0125 217.8, 06.2 3. 0.0098 119.0, 36.7 3. 0.2784 203.3, 26.8

Figure 5.5 — Different types of lines distributions: (a) bipolar; (b) girdle; and (c)
random. Each diagram has 30 lines.

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CHAPTER 5 ORIENTATION & STRESS TENSORS

near zero eigenvalues. In the girdle distribution (Fig. 5.5b), there is one small,
near zero eigenvalue that corresponds to the fold axis and two large, relatively
equal eigenvalues (near 0.5) whose eigenvectors lie within the profile plane through
the points. Finally, the random distribution (Fig. 5.5c) has three relatively equal ei-
genvalues. Note that it would be quite possible to have a non-random distribution
produce three equal eigenvalues if you had three clusters of points representing an
equal number of lines with each cluster 90° from the others. In general, though,
the eigenvalues give you a first order way of characterizing point distributions.
A spreadsheet to calculate the orientation tensor is shown in Figure 5.6. Note
that eigenvalues suggest something between a girdle and a point distribution.

Figure 5.6 — Spreadsheet for calculating the orientation tensor from trends and
plunges of ten poles to planes. Note that you only need to calculate six components
because the tensor is symmetric.

The Stress Tensor

Cauchy’s Law
Whereas the orientation tensor is created by the dyad product of a pole vec-
tor with itself, the stress tensor is a more normal type of linear vector operator. In
this section, I’ll assume that you’ve already learned about stress — the mechanics
type, that is — in the lecture part of your structural geology class. When most peo-
ple say that “stress is equal to force [a vector] divided by area [a scalar]” what they

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CHAPTER 5 ORIENTATION & STRESS TENSORS

are really referring to is the stress vector or traction on a particular plane of in-
terest. The stress tensor is different: it relates the stress on planes of all possible
orientations through a point in a body to the tractions on those planes.

p
" i = σijℓj (5.23a)

Where pi is the traction on a particular plane, ℓj is the direction cosines of the pole
to the plane and and σij is the stress tensor. Equation (5.23a) is very important and
is known as Cauchy’s Law. It expands as follows:
p1 = σ11ℓ1 + σ12ℓ2 + σ13ℓ3
p2 = σ21ℓ1 + σ22ℓ2 + σ23ℓ3 (5.23b)
p3 = σ31ℓ1 + σ32ℓ2 + σ33ℓ3

We can get insight into the meaning of the components of the stress tensor by look-
ing at some special cases. Let’s assume first that the plane we’re interested in is per-
pendicular to the X1 axis. In this case, the pole direction cosines will be [1, 0, 0].
Substituting these values into Equation (5.23) we see that the tractions on the plane,
p, are pi = [σ11 σ21 σ31]. Likewise, a plane perpendicular to the X2 axis will have
direction cosines of [0, 1, 0] and the tractions on that plane are [σ12 σ22 σ32] and
the plane perpendicular to X3 will have tractions of [σ13 σ23 σ33]. In other words,
the components of the stress tensor are simply the tractions on the
planes that are perpendicular to the three coordinate axes.
Written as they are in the preceding paragraph, derived from Cauchy’s Law,
the subscripts of the stress tensor have the following meaning: the first subscript in-
dicates which axis the traction vector is parallel to and the second subscript indi-
cates that axis that the plane is perpendicular to. This is opposite to the convention
that one sees more commonly in structural geology textbooks. That’s okay, though,
because it turns out that the stress tensor is symmetric (thanks to conservation of
angular momentum and Cauchy’s 2nd Law of Motion). That is,

σ12 = σ21, σ13 = σ31, σ23 = σ32 (5.24)

Thus, it is also true that the first subscript indicates the axis perpendicular to the
plane and the second subscript the axis to which the traction vector is parallel (Fig.

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CHAPTER 5 ORIENTATION & STRESS TENSORS

X3
X3 X3

σ23 σ33
σ13

σ12 σ32

3
X
⊥
X2

e
an
plan
σ21 σ22

pl
e⊥
X1
X2 2 σ31 X2
X1 σ11 X
X1
⊥
X1 e
n
la
p

Figure 5.7 — The meaning of the components of the stress tensor. They are the normal
and shear stresses on planes perpendicular to the axes of the coordinate system. Normal
stresses have equal subscripts whereas shear stresses have unequal subscripts

5.7). Thus each of the three planes normal to the coordinate system has one stress
vector perpendicular to the plane and two stresses vectors parallel to the plane. The
perpendicular stress, or normal stress vector, has two equal subscripts and oc-
cur along the principal diagonal of the stress tensor. Those parallel to the plane, or
shear stress vectors, have unequal subscripts and are in the off-diagonal posi-
tion in the tensor. We will use σn to indicate the normal traction (or stress vector) on
a plane and either τ (tau) or σs for shear stress vectors on a plane The symmetry of
the stress tensor and the equivalence of the shear stresses (Eqn. 5.24) is sometimes
called the theorem of conjugate shear stresses.
Note that when we calculate the traction on a plane using Cauchy’s Law
(Eqn. 5.23), the vector is, in the most general case, neither normal nor parallel to
the plane. The components of p are always parallel to the axes of the coordinate
system (Fig. 5.8). As we will see later on, one way to calculate the normal and shear
stress on the plane is to transform the vector into a coordinate system where the X′1
axis is perpendicular to the plane. The normal and shear stress vectors on a plane
are key pieces of information to determine whether or not faulting, or earthquakes,
will occur.

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CHAPTER 5 ORIENTATION & STRESS TENSORS

Mohr’s Circle for Stress

X2
Like any symmetric second or-
p2 p
der tensor, stress can be represented on
a Mohr Circle construction. This α
σ12
graphic is a very common way of dis-
playing stress on planes, even if behind σ11 p1
n̂
the scenes the values are calculated us- o le area = A
area = A1 β p
ing tensor transformations. In Mohr’s
α β
Circle for stress, one plots normal X1
stress the horizontal axis and shear σ 21
area = A2
stress on the vertical axis. Before mak-
ing a plot, though, we need to discuss σ22
sign conventions for both of these
quantities. Although the engineering Figure 5.8 — The traction vector, p, on a
sign convention is that tension is posi- plane whose pole that makes an angle of α
with respect to X1 and β with respect to X2.
tive and compression negative, within The plane is viewed edge on so it appears as
the Earth, almost all normal stresses a diagonal line. The traction vector is scaled
correctly given the components of the stress
are compressions except close to the tensor and angles shown.
surface. Thus, in geology, compres-
sion is treated as positive and ten-
sion negative. The sense of shear also has a sign and this, too, depends on your
perspective. If one derives the Mohr’s Circle in the traditional way as a force bal-
ance, counterclockwise (i.e., left-lateral) shear is positive and clockwise (i.e., right-
lateral) shear is negative. However, if it is derived as a tensor transformation, then
the opposite convention applies. We will use the geological sign convention.
The equations for the Mohr’s Circle for stress for planes that are parallel to
σ2 are:

( 2 ) ( 2 )
σ1 + σ3 σ1 − σ3
σn = + cos 2θ (5.25a)

( 2 )
σ1 − σ3
τ = σs = sin 2θ (5.25b)

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CHAPTER 5 ORIENTATION & STRESS TENSORS

σ(s)
is cir cl e
50
ts id e
of th Figure 5.9 — Basic Mohr’s Circle
ou
si
b le construction for stress where σ1 =
120 MPa, σ2 = 60 MPa, and σ3 = 20

s
po
es
MPa. The only possible normal and
ss
tr e
shear stress combinations are along
no s

the edges of the circles or in the pink

σ2 2θ σ(n)
σ3 σ1 shaded region. Two planes are
50 100
shown: that in red is parallel to σ2
ble
insi
si
no s
and its pole is 30° (2θ = 60°) from σ1.
de
stress po
he
t The blue plane is not parallel to any
se
circ
les
principal stress; its pole is 65° from
σ1, 50.74° from σ2, and 49.55° from σ3.
Dashed lines are construction lines.

θ is the angle between the pole to the plane of interest and σ1. Similar equations
can be derived for the two inner circles. There are many ways of deriving the
Mohr Circle equations: as a force balance, using Cauchy’s law and a vector trans-
formation, or using a tensor transformation (Eqns. 5.11 - 5.17).
In the most general case of Mohr’s Circle for stress, there will be three nested
circles defined by the three principal stresses (Fig. 5.9). The simplest case for plot-
ting normal and shear stresses is when the plane of interest is parallel to one of the
three principal axes (e.g., the red dot in Fig. 5.9). In that case, one simply deter-
mines the angle between the pole to the plane and the largest principal stress, θ,
and then measures 2θ counterclockwise from the side of the circle with largest
principal stress as shown in Figure 5.9. When the plane is not parallel to any of the
principal stresses, the manual plotting procedure is more cumbersome and consists
of drawing arcs of concentric circles defined by the three angles, α, β, and γ, that
the pole makes with the three principal stresses (see Allmendinger et al., 2012, if
you want to know how to do this). A program like MohrPlotter can do this calcula-
tion and plot directly. But, of course, it is more satisfying to calculate the stresses

Figure 5.10 — spread-

sheet for calculating the
tractions on a plane
whose pole makes angles
of alpha, beta, and gam-
ma with respect to the
three principal stresses.

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CHAPTER 5 ORIENTATION & STRESS TENSORS

directly! We can use Equation (5.23) to calculate the tractions on the plane directly
and this is done in the spreadsheet in Figure 5.10 for the same angle values as blue
plane in Figure 5.9. In the next chapter, we’ll actually calculate the normal and
shear stresses.
A couple of things bear emphasizing in the example in Figure 5.10. First,
this calculation takes place in the principal stress coordinate system, which is why
the stress tensor has such a simple appearance. Without knowing the orientation of
the plane or of the principal stresses, we have no idea the values of the tractions in
a geographic coordinate system. The same is true of the Mohr’s Circle construc-
tion: it represents a principal stress coordinate system; without knowing the orienta-
tions of the stresses, a plane represented could be a normal, thrust, or strike-slip
fault plane. Second, the angles α, β, and γ are not independent of each other; only
two out of the three can be independently specified. Their direction cosines must
yield a unit vector (thus the magnitude test in column H).

Mean Stress & Deviatoric Stress

Earlier in the Chapter, we saw that symmetric tensors have invariants, and
the first invariant of the stress tensor is the sum of the stresses along the principal
diagonal. This allows us to define the mean stress, σm, which is the same in all coor-
dinate systems:
Iσ σ + σ22 + σ33 σ + σ2 + σ3
"σm = = 11 = 1 (5.26)
3 3 3

The total stress can then be defined as the mean stress plus the deviatoric stress:

σm 0 0 σ11 − σm σ12 σ13

[ σ31 ]
σij = 0 σm 0 + σ21 σ22 − σm σ23 (5.27)

0 0 σm σ32 σ33 − σm

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CHAPTER 5 ORIENTATION & STRESS TENSORS

Exercises—Chapter 5
All of the following exercises should be done either in a spreadsheet or Matlab. If
you use a spreadsheet, you will need to download the simple utility program
EigenCalc in either Macintosh or Windows version:
http://www.geo.cornell.edu/geology/faculty/RWA/programs/utility-programs/eigencalc.html

This program will take the matrix that you calculate in the spreadsheet and calcu-
late the eigenvalues and eigenvectors for you, which is much less cumbersome than
trying to figure out how to get the spreadsheet to do it!
You might also find useful a program to plot Mohr Circles for stress, Mohr-
Plotter, which can be downloaded from:

http://www.geo.cornell.edu/geology/faculty/RWA/programs/mohrplotter.html

Even though MohrPlotter can do some of the calculations for you, you must still do
the calculations in a spreadsheet or Matlab. For all problems, assume a North-East-
Down coordinate system unless otherwise noted.

1. In a spreadsheet or in Matlab, calculate the orientation tensor for the strikes

and dips that you used to construct a pi-diagram of the Big Elk anticline in
Chapter 3. Note that you do not have to find the eigenvalues or eigenvectors of
the resulting matrix, just construct the orientation tensor in a North-East-Down
coordinate system. If you choose to use Matlab, please write your own code
rather than just cutting and pasting the code from Allmendinger et al.

2. A state of stress with the following principal stress magnitudes σ1 = 40 MPa, σ2

= 20 MPa, σ3 = 10 MPa, has σ1 axis oriented vertically, σ2 aligned in a horizon-
tal E-W direction, and σ3 in a horizontal N-S direction. Using Cauchy’s law,
calculate the magnitude and orientation of the tractions acting on a plane strik-
ing 060º and dipping 55º SE.

3. For the same state of stress described in question 2, but a different plane that
has a strike in right hand rule of 270, 60,
(a) Use Cauchy’s law to calculate the tractions on the plane

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CHAPTER 5 ORIENTATION & STRESS TENSORS

(b) Use Mohr’s Circle for stress to calculate the normal and shear stress on the
plane
(c) Reconcile your answers in parts (a) and (b) by showing that they are actually
the same answer.
(d) If the plane with strike of 270, 60 were a fault plane, what type of fault
would it be?

4. The following matrix gives the stress tensor in a NED coordinate system (units
are MPa):

⎡ 20 6 15 ⎤
" σ ij = ⎢⎢ 6 45 20 ⎥⎥
⎢⎣ 15 20 30 ⎥⎦

(a) Use Cauchy’s Law to determine the tractions on a plane with a strike and
dip (right hand rule) of 045, 22.
(b) The principal stresses for this stress tensor, given by calculating the ei-
genvalues and eigenvectors, are σ1 = 63.23 MPa with a trend and plunge of
068, 36; σ2 = 24.4 MPa, 317, 26; and σ3 = 7.39 MPa, 200, 43. Plot the
normal and shear stress on the 3D Mohr circle for stress as shown on page
110 of ACF (2012).

5. Two planes are both parallel to σ2. The first has a normal stress, σn = 55 and
shear stress, τ = 17 MPa. For the second, σn = 27 and shear stress, τ = 13 MPa.
(a) Use a Mohr Circle construction to calculate the magnitude of the principal
stresses, σ1 and σ3. [Hint: the perpendicular bisector of a chord in a circle
goes through the center of the circle].
(b) If plane 1 has a strike and dip (RHR) of 084.7, 40.3 and plane 2, 046.3,
70.7, use a stereonet to determine the trends and plunges of the three prin-
cipal stresses.


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 Chapter 6
Faulting and Stress
Introduction
We now have the tools necessary to begin to understand faulting. Faulting is
probably the most important type of deformation in the upper crust of the earth
and, as we’ll see in later chapters, is often accompanied by folding. An earth-
quake is just a single, rapid (i.e., geologically instantaneous) movement on a fault
and induced seismicity are earthquakes cause by humans, often due to subsur-
face pumping of fluids and the interaction of those fluids with pre-existing faults.

Needless to say, these are phenomena of great, and increasing, societal interest!
As you know from the lecture part of your course, a fault is a break or frac-
ture in the rock across which there has been movement parallel to the fault surface.
We know that movement parallel to a surface is called shear and so it won’t come
as a surprise that the shear stress on a fault plane is an important parameter to
quantify. However, as we shall see, the normal stress on a fault plane is equally im-
portant. We now have the ability to analyze these parameters and will do so after a
brief review of fault geometry and the introduction of two additional key concepts:
friction and pore pressure.
CHAPTER 6 FAULTING & STRESS

Mode I! Mode II! Mode III!

(opening) (sliding) (tearing)

Figure 6.1 — The three modes of cracking, with the crack surface colored
red. Mode I cracks correspond to joints or veins because they have open-
ing but no shear. Modes II and III are faults.

Fault Geometry Review

Terminology
Cracks or fractures in a rock can occur in one, or a combination, of three
fundamental modes (Fig. 6.1). In mode I, there is opening perpendicular to the
crack but no shear and we call the resulting geological structure a joint or, if it is
filled with mineral precipitate, a vein. Most faults in the subsurface are approxi-
mately elliptical surfaces that terminate in a tip line (really a loop) which separates
faulted from unfolded (i.e., intact) rock. Depending on the position along the fault
surface, the fault may resemble either a mode II (shearing perpendicular to the tip
line) or a mode III (shearing parallel to the tip line) crack. For example, near where
a dip slip fault dies out along strike, you are likely to see mode III style behavior
whereas in the middle of the fault trace, mode II would be more common.
Faults are classified in a variety of ways (Fig. 6.2). For faults in which the
movement is parallel to the dip direction, they are further subdivided in terms of
whether the hanging wall block moved down (normal faults, Fig. 6.2a) or up (re-
verse faults, Fig. 6.2b). Faults that moved parallel to the strike likewise are subdi-
vided into whether the opposing block (i.e., the one opposite the block the observer
is on) appears to move to the right (Fig. 6.2c) or left (Fig. 6.2c). Of course, few faults
fit these end members exactly and most have combinations of movement parallel to
strike and to dip; these are known as oblique-slip faults.
Faults can also produce a component of rotation of one block relative to the
other. If the two blocks are to remain in contact (a constraint known as strain com-

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CHAPTER 6 FAULTING & STRESS

(a) Dip Slip Faults (b)

Figure 6.2 — Basic end-

member fault types. In
footwall each case, the red arrow is
hanging a slip vector which shows
Normal Reverse
wall the offset of two originally
adjacent points. The slip is
Strike Slip Faults in the dip direction in (a)
(c) (d) and (b), and in the strike
direction in (c) and (d). The
stick figure is holding out
their right arm in (c) and
their left arm in (d).

Right-lateral Left-lateral

patibility, which we will see later on), then only two different orientations of the ro-
tation axis are possible: (a) perpendicular to the fault plane, or (b) parallel to the
fault plane. The latter case is only possible if the fault plane is a curved surface.
Curved fault surfaces where the dip diminishes with depth are known as listric
faults. A rotation axis perpendicular to the plane will produce a scissors fault
(Fig. 6.3).
Planar features like stratification are common in geology and it is tempting to
think that the apparent offset that one sees of such features, either on the surface or
in cross section, represents the actual movement of the fault. We call such apparent
offset of a planar feature separation (Fig. 6.4) The actual vector displacement of

(a) (b)

Figure 6.3 — Rotational faults: (a) listric normal fault where the rotation axis
(in red) is parallel to the curved fault surface. (b) Scissors fault where the rota-
tion axis is perpendicular to the planar fault plane.

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CHAPTER 6 FAULTING & STRESS

(a) strike separation (b)

slip

dip separation

Figure 6.4 — Slip versus separation. (a) Block diagram illustrating an offset planar layer
that contains a linear feature shown as a dashed line. The linear feature intersects the
fault plane in two red points known as piercing points and the slip vector (heavy red ar-
row) connects the piecing points. Note that the strike and dip separation shown are neither
parallel to, nor the same magnitude as the slip vector. (b) schematic map view of a plung-
ing syncline offset by a fault. Note that the strike separation is in the opposite direction on
the two limbs of the fold!

two originally adjacent points across a fault surface is called slip. It is critically im-
portant to distinguish clearly between these two concepts. Separation is not very
useful (e.g., Fig. 6.4b) except when accompanied by independent evidence such as
observation of striations or slickensides on the fault surface. It is seldom possible to
find two originally adjacent points that have been offset across a fault so, instead,
we use offset linear features. A line intersects a plane in a point, and therefore our
offset lines intersect the fault plane in what are known as piercing points. The
slip can be determined if piecing points on the fault surface can be calculated.

Determining Slip from Piercing Points

As we have just seen, separation, al-
As you begin to derive your own
though easy to determine, is not very useful.
functions related to geometry, you
Slip, on the other hand, is incredibly useful for a
may find the web site by Paul
whole range of problems in structural geology. Bourke (http://paulbourke.net)
Slip is most effectively determined from offset very useful. The derivation in this
piercing points of linear features so the question section is modified from an algo-
becomes: how does one determine a piercing rithm on his site.
point, especially given that, in general the pierc-
ing point will either be in the subsurface or in the air and thus not directly observ-
able? The vector methods we learned in earlier chapters come to the rescue for the

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n̂ Figure 6.5 — Calculation of pierc-

ing points, p, in the hanging wall
(hw) and the footwall (fw) of a
p2 fault plane shown as a gray-shad-
p1! ed surface. n is the normal or the
(fw) pole to the fault plane and v is the
p!
(fw) unit vector defined by the trend
v̂
p1! and plunge of the line that pro-
uv̂ (hw)
p! duces the piercing points. Only
(hw) p1, p2, n and v are needed to cal-
culate the piercing points, p.

solution to this problem (Fig. 6.5). To solve this problem, we need to know one
point, p1, on the line with a known trend and plunge that pierces the plane, and
one point, p2, on the plane as well as the strike and dip of the plane. Points p1 and
p2 will usually be points on the surface of the earth or well determined (e.g.,
drilled) points in the subsurface. The line, of course could be any geological feature
that can be identified — fold axis on a particular stratigraphic horizon, the inter-
section of a dike and bedding, the intersection of a stratigraphic horizon beneath
an angular unconformity — as long as we can determine its trend and plunge and
at least one point on each side of the fault plane.
For simplicity’s sake, our derivation only treats one of the two piercing
points. As you can see in Figure 6.5, the dot product of the normal vector, n, and
the vector between the position vectors p2 and p (the point in which we are inter-
ested) is zero because n is perpendicular to all vectors in the plane:

n̂ ⋅ [p − p2] = 0 (6.1)

Point p also occurs along the line that pierces the plane. The vector distance be-
tween p1 and p is u v̂ where v̂ is the unit vector calculated from the trend and
plunge of the linear feature. We can write that:

p = p1 + u v̂ (6.2)

Substituting Equation (6.2) into (6.1) and rearranging, we get:

n̂ ⋅ [p1 + u v̂] = n̂ ⋅ p2 (6.3)

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CHAPTER 6 FAULTING & STRESS

And solving for u we have:

n̂ ⋅ [p2 − p1] n1 (p21 − p11) + n 2 (p22 − p12) + n3 (p23 − p13)

u= = (6.4)
n̂ ⋅ v̂ n1v1 + n 2 v2 + n3v3

There is one special case that will result in an error: if the pole to the plane is per-
pendicular to the line then the denominator of (6.4) will be zero. This means that
the line is parallel to the plane and either does not intersect it at all or lies within
the plane and there are an infinite number of intersections! Once we know the
scalar u, we can substitute it into Equation (6.2) and solve for the piercing point, p:

p1 = p11 + uv1; p2 = p12 + uv2; p3 = p13 + uv3 (6.5)

We can repeat this process for the piercing point on the other block of the
fault. Note that the trends and plunges of the lines on the two sides of the fault do
not have to be equal to each other, thus accounting for faults across which there has
been rotation. The final slip magnitude on the fault is just the magnitude of the
vector connecting the two piercing points:

(p (h w)1 − p ( f w)1) + (p (h w)2 − p ( f w)2) + (p (h w)3 − p ( f w)3)

2 2 2
slip = (6.6)

Where p(hw) is the piercing point in the hanging wall and p(fw) is the offset piercing
point in the footwall (Fig. 6.5). A sample calculation is shown in the spreadsheet in
Figure 6.6. The expanded equation in the spreadsheet is the realization of Equa-
tion (6.4). The only special note is that one must remember to calculate the direc-
tion cosines of the trend and plunge of the line and the pole to the plane in East-
North-Up coordinates rather than North-East-Down. The formula for Equation
(6.6) is in cell B12 of the spreadsheet.
Note that the calculation we have just done can be used for a variety of other
useful tasks in geology. For example, you could use this same approach to deter-
mine the distance that you would need to drill along a particular trend and plunge,
starting at some point on the surface, to intersect a fault plane, knowing nothing
more than the strike and dip of the plane and a single well determined point on the
plane. The scalar distance, u, is given by Equation (6.4).

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CHAPTER 6 FAULTING & STRESS

Figure 6.6 — spreadsheet to calculate the slip on a fault, given the strike and dip of the
fault plane and a position vector of a point in the fault plane (p2), and the trend and
plunge of a line in the hanging wall and footwall, position vectors somewhere along
those lines, and the trends and plunges of the lines. In this example, we have assumed
that the trend and plunge of the line on either side of the fault is the same but that is
not necessary. The calculation of the scalar quantity, u, has been expanded for view.

Stress and Faulting

Faulting occurs when the yield stress of a material is exceeded and the mate-
rial fails locally. Ductile failure is an extremely important process in geology but we
are going to leave it for a later chapter. In this chapter, we are only concerned with
brittle failure, friction, reactivation, and the influence of fluid pressure in the pores
of the material. Thus, the material here corresponds to the upper 10±5 km of the
Earth’s crust, an area of particular interest for humans because of earthquakes, as
well as exploitation of the subsurface for resources (hydrocarbons, water) and stor-
age of waste (e.g., water water, carbon sequestration, etc.). There are two separate
questions: (a) what are the macroscopic conditions under which a rock will break?
and (b) under what conditions will preexisting fractures be reactivated? Pore fluid
pressure will be important in both cases, but we will first examine the case without
pore pressure.

Failure in the Brittle Realm

You have, no doubt, in the lecture part of your structural geology course
been introduced to the concept of a failure envelope. This envelope is most often
depicted on a plot of shear stress versus normal stress as a line, symmetric about
the normal stress axis, with several distinct parts (Fig. 6.7). A combination of nor-
mal and shear stress that lies outside of the envelope is one that will cause the ma-

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CHAPTER 6 FAULTING & STRESS

terial to fail whereas those inside the envelope are stable. The important points on
the failure envelop are: To — tensile strength; 1. transitional-tensile behav-
ior; So — cohesive strength; 2. Coulomb failure; and 3. von Mises failure.
The last of these is equivalent to ductile failure and will not be discussed further in
this chapter. The field of Coulomb behavior is the most important for upper crustal
faulting whereas tensile strength and transitional-tensile behavior are most impor-
tant for near surface jointing or for cases of small differential stress —
Δσ = σ1 − σ3 — and large pore fluid pressures, Pf. We will start with Coulomb fail-
ure, the linear part of the envelope.
For Coulomb failure, only the σ1-σ3 part of the Mohr’s circle matters be-
cause, in plane strain, planes parallel to σ2 will always fault before planes in other
orientations (except for the cases where σ2=σ3 or σ2=σ1). At failure, the Mohr’s circle
touches the failure envelope in two places (Fig. 6.8). Somewhat paradoxically at first
glance, the plane that actually breaks is not the plane at 45° to σ1 which has the
maximum shear stress, τmax, on it! Instead, there are two potential conjugate fault
planes with their poles at angles of θ = ±(45+φ/2) to σ1. φ, the angle of internal
friction, is the slope of the Coulomb part of the failure envelope and tan(φ) = μ =
Δτ/Δσn is the coefficient of internal friction. The complete equation for the
Coulomb part of the failure envelope is:

τ or σ(s)
3. von Mises failure

u re φ
b fail
lo m
C ou
2.

So Figure 6.7 — The anatomy of the

1.
failure envelope, plotted on axes
of shear stress (vertical axis) and
σ3 σ2 σ1 σ(n) normal stress (horizontal axis).
To The Mohr’s circle for stress is
also shown.

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CHAPTER 6 FAULTING & STRESS

τ = σs = So + σn μ (6.7)

Where So is the cohesion, essentially the shear strength of a material under zero
normal stress load. The reason why the plane with τmax does not fault is that it has
much higher normal stress on it than the plane that does fault. We call this balance
between shear stress and normal stress friction.
Equation (6.7) is written in terms of the normal and shear stress at failure
but there are times when we want to know the Coulomb failure criterion in terms
of the principal stresses. There are several ways to achieve this result. For example,
you could substitute Equations (5.25) into (6.7) or you can do a simple graphic con-
struction based on the Mohr’s Circle and Coulomb failure envelopes. The failure
criterion in terms of the principal stresses is (Eqn. 6.8):
1 + sin ϕ
σ1 = Co + Kσ3 where K= and Co = 2So K (6.8)
1 − sin ϕ

Reactivation of Pre-existing Planes of Weakness

The upper crust of the earth is anything but homogeneous and isotropic:
even a casual glance at any outcrop will reveal numerous pre-existing planes of
weakness. The rocks are beset with fractures — both joints and faults — in a vari-
ety of orientations and stratification itself can commonly represent a significant an-

σ(s)
φ

τmax
τ 1

50 Figure 6.8 — Coulomb failure. The

φ
So Mohr circle intersects the failure enve-
2θ
lope in two places (two red dots) so two
different conjugate planes are equally
σ(n)
To σ3 σn 50 100 σ1 likely to fracture in shear. φ is the angle
of internal friction and θ is the angle
between the pole to the fault plane and
σ1.

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CHAPTER 6 FAULTING & STRESS

isotropy. These pre-existing planes of weakness commonly have little or no cohe-

sion and, because the fracture is already there, the coefficient of static friction
on the plane, μs, is different than the coefficient of internal friction. Thus, the fail-
ure envelope is different for pre-existing fractures than for Coulomb failure. The
formula for the failure envelope for slip on preexisting planes is:

τ = μs σn (6.9)

As you can see in Figure 6.9, the Mohr’s Circle crosses the envelope for fail-
ure along pre-existing planes with zero cohesion but does not touch the Coulomb
part of the failure envelope for intact rock. Just because it crosses the pre-existing
failure envelope, however, does not mean that failure will actually occur; the preex-
isting weak planes must lie within a range of orientations defined by the intersec-
tions. In the case of Figure 6.9, the poles to the preexisting planes must be oriented
between 48.75 and 79.25° to σ1 (of course, the doubles of those angles are what’s

σ(s) –1
ure tan μs σ1
ail
m bF
50 ulo 79.25°
Co 48.75°

2θ = 97.5°

2θ = 158.5° σ(n)
σ3 50 100 σ1

red dot
corresponds
to this plane

range of orientations
of reactivated faults

Figure 6.9 — Left: Mohr’s circle for stress and failure envelopes for preexisting frac-
tures (in red) and for Coulomb failure. The circle intersects the preexisting fractures
envelope but not the Coulomb failure envelope. Planes with normal and shear stress
that plot in the pink region will be reactivated. Right: the physical orientation of σ1
and the range of orientation of potential planes (in cross-section view so they appear
as lines) that will be reactivated under these stress conditions in the shaded pink re-
gion. The red plane on the right corresponds to the red dot in the Mohr diagram on
the left.

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CHAPTER 6 FAULTING & STRESS

plotted on the Mohr’s Circle). In the rectangular rock sample on the right hand side
of Figure 6.9, the regions where reactivation will occur are shown in pink color. If
there are no weak planes with those orientations, then failure will not occur. If
there are (e.g., the plane represented by the red dot), and loading occurs slowly
enough, the failure on existing planes will relieve the stresses and prevent them
from getting large enough to cause new faults to form.
A geologist at the U.S. Geological Survey, James Byerlee (1978), summarized
a large amount of experimental data on rock friction and demonstrated that, to a
first order, μs, is independent of rock type (Fig. 6.10). For a wide variety of rock
types, the data show that:

τ = 0.85σn for σn ≤ 200 MPa and τ = 0.5 + 0.6σn for σn > 200 MPa (6.10)

The only significant deviations in Byerlee’s data are rocks composed of the clay
minerals, illite, vermiculite, and montmorillonite. However, these clay minerals are

Figure 6.10 — Ex-

perimental data
summarized by
Byerlee (1978)
showing that μs is
commonly relative-
ly independent of
rock type.

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CHAPTER 6 FAULTING & STRESS

σ(s)
50

1
Figure 6.11 — Mohr’s Circle
and failure envelopes in the
presence of pore fluid pres-
Pf Pf σ(n)
sure, Pf (blue circles and ar-
rows). The initial stress state
50 σ*1 100 σ1
in the absence of pore pressure
is shown as light gray circles
which do not intersect either
failure envelope.

commonly found in fault gouge. This relationship has become known as Byerlee’s
“Law” even though it is just an empirical relationship.

The Effect of Pore Fluid Pressure

One of the most important controls on the strength of rocks in the upper
crust is the pressure of fluid in the pores of the rocks. A fundamental property of
fluids is that they cannot support any shear stress in any direction. Thus, every
plane in a fluid is free of shear stress and thus every direction in a fluid is a princi-
pal stress direction. This is known as a spherical state of stress because the
stress, or pressure, is the same in every direction. Because pressure in the pores of
the rock pushes outward in every direction, it affects the normal stress but not the
shear stress. Thus, we can write the effective stress tensor as:

(σ11 − Pf) σ12 σ13

σ*
ij
= σ21 (σ22 − Pf) σ23 (6.11)

σ31 σ32 (σ33 − Pf)

where Pf is the pore fluid pressure. This has a profound effect on the deformation,
most easily illustrated with the Mohr’s Circle (Fig. 6.11). The differential stress, σ1–

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CHAPTER 6 FAULTING & STRESS

σ3 or the diameter of the circle, is unaffected by pore pressure but the entire circle is
shifted to the left because the normal stresses are reduced. Thus a rock which exists
in a stable stress state without pore pressure can be made to fracture, or slip on pre-
existing weak planes, simply by raising the pore fluid pressure. All of our failure cri-
teria in Equations 6.7, 6.8, and 6.9 really ought to be written in terms of effective
normal stresses. For example, Coulomb failure should be written:

τ = σs = So + (σn − Pf) μ = So + σ*
n μ (6.12)

This process is known as hydraulic fracturing, sometimes referred to by

the increasingly pejorative term “fracking”, the new f-word in environmental poli-
tics. Many natural processes can produce elevated pore pressure which can lead to
natural hydraulic fracturing. Many human enterprises — water well improvement,
oil and gas development, enhanced geothermal, carbon sequestration — also either
rely on hydraulic fracturing (commonly referred to as stimulation), or inadver-
tently weaken the rock while storing fluids in the subsurface (waste water storage,
carbon sequestration). Weakening of pre-existing buried fault zones has been im-
plicated in human induced seismicity as you will see in the exercises.
An important parameter for many studies is the pore fluid pressure ratio,
λ, a term first introduced by Hubbert and Rubey (1959). This ratio is defined as:
Pf
λ= where Plithostatic = ρ̄rock gz (6.13)
Plithostatic

where ρ̄rock is the average density of the rocks. λ varies between 0 and 1; when it
equals 1, the pore fluid pressure is high enough to support the weight of the overly-
ing column of rock. In natural settings such as the Gulf Coast or the Barbados ac-
cretionary prism, values of λ approaching 1.0 have been measured. Hydrostatic
pressure is the weight of a column of fluid in the interconnected pores in a rock.
In that case, λ = 0.4, assuming an upper crustal rock density of 2500 kg×m–3.

Calculating the Normal and Shear Stress Vectors on any Plane

Clearly, from all of the preceding discussion, the normal and shear stress vec-
tors on a plane is a fundamental parameter to determine. In Chapter 5, we saw

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CHAPTER 6 FAULTING & STRESS

N
co
s –1
a1
Figure 6.12 — the coordinate
1 t systems used to calculate nor-
s mal and shear stress on a plane
(black great circle). The first is
the North-East-Down (NED)
σ1 co
s –1 system, the second is defined
a1
–1 c 11 –1 a 13
2 by the principal stresses (in
cos red), and the third is the fault
σ3 co
s
plane system (nbs) in blue.The
E
cos c13

direction cosines of the new

D
–1

coordinate system in the old

coordinate system define the
n transformation between the
two. “t” is the traction vector
cos –1 on the plane, which is coplanar
c 12 b with the pole (n) and the slip
σ2 vector (s) on the plane.

how to calculate stress on a plane for a special case where the principal stresses
were parallel to the axes of our coordinate system. Here, we tackle the more gener-
al case where the principal stresses, and the plane, can have any orientation. This
general case is depicted in Figure 6.12.
There are three coordinate systems and thus two transformations. We start in
our usual NED coordinate system because the orientations of the principal stresses
and planes are specified by their trend and plunge or strike and dip. The second
coordinate system is defined by the principal stresses. The first transformation ma-
trix, a, is composed of the direction cosines of the principal stresses in the NED
coordinate system (Fig. 6.12). The third coordinate system is defined by the pole to
the plane, n (X′′1), the slip direction on the fault plane, s (X′′2), and null or b axis
(X′′3), on the fault plane. The second transformation matrix, c, is given by the di-
rection cosines of nbs in the principal stress coordinate system. Here are the steps
to calculate the normal and shear stress orientations and magnitudes on the plane
of interest:

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CHAPTER 6 FAULTING & STRESS

1. Calculate the direction cosines of the principal stresses, and the pole
to the plane, in the NED coordinate system (i.e., X1X2X3). We assume
that the trends and plunges of the three principal stresses are already
known, so we can just use the equations in Table 2.1 of Chapter 2.
Let’s assume the those trends and plunges are labeled trdσi and plgσi
where “i” is the number of the principal stress (e.g., trdσ1 is the trend
of σ1, etc.):

cos (t r dσ1) cos (plgσ1) sin (t r dσ1) cos (plgσ1) sin (plgσ1)
aij = cos (t r dσ 2) cos (plgσ 2) sin (t r dσ 2) cos (plgσ 2) sin (plgσ 2) (6.14)
cos (t r dσ3) cos (plgσ3) sin (t r dσ3) cos (plgσ3) sin (plgσ3)

2. Transform the pole, n, into the principal stress coordinate system 


(X′1X′2X′3). We use our standard vector transformation to accomplish
this:

ni′ = aij nj (6.15)

where nj are the direction cosines of the plane in the NED coordinate
system and aij is the transformation matrix composed of the direction
cosines of the principal stresses calculated in Equation (6.14).
3. Calculate the traction vector, t, in the principal stress coordinate sys-
tem using Cauchy’s Law (Eqn. 5.23). Because we are in the principal
stress coordinate system, the stress tensor has the form:

σ1 0 0
σij′ = 0 σ2 0 (6.16)
0 0 σ3

ti′ = σij′nj′ (6.17)

Where n′j is the pole direction cosines calculated in Equation (6.15).

4. Calculate b' and s' in stress coordinates from the following cross
products (from Eqn. 2.8):

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CHAPTER 6 FAULTING & STRESS

b′ = n′ × t′ = [(n 2′t3′ − n3′t2′)(n3′t1′ − n1′t3′)(n1′t2′ − n 2′t1′)]

(6.18)
s′ = n′ × b′ = [(n 2′b3′ − n3′b2′)(n3′b1′ − n1′b3′)(n1′b2′ − n 2′b1′)]

Because t′ is not a unit vector, b′ and s′ are also not unit vectors. We
need to convert these to unit vectors by dividing by their magnitude
in order to use them as the second transformation matrix, c.

n1′ n 2′ n3′
b1′ b 2′ b 3′
cij = b b b (6.19)
s1′ s3′ s3′
s s s

Note that, unlike b′ and s′, we don’t need to divide n by it’s magni-
tude because n is already a unit vector.
5. Transform t′ into the fault coordinate system using the transformation
matrix, c.

t" i′′ = cij tj′ (6.20)

In this coordinate system, t′′1 is the normal stress magnitude on the

plane and t′′3 is the shear stress magnitude. We could do this step us-
ing a tensor transformation, but we have already calculated the trac-
tion vector so we do this simpler calculation that is easy to implement
in a spreadsheet.
6. Of course, we want to know the orientations of the shear stress vector
(we already know the orientation of the normal stress because it is
parallel to the pole to the plane). We already know s′ in the principal
stress system so we can use a reverse transformation from that system
to the NED system using the transpose of the transformation matrix,
aT. Assuming that we have calculated s′̂ in Equation (6.19), the for-
mula for getting the orientation of the shear stress on the fault plane
is:

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CHAPTER 6 FAULTING & STRESS

s" i = aji sj′ (6.21)

Note that the indices of a have been switched in Equation (6.21) because it
is a reverse transformation (old coordinates in terms of new).
7. The final step is to convert the direction cosines of s from Equation
(6.21) back into trend and plunge format. At this point, you have had
lots of practice with that but if you have forgotten, check out Equa-
tions (2.11).
The spreadsheet that accomplishes all of these steps is shown in Figure 6.13. It has
been set up for the same plane and principal stress orientations as shown in Figure
6.12. When you enter principal stress orientations in a spreadsheet, make sure that
the three axes are perpendicular to each other! This can be accomplished with a
stereonet program. Programs such as MohrPlotter ensure that the axes are orthog-
onal by only allowing you to enter the truly independent parameters. This may
seem to be a particularly tedious calculation, but as you will see in the Exercises, it
is very powerful with a lot of practical importance for serious issues of our times.

Figure 6.13 —
The spread-
sheet to calcu-
late the normal
and shear
stress on a
plane of any
orientation,
given a ran-
domly orientat-
ed set of prin-
cipal axes.

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CHAPTER 6 FAULTING & STRESS

The Principal Stress Ratio

There is one final issue that is important for understanding the relationship
between stress and faulting: the importance of σ2 relative to σ1 and σ3. This rela-
tionship is called the principal stress ratio and it takes the form of:

σ2 − σ1 c c
R= = 13 23 (6.22)
σ3 − σ1 c12 c22

Remarkably enough, this ratio depends on nothing more that the direction cosines
of the second transformation matrix, c, as you can demonstrate to yourself by cal-
culating R from c in Figure 6.14. R varies between 0 and 1; when R = 0, σ2 = σ1
and when R = 1, σ2 = σ3. For planes that are not parallel to a principal stress, R can
have a very significant effect on whether or not the plane is likely to be reactivated
— because the magnitude (but not the orientation) of the normal stress on the
plane varies with R — as well as the orientation of shear stress on the plane. Be-
cause R is a function of the direction cosines of c, it is the one additional parame-
ter that can be determined when fault planes or earthquake focal mechanisms are
inverted for principal stress orientations.

R=0
Figure 6.14 — The variation in orienta-
tion of shear stress resolved on a plane
with change in the parameter, R. The
σ1 magnitudes of σ1 and σ3 are held fixed
R=1
σ3 and the only thing that varies is the mag-
nitude of σ2. The fault plane and orienta-
tion and magnitudes of the stresses are
the same as in Figures 6.12 and 6.13. The
blue dot at R = 0.6 is the actual value cal-
n culated in Figure 6.13. In this case, the
variation in shear stress on the plane is
about 40°; with other geometries the
variation can approach 90°.
σ2

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CHAPTER 6 FAULTING & STRESS

Although we will not do a full inversion for stress in this course, it is a com-
mon calculation amongst structural geologists and geophysicists. Some authors use
a different formulation of the principal stress ratio:
σ2 − σ3
Φ= (6.23)
σ1 − σ3

Thus, 𝚽 = 1–R. As we’re talking about inverting fault planes and earthquakes for
stress, we should wrap up this section with a note of caution. All methods to do this
calculation have two assumptions in common: (a) that faults slip in the direction of
maximum resolved shear stress on the plane, and (b) that the stress orientation and
magnitude does not vary during the faulting. Both of these assumptions require
careful evaluation as there are many instances where they could be questioned. In a
subsequent chapter, we will see a simpler approach to analyzing faults using in-
finitesimal strain.

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CHAPTER 6 FAULTING & STRESS

Exercises—Chapter 6
All of the following exercises should be done either in a spreadsheet or Matlab. You
will need the MohrPlotter program that you downloaded last week for some of the
exercises.

1. The map, below, is a modified version of the Mystic Lake Quadrangle. The ob-
jective is to calculate the slip on the unnamed fault that crosses the image and
has a strike and dip of 299, 38 (RHR). Coordinates of three points are given,
one on the fault plane and the others on the fold axis at the contact between
Kmt and Kk in the hanging wall and the footwall. Southwest of the fault, the
fold axis has a trend and plunge of 056, 25 and to the northeast it is 042, 12.
Construct a spreadsheet (or use Matlab) to calculate the slip on the fault as in
Figure 6.5, using Equations 6.4 and 6.5.

18199, 47815, 6126

Fold axis trend &
plunge: 042, 12

Fold axis trend &

plunge: 056, 25
18982, 47749, !6137

16699, 47224, 6515 Fault strike & dip

(RHR): 299, 38

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CHAPTER 6 FAULTING & STRESS

2. Principal stresses are shown below in a North-East-Down coordinate system.

They have the following values and their orientations are known in the stere-
onet, below. You can check your answer in MohrPlotter but must do the prob-
lem in a spreadsheet or Matlab:

fault plane
σ₁ (=50.0)

Stress Trend Plunge Magnitude

s = shear

σ1 20 30 50 stress on
plane
σ₂ (=30.0)

σ2 255.8 44.2 30
σ3 130 31 10
N=pole to plane
σ₃ (=10.0)

a. Calculate the orientation and magnitude of the shear stress on the plane
which is oriented 307, 50 as outlined in this chapter or following the steps in
section 6.5 of Allmendinger et al. (2012). You do not have to do the tensor
transformation described in section 6.5.5; instead, transform the traction
vector, t, into the fault plane coordinate system. Note: stresses, above, define
a left-handed coordinate system but you want a right handed system!
b. Part (a) uses a principal stress ratio of 0.5; try the problem again using values
of 0.1 and 0.9 to see how that affects the orientation of the shear stress on
the plane.

3. A geologist measures 8 conjugate faults in a region; the strikes and dips are list-
ed, below. All have normal displacement.
090.0 68.6 S 083.1 66.0 S
088.4 52.6 S 097.1 64.3 S
304.4 68.3 N 311.6 58.0 N
298.7 57.6 N 296.5 69.6 N

a. Determine the orientation of σ1, σ2, and σ3 from these data. Be as accurate
as possible
b. What are the angle and the coefficient of friction for this data set?

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 -98.5 °-98.0 °-97.5 °-97.0 °-96.5 °-96.0 °
37.5 ° 37.5
CHAPTER 6 FAULTING & STRESS

4. The state of Oklahoma has seen a

37.0
very substantial increase in induced° 37°
-98° -97° Kansas
37.0
Oklahoma
seismicity since 2005 as large vol-
umes of waste water related to con-
ventional oil production have been
36.5The
reinjected into the subsurface. ° 36.5
map to the right shows known faults
in red, injection wells in black target
circles scaled by injection volume
and earthquakes in blue. The red
36.0 ° 36° 36.0
star labeled OKC is Oklahoma City.
Earthquake and in situ stress mea-

N em
surements suggest that, at 3 km

ah a
depth (most of the seismicity occurs
35.5

Faul
between 2 and 4 km depth) 35.5 σ1 is°

t
OKC
horizontal and trends 070, σ3 is also
horizontal and trends 340, and σ2 is
vertical and equal to the lithostatic 0 20 40 60 80 100
load, for which you can 35.0
assume °a 35° km 35.0
density of 2500 kg m . The faults
–3

are high angle reverse faults; their

detailed dips are poorly know but for this problem we will assume that they dip
70°. A downloadable data 34.5 34.5
° orientations of about 40 faults can be found
file with
on the course web site. This problem will also require your use of MohrPlotter.
-98.5 ° -98.0 ° -97.5 ° -97.0 ° -96.5 ° -96.0 °
(a) The magnitudes of the principal stresses, especially σ1 and σ3, are not well
known. You should calculate σ2 assuming that it is equal to the lithostatic
load. Assume that σ1 = 100 MPa and σ3 = 40 MPa.
(b) Open MohrPlotter and enter the stresses and their orientations as described
above in the stress tensor window (Calculate>Enter as Tensor). To complete
the entry, press the Calculate button. In the MohrPlotter Window, enter the
coefficient of static friction of 0.85 which corresponds with Byerlee’s law for
these depths. Choose File>Import Planes to read in the data file on fault
plane orientations that you downloaded from the course Web site. You will
probably want to turn off plotting of construction lines (Plot>Show Con-
struction Lines is unchecked). In the Inspector Palette (Window>Inspector),
select the Envelopes & Points tab and make sure that the slip tendency
checkbox is checked. Slip tendency will color the fault planes both in the
stereonet view and the Mohr’s Circle view according to how likely the fault
is to slip under these conditions: the warmer (i.e., more red) the color, the

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CHAPTER 6 FAULTING & STRESS

more likely slip is to occur. Once you have done all that, does any plane ap-
pear that it will slip (and produce an earthquake) under these circumstances?
(c) Now use the up-arrow next to the “P(fluid) =” text box to increase the pore
fluid pressure gradually. Watch both the Mohr Circle plot and the stereonet
view to see how the color of the planes changes as the pore fluid pressure
increases. When the pressure reaches hydrostatic (which you will need to
calculate), stop increasing the pore fluid pressure. Save your plot to print and
turn in. The program saves plots as .svg files that can be read by most mod-
ern vector graphics programs. SVG files can also be displayed and printed at
high resolution by opening them in any web browser.
(d) Which faults are highly susceptible to reactivation? What are their orienta-
tion(s) and how do they compare to the streaks of seismicity visible in the
map that accompanies the beginning of this question?
(e) The Nemaha fault which runs right next to Oklahoma City has some of the
largest injection wells located right along it’s trace. Given the length of the
fault, it would be capable of generating a large, destructive earthquake.
What is the likelihood that it will be reactivated and why?
(f) A group of large injection wells are located along faults immediately south
of the Kansas-Oklahoma border, and yet they do not appear to be associat-
ed with significant seismicity. Why is that the case and does that mean that
companies can continue to inject waste water there with impunity?

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 Chapter 7
Deformation and Infinitesimal Strain
Introduction
In this chapter, we turn our focus to deformation — the quantification of
changes in shape and/or volume of a rock, plus any associated translations and ro-
tations — that is the bread and butter of most structural geologists. It will be a sig-
nificant departure from the topics of the last two chapters in several fundamental
ways: stress is an instantaneous property that exists only in the instance that the

force is applied. Deformation, on the other hand, still exists in rocks hundreds of
millions, or even billions, of years after the associated stresses have dissipated. De-
formation is also cumulative: one can superpose many episodes of deformation
produced by completely unrelated geologic events. Finally, because deformation
represents a change in shape or size, it is a comparison between two different states,
an initial and a final state of the material. Eventually, we will have to come to grips
with the fact that these represent two possible reference states. Whenever we con-
sider the change in some property, we are really talking about mathematical deriva-
tives: local slopes along a curve of a continuous function. In our case, we will be
looking at the change in position, or the change in displacement, with respect to
position.
CHAPTER 7 INFINITESIMAL STRAIN

Strain

One Dimensional Measures of Strain

A structural geologist can make three different types of measurements in or-
der to quantify strain: changes in line length, angles, or volumes. In the discussion
that follows, we’ll use a capital “X” to indicate the coordinate of a point in the ini-
tial state (the material coordinate system) and a small “x” for the final state
(the spatial coordinates, implicitly at time, t). We’ll start with the change in
length of a line. As you can see in Figure 7.1, the initial and final lengths of the line
are:

ℓi = Xb − Xa = ΔX and ℓf = xb − xa = Δx (7.1)

Thus, the stretch, S can be defined as:

ℓf Δx
S= = (7.2a)
ℓi ΔX

ℓi ΔX
s= = (7.2b)
ℓf Δx

The initial length, ℓi, in the denominator of Equation (7.2a) means that the initial
state is the reference state. In (7.2b), ℓf occurs in the denominator so the final state
is the frame of reference. Another way to describe this deformation is by looking at
the displacement, u, of the end points of the lines:

Xa Xb xa xb

ua
ub

Figure 7.1 — The change in length of a line. The initial state is shown in
blue with capital “X”s and the final state in red with small “x”s. ua and ub
are the displacements of the end points of the line.

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CHAPTER 7 INFINITESIMAL STRAIN

ua = xa − Xa and u
" b = xb − Xb (7.3)

And the change in displacement, Δu, is:

Δu = ub − ua = (xb − Xb) − (xa − Xa) = (xb − xa) − (Xb − Xa) = ℓf − ℓi = Δℓ (7.4)

Thus, the extension, E or e, can be defined as the change in length over the initial
length (an initial state frame of reference) or the final length (a final state frame of
reference):
ℓf − ℓi Δℓ Δu
E
" = = = (7.5a)
ℓi ℓi ΔX

ℓf − ℓi Δℓ Δu
e" = = = (7.5b)
ℓf ℓf Δx

Now let’s turn our attention to changes in angles and to do so we need to

bring a second dimension which we will (temporarily) call Y and y. Consider a line
initially perpendicular to the X direction that is displaced in the X direction by an
amount that varies with the distance, or length, ΔY (Fig. 7.2). We can write:

ua = xa − Xa and ub = xb − Xb

" = ub − ua = (xb − Xb) − (xa − Xa) = (xb − xa) − (Xb − Xa)
Δu (7.6)

But, (Xb – Xa) = 0, so Δu = (xb − xa)

We define the shear strain, γ, and the angular shear, ψ, as:

ub
Xb, Yb
xb, yb

Figure 7.2 — the change in angle of a line that

ψ is originally perpendicular to the X-axis and
the displacement, u.

ua
Xa, Ya xa, ya

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CHAPTER 7 INFINITESIMAL STRAIN

( ΔY )
Δu Δu
γ = and " = tan−1
ψ (7.7)
ΔY

As we will see a bit later, γ as defined in Equation 7.7 is actually known as the en-
gineering shear strain to distinguish it from a similar but distinct quantity
known as the tensor shear strain.

Three Dimensional Deformation

Now it is time to extend these concepts to three dimensions. The ratios in
Equations (7.2) and (7.5) are gradients of change in position with respect to the
new or old position and gradients of displacement with respect to position. In an
arbitrarily deformed body, these should vary in the three directions of our Carte-
sian coordinate systems. That is:
Δx ∂x Δu ∂u
= lim i = Dij and = lim i = Eij (7.8)
ΔX ∂Xj ΔX ∂Xj

where Dij is the deformation gradient tensor and Eij is the displacement
gradient tensor. The equations in (7.8) are referenced to the initial state and, as
you might expect, there are equivalent forms referenced to the final state. We need
to use partial derivatives because the displacement is a function of gradients along
the three axes of the coordinate system.

Q′

Δui
Q
ui

Δxi
ΔXi
Figure 7.3 — The deformation of line PQ
in undeformed state (in blue) to P′ Q′ in the
Q
final state (in red).
ΔXi P
Q ui
Xi

P
P
Xi

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CHAPTER 7 INFINITESIMAL STRAIN

Figure 7.3 shows a more general case. The difference in displacement vectors
is:
∂ui Q ∂u ∂u ∂u
Δui = Qui − Pui = Xj − i PXj = i (QXj − PXj) = i ΔXj (7.9)
∂Xj ∂Xj ∂Xj ∂Xj

Thus, we can write:

∂ui ∂ui
Δui = ΔXj = Eij ΔXj or dui = d X = Eij d Xj (7.10)
∂Xj ∂Xj j

We can integrate the right side of equation (7.10) to yield a general expression for
the displacement at any position:

∫ ∫
dui = Eij d Xj ⇒ ui = ti + Eij Xj (7.11)

where u is the displacement vector at position X, and t is a constant of integration

that represents the displacement of a point at the origin of the coordinate system.
This equation holds as long as the strain is homogeneous; that is, Eij is the same
throughout the deformed body. Because Equation (7.11) represents three linear
equations, it follows that a line that is straight before deformation will also be straight after the
deformation; likewise parallel lines in the initial state will remain parallel in the final state.
Just as we did for the displacement gradient tensor, the relationships depicted
in Figure 7.3 can also be used to derive an expression for mapping points in the ini-
tial state into the final state:
∂xi Q ∂x ∂x ∂x
Δxi = Qxi − Pxi = Xj − i PXj = i (QXj − PXj) = i ΔXj = Dij ΔXj (7.12)
∂Xj ∂Xj ∂Xj ∂Xj

Once again, assuming homogeneous strain, we can integrate both sides of the
equation to get:

∫ ∫
d xi = Dij d Xj ⇒ xi = ci + Dij Xj (7.13)

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CHAPTER 7 INFINITESIMAL STRAIN

X2, x2

u1
(X1, X2)
u2
(x1, x2)

X1, x1

Figure 7.4 — The displacement of points in an initial circle depend on their initial posi-
tions. Overall, the circle deforms to an ellipse. Note that the arrows represent finite dis-
placement and not the path that the point follows.

Where x is the new position, X is the old position, and c is a constant of integra-
tion that represents the coordinates of a point initially at the origin of the coordi-
nate system.
Recall that a second order tensor is a linear vector operator. The displace-
ment gradient tensor relates the displacement of a point to its position, whereas the
deformation gradient tensor relates the position in the initial state to the position of
the same point in the final state (Fig. 7.4). If we know the tensor, then the displace-
ment of the point and it’s new position can be calculated from Equations (7.11) and
(7.13). All of the equations that we have developed so far hold for any
magnitude of deformation. To understand the nature of these tensors, and ex-
plore some common applications, some simplifying assumptions are in order.

Infinitesimal Strain
If we assume that the distortions are small, a number of simplifications can
be made. At the most basic level, a small or infinitesimal strain assumption
permits us to consider that the initial and final states are identical, thus cutting in
half the number of tensors to worry about. Additional benefits will become appar-

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CHAPTER 7 INFINITESIMAL STRAIN

X2, x2
M'

Q'
θ ∆u2 Figure 7.5 — The deformation of two lines
M
P' ∆X1 ∆u1 originally perpendicular to the axes of the
coordinate system.

Q
P ∆X1
X1, x1

ent, below, but first let’s take a closer look at the components of the displacement
gradient tensor, Eij.
It will probably come as no surprise the values along the principal diagonal,
E11, E22, and E33 represent the extensions of lines that are parallel to the corre-
sponding axes. The off-diagonal components are more interesting, which will be
illustrated by examining a special case in two dimensions (Fig. 7.5). From the geom-
etry, you can see that:
Δu 2
tan θ = (7.14)
ΔX1 + Δu1

and by making our infinitesimal strain assumption, you can see that ΔX1 ≫ Δu1.
Thus, we can write that:
Δu 2
tan θ ≈ (7.15)
ΔX1

For very small angles, the tangent of an angle is equal to the angle itself measured
in radians, so we can further write:
Δu 2 ∂u
θ≈ = 2 = E21 (7.16)
ΔX1 ∂X1

Thus E21 is the counterclockwise rotation of a line parallel to the X1 axis towards
the X2 axis. Likewise, E12 would be the clockwise rotation of a line parallel to the
X2 axis towards the X1 axis. The first subscript indicates the axis that the rotation is
towards and the second subscript indicates the axis to which the line is, initially,

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CHAPTER 7 INFINITESIMAL STRAIN

X2, x2 M'
! if ! is small, ∆u1 → 0
Q'
!
P' M Q' Figure 7.6 — The pure rota-
!
∆u2 tion of two perpendicular vec-
∆X1 tors parallel to the axes of the
P
Q
coordinate system.
!
∆X1

X1, x1

parallel. Note that the E21 + E12 combined equal the change in angle, or shear strain,
of two lines initially at 90° to each other. They are tensor shear strain compo-
nents and each is equal to one-half of the engineering shear strain of Equation
(7.7).
There is one more thing to learn about the displacement gradient tensor
and, by extension, the deformation gradient tensor as well. Again, we’ll examine a
special case (Fig. 7.6). As in Figure 7.5, there are two vectors in the initial, unde-
formed configuration that are parallel to the coordinate axes. This time, however,
we introduce a pure rotation by a small angle, φ, with no deformation; that is, the
vectors P′ Q′ and P′ M ′ are still perpendicular after the rotation. You can see that:
Δu1 Δu 2
E11 = =0 and E21 = = tan ϕ ≈ ϕ (7.17)
ΔX1 ΔX1

Likewise, E22 = 0 but E12 = –φ because it is also a counterclockwise rotation even

though positive E12 should be a clockwise rotation. Thus our two dimensional dis-
placement gradient tensor for the case of pure rotation is:

[ϕ 0 ]
0 −ϕ
Eij = (7.18)

We’ve just learned two really important things: First, the displacement gradient
tensor is an asymmetric tensor (because –φ ≠ φ), and second, the tensor in-
cludes both strain and rotation.
Any asymmetric matrix can be additively decomposed into a symmetric ma-
trix and an antisymmetric matrix. An antisymmetric matrix has zeros along the

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CHAPTER 7 INFINITESIMAL STRAIN

principal diagonal and the values below the principal diagonal must be the negative
of those above the principal diagonal. For the displacement gradient tensor, we can
write:

Eij = εij + ωij (7.19)

where

1 1
2(
Eij − Eji)
2 ( ij
εij = E + Eji) and ω
" ij = (7.20)

εij is the symmetric infinitesimal strain tensor and ωij is the antisymmetric ro-
tation tensor or axial vector. ωij can be turned into a rotation vector, ri, as fol-
lows:

− (ω23 − ω32) − (−ω13 + ω31) − (ω12 − ω21)

r1 = , r2 = , and r3 = (7.21)
2 2 2

the magnitude of r gives the amount of rotation (in radians) and the unit vector, r,̂
gives the orientation of the rotation axis. Equation (7.19) basically says that defor-
mation is equal to a strain plus a rotation, thought that is strictly true only for small
strains.
Like any symmetric tensor, the infinitesimal strain tensor has principal axes,
found by solving the eigenvalue problem, and invariants. The first invariant of the
infinitesimal strain tensor:

Iε = ε11 + ε22 + ε33 = ε1 + ε2 + ε3 (7.22)

is the infinitesimal volume strain or the dilatation. The infinitesimal strain el-
lipsoid is defined by the equation:

x12 x22 x32 x12 x22 x32 x12 x22 x32

+ + = + + = + + = 1 (7.23)
(1 + ε1) (1 + ε2) (1 + ε3)
2 2 2 S12 S22 S32 λ1 λ2 λ3

where S1, S2, and S3 are the stretches along the principal axes and λ1, λ2, and λ3 are
the quadratic elongations. If the intermediate principal stretch is 1, the deforma-
tion is two dimensional and we refer to it as plane strain.

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CHAPTER 7 INFINITESIMAL STRAIN

γ
X3, x3 2
′3
,x
X′ 3 ,x
′1
X′ 1 maximum shear
ε′13
strain at 45° to
principal axes

θ θ 2θ
X1, x1 ε
ε3 ε′11 ε1

(a) (b)

Figure 7.7 — The construction of the Mohr’s Circle for infinitesimal strain. (a) The in-
finitesimal strain ellipsoid with the old coordinate system in blue and the new, primed co-
ordinate system in red, rotated about the intermediate principal axis by an angle θ. (b) the
Mohr’s Circle for infinitesimal strain. Elongations are plotted on the horizontal axis and
the shear strain on the vertical axis.

Just like any symmetric tensor, the infinitesimal strain tensor can be repre-
sented by a Mohr’s Circle construction (Fig. 7.7). We start with the axes of the in-
finitesimal strain ellipse parallel to the axes of the coordinate system:

ε1 0 0
εij = 0 ε2 0 (7.24)
0 0 ε3

And transform the tensor by a rotation of θ about the intermediate principal axis
(Fig. 7.7a). The transformation matrix is:

cos θ 0 sin θ
aij = 0 1 0 (7.25)
−sin θ 0 cos θ

The tensor transformation equation is:

εij′ = aik ajl εkl (7.26)

So, the infinitesimal strain tensor in the new coordinate system is:

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CHAPTER 7 INFINITESIMAL STRAIN

ε11′ 0 ε13′ (ε1 cos θ + ε3 sin θ)

2 2
0 ((ε3 − ε1) cos θ sin θ)
εij′ = 0 ε2 0 = 0 ε2 0 (7.27)
((ε1 − ε3) cos θ sin θ) 0
ε31′ 0 ε33′
(ε1 sin θ + ε3 cos θ)
2 2

And the equations for Mohr’s Circle for infinitesimal strain (Fig. 7.7b) are:

(ε1 + ε3) (ε1 − ε3)

ε11′ = + cos 2θ
2 2
(7.28)
γ (ε1 − ε3)
ε13′ = = sin 2θ
2 2

One of the most important features of infinitesimal strain, which is made es-
pecially clear by the Mohr’s Circle construction, is that the maximum in-
finitesimal shear strain is oriented at 45° to the principal axes of strain.
This has profound implications for our practical study of common structures, from
brittle to ductile shear zones (Fig. 7.8).

ε3 ε1 ε3 ε1

45°

45°

(a) (b) (c)

Figure 7.8 — Three geological/geophysical examples demonstrating the importance of the

fact that the principal axes of infinitesimal strain are at 45° to the planes of maximum
shear strain. (a) a heterogeneous ductile shear zone in granitoid rocks, (b) sigmoidal exten-
sion fractures in a brittle shear zone, (c) P & T axes for an earthquake or fault slip analysis.
Despite their names, P and T axes are infinitesimal principal strain axes.

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CHAPTER 7 INFINITESIMAL STRAIN

Some Geological Applications

Many structural geology problems we face break the assumptions of in-
finitesimal strain and thus require a more complicated analysis. However, the fields
of active tectonics and brittle fault analyses are of significant importance for mod-
ern structural geology and are amenable to an infinitesimal strain approach. That
is because the deformation accrues over a short, commonly geologically instanta-
neous, period of time and thus is very small in magnitude.

Strain from GPS

The Global Positioning System (GPS) has revolutionized earth sciences in
the last 25 years by providing geologists and geophysicists with real time monitoring
of active deformation. Modern continuous geodetic GPS provides sub-centimeter
resolution of the displacement of monuments or stations relative to a stable refer-
ence frame. Because the changes in displacements measured are on the order of
centimeters between stations separated by tens of kilometers, the deformation mea-
sured by GPS certainly qualifies as infinitesimal. GPS data present a common cir-
cumstance: we know displacements and want to calculate the strain rather than
knowing the strain tensor and calculating displacements at different points.
We start with a simpler task: calculating the one-dimensional extension given
a transect of GPS stations. Recall that, from Equation (7.7), the one dimensional
extension is just:
Δu
E=
ΔX

Δu
slope =
ΔX
Displacement, u

Figure 7.9 — Plotting displacement against

position in a GPS transect in order to de-
termine the 1D extension. Because the slope
is positive, the data represent an elongation;
a negative slope would indicate shortening
in the direction of the transect.

Position, X

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CHAPTER 7 INFINITESIMAL STRAIN

X2 (N)

X′1
Figure 7.10 — Map view of GPS vectors
and a coordinate transformation so
that the new coordinate system is par-
X′2
allel to the GPS mean displacement
vector.

θ X1 (E)

Therefore, one can plot the displacement at a station on the Y-axis against the posi-
tion of the station on the X-axis and fit a straight line (for homogeneous strain) or a
curve (for heterogeneous strain) to the data points as in Figure 7.9. The equation
for a straight line on the graph is:

u = t + E X (7.29)

where t is the intercept on the vertical axis. Note how similar this equation is to
Equation (7.11).

To get to the point of making a graph like that shown in Figure 7.9, you will
probably have to do several intermediate steps, which we have the background to
do. It is unlikely that the GPS displacement (or velocity) vectors, or the transect,
will be parallel to North or East. While you could eyeball the best orientation of the
transect and then calculate the distances between each station, there is a more ele-
gant way. First, calculate the orientation of the mean GPS vector just like we did in
Chapter 2. Then rotate the coordinate system so it is parallel to the mean vector
and transform both the station positions and the displacement vectors into this new
coordinate system (Fig. 7.10). The two dimensional transformation matrix for this
operation will be:

(cos (90 + θ ) ) ( −sin θ cos θ)

cos θ cos (90 − θ ) cos θ sin θ
aij = = (7.30)
cos θ

And the vector and station transformations will be, respectively:

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CHAPTER 7 INFINITESIMAL STRAIN

ui′ = aij uj and Xi′ = aij Xj (7.31)

Now, you can plot the component of the displacement parallel to X′1, u′1, against
the station’s X′1 coordinate (ignoring the X′2 components completely), as in Figure
7.9. Thus, expanding Equation (7.31) for those components only, we get:

u1′ = a11u1 + a12u 2 and X1′ = a11 X1 + a12 X2 (7.32)

To get the two (or three) dimensional strain from displacement vectors re-
quires more involved methods. Recall that the multidimensional equivalent of
Equation (7.29) is equation (7.11) which is repeated here:

ui = ti + Eij Xj

We know the displacement vectors, u, and the positions of the stations, X. We

don’t know Eij or ti; in two dimensions (ignoring the vertical component of the GPS
data), there are thus six unknowns: E11, E12, E21, E22, t1, and t2. Each station and
displacement vector pair provides two equations (one for u1 and one for u2), so in
two dimensions, we need three non-collinear stations and displacements to solve for
our six unknowns. You can visualize the three stations defining a triangle with a cir-
cle inscribed in it; when the points are displaced, the triangle becomes distorted
and the inscribed circle becomes a strain ellipse (Fig. 7.11).
To calculate the unknowns, we need to gather them into a single matrix:

X x
u
Figure 7.11 — In 2D, three sta-
tions and displacement vectors
are necessary to define the
strain produced by the dis-
placements. The strain here is
finite (i.e., large), but the same
principle holds for infinitesimal
deformations like that mea-
sured by GPS.

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CHAPTER 7 INFINITESIMAL STRAIN

1 1 1
u1 1 0 X1 X2 0 0
1 1 1 t1
u2 0 1 0 0 X1 X2
2 2 2
t2
u1 1 0 X1 X2 0 0
E11
2
u2 = 0 1 0 0 2X1 2X2 E12
(7.33)
⋯ ⋯ ⋯ ⋯ ⋯ ⋯ ⋯
⋯ ⋯ ⋯ ⋯ ⋯ ⋯ ⋯ E21
n
u1 1 0 nX1 nX2 0 0 E22
n n n
u2 0 1 0 0 X1 X2

This equation is written, not for three stations but for n stations and vectors —
more information than we actually need. That’s okay, though, because with data
redundancy, we can calculate the uncertainties using a least squares approach.
Solving Equation (7.33) is non-trivial because it requires calculating the inverse of
the large matrix full of zeros, ones, and X’s. The techniques required to do this —
generally referred to as inverse methods — are extremely powerful and form the
basis of many very important calculations in earth sciences and other fields but are
beyond the scope of this book. If you want to be a modern earth scientist, you will
probably eventually want to learn these methods.

Analyzing Brittle Faults

The upper crust of the earth is full of faults — discontinuous deformation
features. If we assume that the faults are small relative to the volume of earth that
contains them, we can analyze them using infinitesimal strain assumptions. The
simplest approach is to leverage the fact that the plane of maximum shear strain is
at 45° to the principal axes of infinitesimal strain. In fault slip (and earthquake)
analysis, the principal infinitesimal shortening axis is referred to by the letter “P”
and the principal elongation axis with the letter “T” (Fig. 7.8c) 3. Faults are particu-
larly easy to analyze because there is no movement perpendicular to the slip vector
and thus each individual fault represents deformation in plane strain. The basic
geometry is shown in Figure 7.12.

3Because these letters are short for “Pressure” and “Tension”, legions of geologists have thought that these represent
principal stress axes. They do not. They are infinitesimal strain axes which may, or may not, be parallel to the princi-
pal stresses! See McKenzie (1969) for proof.

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CHAPTER 7 INFINITESIMAL STRAIN

m
ov
em
en
T tp
la P null or
ne
b-axis

le
po

mo
45°
pole

ve
m
P

ne
en
ne

lt pla
tp
t pla

la
l T
fau
45°

ne

fau
Figure 7.12 — Anatomy of a fault plane. Right side: 3D perspective view
showing the movement plane which contains the pole to the fault and the
slickenside (or other movement indicator on the fault). Left side: lower
hemisphere view of the same geometry. Arrow at the intersection of the
fault and movement planes shows the movement of the hanging wall.

If one is only interested in calculating the orientations of the individual P

and T axes, the calculation is quite straightforward, involving nothing more than
vector addition and subtraction. Figure 7.13 is a view perpendicular to the move-
ment plane so that one sees the fault plane edge on and it appears as a line. The
unit pole vector, " n̂ , points down into the footwall and the unit slip vector, " ŝ , also
points down into the lower hemisphere (i.e., we are using a NED coordinate sys-
tem). We need some way to specify the sense of slip, which we will do with a scalar
value, k: for faults with a normal component of slip the hanging wall moves down

–sˆ

Figure 7.13 — Edge-on view of the fault

fa

plane looking perpendicular to the move-

ul

√2
tp

ment plane. P and T can be calculated from

la
ne

P
a simple vector addition because a single
slip! fault is a plane strain deformation. Note
vector, ŝ that the vector addition yields vectors which
√2 have a magnitude of square root of two be-
pole, n̂ cause they are 45°-45°-90° right triangle.

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CHAPTER 7 INFINITESIMAL STRAIN

and k = 1; for those with a reverse component, k = –1, because the hanging wall
moves up whereas down in positive. Thus, we can write:
ni + k si ni − k si
Pi = and Ti = (7.34)
2 2

The square root of two in the denominator is necessary to ensure that P and T are
unit vectors.
The preceding analysis is fine if we are concerned about calculating P and T
axes of single faults, but what if we want to calculate the strain produced by a
group of faults? For this case, we introduce a new concept from earthquake seis-
mology, the scalar seismic moment, Mo, and its sibling, the geometric mo-
ment, Mg:

Mo = A s̄μ and Mg = A s̄ (7.35)

where A is the surface area that slipped, "s is the average displacement, and μ is the
shear modulus. The moment tensor is the sum of the scalar moment times the
dyad product of the unit slip and normal vectors:
n_ faults

∑
Mij = Mgui nj (7.36)
k=1

where ui is the unit slip vector and nj the unit normal (or pole) vector. This equation
is for the geometric moment tensor. If you calculated uinj for a single fault and cal-
culated the eigenvalues and eigenvectors, it would give us the P and T axes, just like
Equation (7.34). It turns out that our old friend, the displacement gradient tensor, is
equal to (Molnar, 1983):

∑ Mgui ni Mij
Eij = = (7.37)
V V

The summation of moment tensors of all of the faults in the data set is a simplifica-
tion afforded us by the infinitesimal strain assumption. When the faults are large
enough to cause finite strain, you can no longer add the tensors together. Instead,
matrix multiplication is involved as we will see in a subsequent chapter.

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CHAPTER 7 INFINITESIMAL STRAIN

Eij of Equation (7.37) is, of course, an asymmetric tensor and in infinitesimal

strain can be additively decomposed into a symmetric strain and antisymmetric ro-
tation tensors:

∑ Mg (ui nj + uj ni) ∑ Mg (ui nj − uj ni)

Eij = εij + ωij = + (7.38)
2V 2V

The symmetric part of (7.38), before being divided by 2V is Kostrov’s (1974) sym-
metric seismic moment tensor. When you see a moment tensor reported in an
earthquake catalog, it is Kostrov’s symmetric tensor and the infinitesimal strain, εij
in that case is:

∑ Mo (ui nj + uj ni)
εij = (7.39)
2Vμ

If you don’t have any scaling information — that is, you don’t know Mo, Mg, V, or μ
— you can still add up the moment tensors and get the principal axes of the group
of faults assuming that each fault contributes equally to the overall strain in the re-
gion. If, however, some faults (or earthquakes) are markedly larger than others, that
is a poor assumption; the moment tensor sum is always dominated by the largest
features.

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CHAPTER 7 INFINITESIMAL STRAIN

Exercises—Chapter 7
All of the following exercises should be done either in a spreadsheet or Matlab. You
will need the EigenCalc program that you downloaded last week for some of the
exercises. All of the exercises have datasets that can be downloaded from the course
web page.

pbar

sigo sanp ctoc

–23°
ceto
paja
meji
baqu toco
mabl loba
julo antf urib pael cene saca
peni
udan pein
Antofagasta
unia
caco cmin
live

minf
calc esim nrar

paso

50 cm

coba
cari
–25°
–71° –70° –69° –68° –67°

1. Calculate the 1D coseismic strain for the 1995 Antofagasta earthquake (figure,
above), using the GPS data from Klotz et al. (1999). The data will be provided
to you in a spreadsheet. Carry out the following tasks:
(a) Determine the average or mean vector that characterizes, as best possible,
the overall orientation of the vectors.
(b) Determine the two-dimensional transformation matrix, aij, needed for a new
coordinate system where the X′1 axis is parallel to the mean vector direction.
(c) Transform the East and North coordinates of the GPS stations, vectors, and
errors into the new coordinate system.

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CHAPTER 7 INFINITESIMAL STRAIN

(d) Plot the u′1 component of each displacement vector, and its error, against the
X′1 component of the station position.
(e) Fit a straight line to approximately linear segments of the resulting curve us-
ing the relations or built in functions from the previous sections.

2. Fifteen measurements of faults and their slickensides are given in the table be-
low. Calculate the P and T axes of the individual faults and then calculate an
unweighted moment tensor summation. Use EigenCalc to determine the prin-
cipal axes of infinitesimal strain. In the downloadable spreadsheet, the sense of
slip (SOS) has been specified using k=+1 for normal faults and k= –1 for re-
verse faults as described in the text (Eqn. 7.34).
Fault Plane Slickensides Sense
Strike Dip Direction Trend Plunge of slip
149.5 47.2 W 164.4 15.4 Normal
127.6 60 S 134.6 11.9 Normal
189.4 34.6 W 349.6 13.1 Thrust
328 42.5 E 335.3 6.6 Normal
22.9 50.2 E 182 23.2 Thrust
108.8 31.1 S 169.2 27.7 Normal
184.6 39.8 W 317.1 31.6 Thrust
93.7 65 S 269.6 8.8 Normal
297.6 64.1 N 300.2 5.4 Thrust
272.5 34.5 N 284.4 8 Thrust
151.6 58.1 W 154.9 5.3 Normal
302.7 47 N 105.3 17.7 Normal
349.4 33.7 E 145.2 15.3 Thrust
90.9 71.1 S 96 14.6 Thrust
189.7 36.6 W 247.9 32.3 Thrust

3. You’ll be given a spreadsheet containing 57 foreshocks of the Mw 8.2 Pisagua

earthquake (northern Chile March-April 2014) which have nodal planes and
scalar moments.
(a) Calculate the moment tensor sum from Eqn. 7.39 (ignoring V and μ) for the
foreshocks and use EigenCalc to determine the orientation of the principal
axes.
(b) Plot the P and T axes of the individual events in Stereonet and compare
them to the moment tensor sum that you did in part (a).

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 Chapter 8
Large Strains
Introduction
Most geological deformation, whether distorted fossils or fold and thrust belt
shortening, accrues over a long period of time and can no longer be analyzed with
the assumptions of infinitesimal strain. Fortunately, these large, or finite strains
have the same starting point that infinitesimal strain does: the deformation and dis-
placement gradient tensors. However, we must clearly distinguish between gradi-

ents in position or displacement with respect to the initial (material) or to the final
(spatial) state and several assumptions from the last Chapter — small angles, addi-
tion of successive phases or steps in the deformation — no longer hold. Finite
strain can get complicated very quickly with many different tensors to worry about.
Most of our emphasis here will be on the practical measurement of finite strain
rather than the details of the theory but we do have to review a few basic concepts
first, so that we can appreciate the differences between finite and infinitesimal
strain. Some of these differences have a profound impact on how we analyze de-
formation.
CHAPTER 8 FINITE STRAIN

Comparison to Infinitesimal Strain

A Plethora of Finite Strain Tensors

There are lots of finite strain tensors and they come in pairs: one referenced
to the initial state and the other referenced to the final state. The derivation of
these tensors is usually based on Figure 7.3 and is tedious but straightforward; we
will skip the derivation here but you can see it in Allmendinger et al. (2012) or any
good continuum mechanics text. The first tensor is the Lagrangian strain ten-
sor:

∂uj ∂uk ∂uk

2 [ ∂Xj ∂Xi ∂Xi ∂Xj ] 2
1 ∂ui 1
Lij = + + = [Eij + Eji + Eki Ekj] (8.1)

where Eij is the displacement gradient tensor from the last Chapter. Recall that the
infinitesimal strain tensor, ε, is (from Eqn. 7.20):
1
2(
εij = Eij + Eji) (8.2)

This highlights the first distinction between infinitesimal and finite strain: the for-
mer ignores the higher order term, " Eki Ekj . Expansion of the different terms in
Equation (8.1) follows the usual summation convention rules. For example, to ex-
pand for L11, we write:
1 1 2
(E11 + E11 + E11E11 + E21E21 + E31E31) = E11 + (E11 + E21 + E31) (8.3)
2 2
L11 =
2 2
1
In contrast, ε11 = (E + E11) = E11
2 11
Just for practice, let’s also expand for L13:
1
L
" 13 = (E13 + E31 + E11E13 + E21E23 + E31E33) (8.4)
2

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CHAPTER 8 FINITE STRAIN

As before, the higher order non-linear term on the right hand side of the equation
is ignored in infinitesimal strain. The Eulerian finite strain tensor, " Lij , is the
same as the Lagrangian strain tensor but referenced to the final state:

1 ∂ui ∂uj ∂uk ∂uk

2 [ ∂xj ∂xi ∂xj ] 2
1
Lij = + + = [eij + eji + eki ekj] (8.5)
∂xi

where eij is the displacement gradient tensor referenced to the final state.
Alternatively, we can start with the deformation gradient tensor, Dij (Eqns.
7.8 and 7.13) and derive the Green deformation tensor:
∂xk ∂xk
Cij = = Dki Dkj (8.6)
∂Xi ∂Xj

referenced to the initial or material state. The equation (8.6) expansion for C11 and
C13 (as before) is:
2 2 2
C11 = D11D11 + D21D21 + D31D31 = D11 + D21 + D31 (8.7a)

C13 = D11D13 + D21D23 + D31D33 (8.7b)

And, finally, the Cauchy deformation tensor, " Cij , is similar to Equation (8.6),
but referenced to the final or spatial state:
∂Xk ∂Xk
Cij = = dki dkj (8.8)
∂xi ∂xj

where dij is the deformation gradient tensor referenced to the final state. For a vec-
tor parallel to the X1 axis, the quadratic elongation, λ, is equal to the square of the
stretch, S, is equal to C11.
2
λ(1) = S(1) = C11 = 1 + 2L11 (8.9)

And, a line parallel to the x1 axis in the final state:

1 1
" = 2 = C11 = 1 + 2L11
λ(1) S(1)

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CHAPTER 8 FINITE STRAIN

These tensors are not all independent of each other. The relations between
them are:
1
2(
Lij = Cij − δij) (8.9)

and
1
2(
" ij =
L δij − Cij) (8.10)

Where " δ ij is the Kronecker delta that represents the components of the identity
matrix. All of these tensors are symmetric. Thus Lij and Cij have the same princi-
pal axes, Likewise, Lij and Cij also have the same principal axes, which are different
from those for Lij and Cij. The difference in orientation between the principal axes
of Lij and Lij is the amount of rotation during the deformation.

Multiple Deformations
In infinitesimal strain, the displacement gradient tensors are simply added
together to sum the total deformation as we saw in the case of the moment tensor
for earthquakes or faults in the previous chapter (Eqn. 7.37):
total n
E =1 E + 2 E + ⋯ + n E
∑
E= (8.11)

Let’s see how the finite strain version compares. Using the deformation gradient
tensor for the first deformation, we get:
1
dx = 1DdX (8.12)

The final state of the first deformation is the initial state of the second deformation
— that is, 2dX = 1dx — so for the second deformation, we can write:

2
dx = 2 D2dX = 2 D (1DdX) = 2 D1DdX (8.13)

We know that E = D − I, so the expansion of the 2 D1D term in Equation (8.13) is:

2
D1D = (2 E + I) (1E + I) = 1E + 2 E + (2 E1E) + I (8.14)

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CHAPTER 8 FINITE STRAIN

(a) (b)

Figure 8.1 — The order in which strains and rotations occur make a difference! (a) A
horizontal stretch of 2 followed by a rotation of 45°. (b) a rotation of 45° followed by
a horizontal stretch of 2. In both cases, the initial square is shown in pink.

So, superposing deformations really has a higher order term, (2 E1E), that is ig-
nored in the infinitesimal strain summing of displacement gradient tensors. This
term is a matrix multiplication which is non-commutative and thus, because
2 1
E E ≠ 1E2 E, the order in which the strain and/or rotation occurs makes
a difference in the final result. Figure 8.1 illustrates this important principle for
a stretch and a rotation.

Mohr’s Circle for Finite Strain in the Deformed State

The Mohr Circle construction for the Cauchy deformation tensor (Eqn. 8.8)
is particularly useful in practical strain analysis. This construction is derived, just
like all Mohr’s Circles, by rotating the coordinate system about a principal axis and
you can see the derivation in Allmendinger et al. (2012). The equations are given
by:

(C1 + C3) (C1 − C3) (C1 − C3)

C11′ = + cos 2θ and C13′ = sin 2θ (8.15)
2 2 2

You will more commonly see these written as:

(λ1′ + λ3′) (λ1′ − λ3′) γ (λ1′ − λ3′)

λ′ = + cos 2θ and γ" ′ = = sin 2θ (8.16)
2 2 λ′ 2

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CHAPTER 8 FINITE STRAIN

γ′= γ/λ

a ψmax
a′
2θ′LNFE
a′
S3 = √λ3
ψmax 2θ′a
θ′a

θ′b S1 = √λ1 λ′1 1 2 3 λ′3

2θ′b

b′

(a) (b)
b
b′

Figure 8.2 — (a) the finite strain ellipse (red) and the initial circle with radius of one (blue).
Two lines are shown in the undeformed (a and b) and deformed (a′ and b′) state. Because
the initial length is 1, the major and minor axes of the ellipse are S1 and S3, respectively.
Line a′ is drawn in the orientation of the line that experiences the maximum shear strain
in the body. (b) The Mohr’s Circle for finite strain in the deformed state. Lines a′ and b′ are
plotted in their correct positions. Note that the angular shear is measured by drawing a
line for the origin of the plot to the point on the circle, with the maximum angular shear
determined by the line from the origin that is tangent to the circle (line a′). The orientation
of a line of no finite elongation (LNFE), which has a λ′ = 1, is also shown.

1 1
where λ′ = = 2
λ S
Figure 8.2 shows a finite strain ellipse on the left and the corresponding Mohr’s
Circle construction on the right. This Mohr’s Circle construction is very useful,
particularly where the deformation is in plane strain.

Progressive Strain
In Figure 8.2a, you see the finite strain ellipse (in light red) superimposed on
the initial circle (in light blue). The points of intersection between the ellipse and
circle define lines that are currently at the same length as they were when they
started out; we call these lines of no finite elongation (LNFE) and they are
symmetric with respect to the principal axes of strain. You can imagine making the
same sort of diagram for the infinitesimal strain ellipse, which would be only very
slightly different from the initial circle. In that case, there would be two lines of no
infinitesimal elongation (LNIE) and they would be at 90° to each other. These
concepts allow us to understand how strain progresses with time (Fig. 8.3).

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CHAPTER 8 FINITE STRAIN

FE
(a) (b)

LN
IE
LN
1a
F E 3
LN 1a

3
LNIE, LNFE

LN
FE

LN
IE

LNIE
(c) (d)
3: initially lengthened,
will continue to lengthen

Extension (+) 2: initially shortened but

now longer than initial

Time

1b: shorter than initial but

will lengthen in next step
Extension (–)

1a: will shorten

in next increment

Figure 8.3 — Illustration of progressive strain. (a) A pure shear strain path where the prin-
cipal axes of finite strain and incremental infinitesimal strain remain parallel throughout
the deformation. (b) A simple shear strain path where infinitesimal and finite principal
axes are non-coaxial. (c) The meaning of fields 1-3 showing the history of shortening and
lengthening of lines at time t in those fields. (d) Cartoon illustration of what a layer of
rock might look like in each of the four fields.

In the simplest of strain paths, there are two end-member cases: in pure
shear, the infinitesimal strain axes in each incremental step of the deformation are
parallel to each other and to the finite strain axes representing the entire deforma-
tion (Fig. 8.3a). In simple shear, the infinitesimal strain axes are not parallel to
each other in each increment, nor are they parallel to the finite strain axes. A key
aspect of simple shear is that one of the two LNFE is parallel to one of the two
LNIE and these are parallel to the zone of simple shear (Fig. 8.3b). To understand
how this works, imagine a deck of cards: You inscribe a circle onto the deck and

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CHAPTER 8 FINITE STRAIN

(a) (b) (c)

Figure 8.4 — Illustration of at the classic card deck experiment to demonstrate

simple shear. The cards are viewed edge-on and thus appear as parallel lines. (a)
initial stack of cards with a circle inscribed on it. (b) and (c) progressive steps of
shearing parallel to the cards, deforming the circle into an ellipse.

then you progressively shear the deck by sliding the cards over each other (Fig. 8.4).
The cards themselves do not change length; they are parallel to the LNIE and
LNFE, but the circle deforms into an ellipse and the principal axes of the ellipse
have different orientations in each step. Simple shear is particularly important in
shear zones (Chapter 9) as well as in parallel folding (Chapter 10). The inherent
asymmetry of the simple shear case (Fig. 8.3b) is what we look for to determine the
sense of shear in fault zones.
As the strain progresses, material lines will experience different histories of
shortening and/or lengthening, depending on their initial orientations (Fig. 8.3c).
Some experience only shortening, others only lengthening, and still others are first
shortened and then lengthened. As you will see in the exercises, this can have a pro-
found effect on different lines, or layers, that start out with different orientations in

Figure 8.5 — More compe-

tent layers in a deformed
and metamorphosed
limestone have been
stretched, a process
known as boudinage. We
can frequently put the
boudined pieces back to-
gether to give us a linear
extension.

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CHAPTER 8 FINITE STRAIN

the rock (Fig. 8.3d). Note that it is impossible to distinguish between pure
and simple shear based on the finite strain alone!

Strain from Geological Objects

In geology, there are a variety of different objects that can be used for the
calculation of strain. The problem, however, is two fold: first, they are generally in
random orientations and second they provide different types of information. A lay-
er that has been pulled apart in boudinage (Fig. 8.5) may provide evidence of lin-
ear extension but nothing quantitative about shear strain. A deformed fossil, on the
other hand, may furnish information about shear strain but none about the original
dimensions of the fossil and thus none about extensions. Mathematically, determin-
ing strain from such measurements is, like our GPS example (e.g., Eqn 7.33), an-
other case where inverse methods are needed. In the absence of computing re-
sources and knowledge of inverse methods, a large number of clever graphical con-
structions and methods have cropped up. Presented here are just a few of those

(a) Undeformed Trilobite (b) rock slab with deformed Trilobites

Figure 8.6 — A trilobite fossil is just one of many types of fossils with bilateral
symmetry. (a) In a tracing of the undeformed fossil, the medial line and line drawn
at the base of the head (cephalon) are perpendicular (two lines in red). (b) On a trac-
ing of a deformed rock slab which contains several trilobites, initially in different
orientations, in most cases those lines will no longer be perpendicular because the
fossils are in an orientation where they have experienced angular shear. However, in
three of the trilobites (highlighted in blue), those two lines are still be perpendicular
and therefore must be parallel to the principal axes of strain (dashed lines).

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CHAPTER 8 FINITE STRAIN

methods; for a much more comprehensive treatment, see the works by Ramsay
(1967) and Ramsay and Huber (1983).

Finding Principal Axes

Sometimes, all we want to do is find the orientations of the principal axes of
finite strain. If you examine Figure 8.2b, it is clear that there are just two sets of
lines in a deformed body that have zero angular shear, ψ. Those sets of lines are
parallel to the principal axes of finite strain. In other words, the principal axes
of strain are the only lines that have no shear strain or angular shear.
Fortunately, there are many different types of features in geology that are initially
perpendicular, for example: fossils with bilateral symmetry (Fig. 8.6a), worm bur-
rows perpendicular to bedding, etc. Where such features are present in deformed
rocks, they give us a rapid way of finding the orientations of the principal axes: just
look for the features where perpendicular lines in the undeformed state are still
perpendicular in the deformed state (Fig. 8.6b). Those lines must be parallel to the
principal axes.

Deformed Spherical Objects

If you are fortunate, your field area will contain deformed, originally approx-
imately spherical objects like the deformed quartz pebble conglomerate shown at

(a)

(b) (c)

S1 S
S2 2

Figure 8.7 — (a) A hypothetical rock sample bearing deformed spherical objects (light
gray ellipses). By cutting the sample (b) perpendicular and (c) parallel to the long axis of
the strain ellipse and measuring the aspect ratios, the full shape of the strain ellipsoid
can be determined and plotted on a Flinn diagram (Fig. 8.8).

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CHAPTER 8 FINITE STRAIN

k=∞
k=1
Figure 8.8 — The Flinn Diagram
depicting different types of strain.
In the prolate field, the strain el-
lipsoids are cigar shaped whereas
in the oblate field they are pancake
ln (S1/S2) shaped. The original cube is shown
in blue and its deformation into
prolate the appropriate shape for the field
of the Flinn diagram is shown in
light red.
oblate
k=0
ln (S2 /S3)

the beginning of this chapter. Other examples include deformed oolites or pellets in
carbonate rocks, reduction spots in slates, or even deformed vesicles in volcanic
rocks. Each object is now distorted into it’s own strain ellipsoid. In the simplest type
of analysis, one would make two cuts of the sample, perpendicular to the long axis
(Fig. 8.7b) and perpendicular to the short axis (Fig. 8.7c) of the ellipsoids. In many
textbooks, the long, intermediate and short axes of the strain ellipsoid are referred
to as the X, Y, and Z axes, but we refer to them here as the X1, X2, and X3 axes
with magnitudes (i.e., principal stretches) S1, S2, and S3. For each ellipse in each cut,
we measure the long and short axis and calculate the ratio, S1/S2 or S2/S3 (i.e., X/Y
or Y/Z). If the strain is homogeneous, these ratios should ideally be the same for all
of the ellipses, but measurement error and the variability inherent in naturally de-
formed particles means that you will want multiple measurements to get the best
determination of the ratios.
Once you have the best fit ratio of S1/S2 and S2/S3, it is particularly conve-
nient to visualize the result in a graphical plot known as a Flinn diagram (Fig. 8.8).
This diagram can be further quantified by calculating a parameter, k, given by:

( S2 ) − 1
S1

k = (8.17)
( S3 ) − 1
S2

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CHAPTER 8 FINITE STRAIN

(a) (b)

Figure 8.9 — (a) tracing of deformed ooids from a photo in Ramsay and Huber (1983) and
(b) a basic Fry plot of the same data. Both graphics were produced with Frederick
Vollmer’s (2015) excellent program, EllipseFit.

Rocks in the prolate field with k > 1 are dominated by a linear fabric and are
commonly referred to as L-tectonites; those lying on the plane strain line (k = 1)
are called LS-tectonites, and those in the oblate field display a pronounced planar
fabric and a called S-tectonites.
In rocks where the spheroids have different mechanical properties than the
matrix in which they lie, or their boundaries are poorly defined, measuring the as-
pect ratio of the ellipses in the two cuts may give a misleading answer. In that case,
the method of choice for most structural geologists is the Fry plot (Fry, 1979). This
method works by plotting the centers of the deformed spheroids rather than mea-
suring their aspect ratios. The centers should be most closely spaced in the S3 (or Z)
direction of the strain ellipse. You can make this plot manually by placing a piece
of tracing paper over a photograph of a section of the rock with the deformed
spheroids in it. The center of the paper is marked and placed over an ellipse near
the center of the image and all of the centers of the other ellipses are marked with
points. Subsequently, the paper is shifted to a neighboring ellipse, taking care not to
rotate the paper, and all of the centers of the other ellipses are again plotted on the
paper. The process is repeated until all of the ellipses have formed the center of the
plot. Although it is possible to construct a Fry plot by hand, there are many fine

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CHAPTER 8 FINITE STRAIN

computer programs available that will make the plot automatically once the ellipse
centers have all been marked (Fig. 8.9).

Three Deformed Lines Graphically

Three lines in different orientations, for which you can determine both the
initial and the final length, can be used in combination with the Mohr’s Circle for
finite strain (Fig. 8.2) to determine the magnitude and orientation of the strain el-
lipse in two dimensions (i.e., assuming plane strain). The graphical procedure is de-
picted in Figure 8.10. To calculate the strain proceed as follows:
1. Find three lines in the sample for which you can determine the initial
and final lengths. In Figure 8.10, they are the heavy black lines in the
upper left corner, labeled a, b, c.
2. Measure the final linear and initial sinuous (or discontinuous) lengths
of the three lines (red lines superimposed on the black) and calculate
the stretch for each line (table in upper right corner of the figure).
3. Select the shortest final line to use as a reference line (we have used c
in Figure 8.10), and use it as one side of the deformed state triangle
(lower left). Draw the other two sides of the deformed triangle with
the lines overlapping (e.g., lines a and b).
4. Our restoration to the undeformed state will not use the full lengths
of a and b; instead we will restore the triangle shaded in yellow (A
and B). Measure the lengths of just those parts of a and b that consti-
tute the side of the deformed triangle.
5. Construct the undeformed triangle by first restoring side C to its un-
deformed length, keeping it parallel to c in the deformed triangle. Us-
ing a compass, swing arcs from the two ends of C with lengths appro-
priate to the restored lengths of A and B. You calculate the restored
lengths using the inverse of the stretches in the table in the upper
right of Figure 8.10.

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CHAPTER 8 FINITE STRAIN

6. Once you have the undeformed triangle, draw a line from each apex,
perpendicular to the opposite side. For each side of the triangle, mea-
sure the distance from the nearest apex to the perpendicular. Using
the stretch for the appropriate line, calculate those lengths in the de-
formed state and measure the resulting distances from the appropriate
apex on the deformed triangle.

Line lf li S=lf/li
a 344 273.5 1.26
a b 272 354 0.77
c 208 229.3 0.91

c Start End
x1 x2 x1 x2
Line a 2.8 138.9 318.0 275.4
Line b 62.4 272.5 167.6 22.4
Line c 275.8 74.9 298.8 282.4

100 200 300

Undeformed
(initial) A
Deformed (final) b geometry
geometry
26.5°
A
10.5°

–26 ° B
C
c
B
we actually analyze
the yellow highlighted
triangle

Figure 8.10 — Graphical procedure for determining the strain ellipse from three deformed
lines in different orientations (heavy black lines). Final lengths are shown in blue and ini-
tial lengths in red. In this construction, we have chosen C as the reference line so it has the
same orientation in all three diagrams. The perpendiculars from the apices to the oppo-
site side in the undeformed state are reconstructed in the deformed state triangle so that
we can calculate the angular shears that each line has experienced.

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CHAPTER 8 FINITE STRAIN

7. Construct lines from each vertex to the line segment that you calcu-
lated in step 6 on the deformed triangle (dashed red lines on the blue/
gray triangle). In the initial state triangle these lines were perpendicu-
lar to the side, but they are not in the final state triangle. The differ-
ence in angle is the angular shear that each line experienced during
the deformation.
8. You now have enough information to construct the Mohr’s Circle for
finite strain in the deformed state. From your measurements, calculate
the inverse quadratic elongations, λ′, and γ′ = γ/λ. Recall that the
shear strain, γ, is the tangent of the angular shears that you calculated
in step 7.
9. Plot the three points on your Mohr’s Circle construction and fit a cir-
cle, centered on the axis, to the three points. You can now read the
principal inverse quadratic elongations from the Mohr’s Circle and
you can calculate the orientation of the maximum principal axis of
finite strain relative to line c by measuring the 2θ′ angle on the circle.
The final plot for Figure 8.10 is shown in Figure 8.11.

γ' = γ/λ c c
0.5 b
b
a
b

2θ' = 93.5°
λ' = 1/λ a
0.5 1 1.5

c
a
-0.5

Figure 8.11 — Mohr’s Circle (left) for the deformation shown in Figure 8.10 and
(right) the strain ellipse determined from the Mohr’s Circle plotted on top of the
original deformed lines from Figure 8.10. Blue lines are shorter than they started
out and red lines are longer.

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CHAPTER 8 FINITE STRAIN

Three Deformed Lines with Inverse Methods

If this graphical construction method strikes you as particularly tedious and
prone to small errors (and you would be right, it is), it should provide excellent mo-
tivation to learn inverse methods, first mentioned in the preceding Chapter. In this
final section we outline just how to do that to demonstrate that it is not too scary!
Malvern (1969) and Allmendinger et al. (2012) give the solution for the inverse
quadratic elongation as a function of the Cauchy deformation tensor, Cij, as:

1 1 dxi dxj
= = Cij (8.18)
S2 λ ds ds

where ds is the scalar length of the deformed line, ℓf, and dxi are as shown in Figure
8.12. This equation expands to:
1 dx1 dx1 dx1 dx2 dx1 dx3
λ′ = = C̄11 + C12 + C13
λ ds ds ds ds ds ds
dx2 dx1 dx2 dx2 dx2 dx3
+ C + C + C (8.19)
ds 21 ds ds 22 ds ds 23 ds
dx3 dx1 dx3 dx2 dx3 dx3
+ C31 + C32 + C33
ds ds ds ds ds ds

The simple two-dimensional form of the equation, equivalent to the graphical

analysis, above, is:

x2

final length, ds = f

initial length = i Figure 8.12 — The meaning of ds, dx1 and

dx2 dx2 in Equations 8.18-8.22.

dx1

x1

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CHAPTER 8 FINITE STRAIN

1 dx1 dx1 dx1 dx2

λ′ = = C11 + C12
λ ds ds ds ds
(8.20)
dx2 dx1 dx2 dx2
+ C + C
ds 21 ds ds 22 ds

Because " Cij is a symmetric matrix, C12 = C21, we can simplify Equation (8.20) as:

λ ( ds ) ( ds ds ds ds ) ( ds ) 22
2 2
1 dx1 dx1 dx2 dx2 dx1 dx2
λ′ = = C11 + + C12 + C
(8.21)

( ds ) ( ds 2 ) ( ds ) 22
2 2
dx1 dx1dx2 dx2
= C11 + 2 C 12 + C

There are three unknowns, so we need the quadratic elongations of three lines (a,
b, and c) to solve for the two dimensional strain ellipse:

( ) ( )
2 2

( )
a d x1 a d x1d x 2 a d x2
ℓf
2 ℓf
ℓf2
a
λ′ C11

( ) ( )
2 2

( )
b d x1 b d x1 d x 2 b d x2
b
λ′ = ℓf
2
ℓf2 ℓf
C12 (8.22)
c
λ′ C22

( ) ( )
2 2

( )
c d x1 c d x1 d x 2 c d x2
ℓf
2 ℓf
ℓf2

If we call the 3×3 matrix, M, then this equation has the general form of:

λ′ = MC

which can be solved by inverting matrix M (Fig. 8.13):

C = M−1λ′ (8.23)

With more than three lines, one can do a least squares best fit (Menke, 1984):

C = [M T M ]
−1
M T λ′ (8.24)

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CHAPTER 8 FINITE STRAIN

In the three dimensional case, we would need the quadratic elongation of six lines
on at least two different planes to solve for all six independent components of the
Cauchy deformation tensor.
The x1 and x2 in Equation (8.22) are the endpoints of the lines in the de-
formed state. So, dx1 would be the x1 coordinate of the end of the line minus the x1
coordinate of the start of the line as depicted in Figures 8.12 and 8.13.


Figure 8.13 — Spreadsheet solution to the same 3 lines problem solved graphically in Fig-
ures 8.10 and 8.11, using inverse methods (eqns. 8.22 and 8.23).

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CHAPTER 8 FINITE STRAIN

Exercises—Chapter 8
For some of these problems, you will need to download the StrainSim program
from: http://www.geo.cornell.edu/geology/faculty/RWA/programs/strainsim-v-3.html

1. Using the StrainSim 3 program,

(a) Draw a circle and triangle object and then choose animate from the model.
Select simple shear and specify 100 steps of 2° each and click okay. You will
see the objects progressively deformed. After the animation is finished, select
the Info tab and copy the entire contents of the table on the right into a
spreadsheet or graphing program. Do this for each of the three triangular
bisectors, which you can select from the popup menu. In the spreadsheet or
graphics program, plot the following:
• The incremental extension for all three lines on a single plot
• The finite extension for all three lines on a single plot
• The angle for all three lines on a single plot
(b) Now, start over and draw a circle with 4 lines at 90°, 75°, 45°, and 30° (but
no triangle). Select Animation from the Model menu and specify pure shear
with 100 steps of 0.014 horizontal extension. Again, plot the following:
• The incremental extension for all three lines on a single plot
• The finite extension for all three lines on a single plot
• The angle for all three lines on a single plot
Using your graphs as illustrations, discuss the similarities and differences be-
tween the progressive simple and pure shear deformation paths.

2. Use the strainSim 3 program to perform a simple shear deformation with an

angular shear of 35°. Plot the result on a Mohr Circle for finite strain in the de-
formed state. Use the measurements from the Mohr Circle to figure out what to
enter so that you get the exact same size and shape strain ellipse using a pure
shear deformation.

3. The figure, below shows a tracing of a slab of deformed rock with a number of
brachiopods and a crinoid stem that has been pulled apart, though the individ-
ual segments have not been deformed. Assuming plane strain and no volume
change, plot the Mohr Circle for finite strain in the deformed state and deter-

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CHAPTER 8 FINITE STRAIN

mine the orientation of the principal axes of strain. What directions in the fos-
sils have the same length as they had before the deformation?

" 


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CHAPTER 8 FINITE STRAIN

4. The photograph above is an annotated image of a Pennsylvanian limestone

from the Blackpine Mountains in southern Idaho, part of the cover sequence
of the Raft River metamorphic core complex. The folded layers and those
stretched in boudinage have been highlighted in black to be easier to see. The
actual initial and final measurements of A, B, and C are shown in expanded
view on the next page.
(a) Determine the magnitude and orientation of the finite strain ellipse follow-
ing the steps outlined earlier in this chapter, either graphically or numerical-
ly. Be sure to show your Mohr’s Circle for finite strain with the three lines
plotted in correct orientation. Show the orientations of the principal axes
of the strain ellipse on the diagram on the next page.
(b) Can you tell whether the deformation was in plane strain? Explain.
(c) Can you determine the orientation of the infinitesimal strain axes? Explain.


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CHAPTER 8

x2 Blackpine sample tracings and measurements

(0.170, 12.167 )

li = 12.032
(26.003, 10.820 )

MODERN STRUCTURAL PRACTICE

(12.036, 8.916)

(6.408, 6.864 )

"172
li = 13.467

li = 13.043

(24.081, 0.919)
(2.296, 1.519)
x1

0 5 10 15 20 25

R. W. ALLMENDINGER © 2015-19
FINITE STRAIN
 Chapter 9
Rheology, Stress in the Crust, and Shear Zones
Introduction
Why is it that some rocks break whereas other rocks appear to flow seamless-
ly? Sometimes, one can observe these contrasting types of behavior in different
minerals in the same rock? Rheology is the study of flow of rocks and to delve
into this topic, and understand the question raised in the first sentence, requires us
to understand the relations between stress and strain (or strain rate), the effects of

environmental factors on deformation, and how materials actually deform at the

scale of the crystal lattice.

Relationship Between Stress and Strain

At its simplest, deformation can be either non-permanent or permanent.
In the former case, the deformation exists only while the stress is applied and the
material returns to its undeformed state upon removal of the stress. Permanent de-
formation, on the other hand, is forever. These topics are treated more formally in
Chapter 12.
CHAPTER 9 SHEAR ZONES & STRESS IN THE CRUST

Elasticity
Elastic deformation is, by definition, non-permanent and instantaneous. The
material suffers distortion only while stress is applied and quickly returns to normal
when he stress is removed. Many processes in geophysics and geology are mostly or
completely elastic: the propagation of seismic waves, the earthquake cycle, or flex-
ure of the lithosphere beneath a load such as a mountain belt or a sedimentary
basin. The GPS data that you analyzed in Chapter 7 is largely non-permanent de-
formation that occurs when the earth on one side of a fault “snaps back” during an
earthquake, something known as the elastic rebound theory. What distinguishes all
of these deformations is that they are very small even though the stresses are larger.
From your physics courses and experiments with springs, you probably re-
member Hooke’s Law, in which there is a linear relationship between force and
displacement. However, you also know that both stress and infinitesimal strain are
second order tensors and, therefore, the relationship between them should be a
fourth order tensor:

σij = − Cijkl εkl (9.1)

where, Cijkl is the stiffness tensor. Although Equation (9.1) looks nasty with 81
terms, they re not all independent. In fact because of symmetry, there are at most
36 independent parameters and for all practical purposes, we only refer to a few
elastic moduli. They are:
• Young’s modulus, E, for axial strain (elongations or shortenings),
where σ = Eε. A material with a high Young’s modulus is very rigid.
• The shear modulus or modulus of rigidity, G, is appropriate
for simple shear deformations.
• The bulk modulus, or incompressibility, K, is likewise the
one to use for simple contractions or dilations (i.e., volume strains).
These moduli can be related to one another if we know and independent parame-
ter, known as Poisson’s Ratio, ν, which describes to what extent a shortening in one
direction is balanced out by a lengthening in an orthogonal direction. Poisson’s ra-
tio is the ratio of the transverse to the longitudinal extension:

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CHAPTER 9 SHEAR ZONES & STRESS IN THE CRUST

wi

Figure 9.1 — The blue rectangle is elastically

deformed into the red rectangle (strains are
highly exaggerated). Poissons ratio is defined
as the ratio of the transverse extensions to the
f i longitudinal extensions, calculated from the
w’s and ℓ’s, respectively as shown in equation
(9.2).

wf

( wi )
wf − wi
et
ν =− =− (9.2)
( li )
eℓ l f − li

For volume constant deformation, ν = 0.5 but for most rocks, 0.1 ≤ ν ≤ 0.33. All of
these parameters are related by the following equation:
E 3K (1 − 2ν)
G= = (9.3)
2 (1 + ν) 2 (1 + ν)

Rocks only experience a very small amount of elastic strain before perma-
nent deformation ensues. That permanent deformation can be in the form of a
fracture or fault, something we saw in Chapter 6. When a fracture cuts across the
material, there is a loss of cohesion and the sample falls apart. However, the mater-
ial can also deform permanently without losing cohesion, a type of deformation we
call…

Plasticity
Plastic deformation results when a critical threshold stress, known as the
yield stress (σy), is exceeded and the ratio of the change in differential stress to the
change strain decreases drastically. Three different behaviors are possible (Fig. 9.2):
(a) the slope of the stress strain curve decreases but remains positive, which is

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CHAPTER 9 SHEAR ZONES & STRESS IN THE CRUST

in g
h a rd e n
st r a in
Figure 9.2 — Idealized differential
perfect
σy stress(Δσ)-strain(ε) curves exhibiting dif-
strain sof plastic ferent types of plastic deformation once
tening
the yield stress, σy, is surpassed. Strain
Δσ hardening occurs at lower temperatures
where as strain softening at higher temper-
atures. If the stress is removed (dashed
stress line), the initial elastic deformation is re-
removed couped but the deformation beyond the
yield stress is not.

known as strain hardening, (b) strain increases continually without any further in-
crease in stress (perfect plastic behavior), or (c) the strain increases with decreasing
differential stress, known as strain softening. Temperature largely controls which of
these behaviors will occur.

Strain Rate and Viscosity

So far, we haven’t said anything about time except that elastic deformation is
instantaneous. Consider the deformation shown in Figure 9.3a. The same material
deforms continuously for a constantly applied differential stress, but the rate of
deformation tensor4, ε! , increases with increasing stress. So, we can make a new
curve (Fig. 9.3b) where the differential stress is plotted against strain rate; the ratio
between stress and strain rate is known as the viscosity, η, which is a measure of a
fluid’s resistance to flow. The material shown in Figure 9.3b exhibits a constant vis-
cosity and thus is known as a Newtonian fluid. Over a long period of time, even
rocks within the earth can exhibit fluid-like behavior, but in contrast to Newtonian
fluids, they tend to exhibit non-linear, power law viscosity as we shall see, below.
Viscous and elastic idealized models are combined in various ways. For ex-
ample, viscoelastic deformation is non-permanent but develops over time and is

4 The rate of deformation tensor is commonly confused with the time derivative of the strain tensor. For infinitesimal
strain, the two are equivalent but in finite strain, the former is defined with respect to the spatial coordinates whereas
the latter is defined with respect to the material coordinates (Malvern, 1969).

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CHAPTER 9 SHEAR ZONES & STRESS IN THE CRUST

(a) (b)

Δσc

differential stress, Δσ
Δσc
strain, ε
Δσb
Δσb
Δσa Δσa

time, t strain rate, ε

Figure 9.3 — (a) A material that accrues strain over time at constant stress. Δσa ≤ Δσb ≤
Δσc and thus the strain rate varies differential stress. (b) Same data plotted with dif-
ferential stress against strain rate. The slope of the line is known as the viscosity and
the simple material shown, with constant viscosity, is known as a Newtonian fluid.

recovered over time as well. Likewise, there are viscoplastic models that combine
elements of viscosity and plasticity. There are many additional hybrid mechanisms.

Environmental Factors
The type of deformation that a rock experiences is due primarily to its com-
position and the environmental conditions under which the deformation occurred.
You have undoubtedly reviewed the environmental factors in the lecture part of
your course. The most important are:
• Confining Pressure — This is the uniform pressure surrounding
the rock at the time of deformation. It commonly corresponds to
the vertical stress or lithostatic load, that is the weight of the
overlying rocks. An increase in confining pressure makes rocks
stronger (i.e., the yield stress increases), as reflected by the slope of
the Coulomb part of the failure envelop. Because confining pres-
sure increases with depth, rocks should get stronger deeper in the
earth. The formula for lithostatic load is:
z

∫0
Plith = ρgdz ≈ ρgz (9.4)

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CHAPTER 9 SHEAR ZONES & STRESS IN THE CRUST

The right side of this equation is a common approximation for the

case where the density, ρ, does not vary with depth, z, and the
change in gravitational acceleration, g, is small with changes in
depth corresponding to crustal conditions. The confining pressure
effect is relatively insensitive to rock composition, except of course
to the extent that composition determines density.
• Temperature — With increasing temperature, mechanisms of
crystal plasticity described below, which depend on composition,
begin to kick in and reduce the yield stress. The increase in con-
ductive temperature with depth varies with tectonic setting, being
about 15-20°C/km with depth (a heat flow of about 60 mW/m2)
in stable continental interiors, ~30°C/km in rift provinces (~90
mW/m2), and >40°C/km in active volcanic provinces (~120 mW/
m2). Because temperature increases with depth, its effect is opposite
to that of confining pressure. Thus these are the two great compet-
ing factors, but they are modified by other factors as well, includ-
ing…
• Fluids — There are three distinct ways in which fluids act to
weaken rocks: (a) increasing the pore fluid pressure counteracts
confining pressure by reducing the effective normal stress; (b)
pressure solution dissolves soluble minerals, especially at high
stress grain-to-grain contacts, redepositing the material locally in
low stress “pressure shadows” or flushing the dissolved material
completely out of the rock; and (c) hydrolytic weakening where
water in the crystal structure weakens the bonds of the crystal.
• Strain Rate — When the strain is high, rocks are more resistant
to deformation and when they do deform, they are more likely to
do brittlely. A slower strain rate allows the rocks to creep or flow
under lower differential stress conditions, effectively lowering the
yield stress.

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CHAPTER 9 SHEAR ZONES & STRESS IN THE CRUST

Deformation Mechanisms
Although the crust is complex, there are a relatively small number of defor-
mation mechanisms which you have probably already reviewed in the lecture part
of your class. Here is a commented list:
• Elastic deformation — Very low temperature, small strains
• Fracture — Very low temperature, high differential stress, pore
fluid pressure important
• Frictional slip on preexisting fractures — Low temperature, high
differential stress but less than that required for fracture, pore fluid
pressure important
• Pressure Solution — Low temperature, fluids necessary
• Dislocation glide — Low temperature, high differential stress.
Produces strain hardening behavior
• Dislocation glide and climb — Higher temperature, high differen-
tial stress. Requires increased lattice diffusion to permit dislocations
to climb around obstacles.
• Grain boundary diffusion — Low temperature, low differential
stress, slow strain rates
• Crystal lattice diffusion — Very high temperature (T ≈ 0.85Tmelt),
low differential stress. Probably only effective as a primary mecha-
nism in the mantle of the earth.

State of Stress in the Earth

The state of stress in the earth is important for a number of reasons ranging
from where earthquakes nucleate to the thickness of the elastic lithosphere that
flexes under loads. There is a fundamental principle underlying the determination
of stress in the lithosphere: the dominant deformation mechanism is the one that
requires the lowest differential stress to activate. If mechanism A requires 500 MPa
at a particular set of environmental conditions, but mechanism B only require 200
MPa, not only will B dominate, but the differential stress will never significantly ex-

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CHAPTER 9 SHEAR ZONES & STRESS IN THE CRUST

ceed 200 MPa. We tend to think of stress magnitude as something that is imposed
externally and independently of the rocks but in fact, the strength of the rock con-
trols the maximum differential stresses at any depth.

Frictional Slip on Preexisting Fractures

Although we examined Coulomb failure in an earlier chapter, even a casual
look at almost any outcrop will demonstrate that rocks are full of pre-existing frac-
tures and in fact the brittle crust is much more likely to slip on this pre-existing frac-
tures than by making new fractures. There is no such thing a pristine rock! Thus,
the place to start is the failure envelope for preexisting fractures (following Sibson,
1974, 1985):

τ = σ*
n μ (9.5)

where the asterisk indicates effective normal stress. We expand this equation by
substituting in the equations for Mohr’s Circle for stress:

(σ* 3) [ 1 ]
1
− σ* sin 2θ = μ (σ* 3)
+ σ* − (σ*
1 3)
− σ* cos 2θ (9.6)

and after some algebra, we get an equation for the ratio of principal stresses:

σ*
1 (1 + μ cot θ)
Γ= = (9.7)
σ*
3 (1 − μ tan θ)

To find the minimum ratio of effective principal stresses that is necessary for reacti-
vation, we set the derivative of Γ with respect to θ equal to zero:

( (1 + μ ) )
2
dΓ 2
=0 Γmin = μ+ (9.8)
dθ

We now have the basis for calculating the minimum differential stress at
which reactivation will occur but first, however, what about μ? Recall from Chapter
6 that Byerlee’s Law shows that friction is relatively independent of rock type (Fig.
6.10). This result holds that at confining pressures of less than 200 MPa (a little

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CHAPTER 9 SHEAR ZONES & STRESS IN THE CRUST

over 8 km depth for a density of 2500 kg/m3) μ = 0.85 and at greater confining
pressures, μ = 0.6. The only significant exceptions to this rule are the clays illite,
montmorillonite, and vermiculite. Thus, to a first order, we can ignore composition
in the upper crust, except for its obvious control on density.
Assuming that one of the principal stresses is vertical and equal to the litho-
static load minus the pore fluid pressure (here expressed as the pore fluid pressure
ratio, λ):

σ*
1
− σ*
3
≥ (Γmin − 1) ρgz (1 − λ) σ*
v = ρgz (1 − λ) (9.9)

we can derive expressions for the minimum differential stress that will activate slip
on pre-existing weaknesses for the three basic conditions of Andersons Law (Table
9.1)

Table 9.1: Frictional Strength of the Crust

Vertical Stress Tectonic Environment Minimum Differential Stress

σ3 thrust faulting σ*
1
− σ*
3
≥ (Γmin − 1) ρgz (1 − λ)

(Γmin − 1)
σ1 normal faulting σ*
1
− σ*
3
≥ ρgz (1 − λ)
Γmin

(Γmin − 1)
σ* − σ* ≥ ρgz (1 − λ)
1 3
Φ (Γmin + 1) + 1
σ2 strike-slip faulting
σ −σ
where Φ = 2 3
σ1 − σ3

Power Law Creep

We have seen that dislocation glide and climb is the dominant mechanism of
crystal plasticity in the crust of the earth. Unlike frictional deformation, which is
relatively independent of composition and strongly dependent on confining pres-
sure, crystal plastic deformation depends strongly on composition and temperature
but not on confining pressure. Through much experimental work, flow laws have

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CHAPTER 9 SHEAR ZONES & STRESS IN THE CRUST

been developed to describe this type of deformation for many different rock types.
The basic equation is:

( RT )
−Q
e· = Co (σ1 − σ3) exp
n
(9.10)

Where
e· = strain rate [s–1]
Co = a constant [GPa–ns–11; experimentally determined]
σ1 − σ3= the differential stress [GPa]
n = a power [experimentally
determined] Table 9.2: Power Law Creep Parameters
Rock Type Log(Co) n Q
Q = the activation energy GPa–ns–1 (kJ/mol)
[kJ/mol; experimentally Albite Rock 6.1 3.9 234
determined] Anorthosite 6.1 3.2 238
Aplite 2.8 3.1 163
R = the universal gas constant Clinopyroxenite 9 2.6 335
= 8.3144 × 10-3 kJ/mol " 14.4 6.4 444
K Diabase 6.5 3.4 260
" 11.72 3 356
T = temperature, K [K = °C Dolomite 14.4 9.1 349
+ 273.16] Olivine (dry) 14.4-15.3 3.4-3.5 528-544
Olivine (wet) 14.2,16.1 3.4,4.5 444,498
Granite (dry) 1 -0.2 2.9 106
It is called power law creep Granite (dry) 2 1.6 3.4 139
Granite (wet) 2 1.9 137
because the strain rate is proportional
Limestone 9.9 2.1 210
to a power of the differential stress. Marble 25.8 7.6 418
Equation (9.10) describes a non-linear " 20.6 4.2 427
viscous rheology. Because temperature Quartz Diorite 4.3 2.4 219
occurs in the exponential function, this Quartzite (dry) 1.2 1.9 149
Quartzite (dry) 3 2.9 184
sort of rheology is going to be ex- Quartzite (wet) 3 1.8 134
tremely sensitive to temperature. To Quartzite (wet) 3.7 to 2.6 to 167
think of it another way, over a very Salt (halite) 16.7 5.3 102
small range of temperatures, rocks

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change from being very strong to very weak. The exact temperature at which this
occurs depends on the lithology. Also unlike the equations for frictional strength,
there is no depth term in Equation (9.10). Instead, we must use temperature as a
proxy for depth by assuming a geothermal gradient. Some of the experimentally
determined parameters for different common rock types are shown in Table 9.2.
There are many more that are available in the literature.
Generally, one will want to calculate the differential stress as a function of
temperature. That requires rewriting Equation (9.10) as:
1
n

e·
σ" 1 − σ3 = (9.11)
Coexp ( RT )
−Q

Stress Variation in the Lithosphere

To plot the variation of stress in the crust one simply plots the appropriate
equation in Table 9.1 and Equation (9.11) against depth (Fig. 9.4). The temperature
in (9.11) will have to be converted to depth by assuming a geothermal gradient and
here we have also assumed a continental strain rate of 10–15s–1. You can see from
Figure 9.5 that the transition from frictional to crystal plastic occurs where the two
lines cross and depends on tectonic regime, pore fluid pressure, geothermal gradi-
ent, strain rate and composition.
Care should be taken not to interpret these curves too literally! In Figure
9.4, for example, we assume that the crust has a quartz diorite composition when,
in fact, crustal composition is highly variable. Likewise the mantle here is assumed
to be dry olivine but in some tectonic environments, wet olivine would be more ap-
propriate. Furthermore, we have not even taken into account mechanisms like pres-
sure solution which are known to be quite important in the crust.
What this analysis does demonstrate is that the middle crust can support the
highest stresses, on the order of several hundred megapascals, whereas the lower
crust is very weak, supporting < 20 Mpa of differential stress. In some areas where
the crust is < ~40 km thick and/or heat flow is not very high, there will be a jump

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Figure 9.4 — Spreadsheet illustrating the calculation of differential stress magnitude

in the crust of the earth assuming that strength is controlled by frictional slip on pre-
existing fractures and power law creep. Note that we have assumed a single average
coefficient of friction rather than the two from Byerlee’s Law. The power law creep pa-
rameters are for quartz diorite from Table 9.2. Note that Equation (9.11) gives differen-
tial stress in GPa whereas the equations in Table 9.1 yield stresses in Pa. Conversion
factors have been added to the spreadsheet to cover all values to MPa.

in strength of the uppermost mantle. In the case of oceanic lithosphere or conti-

nental rift provinces with low heat flow, the upper mantle may be strong enough to
support upper mantle earthquakes. This notion of a strong middle crust and strong
(-ish) upper mantle has given rise to the concept of the lithosphere as a so-called
“jelly sandwich”: two strong layers separated by a weak lower crust.

Shear Zones
As faults cut down through the earth, they change from simple fracture
planes, to zones of anastomosing fault planes to ductile shear zones that may be
tens to thousands of meters in thickness. One of the great accomplishments of the
last thirty years in structural geology is the understanding of genesis of shear zones,
especially the minor structures which are key to understanding the sense of
shear.

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Figure 9.5 — Cross-

section showing
90°–φ/2 Riedel shears in a
P right lateral shear
φ/2
zone. The gray
dashed lines are P-
shears that form
R after Riedel shears
at the time of
through-going rup-
R′ ture.
45°

Brittle Shear Zones

Brittle shear zones that form in the upper ten kilometers or so of the Earth’s
crust develop a suite of structures that reflect their evolution from pre- to post-rup-
ture. The pre-rupture structures remain preserved in the wall rocks long after the
fault surface is fully developed. The most important of these structures are the
Riedel shears. These are conjugate Coulomb fractures that form in an en eche-
lon manner within an overall shear zone that is, ideally, oriented at ~45° to the
principal stresses (Fig. 9.5). Because they are Coulomb fractures, the two planes
have opposite senses of shear: the R, or synthetic Riedel shears, form at an an-
gle of φ/2 with respect to the shear zone and have the same sense of shear as the
main shear zone, itself (clockwise in Fig. 9.5) whereas the R′ or antithetic Riedel
shears form at 90–φ/2 and have a sense of shear that is opposite to that of the
main shear zone (counterclockwise in Fig. 9.5). The angle φ is the angle of internal
friction (Chapter 6). P-shears may form at the time of rupture and have the same
sense of shear as the main shear zone.
A number of publications emphasize the use of Riedel shears and P-shears
to determine the sense of shear in fault zones (e.g., Petit, 1987). Some imply that
any fracture at a low angle to the shear zone is an R-shear and any at a high-angle
is an R′ shear. These are dangerous assumptions because rocks are full of fractures
that existed prior to, and have nothing to do with, the formation of the fault. To
improve your chances of a correct interpretation, one should always determine that
(a) there has been shear on the minor fractures (e.g., by observing slickensides, etc.)

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Figure 9.6 — Syn-

thetic Riedel shears
(red arrows) show-
ing correct sense of
offset associated
with a larger fault
zone (yellow
arrows). Sense of
shear (white arrows)
is opposite that
shown in Figure 9.5.

and (b) the shear on the minor fractures is consistent with that associated with
Riedel shears (Fig. 9.6).
Where fluids flow and precipitate minerals — commonly quartz or calcite —
in crevices and fractures associated with faulting, the resulting geometries can be
very indicative of the sense of shear. Two types of structures are very useful. The
first are sigmoidal veins, which are sometimes referred to in older literature as
“tension gashes” (Fig. 9.7). The asymmetry of the veins and their shape reflects the
rotation of the older, central parts of the veins that occurs during large magnitude
finite strain. The tips of the veins propagate parallel to the shortest principal axis of

Figure 9.7 — Sigmoidal veins in

cross-section in a right lateral
shear zone. Two generations
are shown: an older inactive set
in light gray and a younger
smaller set at 45° to the shear
zone boundary in white.

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infinitesimal strain which, we know from Chapter 7 is at 45° to the shear zone
boundary. Eventually, the central part of the vein may rotate so much that it is no
longer favorably oriented for opening. When that happens, new veins at 45° may
form, crosscutting the older generation of veins (Fig. 9.7). Sigmoidal veins are high-
ly reliable indicators of sense of shear.
The second case of minerals precipitating from fluids in shear zones is the
situation where an undulatory fault surface opens up a void during fault motion
(Fig. 9.8). These voids are ideal places in which to precipitate minerals such as cal-
cite or quartz during fault movement. Under these conditions, the mineral fibers,
sometimes called slickenfibers, are oriented parallel to the direction of motion.
On an exposed surface (Fig. 9.8b), one can identify the step from which the fibers
grew, usually by the sharp contact between the step and the fibers which marks the
“upstream” (with respect to the movement of the upper plate) side of the void. Like
sigmoidal veins, slickenfibered steps are highly reliable indicators of fault motion
(Fig. 9.9).

(a)

Figure 9.8 — The formation

of mineral fiber steps on an
undulatory fault plane. (a)
The void produced by the
fault slip is an ideal place in
which to precipitate fibrous
minerals such as calcite or
movement opens a voi
d quartz. (b) The fibers grow
along irregular fault pla
ne in the direction of fault slip
as the void grows in size.
The key to correct interpre-
mineral fibers grow from
the step into the void
tation of fault slip from the
(b) exposed geometry in (b) is
to identify the sharp con-
tact between the top of the
step in the footwall and the
fibers. A right-lateral or top
to the right shear sense is
slickensides on
the fault surface
indicated.
sharp contact indica
tes
beginning of step

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Figure 9.9 — Calcite

slickenfibers on a
fault surface in lime-
stone. Large red ar -
rows indicate the
sense of shear in this
oblique view with the
upper (missing) block
having moved down
towards the lower left
corner of the photo.
Small yellow arrows
indicate the sharp
contact between the
fibers and the fault
surface which indi-
cates the upstream
side for the void.

Finally, although we tend to think of foliations forming in metamorphic

rocks, brittle fault zones can likewise have local foliation developed in the high
strain zone that parallels the fault surface. Two morphologies of fault-related folia-
tions are common (Fig. 9.10): (a) where there is a discrete zone of gouge — clay-
like material produced by mechanical grind along the rock surface — the largest
movements and thus highest shear strains occur between the gouge and the much
less deformed wall rock. The foliation in the gouge reflects this heterogeneous sim-
ple shear strain and produces curving foliation planes (Fig. 9.10a). (b) Where the
fault plane is in carbonate rocks, a localized pressure solution cleavage can form; in
this case the highest shear strains are at next to the discrete fault surface and dies
out upward into the country rock on either side (Fig. 9.10b). Both of these cases are
examples of a type of brittle S-C fabric, a term we will define in the next section.

Ductile Shear Zones

To appreciate how far structural geology has come consider that, in the mid-
dle of the last century, it was common place for structural geologists to interpret
that every planar foliation in a rock represented a separate deformation, labeling
them S0 to Sn, where S0 was the original stratification. We now understand that
progressive deformation in shear zones can develop two more more planar folia-

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(a) (b) Figure 9.10 — Cross-

sections of fault re-
lated foliations in (a)
fault gouge in silici-
clastic rocks, and (b)
zones of enhanced
pressure solution
next to faults in car-
bonates.

Figure 9.11 — Idealized diagram

showing the arrangement of S
and C planes in an SC mylonite.
Red ovals represent the strain
schematically in different parts
of the structure.

tions. The basic shear zone foliations (Fig. 9.11) are known as S-C fabrics; with
the “C” standing for French word for shear, “cisaillement”, and the “S” the French
word for “schistosité” or foliation in English. As you can tell, French geologists were
amongst the first to correctly describe S-C fabrics (Berthé et al., 1979)! The geome-
try of S and C planes develops by extremely heterogeneous simple shear. From
your experiments with simple shear in the last chapter, you know that, the larger
the shear strain, the closer and closer the long axis of the finite strain ellipse rotates
towards the plane of shear, itself (though technically never being exactly parallel,
because there is no shear strain on planes parallel to a principal strain axis). The C,
or shear, planes are region of extremely high shear strain and thus the S or foliation
planes become asymptotic to the C planes as they approach them (Fig. 9.11).
Basement rocks in which one tends to find mylonites commonly lack easily identifi-

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δ
σ
δ-type

σ σ
σ-type

Figure 9.12 — Asymmetric porphyroclasts in a mylonite from NW Argentina (left) and

schematically on the right. Representative clasts are labeled on the photo. The top-
to-the-right sense of shear is appropriate for both photo and sketch.

able offset features, so the reliable sense of shear indicated by S-C fabrics is quite
important.
Before moving on to other sense of shear indicators, a word of caution:
shear zone shapes commonly exhibit curving, sigmoidal geometries (re. Figs. 9.7,
9.10 and 9.11). However, if you compare Figures 9.7 and 9.11, the sense of curva-
ture is opposite to each other even though both diagrams have the same sense of
shear. To interpret these fabrics and shapes correctly, it is essential that you under-
stand the kinematics (i.e., the strain and how it was produced) rather than simply
trying to do pattern recognition. The curved feature in Figure 9.7 is a vein and
therefore the long principal axis of the strain ellipse is perpendicular to it. The
curving features in Figures 9.10 and 9.11 are foliations and therefore the long axis
should be approximately parallel to them.
There are a variety of other shear sense indicators in mylonitic rocks based
on the geometry of individual grains and grain aggregates. These include σ- and δ-
shaped asymmetric porphyroclasts (Fig. 9.12) and fractured and rotated mineral
grains (commonly feldspars as in Fig. 9.13). Although beyond the scope of this
manual, crystallographic c-axis fabrics and other microscopic preferred orienta-

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Figure 9.13 — Fractured and rotated plagioclase crystal from a mylonite in the
Sierra Chango Real of NW Argentina. Note the domino-style deformation of the
feldspar: the overall rotation gives the sense of shear, even though the micro faults
have the reverse sense of displacement

tions are likewise commonly used to determine sense of shear in plastically de-
formed mineral grains.

Displacement in Heterogenous Shear Zones from Foliations

So far, we have looked mostly at features that give us the sense, but not the
magnitude, of displacement in a shear zone. Displacement is commonly not easy to
determine due to lack of identifiable piercing points in basement rocks. If we make
the assumption that only heterogeneous simple shear is responsible for displace-
ment, there is quite a nice method published by Ramsay and Graham (1970). Con-
sider a homogeneous simple shear zone (Fig. 9.14). In the field, we can’t measure ψ
directly, but we can measure θ′, which is just the angle between the foliation (as-
sumed to be kinematically similar to S-planes) and the shear zone boundary. If the
foliation is parallel to the XY plane of the strain ellipsoid then there is a simple re-
lationship between θ′ and γ:
2
tan 2θ′ = (9.12)
γ

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CHAPTER 9 SHEAR ZONES & STRESS IN THE CRUST

d
Figure 9.14 — Hypothetical
homogeneous simple shear
zone demonstrating how the
ψ area = d
y y area under the shear strain-y
curve is equal to the displace-
θ′ ment, d.

shear strain, γ

θ3′ area = d Figure 9.15 — Variation in foli-

foliation ation across a heterogeneous
y θ2′ y simple shear zone (left) and the
calculation of displacement by
θ1′ determining the are under the
curve of shear strain versus
distance across the shear zone.
shear strain, γ

Although it is trivial in the case of a homogeneous shear zone, we could compute

the displacement graphically by plotting γ as a function of the distance across the
shear zone y and calculating the area under the curve (Fig. 9.14):
y y
2
∫0 ∫0 tan 2θ′
d= γ dy = dy (9.13)

For a heterogeneous shear zone — the usual case in geology — the situation is
more complex, but you can still come up with a graphical solution as above. The
basic approach is to (1) measure the angle between the foliation and the shear zone
boundary, θ′, at a number of places, (2) convert those measurements to the shear
strain, γ, (3) plot γ as a function of perpendicular distance across the shear zone,
and (4) calculate the displacement from the area under the resulting curve (Fig.
9.15).

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General (2D) Shear

Alas, most natural shear zones probably do not fit the simplified assumptions
of Ramsay and Graham (1970). Instead, they probably have a combination of pure
and simple shear (sometimes known as “sub-simple” shear), and may also have vol-
ume changes, both of which would negate the elegant analysis of Ramsay and
Graham (1970). We will only briefly look at the theory here, following the work of
Tikoff and Fossen (1993) and Fossen and Tikoff (1993). Because we have studied
tensors and strain already, this part should be (relatively) easy to follow. We start
with the deformation gradient tensor, which relates the positions in the initial state
to those in the final state:

xi = Dij Xj (9.14)

Neglecting the constant of integration, this is the same equation as (7.13). In a co-
ordinate system parallel to the stretches and the simple shear is parallel to the X1
axis, the tensor D that captures simultaneous pure and simple shear can be written
in two dimensions as:

γ(S1 − S3)

[ 0 S3]
S Γ S
"Dij = 1 = 1 2 ln (S1) (9.15)
0 S3

Γ is known as the effective shear strain. This equation is appropriate for a constant
volume deformation where S1 = 1/S3. The deformation matrix for simultaneous
simple shear, pure shear, and volume change is:

γ(S1 − S3)
S1
( S3 )
S1
" ij =
D ln (9.16)
0 S3

Dij, of course, is an asymmetric tensor. If you multiply D by its transpose, you get
the symmetric Green deformation tensor, C (referenced to the initial state):

DDT = Dki Dkj = Cij (9.17)

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From C you can determine the principal axes of strain, etc.

There are an infinite number of potential paths that lead to any finite strain
state. The deformation in Figure 9.16, for example, could be produced by (a) pure
shear with stretch, S1 = 1.75, followed by a simple shear with γ = 4.0 (76°); (b) a
simple shear with γ = 1.31 (52.6°), followed by a pure shear with S1 = 1.75; or (c) a
general shear with S1 = 1.75 and γeffective = 2.29 (66.4°). One would need to extract
information on the path — perhaps from curved mineral fibers — to distinguish
these three possibilities.


Figure 9.16 — Any finite strain may arise from an infinite number of possi-
ble strain paths. The one shown here was produced by a general shear with
horizontal stretch of 1.75 and an effective shear strain for 2.29, but many
other paths will produce exactly the same final state from the given initial
state.

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CHAPTER 9 SHEAR ZONES & STRESS IN THE CRUST

Exercises—Chapter 9

1. Calculate the variation of differential stress with depth in the crust for Granite
(dry) 2 (Table 9.2) assuming a strain rate of 10–15s-1, geothermal gradient of
15°C/km, an average density of 2750 kg*m–3, in an extensional environment
with hydrostatic pore fluid pressure, and a coefficient of static friction of 0.70.
You can to the calculations either in a spreadsheet or in Matlab.

2. The diagram, below, shows the case of simple shear of a square where the an-
gular shear, ψ, is defined as the change in angle of two originally perpendicular
lines (i.e., the sides of the box). A dashed line in the initial state makes an angle
of θ with respect to the plane of shear. After the deformation, the same dashed
line makes an angle of θ′. Derive an equation which shows θ′ as a function of θ
and ψ.

θ θʹ

"

3. Once Riedel shears form, they become material lines (really, cross-sections of
planes) that rotate in the shear zone. For the questions that follow, assume μint =
0.625, μs = 0.75, σ1 = 120 MPa, σ3 = 14.7 MPa, and the cohesion, So=20 MPa.
Also assume simple shear, not general shear.
(a) Calculate how much synthetic and antithetic Riedel shears will rotate before
they become inactive. Show your calculations and include any plots that you
used to come up with your answer.
(b) What is the effect of changing the magnitude of the differential stress?

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CHAPTER 9 SHEAR ZONES & STRESS IN THE CRUST

(c) Use your result from the previous problem to calculate the angular shear
necessary to make the synthetic Riedel shears inactive.
(d) Given their different orientations within the shear zone, which shear, R or R′
do you anticipate would rotate faster and why?

4. The following questions relate to the sketch, below, of a ductile shear zone in in
granitoid rocks. A grid has been laid over the sketch to help you make your
measurements.
(a) Use the Ramsay and Graham (1970) relationship, described above, between
orientation of foliation in a shear zone, θ′, and shear strain, γ, to determine
the displacement across the shear zone.
(b) What is the sense of shear in the shear zone?
(c) What assumptions does this calculation involve?

d 3'4'
ns 3'3 an
See Questio
" 0 2 4 6 m iectories of Figure 3'3'
Fabric tra
Figure 3.4'

5. The photographs on the next pages are rock samples showing fault related de-
formation. For each one, interpret the sense of shear (relative to its orientation
on the page) and make a quick sketch depicting the key features that helped you
come to the conclusion that you did. T :: H i: :: :f f; J " :" #il11fi:TJJ
f :"
" T,lili3l,l1 $L*
if fi 1 T J :: i"
:l T
ij if
,i " lx " " :' iJ :"
.:fJ::::"p"":y J;"#

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 Chapter 10
Fault-Related Folds and Cross Sections
Introduction
In this chapter, we change scale considerably from the previous few chapters,
zooming out and looking at systems of structures. In the process, you will gain ex-
perience carrying out one of the most fundamental activities with which a structur-
al geologist is commonly tasked: drawing cross sections. Cross sections are the pri-
mary way that we project the geometries of rock bodies into the subsurface and are

motivated by a variety of reasons both practical and intellectual. This task occurs at
the intersection between data and interpretation. The difference between a good
and a bad cross section can mean millions of dollars wasted or embarrassing gaffes
in publications and public presentations. Cross sections can be informal freehand
affairs when one is trying to understand different alternatives, but the final version
can be significantly improved by application of “rules” and procedures based on
our understanding of fold geometrics and their relations to faults. Regardless of the
rigor with which one constructs a cross section, however, one should never forget
that the cross section is only an under constrained model and not data. Uncertainty
is where we will start.
CHAPTER 10 CROSS SECTIONS

x
γ α = dip
90 – α
γ – 90 + α Figure 10.1 — The calculation of
r the depth to a layer at a horizon-
tal distance x from a surface
d outcrop with measured dip α.
Quite on purpose, we do not as-
sume that the borehole will be
perfectly vertical.

Uncertainty in a Simple Depth Projection

Uncertainty is a topic that we visited briefly in the early chapters of this book
but have not revisited since. You may recall that in Chapter 2, we saw the formula
for the mean vector calculation (Eqn. 2.12). But now, let’s say we know the mean
vector of a series of poles to bedding and want to use that data in a calculation of
the depth to that layer some distance away where the layer is in the subsurface (Fig.
10.1). This is the simplest sort of subsurface projection of geometry that one can
imagine. Now, a question of great import for anyone who has ever paid for a drill
hole to a particular layer: what is the uncertainty, or error, in our knowledge of the
depth to the layer?
The first part of the problem, of course, is to calculate the depth, d, as a
function of the horizontal distance, x, the dip, α, and the angle that the borehole is
drilled at, γ. Because the borehole is not necessarily vertical, we have to solve the
two right triangles with sides rx and rd, above. After some trigonometry, we get the
expression for d:
x sin α
d= (10.1)
cos (γ − + α)
π
2

Note that we are using π/2 which is 90° in radians, because most spreadsheets and
programing languages require the use of radians rather than degrees. You can see
that, for the special case of a vertical borehole, equation (10.1) would simplify to
the much simpler:

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CHAPTER 10 CROSS SECTIONS

d = x tan α (10.2)

But we are going to use Equation (10.1) because that is more general and because it
will allow us to incorporate uncertainties in the angle that the borehole is drilled.
Let’s assume that x is perfectly known but there are uncertainties in the dip,
α, of the layer were are interested in (the gray layer above) and in the angle of the
borehole, γ. The standard error propagation equation for Gaussian errors (random
and uncorrelated) for this case looks like (Taylor, 1997; Bevington and Robinson,
2003):

( ∂α ) ( ∂γ )
2 2
∂d ∂d
δd = δα + δγ (10.3)

Where δd is the uncertainty in depth in the borehole, δα the uncertainty in dip, and
δγ the uncertainty in the angle of the borehole. So, we have to differentiate equa-
tion (10.1) with respect to α and γ. You probably don’t remember how to do this off
the top of your head but there is an online tool that can help: WolframAlpha
(http://www.wolframalpha.com). To differentiate with respect to α, enter this line
into the search field: d(x*sin(a)/cos(g-(pi/2)+a))/da. And for γ, enter: d(x*sin(a)/
cos(g-(pi/2)+a))/dg. Notice we are using the letters “a” and “g” in place of α and γ.
This gives us the following equations:
∂d ∂d
= x sin (γ) csc2 (α + γ) and = x sin (α) (−cot (α + γ)) csc (α + γ) (10.4)
∂α ∂γ

We can now simplify these and substitute into Equation (10.3) to get the propagat-
ed error in depth to the layer in the borehole:

2 2
x sin (γ)
( sin2 (α + γ) ) ( tan (α + γ) sin (α + γ) )
−x sin (α)
δd = δα + δγ (10.5)

Let’s put this to work in a simple test example. Our input is:

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CHAPTER 10 CROSS SECTIONS

Parameter Magnitude Uncertainty

Horizontal distance , x 3000 m 0

Dip, α 35° 5°

Borehole angle, γ 90° (i.e., vertical) 5°

Using equations (10.1) and (10.5) above, we calculate that uncertainty in the depth
at which the top of the layer is pierced in the borehole is 2101 ± 411 m! The 5° of
uncertainty in the borehole and dip angles yields an uncertainty equivalent to 20%
of the depth of the borehole.
But these methods are even more powerful than that because we can now
ask the question, which factor has a bigger effect on the uncertainty, the dip or the
borehole angle. In other words, you now have the tools in hand to answer the ques-
tion: “Should I invest more time/money in reducing the error on the dip or con-
trolling the angle that the borehole is drilled?” You may be tempted to answer: “5°
is five degrees” but in fact the trig functions are non-linear, so let’s try it. If we set
the borehole uncertainty to zero, we can then calculate that the 5° uncertainty in
dip yields a depth uncertainty of 390 m, close to the total error. In contrast, per-
fectly known dip and 5° error in the drill hole orientation will give us 128 m of un-
certainty in the depth. So now we know where to devote our time and resources:
determining the dip better. As a field geologist, I like that outcome!
This will not always be the case: for some geometries, the angle of the bore-
hole could be more important. If one has programed in these relationships in a
spreadsheet or more complicated code (say, by propagating the errors in Equations
6.4 to 6.6), it becomes trivially easy to play “what if ” games. With this lesson —
that even the simplest type of subsurface projection contains considerable error —
firmly in mind, let us return to the initial objective, that of drawing cross sections.

Drawing Cross Sections

Cross sections are the projection of surface geology, supplemented by com-
monly sparse subsurface data, onto a vertical plane. Although similar to, they differ

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CHAPTER 10 CROSS SECTIONS

from the down-plunge projections that we studied earlier, in that the profile plane
of a fold is only vertical if the fold axis is horizontal. The data that one has avail-
able varies, but commonly includes:
• Stratigraphic contacts
• Intrusive contacts and metamorphic aureoles
• Structural information such as faults and fold axes
• Orientation data such as strikes and dips of bedding, cleavage, etc
• Borehole and/or seismic reflection data (Chapter 11)

Preparation for drawing a cross section

Prior to starting any task, it is always worth examining your motives; other-
wise your time can be wasted. Types of questions to ask yourself before you start to
draw your cross section include:
• What is my purpose in drawing a geologic section?
• Is this for a scientific study of the tectonics of a region or a de-
tailed process-oriented study of a single feature
• Is the section to be a balanced section?
• Is it for some applied use such as oil and gas or minerals explo-
ration?
• Do I need to show the distribution of surficial features or interpret
the upper 10 km of the crust? And so on.
• What types of rocks and structures will the section depict (because
there are rules for different types)?
• Unmetamorphosed sedimentary rocks with excellent lateral conti-
nuity?
• Metamorphic and igneous rocks with irregular contacts?
• An area with lots of pre-existing structure with abrupt lateral
changes?
• Where is the best place to draw the section?

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CHAPTER 10 CROSS SECTIONS

• Usually, we draw sections so that they are oriented perpendicular

to the structures and the strike of bedding.
• In general, we try to avoid drawing sections through very compli-
cated areas and also avoid drawing them parallel to structure, al-
though there are good reasons for doing both.
• We usually want to locate sections where we have a lot of orienta-
tion data and in areas where the outcrop allows us to place con-
tacts with some certainty

Step-by-Step Section Construction

1. Select the line of section perpendicular to structure and where
there are plentiful high quality data, avoiding local complications.
2. Construct a topographic profile 1:1 (i.e., without vertical exaggera-
tion) along the line of section (Fig. 10.2). Profile should be the same
scale as the map. Ink in the topographic profile or, if you are con-
structing the section in a graphics program, lock the profile or put it
in a separate layer along with the elevation scale.
3. Plot apparent dip tick marks on the topographic profile (remem-
ber that if the strike is not perpendicular to the line of section, then
you have to calculate the apparent dip!). For dips that lie close to, but
not on the line of section, remember that you project them parallel to

Tc Kd
Kd Tc Te
Kd Kt Tc
Te Tc
Kt Kd
Jp Kd
Kt

Jr

Jm

Figure 10.2 — Plotting of data in preparation for drawing the cross section.
We construct the topographic profile along the line of section and then
project apparent dips, stratigraphic or structural contacts, and any subsur-
face information such as wells.

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CHAPTER 10 CROSS SECTIONS

the fold axis and not parallel to the strike. Do not project strikes and
dips across faults onto the line of section. You can plot the apparent
dip tick marks permanently. Some people prefer to use a “bar and
ball” symbol, that is a small circle a that location of the projected ori-
entation with a tick mark indicating the apparent dip in the plane of
the section (Fig. 10.2).
4. Plot the geologic contacts on the topographic profile along the line of
section. These should be marked lightly and in pen or pencil and la-
beled.
5. Plot any subsurface constraints you may have such as seismic reflec-
tion data or borehole data as shown in Figure 10.2.
6. If the region is folded, you need to decide on a folding model as
well as the relationship between folds and faults. This will depend on
your knowledge of the field area, field observations (e.g., slickensides
on bedding planes, axial planar cleavage, etc.). In general, for un-
metamorphosed sedimentary rocks, a parallel fold model is most ap-
propriate whereas similar folds are more likely in cleaved rocks which
have suffered some metamorphism. Trishear or parallel folds are most
likely to be associated with tip lines of faults, etc. If you choose a par-
allel fold model, you must further decide whether the folds are kink
(sharp hinges and planar limbs), concentric (limbs not planar, hinges
broad), etc. Usually, the strikes and dips and field observations will
guide you.
7. Once you decide on a fold model and the relationship between fold-
ing and faulting, you can begin to use the rules of the fold model (e.g.,
constant bedding thickness, dip isogons, kink axes, orientations of ax-
ial surfaces, etc.) to project your structures to depth.
8. For faults, be sure to show the sense of slip in cross section.
9. In general, do not draw your section deeper than the known strati-
graphic section. Do not be afraid to use question marks where you
don’t know how a structure behaves.

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CHAPTER 10 CROSS SECTIONS

A formal cross section is not a sketch! All features are plotted as precisely as possible
following the rules that you have established for the region based on characteristics
of the region that you have actually observed.

Fold-Fault Models
Understanding the relations between coeval faults and folds is important for
constructing the most plausible cross sections, especially in stratified rocks. We will
start out with a simple two-dimensional assumption: that all of the folds are (ap-
proximately) cylindrical. As we saw in our π-diagram of the Big Elk anticline
(Chapter 3, Exercise 3.2), with natural folds this is, at best, a crude approximation,
but it does make our lives easier.

Fold Kinematics
In this chapter, we deal exclusively with cylindrical folds for the simple rea-
son that they represent plane (i.e., 2D) strain: a cross section perpendicular to the
fold axis should capture, ideally, all of the strain. Within this general category, there

90

s
fold
kin k
angular shear, ψ°

60 es
d hing
curve

30

30 60 90 120 150 180

bedding dip, δ°

Figure 10.3 — Graphs of Equations 10.6 showing angular shear as a function of bedding
dip for curved and kink hinge parallel folds. Note that bedding dipping 180° is completely
overturned.

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CHAPTER 10 CROSS SECTIONS

are three basic kinematic fold models and how we draw the cross section depends
on which model we choose.
Parallel folds have Class 1 dip isogons and preserve bedding thickness
throughout the fold. More importantly for section construction, the folds are flex-
ural slip, meaning that shear occurs on the bedding surfaces between the beds. We
can calculate the amount of angular shear, ψ, parallel to bedding as a function of
the dip, δ, of bedding (Fig. 10.3):

( ( 2 ))
δ
kink folds: ψ = tan−1 2 tan ; curved hinges: ψ = tan−1 (0.0175δ) (10.6)

Because the shear is layer parallel, the bed surfaces themselves are lines of no finite elongation. As
we will see below, this is the critical assumption that enables us to do line length
balancing. A surprisingly larger number of natural folds have relatively narrow
hinges and straight, rather than curved limbs; these are known as kink folds. In
order to preserve bedding thickness, the axial planes of kink folds must bisect the
interlimb angle; otherwise one limb will be thicker than the other. Kink folds are
common where faults change dip over a very small distance and in stratified rock
sequences with multiple thin layers with weak bedding planes. A second important
category is the concentric fold (Fig. 10.4) where all of the bedding surfaces have

Figure 10.4 — Illustration of the Busk method of cross section construction. Centers of
curvature are determined from the intersection lines drawn perpendicular to adjacent
dips. Two sets of concentric arcs are highlighted in yellow and light blue. In concentric
folding, synclines become very broad down section whereas anticlines terminate in cusps.

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CHAPTER 10 CROSS SECTIONS

the same center of curvature but different radii of curvature. Concentric folding is
the basis for the Busk method of cross section construction (Fig. 10.4).
Similar folds have Class 2 dip isogons and kinematically can result from
parallel shear planes oriented obliquely to bedding. Because of the oblique shear,
these folds preserve neither bedding thickness nor bed length. They do, however,
maintain area. In areas with curved fault planes, similar folding provides and easy
and straightforward way of modeling how beds move over a bend or ramp in the
fault plane. One should not mistake “easy” for “correct”, however!
Trishear folds constitute a third kinematic model of cylindrical folding. All
shear planes emanate from a blind fault tip and spread out upward into a triangular
zone of simple shear. We discuss these folds in some detail, below.

Fold Type and the Propagation/Slip Ratio

The relationship between faulting and folding, and the type of fold that re-
sults, depends strongly on the ratio between the rate of propagation of the fault tip
line and the slip rate of the fault, or propagation-to-slip ratio, P/S (Williams
and Chapman, 1983; Hardy and Allmendinger, 2011) For example, in the ideal-
ized fault-bend fold (Fig. 10.5a), the entire fault plane exists prior to any dis-
placement on the fault, a P/S = ∞ (infinity) because the propagation is a finite
number while the slip is zero. In fault-propagation folds (Fig. 10.5b), the rate of
propagation is only somewhat greater than, or can even be slightly less than, the
rate of slip. The loss of slip which is necessary near the tip line is diffused out into
the folded rocks in a way that depends on the specific model assumed. Detach-
ment or lift-off folds experience slip with essentially no propagation of the flat
fault with which they are associated, which is known as a decollement (the French
word for unsticking or ungluing). Think of pushing a carpet across a room: when
the edge of the carpet runs into a wall the decollement between the carpet and the
floor ceases to propagate and a bulge or ruck forms at the stationary tip. Tip-line
folds, commonly referred to as “forced” folds, associated with normal faults have
negative propagation to slip ratios because the tip-line propagates towards the sur-
face (as in thrust faults) whereas the slip of the hanging wall is downward relative to

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CHAPTER 10 CROSS SECTIONS

(a) Fault-bend Folds (b) Fault-propagation Folds

0 < P/S ≪ 5

P/S ≫ 5 tip-line
Trishear

(c) Detachment Folds

P/S = 0
(d) "Forced" (drape) Folds

P/S < 0

(e) Wedge-fault Folds

Figure 10.5 — Spectrum of fault fold relationships, emphasizing the impor-

tance of the propagation to slip ratio, P/S. See text for discussion.

the footwall. Finally, listric normal faults produce roll-over anticlines produced by
similar folding during shear oblique to the upper plate
The kinematic models for many of these fold types fall into two general cate-
gories: instantaneous limb rotation and progressive limb rotation. Faults
with sharp bends produce kink folds where the limb changes from flat to its final
dip without going through any intermediate stages. In contrast, the limbs of folds
associated with curved faults tend to rotate progressively to its final dip. The differ-
ences between these two models are particularly striking when one sees the geome-
try of the growth strata, sediment that accumulate in the vicinity of the fold dur-
ing its growth. We discuss each of these type of folds in the following sections.

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CHAPTER 10 CROSS SECTIONS

Figure 10.6 — the ramp and

flat geometry of fault-bend
folds, illustrated with kink
hanging wall flat geometry (top) and curved
fault geometry (bottom).

Fault-bend Folds
Fault-bend folds, or ramp or hanging-wall anticlines, are so named because
the upper plate moves over pre-existing bend in the fault surface (Fig. 10.5a, 10.6).
They were first described by J. L. Rich (1934) in his mapping of the Pine Mountain
block in the southern Appalachians. Bends in faults occur because thrust faults in
stratified rocks with differing mechanical properties tend to have a stair step trajec-
tory producing a ramp and flat geometry. Ramps occur where the fault cuts
across bedding whereas flats are where the fault is parallel to bedding. For every
step in a fault, once motion has occurred there are two ramps: where the fault cuts
across bedding in the hanging wall and where it cuts across bedding in the footwall
(Fig. 10.6). The key to restoring these folds is matching up the hanging wall
ramp with the footwall ramp.
Many structural geologists prefer the kink fault-bend fold (Fig. 10.6, top) be-
cause its geometry can be reproduced very precisely using the equations of Suppe
(1983). Suppe showed that:

−sin (γ − θ) [sin (2γ − θ) − sin (θ )]

−1
ϕ = tan (10.7a)
cos (γ − θ) [sin (2γ − θ) − sin (θ )] − sin (γ)

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CHAPTER 10 CROSS SECTIONS
Suppe's (1983) Fault-bend fold Gr
90° 60° 30° 0°
90°
90 80 70

20°

b = 10°
10°
° °

40°
°

30°
60
φ = 10°

20°
50
°

°
β=
100 θ
° φ= 20°
30°

40°

β= 50°
120
60° ° 60°

70°
Axial Angle, γ

80°

φ γγ β=
90°
140
β °

30°
θ β γ γ
φ

anticlines
0°
90° 60° 30° 0°
Initial cutoff Angles, θ
Figure 10.7 — Graph of the solutions to Equation 10.6 for kink fault-bend folds modified
from Suppe (1983). Knowing any two angles, the other two can be solved and a precise
cross section constructed. The green curve shows the special case of θ = φ. For any ramp
angle, θ, there are generally two possible solutions, mode 1 with large axial angles, γ, and
small hanging wall cutoffs, β, and mode 2 (gray shaded region) where the reverse is true.

β = θ − ϕ + (180 − 2γ) = θ − ϕ + δ (10.7b)

Where the angles are those shown in the inset diagram of Figure 10.7. Note that,
as used here, γ is the kink angle and not the shear strain! There are four unknown
angles and two equations; Thus one need only determine any two of the four angle

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CHAPTER 10 CROSS SECTIONS

and the other two can be calculated. In practice, Equation (10.7) is usually solved
using Newton’s method of successive approximations but a graph of solutions en-
ables anyone to construct kink fault-bend folds (Fig. 10.7). Equation (10.7a) simpli-
fies considerably when θ =φ, which represents a simple ramp up from a decolle-
ment. For that special case, the green line in Figure 10.7 shows a maximum at θ =
30°. In other words, the steepest ramp up from a decollement that one can have
and still preserve bedding thickness throughout the structure is 30°. One of the im-
portant consequences of the basic fault-bend fold theory is that, for parallel kink
folding with no global shear in thrust plates (i.e., there is no layer parallel shear in
horizontal beds), the hanging wall cutoff is larger than the footwall cutoff (β > θ)
and the fault slip must decrease across the hanging wall ramp.
It is entirely possible to construct fault-bend folds using other approaches.
For example, Figure 10.6 (bottom) was constructed using layer oblique shear and
similar folding. We shall see the equations and approach for doing that when we
talk about listric normal faults, below. Increasingly, structural geologists are apply-
ing full mechanical modeling to the problem, though that is beyond the scope of
this book. In unmetamorphosed parts of thrust belts, however, the prevalence of
slickenside bedding surfaces indicates that, to a first order, a flexural slip fold model
is an adequate approximation.

Figure 10.8 — Two flavors of

fault-propagation folding,
both with a propagation to
slip ratio of 2. Top, parallel
kink fold model (Suppe and
Medwedeff, 1990). Bottom, a
trishear fault propagation
fold. The dashed line is the
triangular shear zone.

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CHAPTER 10 CROSS SECTIONS

Fault-propagation Folds
Fault-propagation folds (Fig. 10.8) are produced by the propagation of the tip
line at a rate that is somewhat faster than the slip rate of the fault. In drawing cross
sections, the key question is: how is the loss of slip on the fault accommodated by
folding? Two popular kinematic models exist in the literature: The first employs
parallel kink folding where the loss of slip is compensated by enhanced growth of
the crest of the fold (Fig. 10.8 top) and the second, trishear, results in deformation
being resolved in a triangular zone of shear planes that radiate from the tip line of
the fault (Fig. 10.8 bottom). The former model produces no deformation in the
footwall of the fault whereas the latter yields a deformed footwall and bedding
thickness changes for that part of the beds in the triangular zone.

Kink Fault-propagation Folds

The kink fault-propagation fold model of Suppe and Medwedeff (1990) can
be quantified much the same way as kink fault-bend folds can. The pertinent,
messy looking equation (ignoring shear in horizontal layers) is (Fig. 10.9):

sin (γ*) sin (γ* − β1)

sin θ2 = (10.8)
[ ]
sin (γ1) sin (γ* − β1)
sin (γ1 − γ*) +
sin (2γ* − β1)

where γ = 90∘ + γ* − γ1; β2 = 180∘ − 2γ* + β1; and δb = 2 (γ − γ*).

The parallel kink (constant thickness) fault-propagation fold theory yields

several important results:
• The maximum ramp up from a decollement is 60° (unlike fault-
bend folds where the maximum step up angle is 30°).
• The fold changes geometry at the stratigraphic level of the tip line:
the fold in beds above that level has a flat crest but below that level
the fold is a sharp kink.
• For ramps off of a decollement, the geometry fixes P/S = 2.

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CHAPTER 10 CROSS SECTIONS

γ
90°
50
°
40
° max ramp angle for (θ =φ) is 60°
φ= 30
5° °
10° 20
°
20°
10
30° φ °
γ* 40°
=
5°
50
°

φ=
θ
60°
Axial Angle, γ* or γ*

φ=
θ

γ = 45°

10
γ °
γ

φ
30°

=
γγ

5°
γ*
γ*

θ2

θ1

a ramp < 25° produces

an overturned fold
0°
90° 60° 30° 0°
Cutoff Angle, θ2

Figure 10.9 — Graphs of fault-propagation fold geometry from equation 10.7, modi-
fied from Suppe and Medwedeff (1990).

• The fore- and back-limb dips are quite diagnostic in fault propaga-
tion folds (Fig. 10.10). This is very useful because the dips are easy
to determine from field data.

Trishear

Trishear fault propagation folds (Erslev, 1991) have more independent para-
meters (Fig. 10.11) and are thus not so amenable to geometric analysis. Several fine

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CHAPTER 10 CROSS SECTIONS

120°
Suppe & Medwedeff (1990), Fig. 22

30 δf δb

10
20
°

°
°
θ2
90° φ

θ1
40
Front Dip, δf

φ=5°
θ1
=5

10°
0°

60°

φ=
20°

θ2
30°

40°
Constant thickness Theory
30°
0° 30° 60°
Back Dip, δb

Figure 10.10 — Fault-propagation fold geometry as a function of the forelimb and

back limb dips (modified from Suppe and Medwedeff, 1990).

computer programs are available to calculate forward models of these structures

and because the models can be run backwards or forwards, there is even a grid
search modeling strategy for application to real structures. The derivation of the
most basic form of trishear following Zehnder and Allmendinger (2000) is instruc-
tive for its modern modeling approach.
We assume that the footwall is fixed and the hanging wall moves at a con-
stant velocity, vo. The only particles that experience deformation are located inside
the triangular shear zone (delimited by the dashed lines in Fig. 10.11) and we need
to determine a velocity field of a point inside the triangular zone. The velocity field
will be written in vector form as

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CHAPTER 10 CROSS SECTIONS

Figure 10.11 — The

key parameters of
the trishear kinemat-
ic model, showing
the velocities, angles,
and coordinate sys-
tems. All of the rela-
tions below are given
in the XY coordinate
system, which moves
with the tip line of
the fault. After
Zehnder and All-
mendinger (2000).

v (x, y) = vx (x, y) i ̂ + vy (x, y) j ̂

where the x and y axes are parallel and perpendicular to the fault line, and i ,̂ " j ̂ are
the usual unit vectors in the x and y directions. The origin of the coordinates is at-
tached to the fault tip (Fig. 10.11).
In the hanging wall sector, v ⃗ = vo i .̂ In the footwall sector, v ⃗ = 0. We now
seek to construct a velocity field in the trishear zone that conserves area, is continu-
ous and matches the hanging wall and footwall sector velocities on the top and bot-
tom boundaries of the zone. The boundary conditions are

vx = v0, vy = 0 on y = x tan ϕ1


vx = 0, vy = 0 on y = − x tan ϕ1 (10.9)

The condition that area is conserved, or that the flow is incompressible, is

that the divergence of the velocity field is zero,

∂vx ∂vy
div v = ∇v ≡ + (10.10)
∂x ∂y

The approach will be to choose a ν" x field consistent with Eq (10.9), then de-
termine the "ν y field from the above equations. Other than satisfying the boundary
conditions and continuity, any reasonable field and any combination of trishear

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CHAPTER 10 CROSS SECTIONS

angles can be chosen. Note that equation (10.10) can be stated in three dimensions
for analyzing 3-D deformation.
The simplest of an infinite number of conditions we could assume, is that
the velocity field is symmetric, so φ1 = φ2 = φ, and that vx varies linearly in y. To
simplify writing the equations, let m = tan φ. One choice for vx is

v0 y
vx = sgn (y) +1 , x > 0, −x m ≤ y ≤ x m, (10.11)
2 xm

where sgn(y) denotes the sign of y. For s = 1, the velocity distribution is linear in x,
producing a strain rate that is nearly uniform with respect to y. It can easily be seen
that the above field satisfies the v" x boundary conditions in Eqs. (10.9). To find v" y,
we differentiate Eq. (10.11) with respect to x, invoke incompressibility (Eqn. 10.10),
∂vy ∂vx
=− ,
∂y ∂x

and integrate with respect to y yielding

2
v0 m y
vy = +C
2 (1 + s) m x

The constant of integration, C, is found by using the boundary conditions given in

Eqs. (10.9). The resulting velocity field in the trishear zone is

[( m x )
y
]
v y m
v ⃗ (x, y) = 0 + 1 i ̂+ −1 ĵ (10.12)
2 (1 + s) mx

Although Equation (10.12) represents just one of an infinite number of pos-

sible velocity fields that fits the boundary conditions, it does a surprisingly good job
of producing realistic appearing geometries and strain distributions.

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CHAPTER 10 CROSS SECTIONS

Figure 10.12 — Green layer and

black lines: tracing of a photo-
graph of a clay slab deformed
over a faulted rigid substrate.
Blue and red “×’s” lines of no
finite elongation as proxies for
shear planes in trishear model
of structure. Light gray and red
shaded areas: region of reverse
faulting in trishear model and
analog clay experiment, respec-
tively. From Allmendinger
(1998).
75°

Extensional Drape Folds

We commonly think of folding in connection with horizontal shortening
though folds can also form in regions of horizontal extension. In the trishear mod-
el, where P/S < 0 normal faulting results. In these cases, the tip line propagates to-
wards the surface while the hanging wall moves downward with respect to the
footwall. The fold that forms in front of the advancing tip line has been called
drape fold or a “forced” fold because, qualitatively, sediments are being draped over
faulted rocks beneath (Fig. 10.5d). The exact same equation (10.12) can be used to
model the extensional folds. It is important to realize that the deformation that ac-
crues in the hanging wall and footwall when a particle was located within the trian-
gular zone remains after tip line migrates past the particle. An interesting result of
both numerical trishear forward models and analog experiments of extensional
forced folds is, when the underlying fault is steep enough, some of the shear zones
within the triangular zone will be oriented as high angle reverse faults (Fig. 10.12)!

Roll-over Anticlines and Listric Normal Faults

In listric normal faults, the hanging wall must deform to remain in con-
tact with the footwall. Although it is possible to model such deformation using par-
allel folding, the standard approach is to assume shear oblique to the layers, which

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CHAPTER 10 CROSS SECTIONS

h
δ
Figure 10.13 — The constant heave
α
method of shear oblique to layers for de-
s1 formation above a normal fault with two
h different dip segments. The fault is
shown in red and the upper plate anti-
s2 thetic shear plane in blue dashed line.
The black triangles show the vector addi-
tion necessary to ensure that the slip
vector is parallel to the fault segment.

is borne out by the common observation of populations of normal faults deform-

ing the hanging wall.
The constant heave method, which uses simple vector addition, is general-
ly applied (Fig. 10.13). We assume that, points overlying each constant dip segment
of the fault are displaced horizontally by the same amount, h. So that the actual slip
vector, s, over that segment is parallel to the fault, the point must be sheared down-
wards by a vector that is parallel to the upper plate shear planes. Those planes are
defined by their deviation from vertical, angle α in Figure 10.13. Thus, the slip vec-
tor and the amount of shear parallel to the upper shear planes changes over each
fault segment. The upper plate shear can be antithetic, vertical, or synthetic with
respect to the shear on the fault plane. Equation (10.13) shows how the slip magni-
tude varies with respect to the dip of the fault segment (δ), the heave (h), and the
upper plate shear angle (α).
h
sn = (10.13)
cos (δn) (1 + tan (δn) tan (α))

where n refers to the n-th fault segment. The equation works equally well for anti-
thetic, synthetic, or vertical shear and in either extensional or shortening environ-
ments.
The same approach just describe can be used to reconstruct the trajectory of
listric faults in the subsurface if the shape of the roll-over anticline is known (Fig.
10.14a). In this method, the heave, h, is set by projecting the hanging wall shear di-

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CHAPTER 10 CROSS SECTIONS

(a) Initial known geometry

h
ro l l - o
ve r a
nticlin
e

(b) Reconstruction of fault trace

h h h h

reconstructed fault trace

from roll-over and shear
angle
actual fault trace used to
generate the roll-over

Figure 10.14 — Graphical reconstruction of the fault trace knowing the shear an-
gle and the shape of the roll-over anticline. (a) the initial, know geometry; (b) the
reconstruction of subsequent segments of the fault. Green dashed lines show up-
per plate shear planes. In (b), the fault originally used to generate the roll-over is
show as a light gray line.

rection from the known intersection of the fault plane and the top of the roll-over
(in pre-growth strata) to a level equal to the top of the fault (Fig. 10.14a). One then
uses the shape of the roll-over, itself, to constrain the subsequent vector additions as
shown in Figure 10.14b. The method depicted in Figure 10.14 can be used for syn-
thetic or antithetic shear planes.

Balanced Cross-sections
The fault-fold relations described in the last section allow us to construct rig-
orous cross-sections that “obey” geometric and kinematic rules. An admissible
section is a geologic cross-section which represents the known structures of the re-
gion. A viable section is one that can be restored to an undeformed state without
gaps or overlaps that cannot be explained by geologic observation. The “without
gaps or overlaps” bit is an acknowledgment of strain compatibility. A cross-sec-
tion which is both admissible and viable is known as a balanced cross-section.

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CHAPTER 10 CROSS SECTIONS

The Fundamental Bases for Balanced Cross-sections

1. Conservation of mass — At the most basic level, matter is nei-
ther created nor destroyed and little if any is converted into energy.
Thus, mass is conserved. In continuum mechanics, this condition
is specified with the continuity equation:

dρ ∂ (vi)
+ρ = 0 (10.14)
dt ∂xi

This equation basically says that the change in density (ρ) with respect to
time (t) of a volume, plus the flux of mass in and out of the volume (giv-
en by the second term of the equation, “v” = velocity), must be equal to
zero. This equation can be expanded as:
dρ
+ ρ ∇v = 0 (10.15)
dt

[ ∂x1 ∂x2 ∂x3 ]

∂v1 ∂v2 ∂v3
where ∇v = + + (10.16)

“" ∇v” is the divergence of the velocity field.

2. Conservation of Volume (no change in density) — For
subaerial thrust belts, compaction during deformation is not gen-
erally important so densities do not change during the deforma-
tion. Thus, volume is conserved. This means that:
dρ
=0
dt

Because density itself is finite, this condition, known as incom-

pressibility, means that the divergence of the velocity field in
equation must be equal to zero:

[ ∂x1 ∂x2 ∂x3 ]

∂v1 ∂v2 ∂v3
∇v = + + = 0 (10.17)

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3. Conservation of Area (Plane Strain) — Because the wave-

length of individual structures in a thrust belt is short compared to
their strike parallel dimension, we can assume plane strain. This
means that there is no velocity parallel to strike (the X3 axis):
∂v3
" =0
∂x3

Thus, cross-sectional area perpendicular to strike must be con-

served and we can write the two dimensional form of the incom-
pressibility criterion:

[ ∂x1 ∂x2 ]
∂v1 ∂v2
∇v = + = 0 (10.18)

This is the necessary condition for area balancing.

4. Conservation of Bedding thickness — Finally, if bedding
thickness is preserved, then we can assume parallel folding with
shear parallel to bedding. Thus, line lengths parallel to bedding is
preserved. Bedding marks the orientation of one of the two lines
of no finite elongation.
In summary:

Table 10.1
Type of Balance Dimension Assumptions Folding Model

density of rocks constant during deformation,

non-cylindrical or
Volume 3D no compaction, pressure solution, or growth
cylindrical
strata
Plane strain with no strain perpendicular to the Cylindrical folding (parallel,
Area 2D line of section, area preserved similar, trishear, etc.)
Linear strain, no bedding thickness changes
Parallel folding (kink,
Line Length 1D during deformation, shear parallel to layers so
concentric, etc.)
beds are lines of no finite elongation

To date, only area and line length balancing are really practical although
there is a lot of noise about true 3-D balancing. The general sorts of geologic fea-

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CHAPTER 10 CROSS SECTIONS

tures to watch out for which violate the assumptions of line length and area balanc-
ing are:
Volume changes:
• compaction during deformation (particularly important in accre-
tionary prisms and foreland basin strata)
• Sediment accumulation during faulting
• Pressure solution (especially in carbonates but also in silicic rocks
like shales and siltstones)
• intrusions, diapirs, etc.
Non-plane strain:
• strike-slip faults
• lateral ramps

Line Length Balancing

Most of the cross sections in the literature, especially those drawn by hand
and not with a computer program such as 2DMove, are one dimensional line
length balanced sections. There are actually two cross sections that are constructed
simultaneously: The present day, deformed section and the restored, or retrode-
formed, stratigraphic section. In the case of a thrust belt, the retrodeformed sec-
tion will be much longer than the present day section and the difference in length
will be the horizontal shortening that occurred due to thrusting. The basic pro-
cedure is to work from the external part of the deformed belt to the internal part.
The steps to constructing a line length balanced section are illustrated in
Figure 10.15:
1. To begin, one constructs the stratigraphic sequence in the unde-
formed footwall of the most external thrust fault. This will become
our ultimate frame of reference, which is signified in line length
sections as the regional pin line.

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CHAPTER 10 CROSS SECTIONS

3 u n it s
(a) Deformed section .11
h =5
n gt
le
loose
its
corrected section that
line
un

15
would produce a more
. 4
realistic fault trajectory =4
length

shortening = 2.33 units regional

pin line
(b) Restored deformed
section loose line length = 5.113 units

length = 4.415 units

unrealistic restored fault trajectory

Figure 10.15 — A simple line length balanced section, illustrating the restoration of
the most external thrust plate, some problems with the initial restoration, and a
modification (thin dashed lines) to the deformed section to correct the unrealistic
restored fault (although more subtle problems remain).

2. The deformed section of the first thrust plate, back to the next
thrust at the trailing margin of the plate, is drawn using parallel
folding constrained by the surface geology and any subsurface in-
formation available.
3. Next, measure the lengths of the deformed stratigraphic horizons
and draw those as straight lines of the same length, measured from
the right hand thrust in the restored footwall.
4. The left ends of the restored stratigraphic horizons (Fig. 10.15b)
define the restored geometry of the trailing thrust fault (on the left
side of the section). This restored geometry appears unrealistic be-
cause it bends back on itself. Some explanations for this result are:
(a) The left-hand thrust fault is younger than the right hand
thrust, a so-called out-of-sequence relationship as the “normal”
progression of thrust in a thrust belt is from internal to exter-
nal.

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(b) The deformed section is in error, lacking bed length in either

the footwall of the right thrust or the footwall of the left thrust.
The suggested correction shown in Figure 10.15 adds addi-
tional bed length to the footwall of the second thrust.
(c) Although the correction shown improves the initial trajectory
of the left thrust, it does not correct another problem which is
identified by the “loose line” — a line drawn perpendicular
to horizontal strata in the deformed state, which is retrode-
formed with the stratigraphy in the restored state. The loose
line shows that the fold style and hanging wall ramp geometry
implies that there must have been very significant angular
shear in horizontal beds. This might actually be the case, but
can be tested by looking for slickensides on horizontal bedding
surfaces in the field.
5. Correcting the bed length in the hanging wall of the right-hand
thrust (effectively lowering the ramp angle of the fault) would re-
duce, but not eliminate the issues raised by the loose line. To re-
move completely the effect would require a reevaluation of the
hanging wall ramp and the style of folding depicted in the section.
6. Note that we correct all of these issues before drawing the struc-
ture in the upper plate of the left thrust! Otherwise, all of these er-
rors will propagate through the entire section.
The simple example in Figure 10.15 that we just went through is a special
case where the hanging wall cutoffs at the hanging wall ramp are preserved. A
much more common case is depicted in Figure 10.16a: the hanging wall cutoffs are
eroded away. In these cases, we don’t know exactly where the hanging wall was rel-
ative to the footwall, so we need a local reference frame that is specific to that indi-
vidual thrust plate. That is the role of local pin lines. The location of the local
pin lines is a key issue (Fig. 10.16b, c). Ideally, it should be placed in horizontal stra-
ta. If horizontal strata are not available, you can calculate the amount of angular
shear in the layers based on their dip from Equations 10.6 or Figure 10.3 and ad-

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CHAPTER 10 CROSS SECTIONS

(a) A B
C

Figure 10.16 — The use of

ψ
local pin lines to recon-
struct a thrust plate with
eroded hanging wall cut-
(b) A offs. (a) The deformed
section. (b) restoration
using a local pin line in
30°
horizontal rocks in sec-
tion (a). (c) Restoration
using pin line B, which
(c) B introduces a layer-paral-
note shallower ramp because lel shear in the unde-
pin line B assumes no formed state. In (d), we
shear in dipping
beds
24°
use a local pin line C that
has been drawn to take
into account the angular
C
(d) shear in dipping beds
(Eqn. 10.6).

30°

just the local pin line accordingly so that, when restored to vertical, there is no
shear in horizontal beds (Fig. 10.16d).
The restored thrust plate is placed as close to the footwall as possible without
overlapping it (Fig. 10.16b, c); this is the reason that many structural geologists will
claim that their balanced section is a minimum estimate (more on that, below). The
initial shape of the thrust plate itself is reconstructed by measuring the lengths of
the stratigraphic horizons in both directions from the local pin line.

Area Balancing
Line length balancing is restricted to parallel folds and there are many cases
where shear oblique to layering invalidates the preservation of line length assump-
tion. In these cases, as long as the folds are cylindrical, horizontal shortening can
still be estimated by carrying out an area balance. In its most general form, area
balancing assumes nothing more than that the deformed and initial areas must be
equal (Fig. 10.17). The deformed area can be calculated by drawing a polygon

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CHAPTER 10 CROSS SECTIONS

(a) Pre-deformation (b) Deformed section

Ax
d
At
At h Ax
future decollement decollement

Figure 10.17 — In a simple area balance, the total area (At) of the undeformed and de-
formed packages (shown in blue) must be equal. Eon. 10.18 can be used to calculate those
areas. The excess area (Ax) above a regional datum of a surface can be used to calculate
the displacement, d, or the depth to the decollement, h.

around the region of interest. The area, A, of a polygon of n vertices can be calcu-
lated as (Judge and Allmendinger, 2011):

1 n−1
(xi yi+1 − xi+1yi)
2∑
A= (10.18)
i=0

where the first vertex (x0, y0) and the last vertex (xn, yn) are the same. Determination
of the initial undeformed area requires knowledge of the initial unit thicknesses on
either side of the deformed zone.
In cross sections where you can identify the local excess area (Ax in Fig.
10.17b) above a regional datum of the unit, you can extract quite a lot more infor-
mation. The concept has its origins with Chamberlin (1910, 1919) who used it, in-
correctly as it turns out, to differentiate thin- (Appalachians) and thick-shelled (Col-
orado Rockies) mountain belts. Today, we know these terms as thin- and thick-
skinned. As you can see in Figure 10.17b,

Ax = d h (10.19)

If you know the excess area, Ax, and the displacement, d, it is trivial to calculate the
depth to the decollement, h or vice versa. Using the approach of Epard and
Groshong (1993), you can use the excess area of several beds to estimate both the
displacement and the depth to the decollement. The method is illustrated in Figure
10.18:

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CHAPTER 10 CROSS SECTIONS

Figure 10.18 — The use of excess area of successive beds to determine displacement,
depth to decollement, and average layer-parallel extension following Epard and
Groshong’s (1993) method. (a) The original model to be analyzed was generated in Fault-
FoldForward as two propagating trishear structures with opposite vergence. The program
calculates and colors the strain ellipses as shown. (b) A line-length restoration of each
bed. Comparison of the restored length and actual original length yields the average bed
length extensional strain. (c) Table of height, excess area, and bed length strain measure-
ments that were used to generate the graphic in (d) where the horizontal displacement and
depth to decollement are determined. The colored excess areas for three beds in (a) are
show in cells of the same color in the table in (c).

1. Determine the excess area of each resolvable bedding surface

above its regional level. The excess area of three of the seven beds
are highlighted in different colors in Figure 10.18a.
2. Measure the height of each surface above (or below) and arbitrary
reference horizon or datum. the height is measured outside of the
region of excess area. The reference horizon does not have to be
the decollement level.

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CHAPTER 10 CROSS SECTIONS

3. Plot the excess area against the height for each bedding surface
(Fig. 10.18d). For simple structures, these data points should lie on
a straight line. The slope of the line, Ax/h, is equal to the dis-
placement, d.
4. The decollement is located where the excess area goes to zero.
This can be found on the graph by projecting the best fit line until
it incepts the height axis (Fig. 10.18d).
5. The displacement, d, can be compared to the restored bed lengths
(Fig. 10.18b) to determine the average extension of each bed (Fig.
10.18c). Because this example was generated from a complex for-
ward model, we already know the strain distribution. You can see
that the actual strain is much more heterogeneous than implied by
the average bedding parallel extension (Fig. 10.18a), but in the real
world you are seldom lucky enough to have a whole bunch of
strain ellipses at your disposal!
For the purposes of evaluating the horizontal shortening in a region, area
balancing holds several advantages over line length balancing: it is independent of
fold fault kinematic model and because it can be calculated analytically, one can
formally propagate the errors associated with the calculation. It fails, however,
when one is interested in predicting the structural geometry of a single structure,
for reasons of resource extraction, seismic hazard evaluation, etc. In those cases,
one should employ a variety of kinematic and mechanical models to evaluate the
range of possibilities.

A Final Word About Balancing

Thrust belts, with their imbricated stack of individual faults, are essentially
sub-horizontal zones of simple shear. Thus, the horizontal shortening calculated
from balanced cross sections is not a principal axis of shortening but instead is just
a horizontal chord in a finite strain ellipse that is elongate and inclined towards the
hinterland of the belt.

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CHAPTER 10 CROSS SECTIONS

Although the minimum estimate referred to above is commonly cited in the

literature, there are many other sources of error inherent in the construction and
calculation of shortening in balanced sections. Some of those errors include:
• Appropriateness of structural model
• Quality of the geologic maps used
• Eroded hanging wall cutoffs
• Position of the decollement
• Location of other subsurface points
• Stratigraphic uncertainty (thickness & shape of the wedge)
It may come as a surprise that the uncertainty in the thickness and shape of the
stratigraphic wedge is the single biggest source of error in section balancing (All-
mendinger and Judge, 2013). Even the best constrained balanced sections have to-
tal uncertainty equivalent to ~20% of the calculated horizontal shortening value
and this is for well-behaved thrust belts which deform a simple sedimentary pack-
age above basement. Although many people have attempted crustal scale balanced
sections (including yours truly…), the uncertainties on those are unquantifiable to
the extent that one might question whether whole crustal balancing is a worthwhile
exercise!

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CHAPTER 10 CROSS SECTIONS

Exercises—Chapter 10
Cross sections are not sketches! They are precisely drafted documents. All angles
should be measured and plotted with a protractor. There should be no vertical ex-
aggeration, i.e., V:H = 1:1. Sloppy or incompletely labeled cross sections will have
points taken off. Many of these exercises can be done in a vector graphics program
as long as angles and line lengths can be measured accurately.

1. You’ll be given a large sheet with a geologic map and space to draw a cross sec-
tion. You have seen this geology before: The NE corner of the map is where
calculated dips from three point problems and determined stratigraphic thick-
nesses of several units. The NW corner contains the Big Elk anticline for which
you programmed a down plunge projection.



Construct a cross section along line AA′ on the map in the space provided be-
low the map. A topographic profile has been provided for you. The rocks are
unmetamorphosed strata so you may assume a parallel fold model. Be sure to
follow the basic guidelines in the “Drawing Cross Sections” part of this chapter.
Be sure to work in pencil as you will undoubtedly be erasing a lot.

2. Derive Equation (10.6) for kink folds using an area balance. The geometries
and key angles are given for you in the following figure. The area, A, to the left
of the kink axis in the undeformed (left) and deformed (right) sections must be
the same. δ is the dip, ψ is the angular shear, γ the kink axial angle, and h is the
bed thickness.

ψ x1
γ
x1 A γ

x2
A h h
δ
x2

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CHAPTER 10 CROSS SECTIONS

3. Given the fault bend fold templates on the following page, construct (a) a mode
1, and (b) a mode 2 fault bend fold, using the relations in Figure 10.5. In each
case, determine how much slip changes from the left side of the structure to the
right side.

4. Construct a fault-propagation fold from the given the stratigraphic template on

page 234 and the angles from Figure 10.7.

5. The diagram on page 235 shows two identical rollover anticlines associated
with a listric normal fault. From the shape of the rollover, construct the listric
fault trajectory. As indicated, use antithetic simple shear in the first case and
vertical simple shear in the second case

6. Derive Equation 10.13 in this chapter. Make sure to label and explain your cal-
culations adequately.


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CHAPTER 10 CROSS SECTIONS

Exercise 3: Fault-bend fold exercise


Name: ______________________________

slip in

slip in
2a. Mode 1

2b. Mode 2

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CHAPTER 10 CROSS SECTIONS

Exercise 4: Fault-propagation fold exercise


tip line

θ = 30°
slip in

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CHAPTER 10 CROSS SECTIONS

Exercise 5: Roll-over anticline exercise


rollover

rollover
5a. Construction using 30° antithetic shear

5b. Construction using vertical shear

fault trace

fault trace

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 Chapter 11
Structural Interpretation of Seismic Reflection Data
Introduction
Geology presents us with a basic problem. Because rocks are opaque, it is
very difficult to see through them and thus it is difficult to know what is the three-
dimensional geometry of structures. This issue is particularly obvious when con-
structing cross sections as in the previous chapters. It is too expensive to drill closely
D C
spaced holes in order to constrain the geometry of rocks in the subsurface and,

commonly, there are some structures that have no surface expression and thus can-
not be projected to depth from surface outcrop.
To the rescue comes a geophysical technique for remotely sensing the subsur-
face using sound waves. Seismic reflection profiling has been standard practice
in the oil and gas industry for more than 50 years and is the most commonly used
technique for mapping the subsurface. Some of the most profound structural ob-
servations about our planet — thrust belts have decollements, low-angle normal
faults exist — are best demonstrated with seismic reflection data. In this chapter, we
will give you the bare-minimum background needed in order to begin using this
uniquely useful type of data as structural geologists.
CHAPTER 11 SEISMIC REFLECTION DATA

Echo Sounding
Seismic reflection profiling is exactly analogous to echo sounding (Fig. 11.1).
Lets examine the simple case of making an echo first to see what the important pa-
rameters are. Why do you get a reflection or an echo? You get an echo because the
densities and sound velocities of air and rock are very different. If they had the
same density and velocity, there would be no echo. More specifically, the P-wave
velocity is:

E
velocit y = V = (11.1)
ρ

where E = Youngs Modulus and ρ is the density. We tend to think of velocity in-
creasing with density but you can see that in Equation (11.1) density is in the de-
nominator. There are a few rock types that have high velocity but low density; the
most common one is salt.
The acoustic impedance of a material is its density times the velocity of
sound in the material, ρV. The reflection coefficient is:
amplitude of reflected wave ρ V − ρ1V1
reflection coefficient = R = = 2 2 (11.2)
amplitude of incident wave ρ2V2 + ρ1V1

This is what tells us how strong the reflection will be. If you were in Yosemite Val-
ley making echo by shouting at the granite walls of the valley, the reflection coeffi-
cient, R ≈ 0.999944. In other words, almost all of the sound is reflected back at you

ρair, vair ρrock , vrock

a very small Figure 11.1 — Anatomy of

amount of an echo. It is the density
sound and velocity contrast
continues across the air-rock inter-
into the rock face that produces the
echo.
most sound is reflected
back to the listener
rock wall

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CHAPTER 11 SEISMIC REFLECTION DATA

(a) in the Earth (b) what we measure

ground!
time sound was made
surface

st time to go down to the

depth
1 subsurface

time
interface 1st layer and return

time to go down to the

nd 2nd layer and return
2 subsurface
interface

Figure 11.2 —(a) We make a sound (red star) on the surface of the Earth, the sound then
goes down to different interfaces within the earth and some of that sound is bounced
back and recorded on the surface. (b) At the surface we can only measure the time that
the sound was made and the time that it takes for the sound to go down to each interface
and come back to the surface

from the interface, but a very small proportion actually continues into the rock (Fig.
11.1).
In seismic reflection profiling, what do you actually measure? If you think
about the Yosemite example again, we could measure the time that we made the
sound and the time that we recorded the echo. The time difference is a function of
the velocity of sound in the air and twice the distance between us and the wall be-
cause the sound has to go from us to the wall and come back again. When you
make an echo, the source of the sound (your mouth) and the receiver of the
sound (your ears) are essentially in the same place. As we will see below, in seismic
reflection profiling, the source of the sound (an explosion, a vibrating truck, etc.)
and receiver (the geophones) are offset from each other but we process them as if
they were in the same place.
The above example highlights three important things about seismic reflec-
tion profiling (Fig. 11.2):
• Measure time, not depth,
• The time recorded is round trip or two-way time, and
• To get the depth, we must know the velocity of the rocks.

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3 km/s

depth
3 km
6 km/s

6 km

1s
time

2s

3s
6 km horizontal
reflector

Figure 11.3 — Top: geologic section showing a slow velocity sedimentary basin
on the right hand side and continuous high velocity material on the left side.
Bottom: a time section showing the distortion produced by the laterally varying
velocity.

Velocities of rocks in the crust range between about 2.5 km/s and 6.8 km/s.
Most sedimentary rocks have velocities of less than 6 km/s. These are velocities of
P-waves or compressional waves, not shear waves and most seismic reflection sur-
veys measure P- not S-waves.
Because we measure time and not depth, although seismic reflection profiles
resemble geologic cross-sections, they are not. They are a spatially distorted picture
of the earth because rock velocities vary, both laterally and vertically. To illustrate
impact of laterally varying velocities, consider the case depicted in Figure 11.3.
This case is commonly encountered in rift provinces where sedimentary basins al-
ternate with older, higher velocity rocks in mountain ranges. The horizontal inter-
face at 6 km depth looks like it has a step in it on the time section at the bottom be-
cause the sound waves travel more slowly to the 6 km interface on the right hand
side than they do on the left hand side. This is just one of many types of artifacts
for which the structural geologist/seismic interpreter needs to be aware!

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Common Mid-Point (CMP) Method

In the real earth, the reflectivity at most interfaces is very small, R ≈ 0.01,
and the reflected energy is proportional to R2. Thus, at most interfaces ~99.99% of
the energy is transmitted and 0.01% is reflected. This means that your recording
system has to be able to detect very faint signals coming back from the subsurface.
An additional complication is that, because the source usually involves a lot of en-
ergy, it must be offset from the receivers.

Data Redundancy and Signal to Noise Ratio

The standard strategy for dealing with very weak signals is to increase the
signal-to-noise ratio. If you measure something many times, the signal in which
we are interested should add together constructively (because it is the same every
time) whereas the random noise should add together destructively (because it is dif-
ferent every time).

st
(a) 1 Shot
source receivers (geophones)

reflecting interface
Figure 11.4 — Cross
one ray through point sectional geometry of a
nd
(b) 2 Shot standard common mid-
point seismic reflection
survey where the sound
is emitted (a “shot”,
reflecting the fact that
dynamite used to be
reflecting interface
the most common
two rays through point source) at three differ-
rd ent stations.
(c) 3 Shot

reflecting interface
three rays through point

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The geometry by which this is achieved is shown in Figure 11.4. Each of the
three panels corresponds to one “shot” (i.e., one episode of making noise at a sta-
tion on the surface). The black dot, and each point on the reflector with a ray going
through it, is a common midpoint (CMP), sometimes referred to as a common
depth point (CDP). Notice that there are twice as many CMPs as there are sta-
tions on the ground (where the geophones are). That is, there is a CMP directly
underneath each station and a CMP half way between each station (hence the
name “common midpoint”). As the source is advanced in the direction of the pro-
file, each midpoint on the reflector of interest gets sampled multiple times.
In a complete survey, the number of traces through each midpoint will be
equal to one half the total number of active stations at any one time (not including
the ends of the lines where there are fewer traces and assuming that the source
moves up only one station at a time). The number of channels in the recording
system determines the number of active stations. Most modern seismic reflection
surveys use at least 96 (and sometimes as many as 1024 channels or more), so that
the number of traces through any one CMP will be at least 48.
This number is the data redundancy, of the fold of the data. For exam-
ple, 24 fold or 2400% means that each depth point was sampled 24 times. Sam-
pling fold in a seismic line is the same thing as the “over-sampling” which you see
advertised in compact disk players. In general, the higher the fold of the data, the
better the profile.

Correction for Offset from the Source

The first basic step in processing the data is to collect, or gather together all
of the traces that go through each midpoint (Fig. 11.5). Even after that book-keep-
ing step, although each CMP has been sampled multiple times (Fig. 11.4), we can’t
add them together because each ray through the midpoint is a different length and
thus the travel time will also be different (Fig. 11.5). Thus, the processor has to de-
termine a set of velocities, known as stacking or normal move out (NMO) ve-
locities, which will correct for the fact that each ray through a CMP has a path of a
different length. These velocities should line up all of the individual “blips” corre-

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(a) CDP Gather (b) CDP Gather with

source
NMO Correction
distance from source, x distance from source, x

to
time

time
tNMO

tx

near
offset far offset

the NMO velocity is whatever velocity that

[in practice, there is no geophone at
lines up all the traces in a CDP gather. It
the source because it is too noisy]
is not the same as the rock velocity

Figure 11.5 — (a) Gathering together all of the traces that go through the same midpoint.
There is a trace for each recording station. The time that the reflection is recorded at each
station increases with offset from the source. (b) Before the traces can be added together,
they must be lined up by applying a stacking velocity to correct for the moveout time.

sponding to a single reflector on adjacent traces. The relation between the horizon-
tal offset, x, and the time at which a reflector appears at that offset, tx, is:

x2
tx2 = to2 + (11.3a)
V stacking
2

Or

x2
ΔtNMO = tx − to = to2 + − to (11.3b)
V stacking
2

If you have a very simple situation in which all of your reflections are flat and there
are only vertical velocity variations (i.e. velocities do not change laterally), then you
can calculate the rock interval velocities from the stacking velocities using the Dix
Equation (11.4):

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2 2
V st2 t2 − V st1 t1
Vi(1,2) = (11.4)
t2 − t1

where Vi12 is the interval velocity of the layer between reflections 1 and 2, Vst1 is the
stacking velocity of reflection 1, t1 is the two way time of reflection 1, etc. The in-
terval velocity is important because, to convert from two-way time to depth, we
must know the interval, not the stacking, velocity. Once the correction for normal
move out is made, we can add all of the traces together, or stack them. This is
what produces the familiar seismic reflection profiles.
Processing seismic data like this is simple enough, but there are huge
amounts of data involved. For example a typical academic deep seismic reflection
profile is 20 s long, has a 4 ms digital sampling rate (the time interval between
numbers recorded), and is 48 fold. In a hundred station long line, then, we have

(200 CDPs)(48 sums)(20 s)

= 48 × 106 data samples
( data sample )
0.004 s

If you are a field geologist by training or nature, which most structural geologists
are, that seems like an intimidating amount of data! Even with modern digital
recording systems like smart phone compass apps, it is pretty tough to collect even a
couple of hundred measurements per day. But, don’t let the numbers fool you: the
vast majority of the numbers collected in a seismic reflection profile are worthless,
they are noise rather than data. The geophones in a seismic reflection survey record
everything — wind rustling the bushes, traffic, thunder, electrical noise — not just
the reflections from subsurface interfaces in which we are interested. Much of the
data processing, and we have ignored here most of the advanced processing, is
meant to filter out or subdue the noise. Therein lies the difference between the field
geologist and the geophysicist (Fig. 11.6)! Much of the process of learning field ge-
ology is learning how to filter information when you see it in the field and deciding
small part of that data is worth writing down.

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grass s
grass s g ra s
grass g ra s s
tick g ra s
breez UGH breeze
e buzz
grass ane
grass airpl
grass fly
bu s h s
g ra s g ra s
s
flow uito
grass er :)
mosq ! g ra s
s
grass
grass &^%#
rfly
grass p butte
035/4 sla
7 b dg r a s s
breez s g
Ag h!! e g ra s
s
SNAK
E!!! gra s g ra s
grass ss g ra s y
bird e in bunn
grass stont s
grass bo o g ra s
tree
s
grass g ra s
s g ra s

If a field geologist collected data

like a seismic reflection profile…

Figure 11.6

Geophysicists record all the data and then filter it in the computer whereas field
geologists filter out what they consider to be noise before ever writing anything
down!

Migration
The effect of CMP processing is to make it look like the source and receiver
coincide (e.g., having 48 vertical traces directly beneath the station). Thus, all
common midpoints are plotted as if they were vertically beneath the surface. This
assumption is fine for flat layers, but produces an additional distortion for dipping
layers, because of course reflection from a dipping layer isn’t beneath us (Fig. 11.7).
The effect of this distortion is that all dipping reflections are displaced down-dip
and have a shallower dip than the reflector that produced them. The magnitude of
this distortion is a function of the dip of the reflector and the velocity of the rocks.
The process of migration corrects this distortion, but it depends on well-
determined velocities and on the assumption that all reflections are in the plane of
the section (see “sideswipe”, below). A migrated section can commonly be identi-

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CHAPTER 11 SEISMIC REFLECTION DATA

geophones at surface

Figure 11.7 — A dipping reflec-

tor in the subsurface will not
appear in its proper position
on a seismic reflection profile
because all CMPs are assumed
tor
flec to be vertically beneath their
f re
no corresponding station at the
sitio
e po surface. Migration is a process
tru
that corrects this artifact.

fied because it has broad “migration smiles” at the bottom and edges (Fig. 11.8).
Smiles within the main body of the section probably mean that it has been “over-
migrated.” As we shall see, migration also removes diffractions.

a b

Figure 11.8 — Same portion of a seismic section, shown both unmigrated (left) and mi-
grated (right). In the bottom section, note the arcuate, sweeping features at the bottom of
the section which are classic migration “smiles”.

Resolution of Seismic Reflection Data

The ability of a seismic reflection survey to resolve features in both horizon-
tal and vertical directions is a function of wavelength:

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At low frequencies (long

wavelengths), these three
beds will be "smeared out"
into one long waveform
Figure 11.9 — The de-
pendence of vertical res-
olution on frequency.
layered sequence At higher frequencies (shorter
in the Earth wavelengths) the three beds will be
distinguishable on the seismic section

Figure 11.10 — Taughannock

Falls near Ithaca, New York is
65 m high. The snippet of
seismic section on the right
side is approximately scaled
to the photograph for a fre-
quency of 60 Hz and velocity
of 4500 m/s.

λ = velocity / frequency.

Wavelength increases with depth in the Earth because velocity increases and fre-
quency decreases. Thus, seismic reflection surveys lose resolution with increasing
depth in the Earth.

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Vertical Resolution
Generally, the smallest (thinnest) resolvable features are 1/4 to 1/8 the dom-
inant wavelength. At a higher frequency, finer scale layering can be resolved but at
a low frequency, detail is lost (Fig. 11.9). A shallow, high resolution seismic reflection
survey may have dominant wave lengths in the range of 60 Hz. Assuming our sed-
imentary rock sequence has a velocity of 4500 m/s, we can calculate that one
wavelength is about 18.75 m. Thus, you can see that even a high resolution seismic
survey is imaging layering which is much coarser in scale (tens of meters) than the
bedding or layering that the field geologist sees. This point is emphasized in Figure
11.10.

Horizontal Resolution
The horizontal resolution of seismic reflection data depends on the Fresnel
Zone, a concept which should be familiar to those who have taken optics. The
minimum resolvable horizontal dimensions are equal to the first Fresnel zone (Fig.
11.11). Because frequency decreases with depth in the crust, seismic reflection pro-
files will have greater horizontal resolution at shallower levels. At 1.5 km depth with
typical frequencies, the first Fresnel Zone is ~300 m. At 30 km depth, it is about 3
km in width.
Consider a discontinuous sandstone body (Fig. 11.12). The segments which
are longer than the first Fresnel Zone will appear as reflections, whereas those
which are shorter will act like point sources. Point sources and breaks in the sand-
stone will generate diffractions, which have parabolic curvature: Because fre-

(a) higher frequency (b) lower frequency

Figure 11.11 — Illus-
λ tration of the first
4 λ Fresnel Zone depen-
4
dence on wavelength,
λ. Two wavefronts, a
quarter wavelength
apart, impinge on a
first Fresnel Zone horizontal surface.
first Fresnel Zone

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(a) discontinuous sandstone bed

Fresnel zone

(a) seismic reflection profile

reflection diffraction

diffractions

Figure 11.12 — (a) cross section of a discontinuous sandstone bed. (b) holes in the bed, or
segments of the bed that are smaller than the first Fresnel zone will generate diffractions
rather than reflections.

quency decreases with depth in the crust (and wavelength increases), seismic reflec-
tion profiles will have lower horizontal resolution at deeper levels.

Diffractions
Diffractions may look superficially like an anticline but they are not. They
can be extremely useful, especially because seismic reflection techniques are
biased toward gently dipping layers and do not image directly steeply
dipping or vertical features. Diffractions help you to identify such features. For
example, a vertical dike would not show up directly as a reflection but you could
determine its presence by correctly identifying and interpreting the diffractions
from it. High-angle faults are seldom imaged directly on seismic reflection profiles,
but they, too, can be located by finding the diffractions from the truncated beds
(Fig. 11.13). The shape and curvature of a diffraction is dependent on the velocity.
At faster velocities, diffractions become broader and more open. Thus at great
depths in the crust, diffractions may be very hard to distinguish from gently dipping
reflections. Note that a well-done migration should remove all of the diffractions
from the seismic reflection profile. For that reason, it is often advantageous to see
both the unmigrated and migrated versions of a profile.

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(a) Geologic section (a) Seismic reflection section

Figure 11.13 — (a) geologic section of a high angle normal fault; (b) schematic seis-
mic reflection profile. The fault plane would not be imaged seismically because it is
too steep but the truncations of the offset bed would generate diffractions, allowing
one to interpret at fault (dashed line).

Artifacts
The seismic reflection technique produces a number of artifacts — mislead-
ing features that are easily misinterpreted as real geology — which can fool a
novice interpreter. A few of the more common “pitfalls” are briefly listed below.

Velocity Pullup/pulldown
We have already talked about this artifact when we discussed the distortion
due to the fact that seismic profiles are plotted with the vertical dimension in time,
not depth (Fig. 11.3). When you have laterally varying velocities, deep horizontal
reflectors will be pulled up where they are overlain locally by a high velocity body
and will be pushed down by a low velocity body (as in the example in Figure 11.3).
If unrecognized, this distortion could look like folding of the deeper layer.

Multiples
Where there are very reflective interfaces, you can get multiple reflections, or
multiples, from those interfaces. When the acoustic energy bounces off of a re-
flector at depth and comes back to the surface, an additional bounce can be gener-
ated by the air-rock interface (Fig. 11.14). The effective reflectivity of multiples is
the product of the reflectivity of each reflecting interface. For simple multiples (see
below) then,

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(a) Geologic Section (b) Seismic reflection section

primary reflection
depth

time
simple multiple
raypath raypath

multiple at twice the

travel time of the primary

Figure 11.14 — (a) Geologic section and (b) a simple multiple on a seismic section
generated by the ray path bouncing off of the underside of the surface of the Earth.

(a) Geologic Section (b) Seismic reflection section

primary re
flection
depth

time
simple
multiple mu
rathpath trav ltiple at
rathpath el tim tw
e of ice the
the
prim
ary

primary reflections
depth

time

simple pegleg pegleg multiple

raypaths raypath

Figure 11.15 — More complicated multiples can result from dipping horizons (top)
and from reverberation between two layers (bottom).

Rmultiple = R2primary.

If the primary reflector has a reflection coefficient of 0.01 then the first multiple
will have an effective reflection coefficient of 0.0001. In other words, multiples are

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CHAPTER 11 SEISMIC REFLECTION DATA

generally only a problem for highly reflective interfaces, such as the water bottom
in the case of a marine survey or particularly prominent reflectors in sedimentary
basins (e.g. the sediment-basement interface).
In addition to the simple multiple shown in Figure 11.14, more complicated
reverberations can exist. For example, multiples from dipping layer have twice the
dip of the primary reflector and you can have peg-leg multiples that result from the
ray path bouncing around between two layers in the subsurface (Fig. 11.15)

Sideswipe
In seismic reflection profiling, we assume that all the energy that returns to
the geophones comes from within the vertical plane directly beneath the line of the
profile. Geology is inherently three-dimensional so this need not be true. Even
though geophones record only vertical motions, a strong reflecting interface which
is out-of-the-plane can produce a reflection on a profile, as in the case illustrated in
Figure 11.16. Reflections from out of the plane is called sideswipe. Such reflec-
tions will cross other reflections and will not migrate out of the way. (Furthermore
they will migrate incorrectly because in migration, we assume that there has been
no sideswipe!) The main way of detecting sideswipe is by running a sufficient
number of cross-lines and tying reflections from line to line. Sideswipe is particular-
ly severe where seismic lines run parallel to the structural grain.

out of plane ray path

(sideswipe) from dike

dire
c
pro tion of
file Figure 11.16 — Illustration of a
geometry where you could get
out of plane reflections known
as sideswipe.
e
ton
dike

d s
san
in plane ray path
from sandstone

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Buried Focus
Tight synclines at depth can act like concave mirrors to produce an inverted image
quite unlike the actual structure. Although the geological structure is a syncline, on
the seismic profile it looks like an anticline. At the dawn of the seismic reflection
age, many an unhappy petroleum geologist has drilled a buried focus hoping to find
an anticlinal trap! The likelihood of observing a buried focus increases with depth
because more and more open structures will produce the focus. A good migration
will correct for buried focus.

(a) Geologic Section (b) Seismic reflection section

a d
c d
depth

time
f
b c
e f
b e

Figure 11.17 — Tight synclines such as that depicted in (a) produce multiple
CMPs on a single layer per station, an effect known as a buried focus. (b)
When we use standard CMP processing, we plot all of those points from dif-
ferent parts of the structure directly beneath the station resulting in a bowtie
pattern and what appears to be an anticline where there is really a syncline.

Structural Interpretation of Seismic Profiles

Modern seismic interpretation software packages are extremely powerful and
provide excellent tools for interpretation of both two- and three-dimensional data.
In fact, it is virtually impossible to interpret 3D data cubes without the benefit of
such packages. Here, we have much more modest aims: how to extract useful struc-
tural data from traditional 2D data. Because every seismic profile is different, there
is no cookbook approach to interpretation. Perhaps one of the most important
things to remember is that seismic reflection data is biased towards hori-
zontal reflectors and steeply dipping interfaces cannot be imaged di-

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rectly at all. In addition, there are some basic things that all interpreters look for:
truncations, discontinuities, and kink axes.

Truncations and Discontinuities

Truncations imply an abrupt geological boundary, though there are many
potential explanations. Among the most common are: truncation at a fault, intru-
sive or diapiric contact, an angular unconformity, or various types of downlap or
onlap. Which of these you choose will depend on your knowledge of the area.

Figure 11.18 — Migrated seismic reflection profile showing the truncations (red arrows) of
well-defined reflections corresponding to a Cenozoic sedimentary basin sequence against
a much less reflective zone. “a” and “b” show the base of the basin sequence in the hang-
ing wall and footwall. Truncations are interpreted as a thrust fault, even though there are
no fault plane reflections.

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CHAPTER 11 SEISMIC REFLECTION DATA

Figure 11.19 — Migrated seismic reflection profile showing a discontinuity with

dipping reflectors above the relatively flat lying reflector indicated by the red ar-
rows.

Truncations with layered reflections that represent strata on both sides are most
likely either fault truncations, unconformities, or onlap or downlap. Truncations at
a high angle with layered reflections on one side and a featureless area on the other
could be fault, intrusive, or diapiric contacts.
Figure 11.18 shows numerous truncations, indicated by the red arrows. This
section comes from an area of known thrust-faulting, so it is highly likely that the
main set of truncations define a curved thrust fault inclined towards the right. The
upper plate of this thrust has a zone of poorly resolved reflections that probably
correspond to basement rocks or more highly folded and deformed Paleozoic stra-
ta. On top of this relatively transparent zone, above horizon “a”, lies a perched
Cenozoic sedimentary basin. The interpreted thrust fault parallels the base of the
Cenozoic basin suggesting that the fault is in a position of a hanging wall flat over a
footwall ramp. There are also more subtle truncations below horizon “b” at the
base of the well-defined Cenozoic basin in the footwall. These could represent an
angular unconformity but with the evidence available, one could not rule out the
possibility of a sub-basin fault that parallels the Cenozoic basin fill.
Figure 11.19 shows an example of a discontinuity with dipping reflectors
above a relatively flat reflection horizon indicated by the red arrows. This geometry
is commonly indicative of a decollement or detachment in the crust above which
the rocks have been either shortened or extended relative to the rocks below (you
will get to decide which in the exercises!).

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Kink Axes
Even folds with curved hinges
commonly have long, relatively
straight limbs so it is possible to define
kink axial surfaces on seismic reflec-
tion data. Recall that, in fault-related C
D
folds, kink axes are systematically re-
lated to the hanging wall and footwall
ramps and thus, drawing kink axes on A
the seismic data can aid in the con-
struction of the underlying fault
geometry. In parallel folds, kink axes
B
should bisect the angle between the
two limbs, but on time sections, this
will only be true if the section is dis-
played at a 1:1 scale for the rocks in-
volved. Figure 11.20 depicts a small
kink band imaged on a migrated Figure 11.20 —Kink band on a migrated
seismic reflection profile. Sequence D
seismic reflection profile. Despite changes thickness across the kink band pro-
the curved nature of the hinge re- ducing the growth axial surface, C.

gions, the axial surfaces A and B

are relatively straightforward to posi-
tion. They are parallel to each other and are reasonably close to being interlimb
angle bisectors, suggesting that this part of the seismic section has little vertical ex-
aggeration.

Kink Axes and Growth Strata

The axis C in figure 11.20 is poorly defined but is necessary because axis B
disappears up-section before A does. The reason for this becomes clear upon care-
ful inspection of stratigraphic section labeled D: this section is thicker to the left of
B/C than it is to the right of A. Thus, we can interpret that the kink band began to
grow at a time equivalent to the age of the strata at the change from B to C. The

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end of growth would correspond to the age of the strata where C meets A; the ex-
act position of this juncture is not well imaged on this section because of the lack
of resolution higher in the profile. Axis C, which is known as a growth axial sur-
face, does not bisect the angle between the limbs because the thickness changes
across this boundary. Sequence D is known as growth strata because they accu-
mulate on and around a structure during its growth. In general, axes that produce
folding of the entire section, such as A, are know as active axial surfaces and
are commonly fixed to the footwall ramp of the underlying structure. B is known as
a fixed axial surface and moves with the hanging wall ramp of the fault (Suppe
et al., 1992). There is quite a bit more to interpreting growth strata geometries than
what we have touched on here but, to review that, would make an already long
chapter even longer!
A convenient plot for identifying growth strata is the vertical separation
diagram. Vertical separation is simply the vertical difference between the depth to
a horizon in one vertical section (or drill hole) on top of the growing (or subsiding)
structure and that in another vertical section lying outside of the structure. In pre-
growth strata, the vertical separation is constant whereas in the growth strata, the
vertical separation diminishes up-section towards zero at the depositional surface
(Fig. 11.21). One great advantage of the vertical separation diagram is that it does

(a) Geologic section (b) Vertical separation diagram

C
Vertical separation

B A

A
C

Depth in Well 1

Figure 11.21 — Construction of a vertical separation diagram over a growth fault-bend

fold. This diagram has no dependence on fault-fold kinematic models

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CHAPTER 11 SEISMIC REFLECTION DATA

not depend at all on the fault-fold kinematic model; one simply needs two vertical
sections. It works equally as well for growth normal faulting on passive margins as it
does for thrust faulting. The vertical separation diagram is also quite useful when
studying fault reactivation (Mitra, 1993).

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Exercises — Chapter 11

1. The diagram below shows a very simple geological cross section where base-
ment rock with a velocity of 6 km/s has been thrust over a sedimentary basin
with a velocity of 3 km/s. Accurately construct what an unmigrated time sec-
tion would look like, assuming both the base of the basin and the thrust fault
plane are reflective.

0
30°
6 km/s
3 km/s

2
Depth (km)

6 km/s

6
Two-way Time (s)

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CHAPTER 11 SEISMIC REFLECTION DATA

2. Interpret the migrated time section on the following page by plotting and inter -
preting kink axes. Finalize your interpretation by constructing a depth section
in the box below the seismic section. Use the stacking velocities and times at
points A, B, and C, given in the tables, below, to calculate the depths. Recall
that the time is the two-way travel time.

Velocity at Point A Velocity at Point B

Time (s) Stacking Velocity Time (s) Stacking Velocity

(km/s) (km/s)

0.6 3.64 0.6 4.27

1 4.4 0.88 4.8

1.25 4.8 1.54 5.52

1.5 5.0 1.9 5.6

1.8 5.3 2.7 5.8

2.6 5.8 3.0 5.9

3.0 5.8 4.0 6.3

Velocity at Point C

Time (s) Stacking Velocity

(km/s)

0.6 2.94

0.8 3.27

1.1 3.8

1.3 4.1

2.2 5.0

2.8 5.4

3.0 5.6

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 CHAPTER 11 SEISMIC REFLECTION DATA

Two-way time (s) Depth (km)

1.0

2.0

3.0

8
C
B
A

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CHAPTER 11 SEISMIC REFLECTION DATA

3. Interpret the section, below, using kink axial surfaces and, if you identify any
growth strata, indicate at what level growth initiated. Is the structure still active?



2 km
ground!
surface
0.5

1.0

1.5

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 Prob 08-3 Name: _____________________________
CHAPTER 11 SEISMIC REFLECTION DATA
Growth History Exercise
4. The table, below, shows the tops of dated formations in two well, A and B.
The table, below, shows the tops of dated formations in two wells, A & B. Make a vertical separation vs.
Construct
depth a vertical
diagram separation
and determine the following:diagram and identify (a) which well is on the

growing
1. Whichstructure;
well is located(b) thegrowing
on the time(s) of growth; (c) the rate of vertical displacement
structure(s),
of the structure (assuming uniform compaction), and (d) the growth history of
2. The time(s) of growth,
the region.

3. The rate(s) of vertical displacement of the structures assuming uniform compaction, and

4. The growth history of the region.

Depth in Well A Depth in Well B

Formation Age (m) (m)
Plio-Quaternary 250 250
Pliocene 500 500
8 Ma 800 738
upper Miocene 1355 1180
10 Ma 1950 1650
Miocene 2280 1975
middle Miocene 2730 2435
14.3 Ma 3198 2900
lower Miocene 3540 3160
lower Miocene 3875 3295
lower Miocene 4162 3405
27.5 Ma 4480 3543
Eocene 4700 3678
Paleocene 5090 4065
Upper 5510 4485
Cretaceous
Upper 5855 4830
Cretaceous

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 Chapter 12
Solid Mechanics and Structural Geology
Introduction
Up to this point, we have focused mostly on geometry and kinematics, bor-
rowing a smattering of concepts from the much broader realm of solid mechanics.
The concepts that we have developed so far — vectors, tensors, stress, strain, some
basic material models, etc. — cover about the first 25-30% of a standard continu-
um mechanics textbook. This background provides a splendid point of departure

σ11
σ12

σ21

a σ22
r
Pf

for beginning to explore the rich world of solid mechanics. One must become con-
versant with this world if you want to explore why structures form and behave as
they do. Solid mechanics is a broad field and there are entire geology-oriented
books devoted to this subject (Johnson, 1970; Turcotte and Schubert, 1982; Jaeger
and Cook, 1976; Middleton and Wilcock, 1994; Pollard and Fletcher, 2005).
The purpose of this chapter is to give you a glimpse of the basic approach
used in a more complete analysis provided by mechanics, as well as review some
fundamental results that are particularly germane to structural geology. Bear in
mind that this is only a taste, a teaser for the real thing. Hopefully, this will give you
CHAPTER 12 SIMPLE MECHANICS

the motivation to dive in deeper, either on your own or in subsequent classes, to ex-
plore this world.

The Mechanical Approach

A mechanical approach involves a clear definition of the components neces-
sary to solve the problem of interest. The starting point is commonly the simplify-
ing assumption that the distribution of properties in a material is continuous; i.e.,
that the material is a continuum. This is the origin of the term, continuum me-
chanics. Because properties vary smoothly in time or space, we describe them in
terms of gradients, which mathematically are derivatives. Because the Earth is a
three dimensional place, the gradients in which we are interested vary in all direc-
tions and are specified along the three axes of our Cartesian coordinate system, so
we will define how things vary in terms of partial differential equations. We
have already had a taste of this in Chapters 7 and 8 where the equations governing
three dimensional strain are expressed as partial derivatives of displacement (or po-

Physical Principles!
! Conservation of mass! Always hold in classical
! Conservation of linear momentum! mechanics, regardless of the
! Conservation of angular momentum! problem, setting, or materials
! ± Strain compatability

Constitutive Equations!
Depend on the material being
! Elasticity!
analyzed and the environmental
! Viscosity!
conditions (pressure,
! Plasticity!
temperature, time span, etc.)
! Combinations of the above

Limiting Conditions! Depend on the specific problem

! Boundary conditions! being analyzed and what we
! Initial Values know, a priori, about it

Figure 12.1 — Hierarchy of components of a full mechanical analysis.

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CHAPTER 12 SIMPLE MECHANICS

sition) with respect to position. The basic approach relies on three levels of abstrac-
tion (Fig. 12.1; from most general to most specific): (1) physical principles, (2)
constitutive equations, and (3) boundary conditions and initial values.

Physical Principles
Physical principles are those which apply to any body or substance. Any de-
formation of a continuous medium that we wish to analyze must conform to these
principles which form the fundamental basis of classical mechanics. The first of
these is conservation of mass. As we have already seen in the introduction of
balanced cross-sections and the trishear fault-fold model, the principle of conserva-
tion of mass is defined by the continuity equation:

dρ ∂ (vi)
+ρ = 0 (12.1)
dt ∂xi

where the first term is the material derivative of density with respect to time (some-
times written using capital “D”). This equation states that the change in density
with time plus the flux of material in or out of the system must be equal to zero. It
is from this general equation that we derive the specialized condition of incom-
pressibility for volume constant deformation:

[ ∂x1 ∂x2 ∂x3 ]

∂v1 ∂v2 ∂v3
div v = + + = 0 (12.2)

The cornerstone of physical principles follows from Newton’s Second Law,

which deals with the conservation of momentum. The momentum of a body
is equal to its mass, m, times its velocity, v. Newton stated that the rate of change of
momentum is proportional to and in the direction of the “impressed” force, F:
d(mv)
F= (12.3a)
dt

The term, “impressed force” means the vector sum of all of the forces acting on a
body. If the mass does not vary with time, then we can write Newton’s second law
in a more familiar format:

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CHAPTER 12 SIMPLE MECHANICS

dv
F=m = m a (12.3b)
dt

where a is the acceleration. When the force equals zero, momentum must be con-
stant.
From the condition of Newton’s second law, one can derive the equations
of motion in various formats (see Malvern, 1969 or Pollard and Fletcher, 2005 for
details of the derivation). Perhaps the most general and insightful is given by
Cauchy’s First Law of Motion:

d vi ∂σij
ρ = + ρgi (12.4)
dt ∂xj

As with Equation (12.1), d/dt is the material time derivative and gi is acceleration
due to gravity. The terms in this equation have units of force per unit volume. This
equation then says that the total force per unit volume is equal to the gradient of
stress with distance [with units of N m–2 m–1 = (kg m s–2) m–2 m–1 = (kg m s–2) m–3]
or surface forces per volume plus the body forces per volume.
Torque, or moment, is the force multiplied by the distance from a pivot
point or fulcrum in a material. In a way exactly analogous to what we have just
seen, the conservation of angular momentum says that the sum of all torques
is equal to the rate of change of total angular momentum. Cauchy’s Second
Law of Motion is an expression of this and its result is a simple and elegant proof
that the stress tensor must be symmetric.

σij = σji for i, j = 1 to 3

For bodies in equilibrium, the change of linear and angular momentum with
respect to time must equal zero. This condition yields two fundamental relation-
ships: the balance of forces and the balance of moments (i.e., torques):

∑ ∑ ∑
F= Fsurface + Fbody = 0 (12.5)

∑
M = 0 (12.6)

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These are the starting conditions for analyses involving mechanics of static equi-
librium. When you draw a free body diagram, it should depict all of the forces
and torques on a body and, if it is a problem in static equilibrium as many prob-
lems in geology are, those should all sum to zero.
Finally, for some problems, we wish to ensure that the displacement field as-
sociated with a particular strain field is single valued and continuous. That is, the
strains imposed produce no gaps or overlaps. This condition of strain compati-
bility which is specified by St.-Venant’s equations:

∂ 2 εij ∂ 2 εkl ∂ 2 εik ∂ 2 εjl

+ − − = 0 (12.7)
∂Xk ∂Xl ∂Xi∂Xj ∂Xj ∂Xl ∂Xi∂Xk

where εij is the infinitesimal strain tensor (Chapter 7). Recall that for infinitesimal
strain the material and spatial coordinates are the same. Equation (12.7) represents
six equations that must be satisfied if the displacement field is to be smooth and
continuous. This equation finds important applications in elasticity theory and is,
for example, one of the underlying tenants of the construction of the world strain
map (Holt et al., 2000). Nonetheless, in the pantheon of physical laws it is a lesser
god and there are a number of perfectly physically plausible geological processes
that do not comply.

Constitutive Equations
So far in this chapter, we haven’t said anything about materials, yet, and how
they respond to applied forces (or body forces). Geological materials are extremely
complex and different processes may be active at different scales and even in adja-
cent mineral grains. Nonetheless, there are a small number of models that success-
fully describe the macroscopic behavior of many natural materials under different
conditions. We have already reviewed the three basic models in Chapter 9: elastic,
plastic, and viscous.

Elasticity

Because rocks in the upper crust deform by fracturing at even modest strains,
elasticity theory is intimately related to the concepts of infinitesimal strain (Chapter

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7). We have already seen some of the basic equations of elasticity in Chapter 9. In
elastic deformation, by Hooke’s Law stress is linearly related to strain by a variety
of elastic moduli depending on the type of deformation:

σ11 = Eε11 where E = Youngs Modulus (for axial deformations)

σ11 = G (2ε11) where G = Shear Modulus (for i ≠ j ; i.e., simple shear deformations) (12.8)

(σ11 + σ22 + σ33) /3 = Bεii where B = Bulk Modulus (for volume change deformations

An important additional parameter, Poisson’s Ratio, ν, defines the relation of the

axial to the transverse strain (Fig. 9.1):

( wi )
wf − wi
et
ν =− =− (12.9)
( ℓi )
eℓ ℓf − ℓi

For incompressible deformation, ν = 0.5, but rocks have 0.10 ≤ ν ≤ 0.33. Poisson’s
ratio can be used to relate the elastic moduli of equation (12.8):
E 3B (1 − 2ν)
G= = (12.10)
2 (1 + ν) 2 (1 + ν)

Thus, for a linear isotropic material, only two elastic moduli are necessary to the
elastic deformation. The constitutive equations for linear elasticity are usually writ-
ten using Lamé’s constants:
(1 + ν) ν
εij = σij − δij σkk (12.11a)
E E

σij = 2Gεij + λ δij Iε (12.11b)

Where Iε is the first invariant of the infinitesimal strain tensor and δij is the Kro-
necker delta. The shear modulus, G, is sometimes written using the Greek letter, μ.
The Lamé constant, λ, is related to the other elastic moduli by:
νE 2
λ= and λ = K − G (12.12)
(1 + ν) (1 − 2ν) 3

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Viscosity

Over long time spans, even seemingly solid materials creep viscously. In the
simplest form of viscosity, a Newtonian fluid, shear stress is linearly related to the
deformation rate (Fig. 9.3) via the viscosity, η:

τ = η ε· (12.13)

In a manner similar to elasticity, the constitutive equation for linear viscosity can be
written:

∂vi ∂vj
( ∂xj ∂xi )
∂vk
σij = − pδij + λ δij +η + (12.14)
∂xk

Where p is the thermostatic pressure, λ is the second coefficient of viscosi-

ty and v is the velocity. You may recall that the mean pressure is equal to the first
invariant of the stress tensor divided by three (Chapter 5):
σ11 + σ22 + σ33
σmean = (12.15)
3

The thermostatic pressure can be related to the mean stress by:

( 3 ) ∂xk
2η ∂vk
σmean = − p + λ + (12.16)

Plasticity

Unlike the simple, linear forms of elasticity and viscosity theory, plasticity is
inherently nonlinear and requires the use of hyperbolic partial differential equa-
tions. So, we will not pursue plasticity any more here except to point you towards
the classic reference in the field: Hill (1950).

Boundary Conditions and Initial Values

The general procedure for carrying out a mechanical analysis is to solve a set
of differential equations that result from manipulation of the physical principles
and appropriate constitutive equations by integration. This results in constants of

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CHAPTER 12 SIMPLE MECHANICS

integration that must be evaluated. We have seen an example of this already (al-
though not in the context of a full mechanical analysis): In Chapter 10, the velocity
field for the trishear model was derived from the condition of incompressibility and
an arbitrary choice for the vx component of the velocity field. Integrating to solve
for the vy component resulted in a constant of integration, which we evaluated
based on the boundary conditions on the two borders of the trishear zone (Eqn.
10.8).
In general, to solve the integrated differential equations, you must specify ei-
ther the boundary conditions or the initial conditions. Boundary conditions
are limiting values or conditions on the dependent variables at the edges of your
model. If you are analyzing the flow of material in a channel, a boundary condi-
tion might be that the velocity of the flow must go to zero at the edge of the chan-
nel, or in the case of the trishear model just discussed, that the velocity in the trian-
gular shear zone must go to zero on the footwall boundary of the zone. In many
problems, one might assume that an important boundary condition is that the sur-
face of the Earth is a traction free surface and thus must be perpendicular to a
principal stress. Initial conditions are the values of the time dependent variables at
time zero of your analysis. In the case of the flow in the channel, you might specify
the velocity of the fluid entering the channel.
Commonly, one specifies either the boundary conditions and solves for that
dependent variable in the interior of the body or the initial conditions and solves
for the values of that dependent variable at some later time. Imagine that you are
studying the formation of a laccolith (Johnson, 1970; Pollard and Fletcher, 2005).
You would specify where vertical displacements go to zero (boundary conditions)
and, via elasticity theory, solve for the displacement of the bending layer. A prob-
lem where the boundary conditions are set is known as a boundary value prob-
lem whereas in analyses where the initial conditions are set it is known as an ini-
tial value problem. Needless to say, which type of analysis you do is dependent
on what you know already and what your objectives are in the analysis. Take the
classic physics problem of a projectile (Middleton and Wilcock, 1994): if you know
the mass, angle, and the velocity of the projectile, you know the initial conditions
and can calculate how far the projectile should travel and where it will land. From a
more practical standpoint, however, you know where the target is that you want to

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CHAPTER 12 SIMPLE MECHANICS

hit (a boundary condition) and you want to calculate the initial velocity and angle
that is necessary to hit the target.

Some Simple Geological Examples

There is a rich geological literature of mechanical analysis of structures at
various scales and complexity. In this section, however, we will limit ourselves to
some simple, yet powerful results, first involving rigid bodies and then from linear
elastic fracture mechanics. These results are germane to topics that we have already
discussed: thrust belts, hydraulic fracturing and flexure.

Mechanics of Thrust Belts

Hubbert and Rubey’s (1959) Force Balance for Thrust Plates

One of the most famous papers in structural geology was entitled “Role of
fluid pressure in mechanics of overthrust faulting” (Hubbert and Rubey, 1959).
This paper build on earlier work by M. K. Hubbert (1951) and analyzed the case
of a block of geological dimensions that was pushed over a pre-existing surface.

X3

x
–σ13 σ13

σ11 z
–ρgz
σ31
X1

σ33

Figure 12.2 — Free body diagram for pushing a block across a horizontal surface,
the basic problem that Hubbert and Rubey (1959) set up to explore the importance
of frictional resistance to sliding. The tractions in red are the ones that they explic-
itly analyzed. The black tractions would be necessary for a complete two-dimen-
sional force balance. Fortunately, the lithostatic component of the normal tractions
and the shear tractions on the ends of the block cancel each other out in the full
analysis.

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CHAPTER 12 SIMPLE MECHANICS

Their analysis is a particularly nice example of static equilibrium balance of forces.

In their paper, they only balance forces in the X1 direction although Hubbert was
clearly aware that this did not constitute a total force balance (Fig. 12.2). Consult
Pollard and Fletcher (2005, p. 255-260) if you wish to see the entire three dimen-
sional force balance. The free body diagram (Fig. 12.2) is posed in terms of trac-
tions (stress vectors); we will have to covert these to forces by integrating the trac-
tion along the area of interest (i.e., the side or bottom of the block) in order to do
the force balance. In the one-dimensional force balance, the normal force on the
left side of the block should be equal to the frictional shear force on the base of the
block:
z x

∫0 ∫0
σ11d x3 = σ31d x1 (12.17)

Evaluating the right hand side of the equation, recall that the frictional resistance is
a function of the normal stress, σ33 = ρgz, times the coefficient of static friction
(from Byerlee’s law):
x x x

∫0 ∫0 ∫0
σ31d x1 = μs σ33d x1 = μs ρgzd x1 = μs ρgz x (12.18)

Evaluating the left side of Equation (12.17) requires a slight explanation:

There are two possible outcomes as the value of σ11 is increased: (a) the push will
exceed the frictional resistance to sliding that we have just calculated and the entire
block will slide coherently, or (b) σ11 will exceed the fracture strength of the material
and the block will break up rather than slide as a rigid block. The problem we are
going to solve is actually the latter. To do so, we need an expression for the
Coulomb Failure criteria in terms of the principal stresses (Eqn. 6.8, repeated
here):
1 + sin ϕ
σ1 = Co + Kσ3 where K = and Co = 2So K (12.19)
1 − sin ϕ

where So is the cohesion and φ is the angle of internal friction. Under these condi-
tions, σ11 = σ1 and σ33 = σ3. Now, we can expand the left side of Equation (12.17):

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CHAPTER 12 SIMPLE MECHANICS

z z z
Kρgz 2
∫0 ∫0 (Co + Kσ3) d x3 = ∫0 ( o
σ11d x3 = C + Kρgz)d x3 = Co z + (12.20)
2

With both sides of Equation (12.17) evaluated, we have:

Kρgz 2
Co z + = μs ρgz x (12.21)
2

Rearranging the result of Equation (12.21) we get an expression for the length of
the block, x, in terms of its thickness, z, the friction along the base, etc.:
Co Kz
xma x = + (12.22)
μs ρg 2μs

For z = 5 km, ρ = 2750 kg m–3, φ = 30°, and μs = 0.85, we calculate the maximum
length of the block is 11.8 km, which is much less than the dimension of large
thrust sheets, such as the Lewis overthrust in Glacier National Park that can be
tracked 80 km or more down dip and hundreds of kilometers along strike.
The basic problem is that, at these dimensions, rocks are fundamentally weak
as Hubbert demonstrated in an earlier paper when he posed the thought experi-
ment of whether a crane large enough could lift the entire state of Texas! This
simple analysis captures the so-called paradox of low-angle thrust faults that struc-
tural geologists have been debating since the early 1900’s. Hubbert and Rubey went
on to propose that pore fluid pressures, combined with a thrust decollement that
dipped gently towards the foreland, could explain large thrust plates. Their work on
pore fluid pressures was pioneering but, alas, they were wrong about the dip of the
decollement as well as the shape of the thrust block. Our modern understanding of
the mechanics of thrust belts as critically tapered wedges is summarized by Dahlen
(1990).

Critically-Tapered Wedges (Dahlen, 1990)

In a remarkable series of papers, beginning in 1983 (Davis et al., 1983) and

culminating with Dahlen (1990), the Princeton group laid out the modern mechan-
ical basis for understanding thrust belts. Their analysis built on earlier work by El-
liot (1976) and Chapple (1978), both of whom recognized that thrust belts in cross

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CHAPTER 12 SIMPLE MECHANICS

D
x water
ψ0 ρf

σ1 α
z
g
ρ σ3 ψb β

Figure 12.3 — Diagram showing the coordinate system, key angles, and principal
stresses for the general critically tapered wedge model, after Dahlen (1990).

section had the form of a finely tapered wedge rather than an rectangular block. In
this section, we summarize Dahlen's (1990) general two dimensional force balance
in a non-cohesive wedge.
The equations of static equilibrium (force balances) in terms of partial dif-
ferential equations take into account the z as well as the x direction (Fig. 12.3).
Summing in the x direction first, we get:
∂σx x ∂σxz
+ − ρgz sin α = 0 (12.23a)
∂x ∂z

and in the z direction:

∂σxz ∂σzz
+ + ρgz cos α = 0 (12.23b)
∂x ∂z

At the upper surface of the wedge, the boundary conditions are: z = 0; σxz = 0 (i.e.,
no shear stress on the surface of the wedge); and σzz = –ρfgD (the weight of the over-
lying water, or 0 in the case of subaerial wedges). The Hubbert and Rubey pore
fluid pressure ratio in the interior of the wedge is given by:
pf − ρf gD
λ= (12.24a)
−σzz − ρf gD

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CHAPTER 12 SIMPLE MECHANICS

and along the base by

pf basal − ρf gD
λb = (12.24b)
−σzz − ρf gD

Assuming constant, λ, ρ, porosity, and coefficient of internal friction (μ), the

components of the stress tensor at any point within the wedge are:

σxz = (ρ − ρf) gz sin α

σzz = − ρf gD − ρgz cos α
(12.25)

[ csc ϕ sec 2ψo − 1 ]

csc ϕ sec 2ψo − 2λ + 1
σx x = − ρf gD − ρgz cos α

The angles that the principal stresses make with the upper and lower surfaces of
the wedge are:

[ ( sin ϕ ) ]
sin α′
ψo = 0.5 sin−1 − α′
(12.26a)

[ ( sin ϕ ) ]
sin ϕb′
ψb = 0.5 sin−1 − ϕb′

The primed α and φ are the surface slope and the basal friction angle, modified by
the influence of pore fluid pressure:

1 − ρf /ρ
( 1−λ )
α′ = tan−1 tan α
(12.26b)

[ ( 1 − λ )]
1 − λb
ϕ′b = tan−1 μb

Out of all this comes an exact and stunningly simple relationship for the critical ta-
per of the wedge (Dahlen, 1990):

α + β = ψb − ψo (12.27)

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The taper depends on no length parameters and is therefore self-similar. The an-
gles of the principal stresses, and thus the taper, are dependent only on the material
properties and the pore fluid pressure and thus do not vary throughout the wedge.
Another assumption that we have made is that the entire wedge is on the verge of
failure everywhere.
By making a number of small angle assumptions — that α, β, ψ0, and ψb are
all assumed to be much less than 1 — we can recover the initial result of Davis et
al. (1983). For subaerial wedges, the approximate expression for the critical taper is:

β + μb (1 − λb)
α+β ≈ (12.28)
2 (1 − λ) ( 1 − sin ϕ )
sin ϕ

Step-up Angle of Thrusts

Now that we know the angles that the principal stresses make with the basal
decollement, it is a simple matter to calculate the angle that faults within the wedge
will make with respect to the decollement (Dahlen, 1990). From simple Mohr-
Coulomb theory, the poles to newly formed faults should form at (45 + φ/2)° with
respect to the σ1 principal stress direction. Given the above calculations, there are
two possible orientations faults (here given as the angle between the fault plane and
the basal decollement):

( 2 ) ( 2 )
90 − ϕ 90 − ϕ
δb = − ψb and δ′b = + ψb (12.28)

This gives rise to lower angle synthetic thrust faults (forward verging thrusts) and
higher angle antithetic thrust faults, i.e., steep back-thrusts (Fig. 12.4). The failure
stress on the thrusts within the wedge is:

( sin 2ψo )
cos ϕ
τ = (ρ − ρf) gz sin α (12.29)

and on the decollement

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( sin 2ψo )
sin 2ψb
τb = (ρ − ρf) gz sin α (12.30)

The ratio of these two stresses:

τb sin 2ψb
0≤ = ≤ 1 (12.31)
τ cos ϕ

In other words, the decollement must always be weaker than the wedge. This must
obviously be the case or the thrust belt would not move but would break up inter-
nally. In fact, if you watch a pile of snow or sand in front of a plow blade, you can
observe an alternation between failure of the wedge and sliding on the base.

Holes and Cracks: Some Important Results from Linear Elastic Fracture Mechanics

Figure 12.4 — Step up angles of thrust

faults within the wedge relative to the
45 + φ/2 σ3
basal decollement. Faults within the
σ1 δb wedge are assumed to be Coulomb
δ′b shears.
ψb

Linear elastic fracture mechanics has provided some deep insights into the
deformation in the upper part of the Earth’s crust. The derivations of some of the
fundamental equations involve imaginary numbers, complex variable theory,
and the Cauchy-Riemann equations. These are beyond the scope of this man-
ual but the interested student may check out the development in Jaeger and Cook
(1976) or McGinty (2015). As you will see, the results of this section are especially
germane to subsurface exploration and drilling for hydrocarbons, geothermal, or
fluid injection.

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CHAPTER 12 SIMPLE MECHANICS

Circular Holes

The problem of the stresses around a circular hole in a material has been
called the “most important single problem in rock mechanics” (Jaeger and Cook,
1976, p. 249). Given that we drill circular holes in rocks for a variety of reasons, it is
not hard to see why this is the case! Kirsch (1898) gave the fundamental solution for
the case of uniaxial loading but here we will go straight to the general two dimen-
sional loading case.

σ11
σ12

Figure 12.5 — General two dimension-

al load on a plate with a circular hole.
σ21 We use a Cartesian coordinate system
with X3 parallel to the axis of the hold
a σ22 and pointing into the page. Stresses
r around the hole are specified in polar
Pf coordinate system with the angle θ
measured up from the horizontal (in-
set view). The hole has a diameter of a
and the distance from the center of the
hole is specified by r.

We assume a far field coordinate system parallel and perpendicular to the

axis of the hole and the far field stresses are defined in that coordinate system (Fig.
12.5). The stresses around the hole are defined in a polar coordinate system as
shown in the inset diagram. The hole has a radius, a, and the stresses are calculated
at a distance, r, from the center of the hole. The radial and tangential normal and
shear stresses are:

(σ11 + σ22) (σ22 + σ11)

(r) ] [ (r) (r) ](
2 2 4

[ )
a a a
σrr = 1− + 1−4 +3 cos 2θ + σ12 sin 2θ (12.32a)
2 2

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CHAPTER 12 SIMPLE MECHANICS

(σ11 + σ22) (σ22 + σ11)

(r) ] [ (r) ](
2 4

[ )
a a
σθθ = 1+ − 1+3 cos 2θ + σ12 sin 2θ (12.32b)
2 2

(σ22 + σ11)
(r) (r) ](
2 4

[ )
a a
σrθ = 1+2 −3 sin 2θ + σ12 cos 2θ (12.32c)
2

For the special case where σ11 = σ1 and σ22 = σ2 and there is fluid pressure, Pf, in the
hole, the σ12 term goes zero and the pertinent equations become:

(σ1 + σ2) (σ2 − σ1)

(r) ] (r) (r) ] (r)
2 2 4 2

[ [
a a a a
σrr = 1− + 1−4 +3 cos 2θ +Pf (12.33a)
2 2

(σ1 + σ2) (σ2 − σ1)

(r) ] (r) ] (r)
2 4 2

[ [
a a a
σθθ = 1+ − 1+3 cos 2θ−Pf (12.33b)
2 2

σθθ is commonly referred to as a hoop stress.

Figure 12.6 shows how the stresses vary around the hole for the case of uni-
axial loading with σ1 = 50 MPa and σ2 = 0 MPa. You can see that the tangential or
hoop stress at 0° and 180° is three times greater than the far field σ1 value! Fur-
thermore, at 90° and 270° the stress is tensional. This value of 3 (in uniaxial load
conditions) is known as the stress concentration factor. Interestingly enough,
this factor is independent of the size of the hole: a small hole produces just as much

Tangential Stress Variation Stress at distance r/a

150.0 150.0
125.0
125.0
σθθ
Stress at θ = 0°

σ1 σ1
σ(θθ) at a/r = 1

100.0
75.0
100.0 σrr
50.0 75.0
25.0
0.0
σ2 50.0

25.0
-25.0
-50.0 0.0
0 90 180 270 360 0 2 4 6 8 10
θ r/a

Figure 12.6 — Left: Variation of the hoop stresses (σθθ) around the edge of a borehole for
the case of uniaxial loading. Right: radial and tangential stress variation with distance
from a borehole as a function of the radius of the borehole.

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CHAPTER 12 SIMPLE MECHANICS

σHmax

borehole
breakouts

Figure 12.7 — The location of break-

σHmin outs and potential tension cracks
around a vertical borehole. The break-
outs should parallel the minimum
principal horizontal stress direction.

tension
cracks

stress concentration as a large hole. You can see that the stress concentration is very
localized near the hole (Fig. 12.6, right). Within a distance of five borehole radii,
the hoop stress has dropped to within 2% of the regional value.
Now, let’s say you are an oil company systematically drilling holes in a pro-
ducing area. Every one of those boreholes will have these very large stress concen-
trations and in some cases the stresses will be high enough to cause the well bore to
deform by spalling off of pieces in the areas of high stress concentration: these are
known as borehole breakouts (Fig. 12.7). For traditional vertical boreholes, break-
outs should form by compressive failure in the direction of the least principal hori-
zontal stress and perpendicular to the maximum horizontal principal stress. This
turns out to be one of the best ways to determine the orientations of the stress field
in the plane perpendicular to the borehole. Figure 12.8 shows the orientations of σ1
in the vicinity of the San Andreas fault in central California.

Cracks

After Kirsch’s circular hole solution, the theory evolved to elliptical holes
which in the extreme case become cracks. Cracks are important because, not only
do they determine the ultimate strength of the material, but they also are the site

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CHAPTER 12 SIMPLE MECHANICS

−122° −120° −118°

Seattle
Monterey

Salt Lake City

San Francisco
36°00' 36°00' Figure 12.8 — The ori-
entation of σ1 from
borehole breakouts
Bakersfield
near the San Andreas
fault (thin black line) in
central California from
the World Stress Map
(Heidbach et al., 2008).

34°30' 34°30'
Santa Barbara

−122° −120° −118°

World Stress Map Rel. 2008 Projection: Mercator
Helmholtz Centre Potsdam
GFZ German Research Centre for Geosciences

where subsequent failure via fault tip migration occurs. Some complicated math
ensued with each succeeding step forward, but the results are surprisingly simple
and powerful. We skip here this important early development and go straight to Ir-
win’s (1957) approximate solution for stresses near a crack tip, that is r ≤ a/10 (Fig.
12.9). He calculated that the stresses are:

(2)( (2) ( 2 ))
σ∞ πa θ θ 3θ
σ11 ≈ cos 1 − sin sin (12.34a)
2π r

(2)( (2) ( 2 ))
σ∞ πa θ θ 3θ
σ22 ≈ cos 1 + sin sin (12.34b)
2π r

(2) (2) (2)

σ∞ πa θ θ 3θ
σ12 ≈ cos sin cos (12.34c)
2π r

The quantity " σ ∞ π a is know as the stress intensity factor:

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CHAPTER 12 SIMPLE MECHANICS

σ∞

X2

r Figure 12.9 — Stress around a crack tip

θ for a crack with a half length of a. The
coordinate system is for Irwin’s (1957)
σ∞ X1 approximate solution. σ∞ is the far field
2a
stress.

K
" I = σ∞ πa (12.35)

The above analysis is appropriate for Mode I (opening) cracks (Fig. 6.1). For a
Mode II (sliding) crack, the equations are (Pollard and Fletcher, 2005):

(2)[ (2) ( 2 )]
KII θ θ 3θ
σ11 = −sin 2 + cos cos (12.36a)
2π r

(2) (2) (2)

KII θ θ 3θ
σ22 = sin cos cos (12.36b)
2π r

(2)[ (2) ( 2 )]
KII θ θ 3θ
σ12 = cos 1 − sin sin (12.36c)
2π r

And, for a Mode III crack:

2π r [ ( 2 )]
KIII θ
σ13 = −sin (12.37a)

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CHAPTER 12 SIMPLE MECHANICS

2π r [ ( 2 )]
KIII θ
σ23 = cos (12.37b)

0.05 0.05

0.04 0.04

0.03 0.03

0.02 0.02

0.01 0.01

0.00 0.00
Y

Y
-0.01 -0.01

-0.02 -0.02

-0.03 -0.03

-0.04 -0.04

-0.05 -0.05
05

04

03

02

01

00

01

02

03

04

05

05

04

03

02

01

00

01

02

03

04

05
.

0.

0.

0.

0.

0.

0.

0.

0.

0.

0.

0.

0.
-0

-0

-0

-0

-0

-0

-0

-0

-0

-0
X X

Figure 12.10 — Two dimensional maps of the σ12 = σ21 magnitude at the tip of a
horizontal crack (white line), located at (0,0). Width of each diagram is ±0.05a.
Color map is different in both but the contour interval is the same. In the Mode I
case, blues and greens are opposite signs.

In all of these cases, we find the square root of distance from the crack tip, r, in the
denominator. Thus, at the crack tip itself, these equations all suggest infinite stress.
Of course, there can’t really be infinite stress there, it is just that linear elasticity
doesn’t apply near r = 0. Figure 12.10 shows plots of the magnitude of shear stress
on planes perpendicular or parallel to the crack.

Final Thoughts: Simulation vs. Illumination

There are many types of models constructed for different purposes. The
fault-related folding models that we saw in Chapter 10, for example, have the goal
of simulating the geometry, and occasionally the sequence, of deformation. This is
a perfectly reasonable objective and there are many practical reasons why we want
to project the geometry to depth using predominantly kinematic rules: to define the
geometry of a structural trap in a hydrocarbon reservoir, calculate the amount and
distribution of shortening for a palinspastic restoration, evaluate the goodness of

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CHAPTER 12 SIMPLE MECHANICS

fit, or define the likely fault geometry to assess seismic hazard. The goal in simula-
tion is to reproduce, as faithfully as possible, those parts of the structure that we
cannot see and what they might look like. Some simulations (e.g., the trishear mod-
el) can be carried out extremely rapidly, allowing us to test many possible geome-
tries and find a “best fit” to the data. The problem comes, however, when we as-
sume that the kinematic model “explains” the structure, because we have not, in
fact, tested whether the model conforms to the well known physical principles de-
scribed in this chapter, nor whether the boundary or initial conditions are reason-
able.
In this Chapter, we have gotten a glimpse of the suite of physical principles,
constitutive equations, and boundary conditions that can be used to illuminate a
structural problem of interest. Full mechanical models commonly do not have, as
an objective, the simulation of an overall structural geometry. We are not trying to
draw a more accurate cross section; instead we are trying to understand why some-
thing formed the way that it did. To answer that question, we don't need to repro-
duce all aspects of the geometry of a structure. What we try to do is distill the
problem until all that remains are its most fundamental elements. By making a
model simpler, we are more likely to be able to isolate, and illuminate, the key fea-
tures. When we make models more complex, the number of free variables increases
to a point that we can no longer say what is most likely or important. Powerful
computer packages to carry out large scale numerical models — especially finite
element and discrete element models — run the risk of being so complicated that
one can no longer isolate, and get insight into, the key parameters.
So, both simulation and illumination have their place in structural geology.
The student’s goal is to learn the wisdom to decide what type of model is likely to
answer the question of interest.

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CHAPTER 12 SIMPLE MECHANICS

Exercises — Chapter 12

1. A simple, well-known experiment

in structural geology that relates
directly to the Hubbert and Rubey
analysis was proposed by the great
French fluid mechanics expert, M.
A. Biot, and was called the “beer
can” experiment5 .
(a) Experimental procedure
(i) Take the glass plate provided and place the empty can on one end. Tilt
the plate by raising the end on which the can rests. Record the angle of
the plate at which the can begins to slide down the tilted glass.
(ii) Cover the plate with a film of water (if the plate is dirty, you will have to
clean it with mild detergent first). Repeat step one. Again, record the an-
gle at which the can slides down the plate.
(iii) Now chill the can by placing it in the cooler with dry ice [Safety note: Do
not handle the dry ice with your bare hands or you run a serious risk of
rapid frostbite. Use gloves to place or remove the can from the cooler.
Dry ice — or frozen carbon dioxide — is much colder than ice made
from water!].
(iv) After two to three minutes, remove the can from the cooler and place the
can on the wetted glass plate with the open end facing up. Tilt until the
can slides and record the angle as before.
(v) Finally, cool the can again, briefly, and place it on the wetted plate, open
end down. Tilt until the can slides and record the angle
(b) Draw a two dimensional free body diagram for the beer can experiment.
(c) Use a force balance to calculate the coefficient of static friction between the
can and the glass for steps (i) to (v) in part (a). How do you explain the result
in step (v)? Derive the appropriate equations that demonstrate what is actu-
ally going on in step (v) relative to the other steps.

5 Editorial note: Biot proposed this experiment back in the 1950's, when beer cans were sturdy affairs. Today's beer
cans, while being ecologically much more acceptable (though much less welcome on college campuses), have wimpy
thin sides that make them unusable for this experiment, so we are reduced to the ignominious fate of having to use a
different type of can!

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CHAPTER 12 SIMPLE MECHANICS

2. The following questions relate to Figure 12.6, which shows the orientations of
σ1 in central California.
(a) Make a sketch showing the average orientation of breakouts in the bore-
holes that were used to calculate the map of stresses. Be sure to include geo-
graphic axes and the orientations of the principal stresses.
(b) Hydraulic fracturing experiments at a depth of 1.3 km in the region show
that σ1 is 49 MPa with an azimuth of 036° and σ3 = 25 MPa on an az-
imuth of 126°. Calculate the hoop and radial stresses around the borehole.
(c) Assume that the breakouts formed by small Coulomb shear fractures that
extend 1.2 borehole radii into the rock (measured from the center of the
borehole). What are reasonable values of cohesion and internal friction for
the rock mass that would explain the formation of the breakouts?
(d) The breakouts reported are commonly from depths of around 3700 m. As-
suming that the principal horizontal stresses remain the same and ρ = 2600
kg m–3, calculate the values and orientations of σ1, σ2, and σ3. How would
these new values change your answer to part (c)?

3. Figure 12.8 shows the magnitudes of stresses σ12 (i.e., σxy) with distance from the
tip of a Mode I and Mode II crack. What exactly does this stress mean? Ex-
plain how you would go about calculating the maximum shear stress around
the crack tip for the two cases.

4. The following questions apply to the critically tapered wedge theory described
earlier in the Chapter.
(a) Using Equations 12.26 and 12.27, describe what happens as either the static
friction on the base of the wedge, μb → 0 or the pore fluid pressure ratio on
the base, λb → 1. The former applies where thrust belt decollements are lo-
cated in salt horizons; the latter is commonly observed in submarine accre-
tionary prisms.
(b) The figure on the following page shows two cross sections and topographic
profiles across the Subandean fold and thrust belt in Bolivia. The rainfall in
the region of the northern profile is 1600 to 2400 mm/yr whereas along the
southern profile it is 600-800 mm/yr. Discuss the contrasts between these
two sections/profiles in the context of the critically tapered wedge theory
and, where the possible explanations are non-unique, describe what type of

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CHAPTER 12 SIMPLE MECHANICS

data you would like to collect to resolve any ambiguities (assume that money
is no obstacle!). You may wish to read Dahlen (1990) first.

68° 64° 60° 2000 m

12°

1000 m
alpha = 0.73°
Bolivia
16°

20° Roeder 1988

beta = 6.3°

25 km

2000 m

alpha = 0.56°
1000 m

Herrail 1989
beta = 2.2°

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 Postface
What you’ve accomplished and where to go next

If you have made it this far, to the end of this lab manual, congratulations!
You have tackled material that takes serious work to learn. If you come from a typ-
ical undergraduate geology major background, this manual has introduced you to
some tremendously important concepts and methods that are not typically, or ade-
quately, taught to undergraduates in their first structure course. These concepts in-
clude powerful linear algebra methods such as transformations of coordinates, vec-
tors, and tensors; the concepts of principal axes and invariants of tensors; the sig-
nificant differences between stress, infinitesimal strain and finite strain. We have
learned about material versus spatial coordinates and how important it is in the
analysis of strain as well as in mechanics. We have seen that even the most basic
structural geology calculation has significant uncertainty associated with it and got-
ten a glimpse of how to determine those uncertainties. Finally, you have seen that
even the simple spreadsheet program is a powerful computing environment that
enables you to solve problems that cannot be solved with traditional graphical
methods. And now, a confession on my part: I hate spreadsheet programs! That is
because I know how much more powerful, faster, and more capable traditional
computer programming is. Hopefully this manual has given you the motivation to
acquire those skills as well.
If you come from an engineering or physics background, you are probably
wondering what all of the fuss is about! Most of the topics that we have touched on
in this manual are treated in the first two years of a typical undergraduate curricu-
lum in those disciplines. Structural geology is, fundamentally, solid mechanics ap-
plied to earth materials. Though the methods are the same, there are some signifi-
cant differences in approach: an engineer might want to know the maximum load
that a beam can bear and how much it will flex so that they can design a bridge to
a particular specification. The structural geologist is more like a forensic scientist:
they come upon the scene when the bridge has already collapsed and is lying in a
heap on the valley floor. Our job is to extract from the chaos of a deformation that
POSTFACE WHERE TO GO…

has already happened — commonly many millions of years ago — what the key
factors were and thereby what the Earth is capable of.
As forensic scientists, we have to go to the field which is the scene of the
crime. There is a misconception that field geologists observe and map whereas
quantitative or “theoretical” structural geologists stay at home and program their
computers. The best structural geologists throughout history have done both: they
go to the field (or lab) and make careful quantitative observations and they know
how to analyze and probe their data quantitatively to extract meaningful conclu-
sions. This is an iterative process. Initial observations may stimulate deeper me-
chanical analysis which provides a set of observables for testing with further obser-
vation, resulting in further refinements of the theory.
Let’s say you come from that typical undergraduate geology major back-
ground. After reading this lab manual, I flatter myself to think that a few of you
might now be inspired to join the ranks of the best structural geologists. Where
should you turn next on this journey? In no particular order, I suggest the following
studies:
• Take at least four semesters of college math, which will take you
through linear algebra and partial differential equations. The
earth is a multivariate system with gradients of properties in all direc-
tions. Inverse methods, a branch of linear algebra, are extremely pow-
erful. This is not just the minimum level of math required for structural
geology but in fact the minimum level for anyone wanting to become a
physical scientist or engineer in just about any field.
• Learn a real computing environment, whether it be Matlab,
Python, Fortran, Basic, C++, etc. If you cannot program, you have to
wait until someone else writes the program for you and it is unlikely
that, by the time that happens, the problem you wanted to solve will still
be cutting edge. Like the previous bullet, computing is a skill that all sci-
entists and engineers should have.
• Take geomechanics or engineering mechanics courses. Because
these courses require dedication and perseverance, they will be more
approachable once you have some idea what the problems are that a

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POSTFACE WHERE TO GO…

structural geologist wants to solve. This is a necessary step if, as men-

tioned in Chapter 12, you want to illuminate and not just simulate a
structure of interest.
• Most of the problems that we wish to address in structural geology have
a high degree of uncertainty due to incomplete data, subjective hy-
potheses and observation, and lack of knowledge about appropriate
boundary conditions, initial values, and constitutive relations. Thus, you
will need to learn some statistics; fortunately much of the mathe-
matical background needed for statistics is the same as that needed for
structural geology itself. Once you have armed yourself with statistical
methods, remember that statistics can only help you eliminate models
or hypotheses; they cannot “prove” a hypothesis. The “best” model is
simply one that has not yet been eliminated.

Structural geology provides the basis for a tremendously rewarding career:

we study deformation features in some of the most beautiful and remote places on
Earth. However, we also are expert on problems of extreme societal relevance and
interest: earthquakes, induced seismicity, hydraulic fracturing, surface instabilities,
and so on. The background that I have described above will enable you to pursue
either or both of these branches of our science at the highest level. Good luck!

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POSTFACE WHERE TO GO…

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REFERENCES CITED

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Kirsch, E.G.,1898, Die Theorie der Elastizität und die Bedürfnisse der Festigkeit-
slehre: Zeitschrift des Vereines deutscher Ingenieure, v. 42, p. 797-807.
Klotz, J., Angermann, D., Michel, G., Porth, R., Reigber, C., Reinking, J.,
Viramonte, J., Perdomo, R., Rios, V., Barrientos, S., Barriga, R., and
Cifuentes, O., 1999, GPS-derived deformation of the Central Andes
including the 1995 Antofagasta Mw = 8.0 Earthquake: Pure and Applied
Geophysics, v. 154, p. 709-730.
Kostrov, V. V., 1974, Seismic moment and energy of earthquakes, and seismic flow
of rock: Izv. Acad. Sci. USSR Phys. Solid Earth Izv. Acad. Sci. USSR Phys.
Solid Earth, v. 1, p. 23-44.

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Malvern, L. E., 1969, Introduction to the mechanics of a continuous medium: En-

glewood Cliffs, N.J., Prentice-Hall, Inc., 713 pp.
McGinty, B., 2015, Fracture mechanics: http://www.fracturemechanics.org/fm/
index.html, (2015).
McKenzie, D.P., 1969, The relationship between fault plane solutions for earth-
quakes and the directions of the principal stresses: Bulletin Seismological So-
ciety America, v. 59, p. 591–601.
Menke, W., 1984, Geophysical Data Analysis: Discrete Inverse Theory: Orlando,
Academic Press, 260 pp.
Middleton, G. V., and Wilcock, P. R., 1994, Mechanics in the earth and environ-
mental sciences: Cambridge, UK, Cambridge University Press, 459 pp.
Mitra, S., 1993, Geometry and kinematic evolution of inversion structures:
American Association of Petroleum Geologists Bulletin, v. 77, no. 7, p.
1159-1191.
Molnar, P., 1983, Average regional strain due to slip on numerous faults of different
orientations: Journal of Geophysical Research, v. 88, p. 6430-6432.
Nye, J. F., 1985, Physical properties of crystals; their representation by tensors and
matrices: Oxford, England, Oxford University Press, 329 pp.
Petit, J.-P., 1987, Criteria for the sense of movement on fault surfaces in brittle
rocks: Journal of Structural Geology, v. 9, p. 597-608.
Pollard, D. D., and Fletcher, R. C., 2005, Fundamentals of Structural Geology:
Cambridge, England, Cambridge University Press, 500 pp.
Ramsay, J. G., 1967, Folding and fracturing of rocks: New York, McGraw-Hill, 568
pp.
Ramsay, J. G., and Graham, R. H., 1970, Strain variation in shear belts: Canadian
Journal of Earth Sciences, v. 7, p. 786-813.
Ramsay, J. G., and Huber, M. I., 1983, The techniques of modern structural
geology, volume 1: Strain analysis: London, Academic Press, 307 pp.

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Rich, J. L., 1934, Mechanics of low-angle overthrust faulting as illustrated by

Cumberland thrust block, Virginia, Kentucky, and Tennessee: American As-
sociation of Petroleum Geologists Bulletin, v. 18, p. 1584-1596.
Sibson, R. H., 1974, Frictional constraints on thrust, wrench and normal faults:
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Sibson, R. H., 1985, A note on fault reactivation: Journal of Structural Geology, v.
7, p. 751-754.
Suppe, J., 1983, Geometry and kinematics of fault-bend folding: American Journal
of Science, v. 283, no. 7, p. 684-721.
Suppe, J., Chou, G. T., and Hook, S. C., 1992, Rates of folding and faulting de-
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Suppe, J., and Medwedeff, D., 1990, Geometry and kinematics of fault-propaga-
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Taylor, J. R., 1997, An introduction to error analysis: The study of uncertainties in
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Tikoff, B., and Fossen, H., 1993, Simultaneous pure and simple shear: the unifying
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Williams, G., and Chapman, T., 1983, Strains developed in the hangingwalls of
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Zehnder, A. T., and Allmendinger, R. W., 2000, Velocity field for the trishear
model: Journal of Structural Geology, v. 22, p. 1009-1014.

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REFERENCES CITED

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APPENDIX A QUICK REFERENCE

Appendix A: Quick Reference

This section contains a listing of formulae that you are likely to use (a lot). They are
listed in the order that they occur in the text with their original equation numbers.
Click on the equation number to go to the discussion of the equation in the main
text.
180∘
1" radian = = 57.2958∘
π
π 3π
"90∘ = ; "180∘ = π; "270∘ = ; "360∘ = 2π (1.1)
2 2

Vector magnitude:

" v = v12 + v22 + v32 (2.2)

Unit vector and direction cosines:

v̂ = [cos α cos β cos γ] (2.3)

Dot product:

u⋅v =v⋅u= u v cos θ = v1u1 + v2u 2 + v3u3 (2.6)

θ = cos−1 (v1u1 + v2u 2 + v3u3) (2.7)

Cross product:

v×u=−u×v = v u sin θ = [(v2u3 − v3u 2) (v3u1 − v1u3) (v1u 2 − v2u1)] (2.8)

Direction cosines of a line or pole from trend and plunge or strike and dip in a
NED coordinate system:

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APPENDIX A QUICK REFERENCE

Table 2.1-1
Axis Direction Cosine Lines Poles to Planes

(strike & dip using RHR)

North cosα cos(trend)cos(plunge) sin(strike)sin(dip)

East cosβ sin(trend)cos(plunge) –cos(strike)sin(dip)
Down cosγ sin(plunge) cos(dip)

Trend and plunge from direction cosines:

plu nge = sin−1 (cos γ)

( cos α )
cos β
t ren d = tan−1 if cos α > 0 (2.11a)

( cos α )
cos β
t ren d = 180∘ + tan−1 if cos α < 0 (2.11b)

Special case of cos α = 0:

t ren d = 90∘ if (cos α = 0 and cos β ≥ 0) (2.11c)

t ren d = 270∘ if (cos α = 0 and cos β < 0) (2.11c)

Mean vector standard deviation:

1

( R ) (1 − p)
N−R 1 N−1
cos δαp = 1 − −1 (2.12)

Transformation matrix:

a11 a12 a13 cos θ11 cos θ12 cos θ13

aij = a 21 a 22 a 23 = cos θ21 cos θ22 cos θ23 (4.2)
a31 a32 a33 cos θ31 cos θ32 cos θ33

Vector transformation, new coordinates in terms of old:

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APPENDIX A QUICK REFERENCE

v′1 = a11v1 + a12 v2 + a13v3

v′2 = a 21v1 + a 22 v2 + a 23v3 (4.4)
v′3 = a31v1 + a32 v2 + a33v3

Vector transformation, old coordinates in terms of new:

v1 = a11v′1 + a 21v′2 + a31v′3
v2 = a12 v′1 + a 22 v′2 + a32 v′3 (4.5)
v3 = a13v′1 + a 23v′2 + a33v′3

Stratigraphic thickness:

t′′3 − b′′3 = (sin (st r i k e) sin (d ip)) (tN − bN ) − (cos (st r i k e) sin (d ip)) (tE − bE)+
" (4.10)
(cos (d ip)) (bU − tU)

Down plunge projection transformation matrix (X′2 is the fold axis):

−sin (TFA) cos (TFA) 0

bij = cos (TFA) cos (PFA) sin (TFA) cos (PFA) sin (PFA) (4.12)
cos (TFA) sin (PFA) sin (TFA) sin (PFA) −cos (PFA)

Rotation transformation matrix:

a11 = cos ω + cos2 α (1 − cos ω)

a12 = − cos γ sin ω + cos α cos β (1 − cos ω)
a13 = cos β sin ω + cos α cos γ (1 − cos ω)
a 21 = cos γ sin ω + cos β cos α (1 − cos ω)
a 22 = cos ω + cos2 β (1 − cos ω) (4.14)
a 23 = − cos α sin ω + cos β cos γ (1 − cos ω)
a31 = − cos β sin ω + cos γ cos α (1 − cos ω)
a32 = cos α sin ω + cos γ cos β (1 − cos ω)
a33 = cos ω + cos2 γ (1 − cos ω)

Summation convention (i is the free suffix and j the dummy suffix):

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APPENDIX A QUICK REFERENCE

∑
v′i = aij vj = ai1v1 + ai2 v2 + ai3v3 (5.5)
j=1

Tensor (dyad) product:

u1v1 u1v2 u1v3
T= u⊗v = u v T
or Tij = ui vj where Tij = 2 v1 u 2 v2 u 2 v3
u (5.7)
u3v1 u3v2 u3v3

Invariants of a tensor:

λ 3 − Iλ2 − IIλ − III = 0 (5.9)

I = T11 + T22 + T33 + = T1 + T2 + T3

(TijTij − I )
2

II = = − (T1T2 + T2T3 + T3T3) (5.10)

2
III = det T = Tij = T1T2T3

Tensor transformation, new in terms of old:

" ij′ = aik ajlTkl

T (5.11)

Orientation tensor:

∑ cos2 α[i] ∑ (cos α[i] cos β[i]) ∑ (cos α[i] cos γ[i])
T= ∑ (cos β[i] cos α[i]) ∑ cos2 β[i] ∑ (cos β[i] cos γ[i]) (5.22)
∑ (cos γ[i] cos α[i]) ∑ (cos γ[i] cos β[i]) ∑ cos2 γ[i]

Cauchy’s Law:

" i = σijℓj
p (5.23a)

p1 = σ11ℓ1 + σ12ℓ2 + σ13ℓ3

p2 = σ21ℓ1 + σ22ℓ2 + σ23ℓ3 (5.23b)
p3 = σ31ℓ1 + σ32ℓ2 + σ33ℓ3

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Mohr’s Circle for stress:

( 2 ) ( 2 )
σ1 + σ3 σ1 − σ3
σn = + cos 2θ (5.25a)

( 2 )
σ1 − σ3
τ = σs = sin 2θ (5.25b)

Mean and deviatoric stress:

Iσ σ + σ22 + σ33 σ + σ2 + σ3
"σm = = 11 = 1 (5.26)
3 3 3
σm 0 0 σ11 − σm σ12 σ13

[ σ31 ]
σij = 0 σm 0 + σ21 σ22 − σm σ23 (5.27)
0 0 σm σ32 σ33 − σm

Slip from piercing points, where p1 is the position of the line, v is the direction
cosines of the line, p2 is a point on the plane, n the direction cosines of the pole to
the plane:

n̂ ⋅ [p2 − p1] n1 (p21 − p11) + n 2 (p22 − p12) + n3 (p23 − p13)

u= = (6.4)
n̂ ⋅ v̂ n1v1 + n 2 v2 + n3v3

p1 = p11 + uv1; p2 = p12 + uv2; p3 = p13 + uv3 (6.5)

(p (h w)1 − p ( f w)1) + (p (h w)2 − p ( f w)2) + (p (h w)3 − p ( f w)3)

2 2 2
slip = (6.6)

Coulomb failure envelope:

τ" = σs = So + σn μ (6.7)

In terms of principal stresses:

1 + sin ϕ
σ1 = Co + Kσ3 where K= and Co = 2So K (6.8)
1 − sin ϕ

Failure envelope for frictional slip on pre-existing planes:

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APPENDIX A QUICK REFERENCE

τ" = μs σn (6.9)

Coulomb failure with pore fluid pressure:

τ = σs = So + (σn − Pf) μ = So + σ*
n μ (6.12)

Pore fluid pressure ratio:

Pf
λ= where Plithostatic = ρ̄rock gz (6.13)
Plithostatic

Principal stress ratio:

σ2 − σ1 c c
R= = 13 23 (6.22)
σ3 − σ1 c12 c22

Stretch, S, and inverse stretch, s:

ℓf Δx
S= = (7.2a)
ℓi ΔX

ℓi ΔX
s= = (7.2b)
ℓf Δx

Extension, E or e, can be defined as the change in length over the initial length (an
initial state frame of reference) or the final length (a final state frame of reference):
ℓf − ℓi Δℓ Δu
" =
E = = (7.5a)
ℓi ℓi ΔX

ℓf − ℓi Δℓ Δu
e" = = = (7.5b)
ℓf ℓf Δx

Shear strain, γ, and the angular shear, ψ, as:

( ΔY )
Δu Δu
γ = and " = tan−1
ψ (7.7)
ΔY

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APPENDIX A QUICK REFERENCE

Displacement gradient tensor (asymmetric):

∂ui ∂ui
Δui = ΔXj = Eij ΔXj or dui = d X = Eij d Xj (7.10)
∂Xj ∂Xj j

∫ ∫
dui = Eij d Xj ⇒ ui = ti + Eij Xj (7.11)

Deformation gradient tensor (asymmetric):

∂xi
Δxi = ΔXj = Dij ΔXj (7.12)
∂Xj

∫ ∫
d xi = Dij d Xj ⇒ xi = ci + Dij Xj (7.13)

Infinitesimal strain and rotation from the displacement gradient tensor:

Eij = εij + ωij (7.19)

1 1
2(
Eij − Eji)
2 ( ij
εij = E + Eji) and ω
" ij = (7.20)

Rotation vector, ri, as follows:

− (ω23 − ω32) − (−ω13 + ω31) − (ω12 − ω21)

r1 = , r2 = , and r3 = (7.21)
2 2 2

Mohr’s Circle for infinitesimal strain:

(ε1 + ε3) (ε1 − ε3)

ε11′ = + cos 2θ
2 2
(7.28)
γ ( 1
ε − ε3)
ε13′ = = sin 2θ
2 2

P- and T-axes for faults and earthquakes, n is the pole, s the slip unit vectors. k = 1
for normal faults and k = –1 for reverse faults:
ni + k si ni − k si
Pi = and Ti = (7.34)
2 2

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APPENDIX A QUICK REFERENCE

Seismic moment, Mo, and geometric moment, Mg:

Mo = A s̄μ and Mg = A s̄ (7.35)

“Asymmetric moment tensor” as the dyad product of the slip and normal vectors:
n_ faults

∑
Mij = Mgui nj (7.36)
k=1

Kostrov’s symmetric moment tensor, εij:

∑ Mg (ui nj + uj ni) ∑ Mg (ui nj − uj ni)

Eij = εij + ωij = + (7.38)
2V 2V

Lagrangian strain tensor (initial or material state):

∂uj ∂uk ∂uk

2 [ ∂Xj ∂Xi ∂Xi ∂Xj ] 2
1 ∂ui 1
Lij = + + = [Eij + Eji + Eki Ekj] (8.1)

Eulerian finite strain tensor, " Lij , is the same as the Lagrangian strain tensor but ref-
erenced to the final (spatial) state:

1 ∂ui ∂uj ∂uk ∂uk

2 [ ∂xj ∂xi ∂xj ] 2
1
Lij = + + = [eij + eji + eki ekj] (8.5)
∂xi

Green deformation tensor (initial or material state):

∂xk ∂xk
Cij = = Dki Dkj (8.6)
∂Xi ∂Xj

Cauchy deformation tensor, " Cij , is similar to Equation (8.6), but referenced to the
final or spatial state:
∂Xk ∂Xk
Cij = = dki dkj (8.8)
∂xi ∂xj

Mohr circle for strain in the deformed (final or spatial) state:

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APPENDIX A QUICK REFERENCE

(C1 + C3) (C1 − C3) (C1 − C3)

C11′ = + cos 2θ and C13′ = sin 2θ (8.15)
2 2 2

(λ1′ + λ3′) (λ1′ − λ3′) γ (λ1′ − λ3′)

λ′ = + cos 2θ and γ" ′ = = sin 2θ (8.16)
2 2 λ′ 2

Calculating the Cauchy deformation tensor from three deformed lines:

( ) ( )
2 2

( )
a d x1 a d x1d x 2 a d x2
ℓf
2 ℓf
ℓf2
a
λ′ C11

( ) ( )
2 2

( )
b d x1 b d x1 d x 2 b d x2
b
λ′ = ℓf
2
ℓf2 ℓf
C12 (8.22)
c
λ′ C22

( ) ( )
2 2

( )
c d x1 c d x1 d x 2 c d x2
ℓf
2 ℓf
ℓf2

Poisson’s ratio:

( wi )
wf − wi
e
ν =− t =− (9.2)
( li )
eℓ l f − li

Elastic moduli (G = shear modulus, E = Youngs modulus, K = bulk modulus):

E 3K (1 − 2ν)
G= = (9.3)
2 (1 + ν) 2 (1 + ν)

Lithostatic load or pressure:

z

∫0
Plith = ρgd z ≈ ρgz (9.4)

Minimum stress ratio for reactivation:

( (1 + μ ) )
2

( σ*
3 )
σ*
1 2
Γmin = = μ+ (9.8)
min

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APPENDIX A QUICK REFERENCE

Table 9.1: Frictional Strength of the Crust-1

Vertical Stress Tectonic Environment Minimum Differential Stress

σ3 thrust faulting σ*
1
− σ*
3
≥ (Γmin − 1) ρgz (1 − λ)

(Γmin − 1)
σ1 normal faulting σ*
1
− σ*
3
≥ ρgz (1 − λ)
Γmin

(Γmin − 1)
σ* − σ* ≥ ρgz (1 − λ)
1 3
Φ (Γmin + 1) + 1
σ2 strike-slip faulting
σ −σ
where Φ = 2 3
σ1 − σ3

Power law creep:

( RT )
−Q
e· = Co (σ1 − σ3) exp
n
(9.10)

Shear zone displacement from foliation orientations (γ = shear strain):

2
" 2θ′ =
tan (9.12)
γ
y y
2
∫0 ∫0 tan 2θ′
d= γ dy = dy (9.13)

General 2D shear:

γ(S1 − S3)
S1
( S3 )
S1
" ij =
D ln (9.16)
0 S3

Amount of angular shear, ψ, parallel to bedding as a function of the dip, δ, of bed-

ding (Fig. 10.3):

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APPENDIX A QUICK REFERENCE

( ( 2 ))
δ
kink folds: ψ = tan−1 2 tan ; curved hinges: ψ = tan−1 (0.0175δ) (10.6)

Fault-bend fold equations (Suppe, 1983):

−sin (γ − θ) [sin (2γ − θ) − sin (θ )]

−1
ϕ = tan (10.7a)
cos (γ − θ) [sin (2γ − θ) − sin (θ )] − sin (γ)

β = θ − ϕ + (180 − 2γ) = θ − ϕ + δ (10.7b)

Fault-propagation fold equations:

sin (γ*) sin (γ* − β1)

sin θ2 = (10.8)
[ ]
sin (γ1) sin (γ* − β1)
sin (γ1 − γ*) +
sin (2γ* − β1)

γ = 90∘ + γ* − γ1; β2 = 180∘ − 2γ* + β1; and δb = 2 (γ − γ*).

Trishear fault-propagation folding (linear velocity field):

[( m x )
y
]
v0 y m
v ⃗ (x, y) = + 1 i ̂+ −1 ĵ (10.12)
2 (1 + s) mx

Simple shear deformation of the hanging wall in similar folding:

h
sn = (10.13)
cos (δn) (1 + tan (δn) tan (α))

Incompressibility:

[ ∂x1 ∂x2 ∂x3 ]

∂v1 ∂v2 ∂v3
∇v = + + = 0 (10.17)

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APPENDIX A QUICK REFERENCE

Area of a polygon with n vertices:

1 n−1
(xi yi+1 − xi+1yi)
2∑
A= (10.18)
i=0

P-wave velocity:

E
velocit y = V = (11.1)
ρ

Stacking velocity and normal move out time:

x2
ΔtNMO = tx − to = to2 + − to (11.3b)
V stacking
2

Dix Equation:

2 2
V st2 t2 − V st1 t1
Vi(1,2) = (11.4)
t2 − t1

The continuity equation:

dρ ∂ (vi)
+ρ = 0 (12.1)
dt ∂xi

Law of conservation of momentum (mv):

d(mv)
F= (12.3a)
dt

Cauchy’s First Law of Motion:

d vi ∂σij
ρ = + ρgi (12.4)
dt ∂xj

Cauchy’s Second Law of Motion:

σij = σji for i, j = 1 to 3

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APPENDIX A QUICK REFERENCE

Strain compatibility, specified by St.-Venant’s equations:

∂ 2 εij ∂ 2 εkl ∂ 2 εik ∂ 2 εjl

+ − − = 0 (12.7)
∂Xk ∂Xl ∂Xi∂Xj ∂Xj ∂Xl ∂Xi∂Xk

Lamé’s constants:
(1 + ν) ν
εij = σij − δij σkk (12.11a)
E E

σij = 2Gεij + λ δij Iε (12.11b)

Where Iε is the first invariant of the infinitesimal strain tensor and δij is the Kro-
necker delta. The Lamé constant, λ, is related to the other elastic moduli by:
νE 2
λ= and λ = K − G (12.12)
(1 + ν) (1 − 2ν) 3

Kirsch’s (1898) solution for stresses around a circular hole:

(σ11 + σ22) (σ22 + σ11)

(r) ] [ (r) (r) ](
2 2 4

[ )
a a a
σrr = 1− + 1−4 +3 cos 2θ + σ12 sin 2θ (12.32a)
2 2

(σ11 + σ22) (σ22 + σ11)

( ) ( )
2 4

[ r ] [ r ]( )
a a
σθθ = 1+ − 1+3 cos 2θ + σ12 sin 2θ (12.32b)
2 2

(σ22 + σ11)
(r) (r) ](
2 4

[ )
a a
σrθ = 1 + 2 −3 sin 2θ + σ12 cos 2θ (12.32c)
2

For the special case where σ11 = σ1 and σ22 = σ2 and there is fluid pressure, Pf, in the
hole:

(σ1 + σ2) (σ2 − σ1)

(r) ] (r) (r) ] (r)
2 2 4 2

[ [
a a a a
σrr = 1− + 1−4 +3 cos 2θ +Pf (12.33a)
2 2

(σ1 + σ2) (σ2 − σ1)

(r) ] (r) ] (r)
2 4 2

[ [
a a a
σθθ = 1+ − 1+3 cos 2θ−Pf (12.33b)
2 2

Irwin’s (1959) solutions for stresses near a crack tip:

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APPENDIX A QUICK REFERENCE

(2)( (2) ( 2 ))
σ∞ πa θ θ 3θ
σ11 ≈ cos 1 − sin sin (12.34a)
2π r

(2)( (2) ( 2 ))
σ∞ πa θ θ 3θ
σ22 ≈ cos 1 + sin sin (12.34b)
2π r

(2) (2) (2)

σ∞ πa θ θ 3θ
σ12 ≈ cos sin cos (12.34c)
2π r

Stress intensity factor:

K
" I = σ∞ πa (12.35)

For a Mode II (sliding) crack, the equations are (Pollard and Fletcher, 2005):

(2)[ (2) ( 2 )]
KII θ θ 3θ
σ11 = −sin 2 + cos cos (12.36a)
2π r

(2) (2) (2)

KII θ θ 3θ
σ22 = sin cos cos (12.36b)
2π r

(2)[ (2) ( 2 )]
KII θ θ 3θ
σ12 = cos 1 − sin sin (12.36c)
2π r

And, for a Mode III crack:

2π r [ ( 2 )]
KIII θ
σ13 = −sin (12.37a)

2π r [ ( 2 )]
KIII θ
σ23 = cos (12.37b)

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APPENDIX B SMART PHONE APPS

Appendix B: SmartPhone
Compass Apps
Introduction
We are on the verge of a new era in structural geology data collection with
the advent of smart phone compass apps that enable us to collect much more data
than is possible with a traditional analog compass. Here, we review the state of the
art in smart phone apps, understanding that this section could rapidly become out-
dated with technological advancements, changes in operating systems, and new or
improved sensors. In particular, we describe how one such app actually does its cal-
culations.

Smart Phone Apps and Operating Systems

At the time of this writing (2017), work by Novakova and Pavlis (2017) sug-
gests that Android devices are extremely variable and thus at least somewhat unre-
liable for structure data collection. In contrast, iPhone compass apps can be used
with some simple precautions for all but the most demanding tasks (Lee et al.,
2013; Cawood et al., 2017; Allmendinger et al., 2017). Thus, we focus here solely
on iPhone apps.
There are a number of iPhone geological compass apps available, either for
free or at very moderate cost, written by geologists. These include:
• GeoID (Lee et al., 2013)
• Fieldmove Clino (https://www.mve.com/digital-mapping)
• Lambert (http://www.nileus.de/lambert/)
• ListerCompass (http://geologycompass.com/listerCompass/)
• Stereonet Mobile (Allmendinger et al., 2017; http://www.geo.cornel-
l.edu/geology/faculty/RWA/programs/stereonet-mobile.html)
Although no rigorous comparison of all the different apps yet exists, they all rely on
the same sensors and thus are likely to have similar accuracy. This is certainly the

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APPENDIX B SMART PHONE APPS

case with Fieldmove Clino and Stereonet Mobile, which we have tested against each oth-
er. Thus, choice of which app to use is one of personal preference. All of the apps
have different interfaces and different degrees of functionality. Stereonet Mobile, for
example, is the only one that has an augmented reality sighting mode using the de-
vice camera and has the greatest number of stereonet analysis functions and calcu-
lations (e.g., rotations, mean vector and cylindrical best fit calculations, etc.). Field-
move Clino offers the greatest flexibility for tagging data with location and rock type
information. GeoID is particularly well suited for slope stability measurements. Most
have the ability to show your measurements on a map with differing degrees of
specificity.

Stereonet Mobile
Here we describe in some detail how one such program, Stereonet Mobile (se-
lected because the author of this manual is also the author of the app), works. This
section is taken from Allmendinger et al. (2017) with only minor changes.

Device Sensors
Smart phones have a vast array of sensors to determine device orientation
including GPS receivers, accelerometers, gyroscopes, magnetometers, and even
barometers. From these sensors, it is possible to determine device orientation, posi-
tion, velocity, and linear and rotational acceleration (e.g., Allan, 2011). The iOS
operating system provides the programmer with this derived information through
its CoreMotion routines which handle the translation of the raw sensor data into
the orientations that we as geologists want. Foremost among these is magnetometer
calibration which attempts to cancel out the effects of local magnetic fields, espe-
cially from other components within the device such as the power supply, etc., so
that the orientation with respect to magnetic north can be determined. Dip mea-
surements collected with smart phones are generally much more accurate than
strikes because the magnetometer is much more sensitive to, and local perturba-
tions more common in, the local magnetic field than in the local gravity field. The
dip of the device can be determined from the three components of the acceleration
due to gravity alone and does not have to depend on the magnetometer at all.

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APPENDIX B SMART PHONE APPS

Sensors in the iPhone, sampled by the Sensor Kinetics Pro app at about 30 Hz,
appear to be very stable (Allmendinger et al., 2017, Fig. 1) especially in comparison
to the Android devices tested by Novakova and Pavlis (2017, their Figure 2). None-
theless, the iPhone magnetometer is easily perturbed by passing even small metal
objects within several centimeters of the device. This has considerable implications
for best practices in the field when using phones as data collection devices.

Device Coordinate System and Determining Orientation

The iOS device coordinate sys- 31
−1
θ = cos ( r ) 31 +X′3
tem and the rotations about the three
−1
+X′ θ = cos ( r )
32 32
2
yaw
axes are shown in Figure B1. One roll E (X2)
p̂
“reads” the face of the device like a +X′1
N (X1)
right-handed map coordinate system: ℓ̂ pitch

the first axis, X′1, is parallel to and in

the short, or side-to-side, direction of
the face with positive to the right. The
second axis, X′2, is parallel to the face
and the long axis of the device with
positive toward the top of the phone,
D (X3)
and X′3, the third axis, is perpendicular
to the face and positive towards the Figure B1. The coordinate system of the
user. The change in orientations of the iPhone and its relations to a North-East-
Down coordinate system.
device is determined by the rotation of
this coordinate system with respect to a
reference coordinate system. The iOS operating system provides the programmer
with four different potential reference frames. Stereonet Mobile uses the “CMAttitud-
eReferenceFrameXTrueNorthZVertical” reference frame. That is, the rotation ma-
trix is equal to the identity matrix when the phone face is horizontal with the short
axis (X′1) aligned NS. To determine true north, the operating system must know the
device position on the globe in order to calculate magnetic declination. Thus, read-
ing an orientation must also turn on the device GPS receiver.
The change in orientation is supplied to the programmer by iOS in several
different ways. Perhaps most common is using the Euler angles (Fig. B1), the pitch,

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APPENDIX B SMART PHONE APPS

roll, and yaw (sometimes known as the Tait-Bryan angles), which are familiar to
anyone in aviation or boating. Determining device orientation using these angles,
though, can be subject to an artifact known as gimbal lock where one degree of
freedom is lost in certain orientations. Thus, iOS also provides orientation informa-
tion via a rotation matrix or via quaternions. Stereonet Mobile uses the rotation matrix
to calculate the orientation of the device relative to the reference frame. The rota-
tion matrix, r, in terms of the pitch roll and yaw, for iOS is given as:

r11 = cos (roll) cos (ya w) − sin (roll) sin (pitch) sin (ya w)
r12 = cos (roll) sin (ya w) + sin (roll) sin (pitch) cos (ya w)
r13 = − sin (roll) cos (pitch)
r21 = − sin (ya w) cos (pitch)
r22 = cos (ya w) cos (pitch)
r23 = sin (pitch)
r31 = sin (roll) cos (ya w) + cos (roll) sin (pitch) sin (ya w)
r32 = sin (roll) sin (ya w) − cos (roll) sin (pitch) cos (ya w)
r33 = cos (roll) cos (pitch)

The basic form of these equations will look familiar to anyone who has studied
how rotations are accomplished in stereonet programs (e.g., Allmendinger et al.,
2012) because they represent a single rotation accomplished by performing, in or-
der, the three rotations about the three axes (i.e., three matrix multiplications).
The matrix, r, is an orthogonal transformation matrix between the device
coordinate system and the North-East-Down (NED) coordinate system familiar to
structural geologists (because dips and plunges are measured with positive down-
wards). To translate device orientation to geological orientation, we simply calcu-
late the orientation of a unit vector parallel to X′3 (i.e., the pole to the device) for
planes and another unit vector parallel to X′2, the long axis of the device, for lines
(Fig. 2). In terms of direction cosines in a NED coordinate system, the pole to the
phone and the geological surface against which it is held is given by:

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APPENDIX B SMART PHONE APPS

pole . n or th = r31
pole . ea st = −r32
pole . d own = −r33

Likewise, a lineation’s direction cosines are:

lin eat ion . n or th = r21
lin eat ion . ea st = −r22
lin eat ion . d own = −r23

Because Stereonet Mobile uses the pole to the device, the user can place the
back of the phone flush on the bedding surface in any orientation to measure the

(a) Stereonet view (b) Sighting view

Figure B2. (a) The stereonet view and (b) sighting view of Stereonet Mobile. In (b), the cir-
cle in the lower right corner is green because the user is holding the phone within 2° of a
level sight.

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APPENDIX B SMART PHONE APPS

surface of interest. We have not noted any significant variation in accuracy when
the phone is held in different positions, including upside-down. To measure a line,
the long axis or edge of the phone must be parallel to the lineation on the rock but
the back of the phone need not be flush against the rock. Stereonet Mobile can simul-
taneously measure the orientation of a plane and a line it contains by placing the
back of the phone flush on the rock with the long axis parallel to the lineation in
the plane (Fig. B2a).
In cases where one would not want, or cannot, place the phone on the sur-
face to be measured, Stereonet Mobile is also capable of measuring a plane’s orienta-
tion by sighting through the device camera (Fig. B2b). When making a sighting
measurement with the plane viewed edge-on (Fig. B3), the pole to the device is as-
sumed to be parallel to the strike direction and the long axis of the device parallel
to the true dip direction. For sighting measurements made down-dip, the trend and

strike
str

vector strike
ike

true dip ⊥ page vector

ve

vector
cto
r

sBa e
Top

phone

top view edge-on bottom view

view
Figure B3. Three views of the same plane illustrating the meaning of “edge-on” view.
When you are aligned with the edge-on view, and the normal (pole) vector to the phone is
horizontal (green dot in lower left corner of the screen), it is parallel to the strike of the
plane and the long axis of the phone is parallel to the dip azimuth/dip vector of the plane.
Strike and dip vectors are shown using right-hand rule convention.

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APPENDIX B SMART PHONE APPS

plunge of the pole to the phone is assumed to be equal to the dip azimuth and dip
of the plane.
Stereonet Mobile offers the user three planes formats to display planes data:
strike and dip (using right-hand rule), dip azimuth and dip, or as poles. None-
theless, internally it keeps track of all planes measurements in the first of the three
formats.

Redundant sampling
Novakova and Pavlis (2017) demonstrated that, for Android devices, tran-
sients in the sensor data — brief marked excursions from the long term average
value of the sensor — are a serious issue. While transients appear to be much less
of an issue for iOS devices, Stereonet Mobile nonetheless uses oversampling to avoid
any such problems. Before starting sampling, however, the device must be stable.
Stereonet Mobile determines device stability using the acceleration and rotation rate
data provided by the device. Absolute stability is not necessarily desirable as Stereonet
Mobile permits the determination of orientation by sighting and, whenever the
phone is not held against the rock, small motions are inevitable. Thus, stability in
Stereonet Mobile is defined as user acceleration rates of < 0.04 m/s2 and rotation
rates of < 0.09 radians/s, values that were picked by trial and error. Stability con-
straints help to avoid inadvertent recording of data while the device is moving.
Once the user holds the device stably for 1 s, Stereonet Mobile determines the
orientation every 100 ms and displays the mean and standard deviation of all mea-
surements for as long as stability is maintained. For example, if the user holds the
phone on a bedding surface for 5 seconds, the orientation and error displayed (Fig.
3) and recorded will reflect the average of 40 measurements ((5 s - 1 s wait
time)×10 samples/s). If the error in strike or dip exceeds 3° or the device is moved
above the stability threshold, the values are deleted and averaging begins anew. The
same standards are used for lineation measurements and for measurements of
planes by sighting with the device camera.
This sampling procedure is useful for eliminating random errors including
sensor transients, but it does not eliminate systematic errors such as those that arise
from the nearby environment. If the magnetic field is continuously perturbed by

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APPENDIX B SMART PHONE APPS

the presence of a nearby metal object, data redundancy will not fix the problem.
The standard way to attempt to reduce such problems is by magnetometer calibra-
tion. For iOS devices, this is achieved by waving the phone in a figure-8 pattern or
tilting and rotating the phone. In iOS 10 and with recent Apple® devices, one al-
most never sees the calibration screen, reflecting the increasing sophistication of the
CoreMotion routines and services provided to the programmer. Nonetheless, in our
experience, moving the phone in a figure-8 before starting measurements at a new
outcrop or after making several measurements still seems to give better results than
just assuming the operating system is giving the best possible orientations.

Best practices for smart phone data collection

1. Consider device purchase carefully — The four different iPhones tested
by Allmendinger et al. (2017) appear to be demonstrably superior for data col-
lection to the two Android devices tested by Novakova and Pavlis (2017). This
suggests that anyone contemplating data collection with a smart phone should
consider their device purchases very carefully, prioritizing quality and reliability
over economy. However, on both platforms, phone components and operating
systems change all the time and no one can guarantee absolutely that the most
reliable phone today will be so two years from now. Unfortunately, most phone
manufacturers have little incentive to make phones that are ideal for the struc-
tural geologist’s purpose.
2. Test individual devices for accuracy prior to field use — Regardless of
the device purchased, one should always do careful tests similar to those de-
scribed here to determine the reliability of their individual instrument before
heading out to the field. General reputation of a manufacturer does not guar-
antee that the individual device will be adequate to the task. If a particular de-
vice proves faulty, many apps, including those described here, can still be used
as data recorders, providing the user with automatic time, date, and location
tagging of all observations. Test should include:
2.1. Monitor sensors for stability using an app designed for that purpose. Test
the sensitivity of the magnetometer by passing metal objects nearby.

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APPENDIX B SMART PHONE APPS

2.2. If using analog compass measurements as a baseline, be sure to compare

average of multiple measurements of the Brunton to the average of multi-
ple measurements of the phone app. Do not assume that a single Brunton
measurement has absolute accuracy.
2.3. Compare the angular difference of the average poles to planes determined
by each instrument. Strike measurement comparisons are only accurate
when the dip of the device is 90° (see the supplemental material in All-
mendinger et al., 2017, for an explanation of why this is true.).
2.4. If possible, compare phone measurements to the orientation of structures
as viewed on high resolution satellite imagery or topographic data (e.g.,
LiDAR). This test is independent of devices that depend on measuring
magnetic field orientation.
3. Remove metallic and electronic objects from the vicinity when tak-
ing measurements — When using a smart phone in the field, special care
beyond that normally used with analog compasses should be taken around
metal objects, magnets, and other electronic devices. There are many phone
cases available with magnetic clips or closures that can thoroughly spoil your
phone readings. Additionally, the user should be careful to remove from prox-
imity seemingly innocent things like metal wristwatches, pens, hand lenses,
pocket knives, tablets and laptops, etc.
4. Calibrate the magnetometer in the device frequently — Even though
the magnetometer calibration screen seldom appears anymore in iOS 10, in
our experience, it is a best practice to perform similar motions (figure-8s, tilting
the phone in all orientations) before starting on any new outcrop. Additionally,
similar calibrations should be undertaken periodically on a single outcrop,
whenever a reading does not appear to make sense, or where digital and analog
measurements differ significantly. Using a program that can display an orienta-
tion on a high-resolution satellite image so the user can verify that a measure-
ment agrees with local geologic strike of the feature being measured can pro-
vided added confidence. Several field-based GIS systems, Fieldmove Clino, and
the latest version of Stereonet Mobile can all do this.

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APPENDIX B SMART PHONE APPS

5. Take a traditional analog compass to the field with you — You will
want this to check your phone measurements periodically and whenever data
from the phone doesn’t seem right.
6. Use a ruggedized water and dust proof case for the phone — It goes
without saying that any phone being used for data collection should be protect-
ed from dust, water, and other abuse in a ruggedized, non-magnetic case.
7. Back up your data whenever you have a cell phone signal by email-
ing the data to yourself or uploading to the cloud — In some ways,
data collection with a well-protected phone may actually be more secure than
in a paper notebook: whenever the user has a cell or wifi signal, s/he can simply
email the current data file to themselves. This facilitates back up of critical field
data at more frequent intervals than one would do if they had to wait until re-
turning to town to find a photocopy shop to copy one’s field notes!
8. Take large capacity backup batteries to the field with you — Stan-
dard field gear should include large capacity, rechargeable lithium ion batteries.
Small, portable batteries with capacities exceeding 20,000 mAh cost less than
$50 and can recharge a smart phone completely 5-7 times. When we were us-
ing our phones to make 300 or more measurements/day in Chile, the battery
would become completely depleted at or even before the end of a ten hour field
day. With 4 or 5 days between return trips into town, having such batteries
available in one’s camp and backpack is essential.

Appendix B References
Allan, A., 2011, Basic sensors in iOS: Programming the Accelerometer, Gyroscope,
and More: Sebastopol, California, O’Reilly Media 108 p.
Allmendinger, R.W., Siron, C.R., and Scott, C.P., 2017, Structural data collection
with mobile devices: Accuracy, redundancy, and best practices: Journal of
Structural Geology, v. 102, p. 98–112, doi:10.1016/j.jsg.2017.07.011.
Cawood, A.J., Bond, C.E., Howell, J.A., Butler, R.W.H., and Totake, Y., 2017, Li-
DAR, UAV or compass-clinometer? Accuracy, coverage and the effects on

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APPENDIX B SMART PHONE APPS

structural models: Journal of Structural Geology, v. 98, p. 67–82, doi:

10.1016/j.jsg.2017.04.004.
Lee, S., Suh, J., and Park, H.-d., 2013, Smart Compass-Clinometer: A smartphone
application for easy and rapid geological site investigation: Computers &
Geosciences, v. 61, p. 32–42, doi:10.1016/j.cageo.2013.07.014.
Novakova, L., and Pavlis, T.L., 2017, Assessment of the precision of smart phones
and tablets for measurement of planar orientations: A case study: Journal of
Structural Geology, v. 97, p. 93–103.

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