DEFORMATION MICROSTRUCTURES AND MECHANISMS IN MINERALS AND ROCKS

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Deformation Microstructures and Mechanisms
in Minerals and Rocks

by
Tom Blenkinsop
Department of Geology,
University of Zimbabwe, Harane Zimbabwe

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Contents

Acknowledgements ix

Symbols, Abbreviations and Units xi

1 Introduction and Terminology 1

1.1 Introduction 1
1.2 Classifications of deformation microstructures and mechanisms 1
1.3 Deformation microstructures and mechanisms in the earth: Brittle-semibrittle-plastic transitions 3
1.4 The description of deformation: Scale, continuity, distribution, mechanism and mode 4
1.5 Ductility and the “brittle-ductile transition” 4
1.6 Character and classification of deformation zone rocks 5
1.7 Format and use of this book 5

2 Cataclasis 7
2.1 Introduction 7
2.2 Fundamental cataclastic deformation mechanisms 7
2.2.1 Microcracking 7
2.2.2 Frictional sliding 10
2.3 Microcracks 10
2.3.1 Classification, characteristics and observation 10
2.3.2 Microstructures and mechanisms 12
2.3.3 Impingement microcracks 12
2.3.4 Flaw-induced microcracks 13
2.3.5 Microfracturing of pre-existing flaws 13
2.3.6 Cleavage microcracks 13
2.3.7 Elastic mismatch microcracks 13
2.3.8 Plastic mismatch microcracks 14
2.3.9 Microfault-induced microcracks: Microscopic feather fractures (mffs) 14
2.3.10 Thermally-induced microcracks 15
2.3.11 Phase transformation-induced microcracks 16
2.4 Microfaults 17
2.4.1 Characteristics 17
2.4.2 Mechanisms 17
2.5 Deformation bands 18
2.5.1 Characteristics and classification 18
2.5.2 Mechanisms 18
2.6 Distributed cataclasis and cataclastic flow 18
2.7 Gouge zone microstructures 19
2.8 Microfracture surface features 19
2.9 Crystallographic fabrics 22
2.10 Pre-lithification deformation microstructures and mechanisms 22
2.11 Pseudotachylites and frictional melting 22
2.11.1 Characteristics 22
2.11.2 Origin 22
2.11.3 Misidentification 23

v
vi CONTENTS

3 Diffusive Mass Transfer by Solution 24

3.1 Introduction 24
3.2 Fundamental deformation mechanisms of diffusive mass transfer by solution 24
3.3 Grain surface solution textures 25
3.4 Indenting, truncating and interpenetrating grain contacts 25
3.5 Strain caps 27
3.6 Microstylolites 27
3.6.1 Characteristics 27
3.6.2 Formation and propagation 27
3.7 Diffusive mass transfer and cleavage 28
3.7.1 Classification 28
3.7.2 Spaced cleavages 29
3.7.3 Continuous cleavage 30
3.8 Grain surface deposition textures 30
3.9 Overgrowths, porosity reduction, pressure shadows and fringes, and mica beards 32
3.9.1 Characteristics 32
3.9.2 Mechanisms 33
3.10 Grain shape fabrics 33
3.11 Fluid inclusion planes 33
3.12 Microveins 35

4 Intracrystalline Plasticity 39
4.1 Introduction 39
4.2 Fundamental mechanisms of intracrystalline plasticity 39
4.3 Deformation twins 39
4.4 Undulatory extinction 41
4.5 Intracrystalline deformation bands,
kink bands and subgrains: Recovery 41
4.6 Deformation lamellae 47
4.7 Grain shape fabrics and ribbon grains 47
4.8 New grains, core and mantle structure: Dynamic recrystallization 47
4.9 Crystallographic fabrics 50

5 Diffusive Mass Transfer and Phase Transformations in the Solid State 52

5.1 Introduction 52
5.2 Fundamental deformation mechanisms of solid state diffusive mass transfer and phase transformations 52
5.3 Grain shape fabrics and ribbon grains 52
5.4 Foam texture, static and secondary recrystallization 54
5.5 Decussate texture 54
5.6 Porphyroblasts and inclusion trails 54
5.6.1 Characteristics 54
5.6.2 Growth mechanisms 55
5.6.3 Relationship to deformation 55
5.7 Reaction rims, relict minerals, coronas and symplectites 57
5.8 Chemical zoning 57
5.9 Solid state phase transformation microstructures 57
5.10 Superplasticity 57

6 Magmatic and Sub-magmatic Deformation 59

6.1 Introduction 59
6.2 Fundamental deformation mechanisms and microstructures in rocks containing melt 59
6.2.1 Magmatic flow 59
6.2.2 Sub-magmatic flow 60
6.2.3 Magmatic and sub-magmatic flow and rheology 60
6.3 Mesoscopic evidence for magmatic and sub-magmatic flow 60
6.4 Magmatic microstructures 62
6.4.1 Grain shape fabrics 62
6.4.2 Crystallographic fabrics 62
6.5 Sub-magmatic microstructures 62
6.5.1 Grain shape fabrics 62
CONTENTS vii

6.5.2 Intracrystalline plasticity 62

6.5.3 Diffusive mass transfer 63
6.5.4 Cataclasis 63
6.6 Other microstructures 63
6.7 Non-magmatic deformation 63

7 Microstructural Shear Sense Criteria 65

7.1 Introduction 65
7.2 Curved foliation 66
7.3 Oblique foliations and shape preferred orientations 66
7.4 Porphyroclast systems 67
7.4.1 Characteristics and classification 67
7.4.2 Mechanisms of formation 68
7.4.3 Stair-step direction: and tails 69
7.4.4 Faces of a tail 69
7.4.5 Deflection and embayments of tails 69
7.5 S-, C- and 70
7.5.1 Characteristics and classification 70
7.5.2 Formation and evolution 72
7.5.3 Curvature of S-foliation 73
7.5.4 Shear on C- or 73
7.6 Pressure shadows and fringes 73
7.6.1 Kinematics of pressure shadows and fringes in shear zones 73
7.6.2 Geometry of the last increment of growth 73
7.6.3 Shape 73
7.7 Mica fish 74
7.8 Porphyroblast internal foliations 75
7.9 Crystallographic fabrics 75
7.10 Asymmetric microboudins 76
7.11 Asymmetric microfolds and rolling structures 77
7.12 Shear sense criteria in rocks containing melt 77
7.12.1 Magmatic shear zones 77
7.12.2 Oblique grain shape fabrics 78
7.12.3 Tiling and imbrication 78
7.12.4 S-C fabrics 78
7.12.5 Sub-magmatic microfractures 78
7.13 Shear sense criteria for faults 79
7.13.1 Shear sense observations on faults 79
7.13.2 Displaced grain fragments 79
7.13.3 Risers and slickenfibres 79
7.13.4 Gouges 79
7.13.5 Jogs and bends 79

8 Shock-induced microstructures and shock metamorphism 80

8.1 Introduction 80
8.2 Shock mechanisms 80
8.3 Microfractures 80
8.4 Planar Deformation Features (PDFs) 81
8.5 Mosaicism 82
8.6 Diaplectic glass 83
8.7 High pressure polymorphs of quartz - Coesite and stishovite 83
8.8 Lechatelierite 83
8.9 Tectites, microtectites and spherules 84
8.10 Shock barometry and thermometry 85
8.11 Calibration of shock pressures from microstructures 85
8.11.1 Calibration of shock pressures from optical properties of quartz 87
8.11.2 Problems of shock barometry 87
8.12 Diagnostic impact microstructures 88
viii CONTENTS

9 From Microstructures to Mountains: Deformation Microstructures, Mechanisms and Tetonics 90

9.1 Introduction 90
9.2 Failure criteria 90
9.2.1 Coulomb and Mohr failure criteria 90
9.2.2 Griffith failure criteria 90
9.3 Pore fluid pressure and faulting 91
9.4 Fracture mechanics and failure criteria 91
9.5 Frictional sliding laws 91
9.5.1 Byerlee’s law 91
9.5.2 Rate and state dependent frictional sliding 92
9.6 Flow laws 92
9.6.1 Diffusive mass transfer: Grain size sensitive creep 92
9.6.2 Intracrystalline plasticity 93
9.6.3 Empirical flow laws from experimental data 94
9.7 Polymineralic deformation 94
9.8 Deformation mechanism maps 97
9.9 Lithospheric strength envelopes 97
9.10 Palaeopiezometry 98
9.10.1 Methods and calibration 98
9.10.2 Recrystallized grain size 98
9.10.3 Subgrain size 100
9.10.4 Dislocation density 100
9.10.5 Twinning - differential stress 100
9.10.6 Deformation lamellae 101
9.10.7 Principal stress orientations from deformation lamellae 103
9.10.8 Principal stress orientations and strains from twins 103
9.10.9 General problems with palaeopiezometers 104
9.11 Geothermobarometry 104
9.11.1 Methods and calibration 104
9.11.2 Calcite twin morphology 104
9.11.3 Sutured quartz grain boundaries 105
9.11.4 Subgrain boundary orientation in quartz 105

References 107

Index 127

Color Plate Section 133

Acknowledgements
Most of the photomicrographs were developed and printed by Cuthbert Banda, whose assistance, with that of other members
of the staff of the Geology Department, University of Zimbabwe, was invaluable. James Preen guided the preparation of the
TEX version of the text. Faith Samkange and Maxwell Matongo were able research assistants, supported by the University of
Zimbabwe Research Board. The following are thanked for contributing photomicrographs or thin sections: P. Dirks (Plates
11, 30, 31, 32, 33, 35, 44), R. Fernandes (Fig. 2.9), H. Frimmel (Plate 18), S. Kamo (Figs. 8.4 - 8.6), H. Leroux (Figs. 8.2,
8.3), J.E.J. Martini (Figs. 8.7, 8.8), U. Reimold (Plate 46), J. Stowe (Plate 22), D. Van Der Wal and M. Drury (Fig. 4.2).
Plates 1 - 4 and Figs. 2.5, 2.18, 2.19, 3.18 of core material from the Cajon Pass drillhole were made at the Institute for Crustal
Studies, University of California, Santa Barbara, as part of research on deformation mechanisms with R. Sibson, supported
by the National Science Foundation, U.S.A., under grant DAR-84-10924. The assistance of the technical staff at U.C.S.B. is
gratefully acknowledged. Some research for this book was supported by the IUGS Commission on Tectonics, COMTEC.
Detailed reviews of chapters from the following are greatly appreciated: P. Dirks, R. Hanson, H. Jelsma, W. Means, A.
Ord, M. Paterson, U. Reimold, E.H. Rutter, A. Schmid Mumm.
Fig. 8.2 was reproduced from Leroux et al. (1994), and Fig. 8.7, 8.8 from Martini (1991), all with kind permission of
Elsevier Science - NL Sara Burgerhartstraat 25, 1055 KV Amsterdam, The Netherlands. Fig. 8.4 was reproduced from Krogh
et al. (1996) with kind permission from the American Geophysical Union. Fig. 9.5 was reproduced from Burkhard (1993),
and Fig. 7.20 from Goldstein (1988), both with kind permission from Elsevier Science Ltd. The Boulevard, Langford Lane,
Kidlington OX5 1GB, U.K. Figs. 9.6, 9.7 were reproduced from Kruhl and Nega (1996), with kind permission from Springer
Verlag. Full details of these publications are given in the references.

ix
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Symbols, Abbreviations and Units
Numbers in brackets give the chapters and sections where the symbols are used. Units are given if they are referred to in the
text.
a Microcrack long axis (2.2.1), Rate and state variable friction law constant (9.3.2)
A Flow law constant, (9.4.1), or (9.4.3)
S to C-surface angle (7.5), Flow law constant (9.4.3), Effective stress coefficient (9.2.3)
b Microcrack short axis (2.2.1), Flow law constant (9.4.3)
Burger’s vector (4.2, 9.8)
B Particle velocity/unit potential gradient (3.2), Flow law constant (9.4.3)
c Microcrack or flaw length (2.2, 2.3, 2.4.2), concentration of particles (3.2)
Cohesion, MPa (9.2, 9.3), Reference state solubility, mole fraction (9.4.1)
Angles defining external asymmetry of an LPO (7.9)
CL Cathodoluminescence (2, 3, 8)
CMF Critical melt fraction (6.2)
d Particle size (2.2.2), Flaw spacing (2.4.2), Grain size, m (9.4), mm (9.8)
Subgrain size, mm (9.8.3)
D Fractal dimension (2, 9.9.3)
Reference state diffusion coefficient for Pressure solution creep, (9.4.1)
Reference state diffusion coefficient for Nabarro-Herring, Coble creep, (9.4.1)
S to C- or angle (7.5), Grain boundary width, m (9.4)
DMT Diffusive mass transfer (1, 3, 5, 9)
Twinning density, (9.8.5)
E Young’s modulus (2.2)
Strain rate, strain rate at 0 K in the Dorn Law, (9.4)
f Volume fraction of phase in polymineralic flow law (9.5)
Crystal fraction, fraction at critical packing (6.2.1)
Microcrack extension force, Critical value (2.2)
GBM Grain boundary migration (4.8, 9.4, 9.8)
Surface tension force (2.2), Angle between flaw and (2.3.4)
G Fracture toughness (2.2)
Viscosity of suspension, Viscosity of pure melt (6.2.1)
ISA Instantaneous stretching axes (7.1, 7.7)
Twinning incidence (9.8.5)
J Diffusive flux (3.2)
Angle between flaw array and (2.4.2)
k Dislocation density palaeopiezometer constant (9.8.4)
Stress intensity factors for mode I, II, and III opening (2.2)
Threshold, Critical stress intensity factors (2.2)
kC Velocity of deforming crystal face, (9.4.1)
l Model microcrack length (2.3, 2.4.2), Dislocation density palaeopiezometer constant (9.8.4)
L Critical slip distance (9.3.2), Length of grain boundary (9.9)
LPO Lattice preferred orientation (4.9, 5.10)
LSE Lithospheric strength envelope (9.7)
m Grain size exponent in flow law (9.4, 9.5), Grain size palaeopiezometer constant (9.8.2)
Coefficient of friction (2, 9.2), Chemical potential (3.2), Shear modulus, GPa (9.8.3, 9.8.4)
Coefficient of internal friction (9.2)
n Power law exponent for flow laws (9.4, 9.5)
P Mean stress, Pa (3.2, 9.4)
PDF Planar deformation feature (7)

xi
xii SYMBOLS, ABBREVIATIONS AND UNITS

Pore fluid pressure (3.2, 9.2.3)

PPL Plane polarized light
Flaw to microcrack angle (2.3.4, 2.4.2)
Activation enthalpy, pressure solution and grain boundary diffusion, (9.4)
Activation enthalpy for volume diffusion, and diffusion creep, (9.4)
r Length of stride in divider method (9.9.3)
R Gas constant, (9.4)
RF Reflected light
Density, (9.4.1), Dislocation density, (9.8.4)
S Deformation lamellae spacing, mm (9.8.6)
S Molar entropy (3.2)
Cohesion, MPa (9.2)
Oblique foliation, Bands parallel to shear plane (7.3)
External, Internal foliations (5.6, 7.8)
SEM Scanning electron microscope
ST Sensitive tint plate
Differential stress, Pa or MPa (9.4)
Maximum, intermediate, minimum principal stresses, Compression positive (2,3,5)
Remote stress for microcrack closure (9.2.2), Remote applied stress (2.2.1)
Normal stress (2,3, 9.2), Stress at 0 K in Dorn Law (9.4)
Temperature, 0C and K, Melting temperature
Uniaxial tensile strength, MPa (9.2.2)
TEM Transmission electron microscope
Shear stress, MPa (2.2.2, 9.2, 9.3)
u Dislocation density exponent in dislocation density palaeopiezometer (9.8.4)
U Molar internal energy (3.2)
Subgrain size exponent in subgrain size palaeopiezometer (9.8.3)
V Microcrack velocity (2.2.1), Sliding velocity (9.3.2), Activation volume, (9.4.3)
Molar volume, (3.2, 9.4)
Maximum twin volume, % (9.8.5)
Thickness of a grain boundary fluid (9.4.1), Grain size palaeopiezometer exponent (9.8.2)
Angles defining internal asymmetry of an LPO (7.9)
XP Crossed polarized light
State variable in dynamic frictional sliding law (9.3.2)
() Miller-Bravais indices of a crystal face
{} Miller-Bravais indices of a representative face of a form
<> Miller-Bravais indices of a crystal direction
Chapter 1

Introduction and Terminology

1.1 Introduction changes that remains after stress is removed, as opposed to

elastic (recoverable) deformation which is not seen directly
Deformation microstructures in rocks and minerals are mi- in the geological record. Deformation microstructures can be
croscopic features created by deformation. A deformation divided into three major categories:
mechanism is a process on one scale that accommodates an
imposed deformation on a larger scale. This book describes 1. Microfractures, displacement, and/or rotation of rigid
microstructures and mechanisms at the scale of a thin section, particles with no permanent lattice distortion. The typ-
the scale that most geologists use for detailed petrography, ical microstructures seen in thin section are microfrac-
based on the premise that many of the fundamental mechan- tures and fragments surrounded by a fine-grained mat-
isms can be inferred from microstructures at this scale. The rix.
book aims to be a guide to the recognition and interpretation
of deformation microstructures and mechanisms, and should 2. Microstructures showing material removal, transport
be used in conjunction with a petrographic microscope. and deposition without fracturing, permanent lattice dis-
Why is the study of deformation microstructures and tortion or melting. Examples of microstructures at sites
of material removal are distinctive types of grain con-
mechanisms useful ? Deformation mechanisms are determ-
tacts and microstylolites. Microstructures indicating
ined by temperature, stress (both hydrostatic and deviatoric
material deposition include microveins, overgrowths,
components), strain rate, pore fluids, mineralogy, and the tex-
pressure shadows and porphyroblasts. Many meta-
ture of the deforming rock (especially grain size and poros-
ity). Recognition of deformation mechanisms from micro- morphic textures associated with deformation fall into
structures allows limits to be placed on these variables. For this category.
example, microstructures called subgrains are formed by the 3. Permanent lattice distortion without fracturing. Ex-
deformation mechanism of intracrystalline plasticity, which amples of typical microstructures are undulatory ex-
indicates deformation at temperatures above 250°C in quartz. tinction, subgrains, recrystallized grains, and crystallo-
The size of the subgrains can be used to gauge the deviat- graphic fabrics.
oric stress during deformation. These are essential pieces of
information for tectonic analysis and for understanding the This simple classification scheme can be applied on the basis
behaviour of the lithosphere by mathematical modelling (e.g. of optical microscope observations. Table 1.1 summarizes
Kusznir and Park 1987, Molnar 1992, Beaumont et al. 1996). the scheme, gives examples of specific microstructures, and
Microstructures and deformation mechanisms are a grow- refers to the relevant chapters and sections of the book.
ing field of interest in the earth sciences. The application of Table 1.1 also shows the relation between this scheme and
materials science to minerals and rocks has provided much of a classification of deformation mechanisms, which has three
the new impetus. However, the literature is scattered through similar categories (e.g. Knipe 1989):
journals in a large number of disciplines, and most structural
geology textbooks have limited coverage of the field. At least 1. Cataclasis - deformation by microfracturing, sliding
some of this diverse literature is reviewed in this book, which and/or rotation of rigid particles (Chapter 2). Brittle de-
contains a comprehensive reference list. Hopefully the book formation is often used as a synonym for cataclasis, but
is written in sufficient depth to be useful at advanced under- is more accurately defined as deformation by fracture or
graduate level and above. Familiarity with elementary con- microfracture.
cepts and terms in structural geology is assumed.
2. Diffusive mass transfer (DMT) - deformation by diffu-
sion, the movement of lattice defects, ions, atoms or
1.2 Classifications of deformation mi- molecules in response to gradients of chemical potential
(Chapters 3 and 5).
crostructures and mechanisms
3. Intracrystalline plasticity - deformation by the move-
Deformation microstructures in minerals or rocks are the re- ments of extra half-planes of atoms (dislocations) in a
cord of permanent deformation, i.e. shape and/or volume crystal lattice (Chapter 4).

1
2 CHAPTER 1. INTRODUCTION AND TERMINOLOGY
CHAPTER 1. INTRODUCTION AND TERMINOLOGY 3

A general term for both categories 2 and 3 is useful because events, each of which may be associated with different mech-
they are often closely associated with each other: crystal anisms. One of the applications of this book should be to
plasticity or simply plasticity means deformation by either allow the unravelling of multiple deformations from their as-
or both DMT and intracrystalline plasticity. DMT can be sociated microstructures. Secondly, even within a single de-
split into two major sub-divisions: diffusion via a solution formation, mechanisms and microstructures vary from min-
eral to mineral within a polymineralic rock: a common ex-
(pressure solution, Chapter 3), and diffusion in the solid state
(Chapter 5). Solid state phase transformations may occur ample is the intracrystalline plasticity of quartz in a shear
during deformation, some involving DMT: these are included zone at greenschist facies, that contrasts with cataclastic de-
in Chapter 5. formation of feldspar in the same conditions.
Two or more mechanisms may act simultaneously together Thirdly, one mechanism may be incapable of accommod-
within a single mineral. An example is the combination of ating the imposed stress, strain or strain rate, so that other
sliding on grain boundaries, and mass transfer of material by
mechanisms are substituted or added during the same de-
diffusion to fill space created by sliding. This is is one type
formation: for example, faulting (cataclasis) may relieve high
of superplasticity, which is a composite deformation mech- stress levels in a shear zone otherwise deforming by intracrys-
anism; one in which two or more mechanisms are coupled talline plasticity. The record of both the cataclasis and plas-
together in the same mineral under the same conditions. An ticity may be preserved in the microstructures. Mechanisms
important composite deformation mechanism involves the in- that can only accommodate deformation in a single direction,
teraction of microfractures and intracrystalline plasticity: this
for example slip on a single fault set, are especially restrictive
is called semibrittle deformation. The different components and invariably require supplementary mechanisms.
of a composite mechanism may have variable strain rates: the
mechanism with the slowest rate determines the composite The variation in conditions in the earth, particularly of tem-
strain rate, and is said to be rate-limiting. perature and pressure, causes a corresponding variation in de-
formation mechanisms. Two systematic changes occur with
It is fortunate that the non-genetic classification of the mi-
increasing depth: temperature increases by the geothermal
crostructures matches the genetic classification of the mech-
gradient, and pressure increases due to the effect of gravity.
anisms so well, and this means that both classifications can be
referred to by similar names. The chapter titles of this bookCataclasis is relatively insensitive to the variation in temper-
ature, but is suppressed by pressure. The plastic deformation
use the names of the mechanisms for simplicity. The order of
mechanisms (intracrystalline plasticity and solid-state DMT)
the chapters follows the general change in deformation mech-
behave in the opposite way: they are strongly promoted by
anisms from low to high grade metamorphic conditions dur-
temperature but relatively insensitive to pressure. As a res-
ing deformation (see next section). Specific microstructures
that are diagnostic for each mechanism are shown in bold in ult, cataclasis is generally restricted to the upper crust (where
pressures are low), and crystal plasticity occurs in the lower
Table 1.1.
crust and the rest of the lithosphere (where temperatures are
Three chapters deal with relatively new developments in
high). The transition from cataclasis to plasticity is some-
structural geology, which can involve all three categories
times called the brittle-plastic transition. Experiements have
of deformation microstructures and mechanisms. Magmatic
identified an important intermediate regime of semibrittle be-
and sub-magmatic deformation (Chapter 6) describes the de-
haviour where microfractures interact with intracrystalline
formation of rocks that contain melt. Important deformation
plasticity (e.g. Carter and Kirby 1978, Kirby and Kronen-
mechanisms are flow of melt and crystals, with crystal de-
berg 1984), leading to the concept of two transitions in de-
formation (sub-magmatic flow) or without crystal deforma-
formation mechanism with increasing depth: firstly the brittle
tion (magmatic flow). This topic has great relevance to cur-
- semibrittle transition in the upper crust, and secondly the
rent debates about pluton emplacement mechanisms. Micro-
semibrittle - plastic transition in mechanisms at mid-lower
structural shear sense criteria (Chapter 7) provide clues to
crustal levels.
the displacement of rock masses during deformation on all
scales: this is one of the most important types of tectonic These generalizations need to be heavily qualified because
information. Shock-induced microstructures and shock meta- of the other variables that affect deformation mechanisms.
morphism are produced by meteorite impacts (Chapter 8), and Stress, strain rate and pore fluids are some of the most im-
are the focus of much current interest, because microstruc- portant additional variables to be considered. For example,
high stresses or strain rates may cause cataclasis at greater
tural studies have a central role to play in the debates about
depths or higher temperatures, which would otherwise be as-
mass extinction and other possible effects of large meteorite
impacts on the earth’s evolution. sociated with plasticity, as in the above example. Pore flu-
ids are essential for solution-assisted DMT, and may promote
cataclasis by mechanical and chemical effects. Furthermore,
1.3 Deformation microstructures and the various minerals within a polymineralic rock have differ-
mechanisms in the earth: Brittle- ent transitions from brittle to semibrittle to plastic behaviour,
and interactions between the minerals themselves also need to
semibrittle-plastic transitions be considered as an independent variable (Chapter 9). These
qualifications, particularly the variation in properties of dif-
Several different deformation microstructures commonly oc- ferent minerals, mean that no unique depth or temperature
cur together in rocks for three important reasons. Firstly, can be given for the brittle-semibrittle and semibrittle-plastic
deformation microstructures may record several deformation transitions. However, the transitions are important concepts
4 CHAPTER 1. INTRODUCTION AND TERMINOLOGY
for understanding the behaviour of the earth, and the condi-
tions for the transitions can be predicted for specific models
of the earth, as described in Chapter 9.
1.4 The description of deformation:
Scale, continuity, distribution,
mechanism and mode
Deformation of minerals or rocks should be described in
terms of three fundamental attributes. Continuity is the con-
nectivity of material points through the deforming body; de-
formation can be characterized as continuous if points remain
connected, or discontinuous if not. The distribution of de-
formation can be described as localized (e.g. a shear zone) or
distributed. The deformation mechanism can be described in
one of the three categories given in Section 1.2. All three at-
tributes depend on the scale of observation. Scales are loosely
defined in this book as macro (greater than outcrop, i.e. > 10
m), meso (outcrop, i.e. 1 cm - 10 m) or micro (microscopic,
i.e. < 1 cm).
Permanent deformation of minerals or rocks involves
breaking atomic bonds and is therefore is discontinuous at the
atomic scale. As the scale of observation is increased, these
atomic discontinuities can not be discerned, and deformation
appears to be continuous. The top surface of Fig. 1.1 shows
schematically how deformation continuity is a function of the
scale of observation. An example of the discontinuous to con-
tinuous transition with increasing scale is the accommodation
of a fold by cataclastic flow (Chapter 2.6). At micro to meso
scales, the deformation is by discontinuous fracture, but at a
macroscopic scale, these discontinuities are not seen and the
fold appears to be continuous.
Continuity should be described at the time of deformation,
but can easily be altered by subsequent events. Another prob-
lem with specifying deformation continuity is posed by fea-
tures such as overgrowths, pressure shadows, and pressure
fringes (Chapter 3.9), which may be continuous with the sur-
face from which they are grow, and discontinuous with the
surface towards which they grow. Boundaries between grains
are perhaps best regarded as continuous on a microscopic
scale during recrystallization, but after recrystallization they
appear as discontinuities. These examples show that a certain
amount of judgement may be necessary to describe continu-
ity, which is a necessary shortcoming of any description that
has to take into account the past history of deformation in
minerals and rocks.
Deformation distribution is also highly scale-dependent.
As scale of observation is increased, an localized deforma-
tion may appear pervasive: for example, microfractures are
highly localized deformation on a microscopic scale, but a
network of microfractures can have the effect of a pervasive
strain on the scale of an outcrop or a regional map.
The combination of deformation distribution (local-
ized/pervasive) and mechanism (cataclastic or plastic) was
described as a “mode of failure” by Rutter (1986). This
concept can be extended through the incorporation of deform-
ation continuity and scale. The combination of continuity,
mechanism and scale can be called a deformation mode, and
represented on a diagram such as Fig. 1.1, where a mode
is specified by deformation mechanism (z-axis), continuity
(which can be qualified by distribution, x-axis) and the scale
length (y-axis). The front of the diagram shows the field of
possible deformation modes described in this book (i.e. at the
microscopic scale), with examples of some microstructures.
Figure 1.1 makes some important links between micro-
structures and mechanisms. Cataclastic deformation mi-
crostructures are discontinuous, and intracrystalline plasti-
city microstructures are continuous, at the microscopic scale.
These observations point towards one of the major themes
of this book: deformation microstructures can be used, al-
beit with care and a certain amount of ambiguity, to identify
deformation mechanisms. This link is possible by induction
and deduction from the microstructures and theoretical un-
derstanding of the mechanisms, and by comparison with ex-
periments.
1.5 Ductility and the “brittle-ductile
transition”
Great confusion has been caused by the use of the terms
ductile and brittle-ductile transition. Much of this confu-
sion can be traced to the dichotomy between laboratory (and
materials science)-based and field-based approaches to de-
formation (the subject is well reviewed in Evans et al. 1990
and Williams et al. 1994). For example, rock mechanics
experiments use a maximum permanent strain before fail-
ure of more than 5% to define ductile behaviour (e.g. Pa-
terson 1978). Similarly, Griggs and Handin (1960) defined
CHAPTER 1. INTRODUCTION AND TERMINOLOGY
relative ductility as: “the amount of permanent deformation
achievable prior to rupture”. These definitions of ductility
based on stress-strain relationships are satisfactory and quan-
tifiable, but the widespread application of the term outside
the rock mechanics laboratory necessitates alternative defin-
itions, since stress-strain relationships are never known for
rocks in the field (e.g. Griggs and Handin 1960).
The use of deformation continuity or distribution in the
definition of ductile is implicit in the application of the terms
by most geologists in the field. Rutter (1986) suggested that
ductility is “the capacity for substantial, non-localized strain”,
thus strictly excluding shear zones, and “is a concept which
must be defined on a macroscopic scale”. However, “ductile
shear zones” (e.g. Ramsay and Huber 1987) is a commonly
used phrase. It is proposed here that continuity rather than
distribution should be used to define ductility, and that a more
satisfactory definition of ductility is “macroscopically con-
tinuous deformation”. This definition has the merit of encom-
passing all features that the field geologist usually refers to as
ductile, including shear zones and macroscopic folds, and is
preferred because continuity can be identified more precisely
than distribution at any scale.
Brittle and ductile are defined above by different cri-
teria. Therefore it is possible for a rock to be both brittle
and ductile: for example, a type of deformation band
(Chapter 2.5) forms by fracture (it is brittle) but has macro-
scopic strain continuity (it is ductile). The concept of the term
“brittle-ductile transition” is rendered questionable by these
definitions. Many terminological problems can be avoided
by using the concept of a deformation mode and the cat-
egories of deformation continuity, distribution and mechan-
ism suggested in Section 1.4, and avoiding the use of the
term brittle-ductile transition, which has no meaning using
the above definitions.
1.6 Character and classification of de-
formation zone rocks
Rocks within deformation zones are commonly highly
strained and may exhibit some of the best examples of de-
formation microstructures. Deformation reduces the grain
size of some of the protolith to produce a matrix of finer
grains surrounding remnant larger grains or grain aggregates,
known as porphyroclasts or clasts, which is the typical micro-
structure of deformation zone rocks. Deformation mechan-
isms and microstructures may differ between the matrix and
porphyroclasts.
Some definitions and classifications of deformation zone
rocks have advocated the use of deformation mechanisms as
a classificatory tool. For example, Wise et al. (1984) pro-
posed to include crystal plasticity as an essential element
of the definition of mylonites. As for any other classifica-
tion of observational data, the use of mechanisms should be
avoided because subjective interpretations are required, that
may change in the light of new knowledge. Nomenclature
and classification of deformation zone rocks is extensively
discussed in Snoke et al. (1998).
The non-genetic classification scheme of Sibson (1977) is
5
the most widely used today. The scheme is based on the dis-
tinction between random fabric and foliated deformation zone
rocks, as well as the cohesion of the rock (the degree to which
it behaves as a continuous body during deformation) and pro-
portion of matrix to porphyroclasts. The original scheme is
slightly modified to allow for a range of foliation intensities in
fault rocks in Table 1.2, by including the additional category
of foliated cataclasites (e.g. Chester and Logan 1987), and
by extending the gouge, breccia and pseudotachylite categor-
ies to the foliated category. Random fabric has been changed
to Unfoliated to allow for deformation zone rocks that have
some order to their fabric, for example fragments with a jig-
saw texture, and Foliated has been changed to Strongly fo-
liated in order to contrast with Unfoliated. Many deforma-
tion zone rocks have two or even three distinct foliations. All
foliations should be considered when assessing foliation in-
tensity, and the existence of different foliations can be used
to further classify deformation zone rocks (e.g. S-C mylon-
ites, Lister and Snoke 1984). The crush breccia series of the
original classification has been omitted for simplicity, and be-
cause these terms have not found widespread use.
The classification scheme in Table 1.2 is based on descrip-
tion at the hand specimen scale, and recognizes that larger
fragments in a finer grained matrix is a fundamental character
of most deformation zone rocks. However, as noted by Sibson
(1977), any pidgeon-hole classification such as Table 1.2 suf-
fers from the problem that the classification criteria may show
a continuous range of variation. This is especially problem-
atic in the assessment of foliation development, which may be
difficult to quantify, or to judge objectively on a qualitative
basis. Another problem with the classification is the defini-
tion of cohesion, which is specified in the original classific-
ation as primary cohesion, i.e. cohesion during deformation.
Post-tectonic processes may decrease cohesion, for example
by weathering, or increase cohesion by cementation. These
processes may not be recognized easily or allowed for when
assessing primary cohesion.
1.7 Format and use of this book
Chapters 2 to 5 deal with the major categories of deform-
ation microstructures and mechanisms. Each chapter begins
with a brief introduction to the fundamental mechanisms, and
proceeds to descriptions of the characteristic microstructures,
identifying which are diagnostic, and illustrating them with
diagrams and black-and white photomicrographs embedded
in the text. Colour photomicrographs are collected separately
and referred to as plates in the text. Key words are emphas-
ized where they occur for the first time in the chapter. Some
mechanisms and microstructures, especially cataclasis, are
dealt with in more detail than others because comprehensive
descriptions are lacking in the literature. The mechanisms in-
volved in the formation of each microstructure are interpreted
from experimental and theoretical backgrounds. The final
chapter shows how deformation microstructures and mech-
anisms can be used to make quantitative inferences about de-
formation conditions for tectonic analysis. Throughout the
text, relatively new developments in the subject, and those
that have not been described in previous textbooks, have been
6 CHAPTER 1. INTRODUCTION AND TERMINOLOGY
more heavily referenced than other topics. The references are
presented in two forms. The main list gives all references in
full. This is followed by a list of abbreviated references col-
lected by chapter, which shows important general sources for
the chapter topics in italics.
A general list of symbols, abbreviations and units prefaces
this chapter. Abbreviations and conventions for all photomic-
rographs are as follows:
PPL - Plane polarized light
XP - Crossed polarized light
RF - Reflected light
ST - Sensitive tint (gypsum) plate inserted
SEM - Scanning electron microscope optical image
TEM - Transmission electron microscope image
CL - Cathodoluminescence image from the SEM
Figures below the captions give the horizontal dimension of
the image in mm. Shear sense (see Chapter 7) is given as
sinistral or dextral (assuming that the shear or fault plane is
vertical); all illustrations with shear senses given are perpen-
dicular to the shear plane and parallel to the shear direction,
and the shear plane is approximately parallel to the horizontal
edge of the image.
Chapter 2

Cataclasis
2.1 Introduction The second model treats the microcrack as flat with a sharp
tip (e.g. Lawn and Wilshaw 1975a), and gives a versatile
Microfractures, displacements and rotations of rigid particles solution for the stress field around the microcrack, in the polar
with no permanent lattice distortion are microstructures coordinates of Figure 2.1b:
formed by cataclasis. There are two fundamental cataclastic
deformation mechanisms: microcracking (Section 2.2.1) and
frictional sliding (Section 2.2.2). The single most distinct-
ive cataclastic microstructure is the microfracture, defined The stress is thus specified by K, the Stress intensity factor,
as a tabular or planar microscopic discontinuity. The term describing the intensity of the field around the microcrack,
thus includes microfaults, microscopic deformation bands, and the stress distribution, described by radial factor
microjoints, microcracks, microveins, and microscopic slip and a function of which depends on the propagation mode.
surfaces. Microfractures can be sub-divided into microfaults The three microcrack propagation modes shown in Figure 2.2
(Section 2.4), which contain a fragmental matrix, and mi- are tensile or opening mode, (mode I), in which displace-
crocracks (Section 2.3), which do not. Pseudotachylites are ments are perpendicular to the fracture plane, and two shear
briefly discussed in Section 2.11 because they are associated modes, in which displacements are parallel to the fracture
with cataclastic mechanisms. plane, sometimes called sliding and tearing modes (modes II
and III, Fig. 2.2). The stress intensity factor depends on the
propagation mode, the microcrack length and the applied
2.2 Fundamental cataclastic deforma- stress
tion mechanisms
2.2.1 Microcracking
Given these descriptions of the stress around the flat mi-
Microcracking involves microcrack nucleation followed by crocrack, it is possible to deduce the failure criteria for brittle
propagation. Nucleation is irrelevant in a geological context solids from Griffith’s postulate that a microcrack will extend
because of abundant heterogeneities in natural rocks and min- when the total energy change with the propagation of the mi-
erals. crocrack is negative or constant. The energy terms involved
in microcrack propagation are release of mechanical energy,
Dynamic microcrack propagation which must be equal to the energy required for creation of
surface area.In terms of force, the microcrack extension force,
Microcrack propagation from an initial flaw can be con- G, must be greater than or equal to twice the surface tension
sidered by two different models. The first model assumes force, (the doubling factor accounts for the two sides of
an elliptical microcrack (Inglis 1913, Griffith 1924). For a the crack). This leads to the classical Griffith result for fail-
uniaxial remote applied stress parallel to the microcrack ure under a tensile remote stress in a solid with Young’s
axis, the tangential stress, on the microcrack surface var- modulus E:
ies from a negative (tensile stress) equal to the value of at
the long axis of the microcrack, to a compressive stress at the
short axis (Fig. 2.la). In a biaxial stress field is equal to The well-known Griffith failure criterion and its derivatives
at the long axis of the microcrack (Fig. 2.1a; can be determined from this relation (Section 9.2). The Grif-
Jaeger and Cook 1979). The stress state around an elliptical fith failure criterion thus implicitly assumes the existence of
microcrack illustrates the essential concepts that large tensile microcracks of length Griffith observed that the theoretical
stresses can develop at the tip of a microcrack surface in com- strength of solids is much greater than their actual strength,
pression, and that the maximum tensile stress will develop and postulated that real solids contain microcracks which
in the direction of the maximum applied stress. These two concentrate stress leading to failure, thus explaining the dis-
concepts explain why extension microcracking perpendicular crepancy between theoretical and measured strengths. The
to the least principal stress is a widespread and fundamental existence of such microcracks or “Griffith flaws” is still ac-
cataclastic mechanism. cepted as the basis of most failure criteria.

7
8 CHAPTER 2. CATACLASIS
CHAPTER 2. CATACLASIS 9

The model so far assumes elastic behaviour, but an addi-

tional energy term must be incorporated to account for break-
ing of atomic bonds at the crack tip, which can be done by
postulating the existence of a small zone ahead of the micro-
crack tip in which non-linear forces are expended in breaking
bonds. The additional energy involved is incorporated in the
energy balance in the form of a new parameter the fracture
toughness, to replace the surface energy term The energy
balance condition is now:

This equation gives the condition for microcrack propagation

in terms of a value for G usually known as the critical frac-
ture toughness, which can be related to the critical stress
intensity factor, for a given geometry.
This analysis is valid provided that the size of the non-
linear zone is much smaller than the length of the microcrack
i.e. it does not affect the elastic stress system as a whole:
this assumption is called the small scale yielding (Rice 1968)
or the small scale zone approximation (Lawn and Wilshaw
1975a). More detailed analyses can relate to the dis-
placement on the microcrack if some function of the cohesive
forces ahead of the tip with distance is postulated: these are
the cohesive force models (e.g. Rudnicki 1980). The exist-
ence of such a non-linear zone ahead of the microcrack tip is
known experimentally from ceramics and metals, where it is
referred to as a process zone, and it has been detected from
acoustic emission and microcracking in geological materials
(e.g. Swanson 1981, Peck 1983, Labuz et al. 1987).

Sub-critical microcrack propagation

The above analysis is restricted to microcracks that propag-
ate at speeds that are typically significant fractions of the ve-
locity of elastic waves in solids, or dynamic microcracking.
However, microcracks may propagate under stress conditions
well below the critical stress intensity factor, at rates that
depend on temperature and chemical environment as well as
stress intensity. This phenomenon is known as sub-critical
microcrack growth and is potentially of enormous geological
importance (e.g. Anderson and Grew 1977, Das and Scholz
1981, Atkinson 1982, Meredith 1983). A diagram showing
microcrack velocity (V) as a function of mode I stress intens-
ity factor illustrates the main features of sub-critical mi-
crocrack growth (Fig. 2.3), which have been demonstrated for
a range of geological materials (e.g. quartz, granite, andesite,
basalt, calcite, oil shale, sapphire and glass). The
relationship falls into three parts:
Region 1. Velocity is highly sensitive to water concen-
tration and temperature. There may be a threshold stress
intensity factor for microcrack growth to occur at
all (Meredith 1983).
Region 2. Velocity is dependent on water concentration and
temperature, but not
Region 3. Velocity increases extremely rapidly with until
microcrack growth becomes dynamic at
Five mechanisms of sub-critical microcrack growth have been
proposed, but stress corrosion, a general term for environ-
mentally influenced, stress driven, thermally activated chem-
ical reaction allowing breaking of bonds is considered to be
the dominant mechanism for geological materials in crustal
conditions (Atkinson 1982). Hydrolysis of the Si-O-Si bond
is likely to be responsible for the weakening. The microcrack
velocity in Region 1 is controlled by the reaction rate of the
hydrolysis, and transport-rate control occurs in Region 2.
Other types of chemical reaction occur with sub-critical
microcracking. An example is the reaction of plagioclase to
increasingly sodic compositions and ultimately to laumontite,
which creates a 60% volume increase (Blenkinsop and Sibson
1991). This alteration occurs along cleavage microcracks,
resulting in a texture of expanded, matching fragments, de-
rived from a single parent crystal (Plate 1). This texture sug-
gests chemical alteration and sub-critical microcracking oc-
curred in a linked process, which can be called alteration-
enhanced microcracking.
Sub-critical microcrack growth has been incorporated into
some models of crustal processes, for example to explain the
difference between creep (stress intensity factor between
and and seismic faulting (stress intensity factor equal to
Rudnicki 1980), the barrier theory for earthquake rupture
of Das and Scholz (1981), and features of magmatic intru-
sion and hydrofracture propagation (e.g. Anderson and Grew
10
1977, Atkinson 1982).
2.2.2 Frictional sliding
Amonton’s law that the steady state shear stress is propor-
tional to the normal stress on the sliding surface via the
coefficient of friction
is predicted by a simple adhesion theory of friction. The the-
ory assumes that the rough surfaces contact at asperities (pro-
truding irregularities), which will yield under normal stress
until sufficient area of contact is established to support the
normal load (Fig. 2.4). The contact area is considered to have
an adhesive strength which must be exceeded over the entire
area for sliding to occur. This model successfully predicts
the normal-stress dependence of friction, but it underestim-
ates the value of because there are other contributions to
the shear strength in addition to the adhesive strength of the
contacts (Scholz 1990). These include:
1. Interlocking of asperities. Oblique surfaces of contact
are created between two asperities that come into contact
after sliding (Fig. 2.4). Interlocking may be relieved by
shearing through asperities (adhesive wear), or by slid-
ing on the oblique contacts, which causes dilatancy.
2. Increasing area of contact due to asperity shearing. As
sliding continues, asperities fail and the contact area in-
creases.
3. Asperity ploughing. An asperity with a greater strength
than the opposite surface will cut into the weaker ma-
terial, generating a groove and wear fragments. This is Microcracks can be classified as intragranular (within single
known as abrasive wear. grains), transgranular (across two or more grains) and cir-
CHAPTER 2. CATACLASIS
Adhesive strength, asperity interlocking and increasing
contact area have been combined in an elegant and simple
model by Wang and Scholz (1994, 1995), which accounts for
experimental results very well.
Frictional sliding leads to the production of gouge by as-
perity failure and ploughing. Once formed, fragmentation
within a gouge layer continues by mutual impingement of
particles, leading to particle size distributions (PSDs) that are
characteristically fractal (e.g. Blenkinsop 1991). A fractal
distribution of particle sizes can be described by the rela-
tion:
where N (d) is the number of particles greater than size d, and
D is the fractal dimension. D for particles in cataclastic rocks
ranges from 1.88 to 3.08 (e.g. Sammis et al. 1987, Sammis
and Biegel 1989, Olgaard and Brace 1983, Wang 1987), with
many results for natural and experimental gouges around the
value of 2.6 (Marone and Scholz 1989, Biegel et al. 1989).
Sammis et al. (1987) showed that a distribution of spheres
of unequal sizes reduces impingement stresses on individual
fragments, and proposed that microcracking in a gouge will
proceed in order to minimize the probability of neighbour-
ing grains having equal sizes. This constrained comminution
model predicts D = 2.58, which is very close to observed val-
ues (e.g. Sammis and Biegel 1989).
Gouge formation (and cataclasis generally) may occur by
at least two other processes of particle size reduction. Alter-
ation, for example the laumontization of feldspar described
above, may lead to lower values of D (Blenkinsop and Sib-
son 1991). At advanced stages of gouge formation, selective
microfracture of larger particles takes place, creating PSDs
with fractal dimensions greater than 2.58 (Blenkinsop 1991).
Plates 1 to 4 show a sequence of cataclastic textures arranged
in order of increasing fractal dimension of PSDs, which is the
evolutionary sequence of textures with strain.
A simple theory of wear can predict that the volume
of gouge created by sliding, and hence the thickness of
the gouge, will increase linearly with displacement (Scholz
1990), and some experimental results confirm this relation-
ship (e.g. Teufel 1981). This relationship has also been
claimed for faults (e.g. Robertson 1983, Hull 1988). How-
ever, there are at least two reasons the experimental data
should not be applied directly to faults. Firstly, the roughness
of laboratory prepared surfaces is not comparable to natural
fault surfaces (Brown and Scholz 1985), and secondly, once
a gouge layer has accumulated sufficient thickness to prevent
interaction between the sliding surfaces, wear will no longer
occur according to the simple model of surfaces in contact
with each other. The reported data on fault gouge thickness-
displacement relationships does not substantiate a proportion-
ality (Blenkinsop 1989).
2.3 Microcracks
2.3.1 Classification, characteristics and obser-
vation
CHAPTER 2. CATACLASIS 11
12 CHAPTER 2. CATACLASIS

cumgranular or grain boundary. The occurrence of these dif-

ferent types of microcrack depends on the microcrack mech-
anism (see below) and on the microstructure of the rock. In-
tragranular microcracks are characteristic of poorly cemen-
ted, highly porous rocks, whereas well-cemented, low poros-
ity rocks have transgranular microcracks. This classification
is useful in discriminating various microcrack mechanisms
described in Sections 2.3.3 to 2.3.11.
Tectonic trans- or intragranular microcracks commonly
link contact points between adjacent grains, and are kinked
or curved. Despite grain-scale irregularities in fracture geo-
metry, microcracks generally have a strong preferred orienta-
tion. Several sets of microcracks may exist within one rock.
Extension (mode I) microcracks are usually filled with ma-
terial in optical continuity with the host grains, so that their
importance may be underestimated or even completely over-
looked. The only manifestation of a fracture left in the rock
may be a line of fluid inclusions which are the trace of a fluid
inclusion plane (Fig. 2.5, Section 3.11), and careful obser-
vations of well-prepared thin sections at high magnifications
under the optical microscope are necessary to detect such mi-
crocracks if they contain small inclusions. Microcracks can
have a wide range of aspect ratios and densities. Extension
microcracks may have regionally systematic orientations be-
cause they form perpendicular to (Section 2.2.1.1), and
have been used very effectively to deduce regional stress sys-
tems (e.g. Lespinasse and Pêcher 1986).
Cryptic microcracks may be spectacularly revealed by
cathodoluminescence (CL) (e.g. Smith and Stenstrom 1965,
Sprunt et al. 1978, Sprunt and Nur 1979, Blenkinsop and
Rutter 1986). Luminescence depends on silica polymorph,
and chemical, thermal and mechanical histories (e.g. Seye-
dolali et al. 1997). Microfracture fillings which form under
different conditions from the host grain, and experience only
part of their tectonic history, therefore contrast in lumines-
cence with the rest of the grain and usually have very low
luminescence (Fig. 2.6). size, sorting, and grain shape. Impingement microfracturing
can be understood from an analysis of the stress field cre-
ated on loading a plane surface by a pointed (Boussinesq
2.3.2 Microstructures and mechanisms
configuration) or spherical (Hertzian configuration) object
Nine microcrack “mechanisms” can be distinguished, mainly (Fig. 2.8). The point load should produce radial microcracks
from experiments, where extension microcracks, usually sub-perpendicular to the indenter, and such microcracks have
known as axial microcracks, form from about half the peak been observed in indenter experiments (e.g. Lindquist et al.
strength through to post-failure (e.g. Tapponier and Brace 1984). The spherical indenter (possibly more geologically
1976). These are secondary mechanisms compared to the realistic) will contact the plane surface along a spherical sur-
fundamental physics of tensile microcracking described in face, inducing a region of compressive stresses immediately
Section 2.2.1, and they mainly describe specific geomet- below the indenter, surrounded by tensile stresses near the
ries that create microcrack tip tensile stresses (Krantz 1983, edge of the contact surface. An extension microcrack in the
Atkinson 1982). Table 2.1 summarizes the characteristic fea- form of a cone (cone microcrack) forms beneath the indenter
tures of the mechanisms, including the types of microcrack (Fig. 2.8) at a critical load. The critical indenter radius to gen-
(intra-, trans- or circumgranular) that can form by each mech- erate a tensile microcrack depends on the applied pressure via
anism. a square root (Lawn and Wilshaw 1975b): very modest pres-
sures for even quite large indenters can create microcracks.
2.3.3 Impingement microcracks A still more geologically realistic configuration is the case
of two spheres loading each other: in this case, an extension
Impingement microcracks link points of contact between ad- microcrack initiates at the edge of the contact plane between
jacent grains, and are usually intragranular. They may link the two spheres at a critical load that depends on porosity,
several pairs of contact points around grains. Four basic grain size, elastic moduli and fracture toughness, providing
patterns are shown in Fig. 2.7 (Gallagher et al. 1974), that there are pre-existing flaws present in the loaded grains
which depend on the boundary loads, packing arrangement, (Fig. 2.8, Zhang et al. 1990). The critical load measured in
CHAPTER 2. CATACLASIS
several rocks (Wong 1990) follows the theoretical relation-
ship and shows that the required pre-existing flaws have sub-
micron dimensions, comparable to the flaws invoked in Grif-
fith’s failure analysis (Section 2.2.1).
Photoelastic experiments on convexo-concave contact sur-
faces which model indenting grain contacts due to pressure
solution (Section 3.4) show that tensile microcracks should
form normal to the indenter contact, and shear failure is pre-
dicted along curved trajectories that are approximately nor-
mal to the contact in its immediate vicinity, but deviate pro-
gressively with distance (McEwen 1981).
The diagnostic feature for recognizing the impingement
mechanism is linking of contact points by intragranular mi-
crocracks (Fig. 2.9, Table 2.1), although the contact points
may not be visible in the plane of the section. Impingement
microcracking is suppressed in well-cemented or low poros-
ity crystalline rocks because impingement contacts are lack-
ing and tensile stress concentrations are dramatically reduced
by the cement (e.g. Wong and Wu 1995, Menéndez et al.
1996).
2.3.4 Flaw-induced microcracks
Flaw-induced microcracks are joined to flaws such as other
microcracks, pores and grain boundaries. They form because
of the tensile stresses that develop on the flaw surface when
remote stresses are imposed. They are recognized in experi-
ments on analogues and on rocks (e.g. Brace and Bombola-
kis 1963, Tapponnier and Brace 1976). Analytical solutions
show that the microcracks will grow along curved trajectories
from both ends of a flaw to produce the well-known “wing
crack” geometry (Fig. 2.10, Horii and Nemat-Nasser, 1985,
1986, Kemeny and Cook 1987, Baud et al. 1996). For isol-
ated microcrack growth, a flaw length 2c, orientated at to
is assumed to have both cohesive and frictional resistance
to shear, and tensile microcracks grow from both ends with
length l (Fig. 2.10), making an angle with the flaw. The res-
ults show that microcracks will grow by tensile failure from
the edges of the flaw along paths which fit experimental ob-
servations very well (Horii and Nemat-Nasser 1985). After
a critical length (approximately 1.0) in even the slightest
tensile value of microcrack growth becomes unstable, but
remains stable in compression. Flaw-induced microcracking
can be recognized by the connection of the microcrack to a
13
flaw (Fig. 2.6, Table 2.1). Such microcracks can be intra-,
trans- or circumgranular.
2.3.5 Microfracturing of pre-existing flaws
Microfracturing of pre-existing flaws is known as an import-
ant and even dominant microcracking mechanism from ex-
periments (e.g Biegel et al. 1992, Menéndez et al. 1996).
It is considered to be at least as important as cleavage in
controlling the overall microcracking process, and Atkinson
(1982) asserts that it dominates the upper 20 km of the crust.
The opening of grain boundaries (a type of pre-existing flaw)
is well known to contribute to experimental cataclasis (e.g.
Dunn et al. 1973, Hadizadeh 1980, Tapponnier and Brace
1976). The weakness of some natural grain boundaries, even
when these are overgrown by optically continuous quartz ce-
ments, is apparent from the observation that overgrowths are
a major component in the matrix of faults (Pittman 1981).
Microfracturing of pre-existing flaws can be identified by mi-
crofracture of a cement, and may involve all three types of
microcrack (Fig. 2.11, Table 2.1).
2.3.6 Cleavage microcracks
Microcracks in biotite are controlled by the basal (001) cleav-
age (Plate 42, Wong and Biegel, 1985). In feldspars, the ma-
jor (001) cleavage and also (010), and (110) planes ex-
ert a strong influence on microcracks (Willaime et al. 1979,
Brown and Macaudière 1984, Tullis and Yund 1992). Cleav-
age microcracking of feldspars is important during deforma-
tion of granitic rocks in the upper crust (Plate 1; Evans 1988).
The fracture toughness of quartz is least along the rhombo-
hedral planes, followed by the basal plane: these are prefer-
entially exploited during fracture (e.g. Borg et al. 1960, Voll-
brecht et al. 1991). Cleavage microcracks can be recognized
because they occur in crystallographically controlled sets par-
allel to known cleavages within single grains (Table 2.1).
2.3.7 Elastic mismatch microcracks
Microcracks have been noted in quartz and feldspar grains
at contacts with micas in experimental studies (Tapponier
and Brace 1976, Wong and Biegel 1985), and in a naturally
deformed quartzite (Hippert 1994). These microcracks are
14
thought to develop because of the difference in elastic strain
across the quartz-mica or feldspar-mica boundaries due to the
different elastic moduli of the two minerals in contact along
a coherent interface (Plate 5, Fig. 2.11). They can be recog-
nized by the localization of intragranular microcracks around
contacts between grains of different mineralogy (Table 2.1),
but may be difficult to distinguish from thermally-induced
microcracks (see Section 2.3.10).
2.3.8 Plastic mismatch microcracks
Where intracrystalline plasticity is localized in one area (e.g.
in twins, deformation lamellae and kinks, Chapter 4), mi-
crocracks may be initiated due to the strain incompatibility
between the area of plastic deformation and the adjacent un-
deformed area (e.g. Olson and Peng 1976, Wong and Biegel
1985; Fig. 2.12). Microcracks have been observed along
kink bands in naturally deformed enstatite, and normal to
the kink bands in experimentally deformed quartz (Carter
and Kirby 1978). Plastic mismatchs may account for the
common microcracking of feldspar porphyroclasts surroun-
ded by deformed quartz grains in quartzofeldspathic mylon-
ites (e.g. Evans and White 1984; Fig. 2.13). Plastic mis-
matches may also occur within single phases or grains due
to stress concentrations created by intracrystalline plasticity
(e.g. Lawn and Wilshaw 1975a). Plastic mismatch-induced
CHAPTER 2. CATACLASIS
microcracking is largely responsible for semibrittle behaviour
(e.g. Carter and Kirby 1978). It can be recognized by
the close association between intragranular microcracks and
areas or individual microstructures of intracrystalline plasti-
city, such as subgrains, kink bands, deformation lamellae or
twins (Table 2.1).
2.3.9 Microfault-induced microcracks: Micro-
scopic feather fractures (mffs)
Mffs are intragranular microcracks found only adjacent to
faults. They are characteristically wedge-shaped, opening to-
wards the fault plane (Fig. 2.12c). They were identified in ex-
perimentally generated faults by Friedman and Logan (1970),
who found them exclusively within 5-10 grain diameters of
shear faults, and parallel to They did not occur adja-
cent to an incipient shear, and therefore formed in response
to shearing. Conrad and Friedman (1976) defined mffs as mi-
crocracks occurring only within grains adjacent to a fault, dy-
ing out rapidly away from the fault and statistically close to or
parallel to the applied direction of Microcrack density and
length increase with displacement and normal stress (confin-
ing pressure) (Conrad and Friedman 1976, Teufel 1981). Tec-
tonic analogues of mffs have been observed associated with
shear surfaces between pebbles in contact with each other
(McEwen 1981). T fractures as described by Petit (1987)
CHAPTER 2. CATACLASIS 15

have the characteristics of mffs.

Mffs are created by tensile fracture at contact points along
the sliding surface (Teufel 1981). The relations between mi-
crocrack density, length, displacement and normal stress ob-
served in the experiments are all consistent with the formation
of mffs due to contact stresses on the sliding surface. Mffs are
intra- or transgranular microcracks that can be recognized by
their localization adjacent to the fault plane, their inclinations
of 20-50° to the fault plane, and their wedge-shape opening
towards the fault plane (Table 2.1). Mffs can be distinguished
from Riedel microfractures, which may also be associated
with fault planes (e.g. Petit 1987), by the shear offset along
the latter.

2.3.10 Thermally-induced microcracks

Microcracks can relieve stresses caused by differential
thermal expansion or contraction between adjacent minerals.
Such microcracks may form in grains of one mineral surroun-
ded by another during heating or cooling. If heating or cool-
ing are accompanied by pressure changes, elastic mismatch
microcracks may also form. Thermally-induced microcrack-
ing can only be distinguished from elastic mismatch-induced
microcracking if the P-T path is known. The case of cool-
ing granite has been considered in some detail by Bruner
16
(1984) and Vollbrecht et al. (1991). Granite can be treated
as a composite of quartz surrounded by feldspar. Two ex-
treme cases can be considered during cooling and uplift. In
isothermal decompression, greater elastic expansion of quartz
may cause microcracking of feldspar, while isobaric cooling
may lead to microcracking of quartz due to its greater thermal
contraction. The critical geothermal gradient for equilibrium
between thermal and elastic strains in quartz and feldspar is
10°C/km. Crystal anisotropy may be important on the grain
scale; quartz has a maximum coefficient of thermal expan-
sion perpendicular to the c-axis, favouring microcracks at low
angles to the c-axis. Regional stresses can also be important:
microcracking will be favoured in those grains with appropri-
ate orientations relative to the regional stress.(e.g. Vollbrecht
et al. 1994). The general interaction between thermal and
elastic stress around inclusions has been modelled by D’Arco
and Wendt (1994), and specifically for garnet by Whitney
(1996).
Thermally-induced microcracking in granites can be re-
cognized by intragranular microcracks concentrated in quartz
surrounded by feldspar. Thermal microcracks in quartz may
have a preferred orientation parallel to the c-axis.
2.3.11 Phase transformation-induced micro-
cracks
The strain associated with solid state phase transforma-
tion can produce distinctive microcracks. For example, the
CHAPTER 2. CATACLASIS
transformation involves a volume increase
of 11%. Quartz inclusions in garnet or omphacite are sur-
rounded by radial extension microcracks (e.g. Chopin 1984,
Smith 1984, Wang et al. 1989), and indeed this texture has
been used as evidence for the former presence of coesite
(e.g. Wang and Liou 1991). Although it is clear that the
transition has occurred in these rocks be-
cause relict coesite can be found in some inclusions, the ques-
tion arises whether such microcracks could be due to elastic
mismatches between the silica phase and the host. The key
evidence for phase transition microcracking is the observation
that there is no microcracking around other types of inclusion,
including rutile. The extensional nature of the microcracks
and their origin from tips of inclusions are consistent with
the mechanism. Fracture surface energy measurements in the
conditions of the quartz phase transition imply that
microfractures could also be associated with this transforma-
tion, and other minerals undergoing similar phase transform-
ations (Kirby and Stern 1993). Radial microcracks have also
been observed around calcite inclusions which have replaced
aragonite, a transformation that involves a 8.5% volume in-
crease (Wang and Liou 1991). The distinctive features of
phase transformation microcracking are the association of in-
tragranular microcracks with evidence for phase transform-
ation. In the case of the transition, radial
microcracks around inclusions of quartz after coesite are dis-
tinctive.
CHAPTER 2. CATACLASIS
2.4 Microfaults
2.4.1 Characteristics
Microfaults are shear microfractures that contain grain frag-
ments formed by cataclasis (Plate 3). Displacement paral-
lel to a microfault surface can be identified from displaced
grain boundaries or fragments. However, caution is needed
in positively identifying such shear displacements, because a
purely extensional microcrack can appear to have a shear dis-
placement when viewed in a section which is oblique to the
opening direction of the microcrack. A useful indication of
true shear displacement is the consistent sense of offset of a
number of grain boundaries at a variety of angles to the mi-
crocrack (Plate 45).
Two components can comprise microfault matrix: frag-
ments derived from the wall rock, and a precipitated cement.
The fragments are usually angular and very poorly sorted,
ranging in size from micrometres up to the width of the mi-
crofault. It is sometimes possible to identify the parent grain
from which the fragments have been derived (the sensitive
tint plate is useful for this purpose; Boldt 1995), and frag-
ment displacement or rotation may also be detected (Plates 2,
4, 45). The proportion of cement may vary from relatively
little, in which the fragments may form a jigsaw texture, to a
majority, in which the fragments will be matrix-supported and
isolated from each other. Precipitated cements can be identi-
fied from euhedral crystal faces overgrowing primary grains
(e.g. Pittman 1981) or from CL studies (e.g. Stel 1981) be-
cause the precipitated cement has a different luminescence
from the grains in the matrix (Section 3.9). A cyclic history
of cementation and shear can sometimes be deduced from the
presence of resheared matrix. The edges of microfaults may
be planar and truncate adjacent grains cleanly, or they may be
irregular, perhaps comprising a large number of circumgran-
ular microfractures.
2.4.2 Mechanisms
Experiments identify the shear failure mechanism as the link-
ing of extension microcracks once a critical microcrack dens-
ity is achieved (Krantz and Scholz 1977, Costin 1983). Sev-
eral mechanisms of microcrack linkage have been sugges-
ted. Peng and Johnson (1972) proposed that axial micro-
cracks became linked when individual beams, bounded by
17
axial microcracks, buckled at a critical fibre strain, allow-
ing the first through-going fault plane to form (Fig. 2.14).
This linking mechanism can be contrasted with the beha-
viour of other siliclastic rocks, in which grain boundary mi-
crocracks form first, to be linked by axial microcracks (Had-
izadeh 1980, Menéndez et al 1996). The detailed sequence
of microcracking and linkage probably depends on the ini-
tial microstructure of the rock (Hadizadeh 1980, Blenkinsop
and Rutter 1986). A third type of linking mechanism is the
direct interaction of microcrack stress fields. Such interac-
tions were classified into en-echelon and en passant types
by Krantz (1979) (Fig. 2.15). The former occur between
two straight, sub-parallel microcracks, which are linked by
a third straight microcrack (Fig. 2.15 a, b). En passant inter-
actions involve curvature of microcrack paths because the mi-
crocrack tip stress fields influence each other (Fig. 2.15 b, c).
The definitive theoretical model of microcrack interactions is
based on solutions for the behaviour of isolated microcracks
in compression (Horii and Nemat-Nasser 1985). To model
shear failure, the microcracks interactions are considered in
an array of parallel flaws with individual angles and overall
angle to and spacing d (Fig. 2.16). The results show that
axial compression at first increases with for all values of
i.e. microcrack growth is stable. However, at lower values
of microcracks interact unstably at a certain stress. In gen-
eral the model predicts that and are different, suggesting
that a failure plane will consist of oblique microcracks linked
by axial microcracks. The model correctly predicts the effect
of confining pressure on ultimate strength and is validated
by experiments on resin blocks. Natural microfaults seem to
evolve by microcrack linking at a critical microcrack density
18
in similar ways to experiments and models (e.g. Blenkinsop
and Rutter 1986).
2.5 Deformation bands
2.5.1 Characteristics and classification
A distinctive type of localized deformation occurs in porous
granular materials. Deformation bands are roughly planar
features from millimetres to a hundred metres long, from
fractions to a few millimetres wide, and with net slips from
fractions to tens of millimetres. Displacement across deform-
ation bands is continuous at a mesoscopic scale, which distin-
guishes deformation bands from faults. Porosity in deforma-
tion bands may be greater or less than the wall rocks; in the
more common case of porosity reduction, the bands contain
a layer of fine-grained matrix partly comprised of grain frag-
ments. Intragranular extension microcracks are found within
this type of deformation band.
There is a continuum between faults and deformation
bands, with many descriptions of faults having some charac-
teristics of deformation bands (e.g. Engelder 1974, House
and Gray 1982, Jamison and Stearns 1982, Underhill and
Woodcock 1985, Narahara and Wiltschko 1986, Blenkinsop
and Rutter 1986, Cruikshank et al. 1991, Zhao and John-
son 1991). Deformation bands were explicitly described by
Aydin (1978), Aydin and Johnson (1978, 1983), and most
comprehensively by Antonellini et al. (1994), who distin-
CHAPTER 2. CATACLASIS
guished between deformation bands with no cataclasis, de-
formation bands with cataclasis, and deformation bands with
clay smearing.
Deformation bands tend to cluster together to form zones
of bands, often in an anastomosing pattern (e.g. Engelder
1974, Blenkinsop and Rutter 1986). The thickness of these
larger-order features depends on the number of individual
bands which comprise them, and their total displacement is
given by the sum of the individual components. Deforma-
tion zones may contain discrete surfaces with large discon-
tinuous displacements that cut through all other features, and
may have striations on their surfaces. These were described
as slip surfaces by Aydin and Johnson (1983), and are the
latest features to form in a sequence from deformation bands
to zones to slip surfaces.
The distinguishing characteristics of deformation bands are
shear displacements which preserve material continuity on a
mesoscopic scale, and their occurrence in porous, granular
rocks.
2.5.2 Mechanisms
Dilatancy caused by grain sliding, and impingement micro-
fracturing are important mechanisms in deformation band
formation. Experiments, theory and observations suggest
that the differences between the three categories of deform-
ation band are related to confining pressure and initial mi-
crostructure (Antonelli et al. 1994). Lack of grain micro-
cracking in the first category may indicate low confining pres-
sures during deformation compared to the bands in the second
category. Initial porosity determines whether a deformation
bands dilates or compacts: low initial porosity leads to dila-
tion, and vica versa. These relationships are predicted by crit-
ical state theory for granular materials (e.g. Schofield and
Wroth 1968). The third category forms as a result of the
higher clay content in these rocks.
The localization theory of cataclasis accounts for the form-
ation of microfaults, deformation bands, zones and slip sur-
faces (e.g. Rudnicki and Rice 1975, Aydin and Johnson
1983). Localization is defined as a difference in strain rate
between a band and the matrix, and is a highly appropriate
way to describe deformation bands since strain appears con-
tinuous across the bands. The theory predicts the formation
of deformation bands at or before peak stress, and their sub-
sequent spread due to strain hardening. The development of
slip surfaces can be understood from the same theory as a pro-
cess in which stress within the deformation band becomes too
great to be accommodated with the result that a discontinuity
develops.
2.6 Distributed cataclasis and cata-
clastic flow
A number of experiments have produced distinctive cata-
clastic microstructures in samples that have maintained
strength without localization of deformation. The micro-
structures are characterized by distributed fracture and dis-
placement of fragments, but the deformation is macroscopic-
CHAPTER 2. CATACLASIS
ally continuous: this is called cataclastic flow, which can be
defined as deformation by cataclastic mechanisms leading to
continuous flow at a given scale. Cataclastic flow occurs at
higher confining pressures than faulting in equivalent rocks,
and is favoured by lower differential stresses.
Extensively damaged grain boundaries, perhaps produced
by fracture under sliding indenters (microfault-induced mi-
crocracks, Section 2.3.9), and wear products accumulated in
the sliding zone and in pores are characteristic microstruc-
tures of cataclastic flow in quartzites. (Rutter and Hadizadeh
1991). Compaction and filling of pores by crushed material
seems to be typical of cataclastic flow of siliclastic rocks in
general (e.g. Menéndez et al. 1996). Axially orientated mi-
crocracks are dominant.
Microstructures produced during experimental cataclastic
flow of feldspar aggregates consist of intragranular shear mi-
crocracks mainly along feldspar cleavages producing blocky
fragments between the cleavage microcracks at 90° to each
other (Tullis and Yund 1987, 1992). The spacing of the
microcracks is as low as Deformed grains have a
puckered appearance consisting of areas of patchy extinction,
caused by slight mismatches between adjacent blocks, which
resemble subgrains or even recrystallized grains formed at
higher temperatures by intracrystalline plasticity. However,
TEM observations established that no dislocation processes
contributed to the block rotation. Microcrush zones <
wide have sharp boundaries and strong grain rota-
tion. A crystallographic preferred orientation and a strong
grain shape fabric developed by slip on the closely-spaced
grain-scale faults that are geometrically similar to crystal
plastic slip systems, and mechanical twins were formed.
Similar features have been observed in cataclastic flow of
anorthosite, and lamellar features interpreted as bundles of
cleavage microcracks were also observed (Hadizadeh and
Tullis 1992). Twinning is evidence for the operation of
semibrittle deformation mechanisms.
It is likely that quartz does not undergo the same cataclastic
flow regime observed in feldspars, but requires a thermally-
activated mechanism to stabilize flow (Hirth and Tullis 1991).
The difference between feldspar and quartz behaviour is due
to the excellent cleavages in feldspar. Pyroxenes and am-
phiboles may behave in a similar fashion to feldspar (Tullis
and Yund 1992). Cataclastic flow has also been reported from
experiments on basalts (Mogi 1965; Shimada 1986), dunite
and gabbro (Byerlee 1968).
A maximum of 30% shortening has been achieved in ex-
perimental cataclastic flow, after which faulting generally oc-
curs, and therefore it is unclear whether cataclastic flow can
be stable to higher strains. The problem is complicated be-
cause faulting is artificially initiated by the experimental con-
figuration. If porosity reduction is necessary for cataclastic
flow in porous rocks (e.g. Rutter and Hadizadeh 1991), this
must limit the amount of strain that can accumulate by cata-
clastic flow. At the opposite extreme of scale, cataclastic flow
has been suggested for continents (Gallagher 1981), and at
intermediate scales such as kilometric scale folds (Stearns
1968, Hadizadeh and Rutter 1983, Blenkinsop and Rutter
1986). In all these cases, the deformation is discontinuous
at a smaller scale than the scale of observations.
19
2.7 Gouge zone microstructures
Faults formed at low grade conditions commonly contain
gouge with a distinctive set of microstructures, which have
been closely replicated by experiments (e.g. Logan et al.
1981, Rutter et al. 1986). Most of the features of gouge
zones can be understood in the context of a zone of simple
shear with boundaries parallel to the shear plane (Fig. 2.17).
P-foliation is formed by grains (most commonly phyllosilic-
ates) aligned at an oblique angle to the gouge zone boundary
(Fig. 2.17, Plate 6). It may be inosculating and rather variably
developed. It is one of the first microstructures to form in ex-
perimental gouges. Shears parallel to the P-foliation with the
same sense of shear as the gouge zone are known as P-shears.
Riedel shears (R) form at an oblique angle in the opposite
direction to the P-foliation (Fig. 2.17, Plate 6). They are dis-
crete shears with the same sense of shear as the gouge zone
and have geometrical similarities to extensional crenulation
cleavages and (Section 7.5, cf. Platt and Vissiers,
1980). Conjugate Riedel shears form at a large angle
to the gouge zone boundary with the opposite sense of shear
(Fig. 2.17). They are generally much less prominent in gouge
zones than Riedel shears.
T fractures or extension fractures are inclined to the gouge
zone boundary in the opposite direction to the P-foliation
(Fig. 2.17). They may be localized in more competent rocks
in the gouge zone. Competent rock may form boudins,
which are commonly asymmetric (Section 7.10) and sep-
arated along Riedel shears (Fig. 2.17, Plate 6). Ductile
stringers (Fig. 2.17) consist of relatively large, rigid, asym-
metric clasts elongated in the direction of the P-foliation, with
stepped tails that may become detached from the main clast
(Logan et al. 1981). Asymmetric folds are also found in
gouge zones: they may fold earlier boudins. The vergence
of the folds may be the same as the shear sense of the gouge
zone (Fig. 2.17), although opposite vergence can occur (Sec-
tion 7.11). The orientation of fold axes within gouge zones
may define a girdle distribution parallel to the shear plane.
Y-shears are discrete, relatively long shears that cut through
the gouge zone with the same sense of shear as the gouge zone
(Fig. 2.17, Plate 7). There is usually only one Y-shear in the
central part of the gouge zone. In experiments, Y-shears are
the last feature to form.
The orientation of all features except Y-shears shown in
Figure 2.17 is variable since their initial orientation is likely to
change with finite strain, because material lines rotate during
simple shear. Features rotate clockwise in a dextral gouge
zone such as illustrated in Figure 2.17. Components of pure
shear may complicate this general rule. The foliation in a
foliated cataclasite may originate as a fabric along any of the
above shears, or as a P-foliation in a gouge zone (Plate 8).
2.8 Microfracture surface features
Microfracture surfaces may show a variety of microstructures
that convey useful information about cataclastic deformation.
Intact specimens of microfracture surfaces can be easily ob-
served under a binocular microscope, and at greater magni-
fication in the SEM. It is also useful to examine the cross-
20
sections by cutting thin sections perpendicular to the micro-
fracture surface, preferably parallel and perpendicular to the
slip direction.
There is a rich field of microscopic studies on extension
microfracture surfaces in the material science literature (e.g.
Bansal 1977, Quakenbush and Frechette 1978, Michalske
and Frechette 1980) which suggests that fracture surface fea-
tures could be used to reveal rates of fracture propagation and
even fracture stresses (e.g. Scholz 1972, Martin and Durham
1975, Swanson 1981, Norton and Atkinson 1981, Meredith
1983, Cox and Atkinson 1983). Surface microfracture fea-
tures such as mirror, mist, velocity hackle and forking, and
Wallner lines, which are known to be diagnostic of dynamic
microcrack propagation in glass, have not been found on frac-
ture surfaces in rocks. This has been taken to indicate that
the studied rock fractures were never dynamic (Kulander and
Dean 1995). This conclusion is supported by observations
such as irregular rib marks that imply stable propagation at
low velocities, again by analogy with glass.
A shear microfracture with a smooth or shiny surface is
a slickenside, which is commonly marked by parallel lines
known as slickenlines or slickenside striations. Many slick-
ensides are the surfaces of microfaults formed during tec-
tonic deformation. The lines are parallel or tapering ridges or
grooves parallel to the slip direction. There may be more than
one set of slickenlines on a microfault surface in different dir-
ections. It is sometimes possible to distinguish overprinting
relationships between different generations of slickenlines.
Probably the most common mechanism of slickenline
formation is asperity ploughing (Section 2.2.2), which can
be identified by the preservation of the asperity on one side
of the microfracture and a matching groove on the opposite
surface. The type of slickenline produced is called a wear
groove (Fig. 2.18), tool track or mark, or prod mark (Tija
1967, Hancock 1985). Ridges of gouge may be formed by
wearing down asperities or by accumulating gouge around a
hard particle: this mechanism is debris streaking. Erosional
sheltering occurs where a solid ridge of microfracture sur-
face is preserved in the down-slip direction of a particle. A
CHAPTER 2. CATACLASIS
category of slickenlines consists of equally developed ridges
and grooves with perfectly matching (or nested) profiles on
both sides of a slickensided surface (Means 1987). The ridge
and groove structure can be formed by localized shear asso-
ciated with a grain shape fabric, and the length of individual
ridges and grooves may be greater than the displacement on
the shear zone (Wil and Wilson 1989). Ridge and groove
structures can also be formed by inosculation of shear sur-
faces (C-surfaces) in an S-C mylonite (Section 7.5, Lin and
Williams 1992). Another type of slickenside which may also
be formed by continuous deformation consists of very fine
grained quartz (0.01 to ) with a strong crystallographic
preferred orientation (Power and Tullis 1989). The preferred
orientation may have resulted from orientated growth by dif-
fusive mass transfer through a solution during the interseis-
mic, low strain rate part of the seismic cycle.
Microfracture surfaces may be offset along discontinuit-
ies approximately perpendicular to slickenlines, known as
risers or steps (Fig. 2.19). Risers are generally less dense
and coarser features than slickenlines, and are commonly
more irregular. They may be approximately linear or cres-
cent shaped. Risers are described as incongruous if the off-
set opposes the direction of movement of the opposite block,
and congruous if the opposite is true. Crystal fibres on fault
surfaces are known as slickenfibres, and risers created by the
crystal terminations are accretion steps (Norris and Barron
1968). They are identified by the presence of fibres that are
commonly monocrystalline. Risers may form either by ini-
tial irregularities in the fault surface, or by the intersection of
secondary fractures with the fault surface. Possible geomet-
ries of secondary fractures can be separated into P fractures,
R, T and fractures using the same terminology as intro-
duced above for gouge zone features (Petit 1987). Slicken-
fibres form by crystal growth in the dilatant gap adjacent to
congruous risers.
CHAPTER 2. CATACLASIS 21
22
2.9 Crystallographic fabrics
Experimental studies have shown that crystallographic fab-
rics can be produced by cataclasis (e.g. Borg and Maxwell
1956, Borg et al. 1960). Crystallographic fabrics in feld-
spars have been produced by slip and rotation on multiple
grain-scale faults (Tullis and Yund 1987, 1992). The faults
are geometrically analogous to slip systems in intracrystal-
line plastic deformation (e.g. Allison and La Tour 1977, Sec-
tion 4.9). Cataclastically-formed crystallographic fabrics can
be distinguished from intracrystalline plastic fabrics by the
presence of multiple, grain-scale faults such as those illus-
trated by Tullis and Yund (1992).
2.10 Pre-lithification deformation mi-
crostructures and mechanisms
The microstructures of pre-lithification deformation, and
even the deformation itself, may be difficult to recognize. A
grain shape fabric can be produced by frictional grain sliding
and rotation, known as independent particulate flow (IPF) be-
cause the deformation is independent of fracture (Borradaile
1981). This deformation mechanism is sometime regarded
as separate from cataclasis, because there is no fracturing;
here, however, cataclasis is used in a broader sense to en-
compass IPF. High pore fluid pressures may be essential in
pre-lithification IPF (Knipe 1986, 1989, Maltman 1994). The
diagnostic feature of a grain shape fabric produced by IPF is
the absence of microcracks and lack of internal deformation
of grains, but intracrystalline plasticity can also be involved
during pre-lithification deformation (e.g. kinking in biotite;
Morrit et al. 1982). The fabric of scaly clays (e.g. Agar et al.
1988) may also be characteristic of pre-lithification deforma-
tion.
2.11 Pseudotachylites and frictional
melting
2.11.1 Characteristics
Pseudotachylite is a glassy or very fine-grained rock occur-
ring in veins and associated with deformation zones (Plates 9-
11). It generally consists of a dark matrix which encloses an-
gular to rounded fragments of the wall rock (Plates 9, 11).
The fragments are very poorly sorted and may have a high
clast/matrix ratio. Clasts in the range to 10 mm in
some pseudotachylites have a fractal PSD, with a fractal di-
mension of 2.5 (Shimamoto and Nagahama 1992). Quartz
and feldspar fragments may be more common in the pseudot-
achylite than in the wall rock, while hydrous minerals such
as biotite may be less common. Flow banding defined by
colour variations may be seen in the matrix (Plates 10, 11),
which may contain spherulites, dendritic crystals, crystal-
lites, and microphenocrysts, and may vary from opaque to
colourless and isotropic in thin section. Other microscopic
features include optically isotropic rims around clasts, em-
bayments of clasts, sub-microscopic crystals, and amygdales.
CHAPTER 2. CATACLASIS
Fine grained margins may occur at the contact with the wall
rock.
Pseudotachylite often occurs in planar veins a few mm to
1 m thick from which veinlets may branch and penetrate the
wall rock. Planar-convex lenses of pseudotachylite may oc-
cur on either side of the vein. The pseudotachylite may occur
in a volume between two parallel planar zones, and surround
large fragments of wall rock (e.g. Grocott 1981, Magloughlin
1989). The wall rock fragments can form a jigsaw-textured
breccia with pseudotachylite matrix. Joints may form perpen-
dicular to the vein walls. The pseudotachylite veins cross-cut
any earlier fabrics in the wall rock, and may contain frag-
ments of previously-formed pseudotachylite, indicating cyc-
lical generation (e.g. Sibson 1980, Passchier et al. 1990). All
these features may occur on outcrop to thin section scale.
2.11.2 Origin
The origin of pseudotachylite has usually been discussed in
terms of the two mutually exclusive hypotheses of crushing
(e.g. Wenk 1978) or frictional melting (e.g. Sibson 1977).
There is conclusive evidence that many pseudotachylites in-
volved frictional melting during faulting. The intrusive tex-
tures of pseudotachylite veins together with their flow band-
ing demonstrate that they formed in a fluid state. The spher-
ulites and dendritic crystals and crystallites formed by cool-
ing from a melt or from devitrification of a glass formed
by quenching, by analogy with structures formed in rapidly
cooled igneous rocks. The fine-grained margins of the veins
can be interpreted as chilled margins, and the joints perpen-
dicular to the veins walls can be interpreted as cooling frac-
tures (e.g. Camacho et al. 1995).
Some pseudotachylites have the same bulk chemistry as
their hosts, and the pseudotachylite composition may change
with that of the local wall rocks through which they pass (e.g.
Maddock 1986, Maddock et al. 1987), demonstrating that the
melt was locally derived and not transported by an intrusive
dyke. In other pseudotachylites, there is a consistent differ-
ence in the bulk chemistry of the pseudotachylite and wall
rock which can be interpreted by fusion of the lowest melting
point fraction of the rock. Preferential melting of the hydrous
mafic components of the host rock can generate a pseudot-
achylite matrix which is more mafic than the host rock, and
explains why hydrous and mafic minerals are less common in
the matrix than the host rock (e.g. Magloughlin 1989, Mad-
dock 1992, Camacho et al. 1995).
The localization of pseudotachylite on and near planar sur-
faces suggests that it is generated by sliding (hence these sur-
faces are called generation planes). The rounding of the frag-
ments may be due to thermal spalling. A link between slick-
ensides, slickenlines and pseudotachylite has been suggested
by Spray (1989) from observing mechanical excavation of
sandstone, which created thin layers of melt with shiny and
striated surfaces.
Pseudotachylite has also been successfully created in fric-
tional sliding experiments (e.g. Spray 1987, 1995). Fila-
ments of frozen melt drawn out across fractures “like warm
mozarella” are a delicate feature of experimentally-produced
pseudotachylite which has not so far been observed in tec-
tonic pseudotachylite, but could be a useful diagnostic fea-
CHAPTER 2. CATACLASIS
ture. The experiments resolve the controversy about the ori-
gin of pseudotachylites: both crushing and frictional melt-
ing are likely to be involved, depending on the strain rate
(Spray 1995). Crushing occurs in experiments at strain rates
of and melting at strain rates from to
The passage of seismic or shock waves, with a rapid in-
crease in strain rate, may involve three sequential processes:
initial fracture, comminution, and melting when heat can
not be dissipated fast enough. Together with results from
thermal modelling, experiments show that pseudotachylites
should only form in dry rocks at relatively high temperatures,
because the presence of water decreases the effective stress
(Section 9.2.3) on the fault plane so that insufficient heat is
generated to melt the rock (e.g. Spray 1987, 1988). On the
other hand, Magloughlin (1989) has argued that pseudota-
chylites were generated from a hydrous cataclasite with a low
melting temperature. The permeability of the wall rocks is
an important factor in determining whether excess fluid pres-
sures can build up during faulting and suppress melting (Mase
and Smith 1985). Experiments confirm the widely held view
that pseudotachylites can form during seismic slip at strain
rates greater than
Some pseudotachylites are associated with features such
as craters, shatter cones and shock metamorphism which
show that they have been produced during meteorite impacts,
for example the Vredefort Dome in South Africa, from where
Shand (1916) first coined the term pseudotachylite, and
23
the Sudbury structure (Spray and Thompson 1994). Other
pseudotachylites have been described from the bases of large
landslides (e.g. Masch et al. 1985).
2.11.3 Misidentification
Veins of tourmaline, chlorite, ultracataclasite and fine-grained
igneous dykes can easily be mistaken for pseudotachyl-
ite. Passchier and Trouw (1996) suggest some microstruc-
tures that allow the distinction of pseudotachylite from other
types of veins. The diagnostic microstructures that identify
pseudotachylite as a melt in distinction from hydrothermal
veins are the quench and devitrification textures. The distinct-
ive chemistry, reflecting the wall rocks, is also diagnostic and
distinguishes pseudotachylite from ultracataclasites. Distinc-
tion from igneous dykes relies on evidence for faulting associ-
ated with the generation of pseudotachylite, and the different
chemistry of the dykes. Pseudotachylites should be distin-
guishable from ultramylonites by their lack of evidence for
extensive intracrystalline plasticity.
There are nevertheless many cases in which detailed evid-
ence must be sought to prove the origin of a pseudotachyl-
ite by frictional melting. It is a relatively uncommon rock
type in the field. The requirement of formation in hot anhyd-
rous conditions effectively limits the host rocks to igneous or
metamorphic rocks.
Chapter 3
Diffusive Mass Transfer by Solution
3.1 Introduction
Microstructures that show evidence for material removal,
transport and deposition without fracturing or lattice distor-
tion form by diffusive mass transfer (DMT). It is often diffi-
cult to identify positively the nature of the diffusive flux, and
the evidence for the role of a solution may be indirect. Nev-
ertheless, it is a safe generalization that up to amphibolite fa-
cies, by far the majority of DMT occurs via solution because
solid-state diffusion occurs very slowly at these temperatures
(e.g. Rutter 1983).
3.2 Fundamental deformation mech-
anisms of diffusive mass transfer
by solution
Diffusion of material occurs in response to gradients in chem-
ical potential, as summarized by Fick’s law which states that
the flux of the material (J) is proportional to the chemical
potential gradient
B is the particle velocity per unit potential gradient and c is
the concentration. The chemical potential of a component
is given by:
where U is the molar internal energy, T the temperature, S
the molar entropy, is the normal stress, is the pore
fluid pressure, and is the molar volume (e.g. Green 1980).
Therefore variations in normal stress and pore fluid pressure
can establish chemical potential gradients necessary for DMT
to occur; internal strain energy may also play a role (Wintsch
and Dunning 1985, Bell and Cluff 1989). The diffusion will
be from sites of high to low normal stress; a gradient in
normal stress is essential to cause material flux (Raj 1982).
Hence deformation accommodated by DMT through an in-
tergranular solute is often called pressure solution, despite
the fact that solubility itself is not significant to the thermo-
dynamics of DMT. However, recent experiments that demon-
strate a crystallographic dependence of solubility may pose
some problems for current pressure solution models based
on this thermodynamic approach (Becker 1995, Den Brock
1996).
24
The exact geometry of the diffusion path is still unclear.
Rutter (1976, 1983) has suggested that a water film on the
order of nm thick must be present along grain boundaries to
allow DMT to occur. This concept is supported by observa-
tions of arrays of fluid inclusions along grain boundaries in
naturally deformed halite, interpreted as evidence of a syn-
tectonic continuous film of fluid along grain boundaries that
subsequently healed into discrete fluid inclusions (Urai et al.
1986), and by observations of grain boundary pores which
probably formed in equilibrium with a fluid in quartz (Hip-
pert 1994). Alternatively, islands of solid material may sup-
port normal stresses and allow diffusion to occur in a solution
within intervening channels (Raj and Chyung 1981, Raj 1982,
Spiers and Schutjens 1990). It may be necessary for different
phases to be adjacent to each other for a continuous fluid film
to be present (Hickman and Evans 1991).
The undercutting mechanism proposed for pressure solu-
tion is completely different and does not require diffusion
in a solute film between surfaces under high normal stress
gradients (e.g. Bathurst 1958, Tada and Siever 1986). In this
mechanism, grain contact deformation occurs by intracrystal-
line plasticity or cataclasis, while dissolution of free surfaces
around the contacts maintains small contact areas and there-
fore the high stresses necessary for the solid-state grain de-
formation. The relative importance of solute film diffusion
versus undercutting depends on temperature, grain size and
free grain surface area. Calculations by Tada et al. (1987)
suggest that undercutting will provide faster strain rates un-
der most circumstances, but that solute film diffusion will be-
come important for very small free grain surface areas, as in
the final stages of compaction, and in dense aggregates.
The distribution of fluid in a rock, and therefore the effect-
iveness of pressure solution, is dependent on surface energy
(measured by the dihedral angle, ) and deformation. Fluids
with greater than 60° will occur as isolated pores at equi-
librium, as interconnected channels at triple grain junctions
for and along all grain surfaces for
(e.g. Watson and Brennan 1987). The first two cases clearly
constrain the potential for pressure solution because the dif-
fusion pathways are limited, and probably apply to fluids in
most static geological situations. However, experiments and
theory show that fluids can wet grain boundaries completely
under deformation, leading to enhancement of diffusion creep
by orders of magnitude (e.g. Urai 1983, Copper et al. 1989,
Heidug 1991, Tullis et al. 1996). Moreover, dihedral angles
may be a function of pressure and temperature, as established
CHAPTER 3. DIFFUSIVE MASS TRANSFER BY SOLUTION 25

by experiments on brines in halite, which show that the di-

hedral angle reduces below the 60° threshold at elevated pres-
sures and temperatures (Lewis and Holness 1996). Unfortu-
nately experiments also suggest that evidence for fluids along
grain boundaries may be rapidly removed after deformation
ceases.
DMT is often inferred from microstructures that show a
systematic relation to surfaces which may have been under
higher normal stress (e.g. surfaces parallel to a shape fab-
ric). However, it is the principal strains which are apparent
from most microstructures, and thus there is always an ambi-
guity about interpreting DMT from the such microstructures
(cf. Groshong 1988). The above inference relies on an as-
sumption that the principal stress and strain axes are parallel,
which will be true for coaxial deformation. In this chapter,
finite shortening and extension directions will be emphas-
ized because they can be inferred from the microstructures.
Any links made between DMT microstructures and principal
stress orientations or gradients in normal stress must involve
some assumptions about the nature of the deformation, such
as coaxiality.

3.3 Grain surface solution textures

Solution creates distinctive grain surface textures which are
clearly observed in the scanning electron microscope. The
typical texture consists of pits on the grain surface, giving a
corroded appearance. Irregular pores with channel and cave
morphologies 1 to long and deep have been
described in a naturally deformed micaceous quartzite (Hip-
pert 1994); similar channel morphologies have been produced
during experimental deformation of quartz by DMT (Den
Brock and Spiers 1991). Atomic-scale details of the solu-
tion process can be seen using atomic force microscopy (e g.
Gratz et al. 1991).This technique shows that calcite dissolu-
tion and precipitation occurs in layers, and that solution gen-
erates crystallographically-controlled etch pinholes less than
5 nm deep, and rhombic etch cores more than 90 nm deep
(Hillner et al. 1992). Quartz solution occurs along nm-sized
pits and ledges parallel to the and directions
(Gratz et al. 1991).
3.4 Indenting, truncating and inter-
penetrating grain contacts
Grain contacts affected by DMT are distinctive. Where two
grains of similar composition and orientation but with differ-
ent shapes are in contact, the grain with the smaller radius of
curvature typically penetrates into the grain with the larger ra-
dius of curvature (Figs. 3. la, 3.2), creating an indenting grain
contact. A flat or slightly curved contact is observed between
similar grains with approximately equal radii of curvature.
Such truncating contacts are common on longer edges of
grains which are parallel to any shape fabric (Fig. 3.3). Ma-
terial removal is demonstrated by truncation of the original
grain shape (Plate 12). The amount of material removed can
be estimated by reconstructing the missing grain boundaries
(Fig. 3.1b; Onasch 1994). This can be done with reasonable
confidence in sediments with rounded grain shapes that al-
low the pre-solution grain shape to be accurately delineated.
Truncated contacts may appear superficially like flat contacts
formed by mutual concordance between overgrowths (Sec-
tion 3.9), but can be distinguished by the evidence for mater-
ial removal.
The formation of indenting or truncating grain contacts can
be understood from theoretical and photoelastic treatments of
the stress distribution in contacting grains. The values of the
principal stresses, and the mean and differential stresses, in-
crease with the radius of curvature, suggesting that DMT will
preferentially occur in grains with larger radii of curvature,
creating indenting grain contacts (e.g. McEwen 1981). Trun-
cating grain contacts are expected from approximately equal
rates of DMT between two grains of equal curvature.
Interpenetrating grain contacts are mutually interlocking
protrusions of grains into each other, which have a similar
morphology to microstylolites (Section 3.6), and indicate ma-
terial removal along the contacts (Figs. 3.1c, 3.4). Su-
tured grain contacts may look superficially like interpenet-
rating grain contacts, but these are formed by intracrystal-
line plasticity (Section 4.8). Sutured contacts can usually be
distinguished from interpenetrating contacts by the presence
of subgrains, which may form promontories along a sutured
contact that are slightly misoriented with respect to the lattice
of the rest of the grain (Fig. 3.1d). By contrast, interpenet-
rating contacts formed by DMT usually occur between grains
with uniform lattice orientations.
26 CHAPTER3. DIFFUSIVE MASS TRANSFER BY SOLUTION
CHAPTER 3. DIFFUSIVE MASS TRANSFER BY SOLUTION
3.5 Strain caps
Strain Caps are strongly foliated domains enriched in micas
or less soluble minerals around opposite surfaces of relatively
rigid objects (Passchier and Trouw 1996). The foliation trace
in the strain cap is concordant with the margins of the object,
and grades into continuity with the bulk rock foliation with
increasing distance from the object, so that it appears to be
deflected around the object (Plate 13). The concentration of
less- soluble minerals such as micas in strain caps suggests
that they form by removal of the more soluble matrix around
the rigid object, which can be predicted from the thermody-
namic considerations above, since the object will concentrate
normal stress on some surfaces due to its greater rigidity.
3.6 Microstylolites
3.6.1 Characteristics
Microstylolites are microscale discontinuities with offset or
wave-like shapes that may truncate grains or other mark-
ers such as bedding planes or fossils (Fig. 3.5, Plate 14).
Microstylolites are readily observed under the microscope,
and have most features in common with mesoscale stylolites.
Individual protrusions on a microstylolite are called teeth
or columns, which may have flat crowns at the top and
steep walls along their sides (Fig. 3.5). The offset or wave-
like geometry is observed in all sections, showing that the
three dimensional shape is a forest of columns and match-
ing pits approximately perpendicular to the plane of the mi-
27
crostylolite. Microslickolites are distinguished from micro-
stylolites by having teeth that are oblique to the plane. The
oblique teeth create a lineation on the microslickolite surface.
Microstylolites may follow grain boundaries, especially of in-
soluble grains. Microstylolites can be conspicuous because
of coatings or fillings of iron oxides, hydroxides, phyllosilic-
ates (which may have a strong grain shape fabric) or organic
matter, which distinguish them from the wall rock. The thick-
ness of the filling is commonly highly variable. The morpho-
logical classification of cross-sections through stylolites by
Guzetta (1984) into sharp peak, rectangular, wave, smooth
and composite types is useful for microstylolites (Fig. 3.6a,
Plate 15). Parameters for describing microstylolites quant-
itavely are shown in Fig. 3.6b (from Andrews and Railsback
1997).
3.6.2 Formation and propagation
The geometrical similarities between stylolites and micro-
stylolites suggests that they have the same genesis. The dis-
cussion in this section refers to sylolites, because most previ-
ous work has focussed on the mesoscale features.
Truncation of markers is direct evidence that material has
been removed along a stylolitic surface. The minimum thick-
ness of material removed along a stylolite is approximately
twice the amplitude, or the height of the teeth (Tada and
Siever 1989). The walls of the teeth are parallel to the direc-
tion of movement between the opposite sides of the stylolite.
Railsback and Andrews (1995) have shown that the orienta-
tion of teeth is more constant than the orientation of the plane
28
of the stylolite, and is useful for kinematic analysis because
it shows the direction of maximum finite shortening. The ob-
liquity of the teeth of slickolites shows that there has been
a component of shortening parallel to the slickolite surface
(Fig. 3.6c).
The coatings or fillings on stylolite surfaces are usually in-
terpreted as insoluble residues that did not diffuse and were
concentrated at the sites of solution. The relative insolubil-
ity of these coatings is good evidence that diffusion was via
solution. This is further supported by a correlation between
the thickness of the coating and the concentration of this ma-
terial in the adjacent layers of rock (e.g. Borradaile et al.
1982), and by the influence of heterogeneities on the stylolite
trace, which show that solution was concentrated in areas
of higher inferred normal stress, and was impeded by insol-
uble material. The concentration of insoluble material on a
stylolite surface compared to its concentration in the host rock
can be used to give an estimate of the amount of shortening
(Railsback and Andrews 1995). However, in some cases the
stylolite filling material is not found in the host rock, and is
therefore the product of metamorphic reactions (Beach 1979).
Reaction products can also mark grain boundaries to indicate
where fluid transport has occurred (McCaig 1987).
A stylolite can be regarded as an anticrack, or an ellips-
oidal volume removed from the rock (Fletcher and Pollard
1981). If the resulting hole is closed up by elastic deform-
ation, stresses are induced around the anticrack tip, which
cause the stylolite to propagate in its own plane. Therefore
a stress concentration under the appropriate conditions is suf-
CHAPTER. 3 DIFFUSIVE MASS TRANSFER BY SOLUTION
ficient to cause a stylolite to develop and propagate under its
own stresses. Anticrack tip stresses may be dissipated in a
zone at the stylolite tip which can be referred to as a process
zone, analogous to the non-linear zone ahead of a microcrack
tip (Section 2.2.1.1). Carrio-Schaffhauser et al. (1992) found
evidence for a process zone in the form of enhanced poros-
ity at stylolite tips in limestones, and suggested that material
removed from the process zone was deposited in a zone of
reduced porosity adjacent to the stylolite.
Stylolites may form on previous fracture surfaces (e.g.
Petit and Matthauer 1995, Railsback and Andrews 1995).
Stylolites and pressure solution features may be localized
along authigenic clay layers and around pre-existing phyllo-
silicates. The proposal that contacts between different phases
are necessary for continuous fluid films (Hickman and Evans
1991) suggests a good reason for enhanced DMT around
phyllosilicates, and may also apply to the formation of strain
caps.
3.7 Diffusive mass transfer and cleav-
age
3.7.1 Classification
Diffusive mass transfer via solution is an important and even
dominant deformation mechanism in cleavage formation.
Unfortunately there has been a strong tendency to invoke
genetic nomenclature for cleavage formation (e.g. solution
 CHAPTER 3. DIFFUSIVE MASS TRANSFER BY SOLUTION
cleavage), which hinders discussion about deformation mech-
anisms, but Powell (1979) and Borradaile et al. (1982) give an
excellent alternative, non-genetic classification, which is fol-
lowed here. The main subdivision is made between spaced
cleavage, consisting of cleavage surfaces that are separated
by tabular bodies of rock called microlithons, and continu-
ous cleavage, in which cleavage is penetrative throughout the
whole body of the rock. Since most cleavages are concen-
trated into domains at some scale, this distinction is evidently
scale-dependent. Powell (1979) suggests that any cleavage
with domains spaced less than 0.01 mm (i.e. at the limit of
optical microscopic resolution) should be called continuous
at a microscopic scale.
3.7.2 Spaced cleavages
Disjunctive cleavage
Disjunctive cleavage is a spaced cleavage in which the cleav-
age domains cut across the previous fabric of the rock
(Fig. 3.7). The cleavage surfaces may be smooth, rough (dis-
continuous) or wave-like, and in relation to each other they
may be sub- parallel, anastomosing, or trapezoidal/conjugate.
Their spacing may be controlled by the rock type. The width
of the cleavage domains may be a substantial proportion of
29
the rock, forming a zonal cleavage. Another important as-
pect of description is the transition from cleavage domains
to microlithons, which may be sharp or gradational. Many
cleavages referred to as solution cleavages belong in this cat-
egory. Disjunctive cleavage domains are often composition-
ally distinct from microlithons, having a higher proportion of
opaque minerals and phyllosilicates. Zonal cleavages with
marked compositional contrasts between cleavage domains
and microlithons constitute a new compositional layering,
which has been called solution striping (e.g. Williams 1972).
Truncation of markers in cleavage domains suggests that ma-
terial loss by DMT has occurred (Fig. 3.8), although shear
displacements on fractures may create a similar effect. Ma-
terial removal can be distinguished from the latter effect in
some cases by inconsistent offsets of a folded layer on sev-
eral cleavage surfaces, and large variations in thickness of a
marker in adjacent microlithons (Fig. 3.8). The amount of
material removal can be estimated from truncation of markers
and other effects such as imbrication of chert pebbles and off-
set of bedding. The volume loss may vary from a few percent
for a weak cleavage to over 35% for very strong cleavage in
cherts (e.g. Alvarez et al. 1976), and 30-40% for disjunctive
cleavage in coarse siltstones and sandstones (Murphy 1990).
Material transfer by diffusion can also be inferred from the
compositional contrasts between the cleavage domains and
the microlithons. A solution can be inferred as the diffusing
phase because of the relatively low grades of cleavage form-
ation.
Crenulation cleavage
This is a spaced cleavage in which microlithons contain an
earlier fabric that is systematically related to the fabric of
the cleavage domains. The cleavage domains are usually
axial planar to folds (crenulations) in the earlier fabric (Plates
16, 17). The crenulations may be symmetric or asymmet-
ric, and rounded or angular, and the transition from cleav-
age to microlithon may be sharp or gradational. The crenu-
lation wavelength may be determined by the thickness of fol-
ded layers as predicted by buckling theory (cf. Price and
Cosgrove 1990), or the grain size may dictate a minimum
wavelength. The cleavage domains are commonly localized
along the limbs of the folds, especially those associated with
asymmetrical folds, in which the cleavage domains are usu-
ally along only one of the two unequal limbs. Most crenu-
lation cleavages are zonal because the cleavage domains are
compositionally quite distinct from the microlithons. Phyl-
losilicates and opaques are concentrated in cleavage domains
and quartz, calcite and feldspar are concentrated in hinges.
While the essential role of buckling in crenulation cleav-
age formation is evident, the importance of DMT is clear
from the compositional zoning. Cleavage domains in typ-
ical crenulation cleavages are depleted in Si, Ca, Na,
P, Mg, Fe, and F, and enriched in Al, K, Rb, Y, Ce, Sc, and
Ba, and there is a net volume loss from the cleavage domains
that is approximately balanced by volume gain in the micro-
lithons (Manktelow 1994). The zoning can be explained in a
simplistic way by the normal-stress dependence of diffusion:
crenulation hinges, where the primary foliation lies at a high
angle to the maximum principal stress, may be sites of low
30
normal stress. It is also possible that anisotropy in diffusion
pathways may play an important role in the differentiation
during crenulation (Marlow and Etheridge 1977).
Other lines of evidence that can be used to show the import-
ance of DMT are the narrow widths of quartz and feldspar
grains in cleavage domains relative to microlithons, trunca-
tion of grains, the association of crenulation cleavage with
overgrowths and mica beards, and the lack of other deforma-
tion mechanisms (Gray 1977, Borradaile et al. 1992).
3.7.3 Continuous cleavage
The most characteristic continuous cleavage is slaty cleav-
age, defined as a preferred orientation of phyllosilicates too
fine to be seen with the unaided eye (Fig. 3.9). Slaty cleavage
commonly has cleavage domains with spacings of 0.1 mm
or less, which are easily visible under the optical microscope
or the SEM. Mechanical rotation of grains (cataclasis), kink-
ing (intracrystalline plasticity) as well as DMT are involved
in the formation of slaty cleavage (e.g. Wood 1974). Elec-
tron microscope studies show that phyllosilicates and quartz
are mobilized by DMT in the development of cleavage do-
mains (Knipe and White 1977,1979, White and Knipe 1978,
Knipe 1979). Structural studies using a variety of strain mark-
ers including reduction spots, trace fossils and grain bound-
aries suggest that slaty cleavage formation is accompanied
by volume loss (e.g. Ramsay and Wood 1973: 20%, Wright
and Platt 1982: 50%, Wright and Henderson 1992: 40-60%),
CHAPTER 3. DIFFUSIVE MASS TRANSFER BY SOLUTION
which must have occurred by DMT via solution at these meta-
morphic grades. However, bulk volume loss is not permit-
ted by several geochemical studies on the same rocks, as dis-
cussed below (e.g. Erslev and Ward 1994).
Slaty cleavage domains are dominated by phyllosilicates,
resulting in increased K, Al, Ti, Ba, and U, Na, Ca, Mn, Mg,
Fe, and Si are often depleted due to the loss of albite, carbon-
ate, quartz and feldspar (Borradaile et al. 1982). The depleted
elements may be redistributed by DMT into microlithons,
suggesting that there is little bulk volume change in the rock
(e.g. Groshong 1976). Large-scale volume fluxes are also un-
likely at low grades because average shale and slate compos-
itions are very similar (Erslev and Ward 1994). The reasons
for the contradiction between this conclusion and the large
volume losses suggested by the structural studies is presently
unclear. Whether or not large scale volume changes accom-
pany cleavage formation, the pronounced local compositional
differentiation is clear evidence that DMT processes are es-
sential to slaty cleavage development.
3.8 Grain surface deposition textures
Crystal growth from solution occurs by two different mech-
anisms with different microstructures (Bennema and van der
Eerden 1987). Atomically flat crystal faces first nucleate
steps to which atoms can attach, and growth then occurs by
accretion along the steps in crystallographically controlled
planes. Dislocations (Section 4.2) may provide important
CHAPTER 3. DIFFUSIVE MASS TRANSFER BY SOLUTION 31
32
nucleation sites for both growth and solution on crystal sur-
faces (e.g. Casey 1995). Above a critical temperature known
as the roughening transition, growth rates are isotropic, and
sub-spherical crystals may be produced. Deposition by the
first mechanism can be recognized from the euhedral nature
of grain surfaces seen under the microscope; the second may
be responsible for botryoidal textures.
3.9 Overgrowths, porosity reduction,
pressure shadows and fringes, and
mica beards
3.9.1 Characteristics
Overgrowths are mineral deposits surrounding a grain in a
rim. The rim and grain are usually the same mineral. The rim
is commonly in crystallographic continuity with the grain,
and may therefore be difficult to detect. The overgrowth
may, however, be separated from the original grain by a zone
of inclusions (Fig. 3.10), and CL can distinguish subtle fea-
tures of overgrowths (Plate 18). A distinctive microstructure
formed by overgrowths in well cemented rocks are relatively
straight grain boundaries and 120° triple junctions between
three grains (Fig. 3.11a). This texture arises from mutual im-
pingement of overgrowths growing at equal rates from adja-
cent grains. It can easily be confused with granoblastic poly-
gonal textures (Section 5.4) unless the overgrowth can be dis-
tinguished from the grain.
CHAPTER 3. DIFFUSIVE MASS TRANSFER BY SOLUTION
Porosity reduction may occur by mechanical compaction,
solution and precipitation: the latter two are DMT processes,
and they can be recognized by the loss of material at strain
markers and the precipitation of cements in pores in the form
of overgrowths (e.g. Carrio-Schaffhauser and Gaviglio 1990).
Crystal growth in pore spaces typically results in a convoluted
pore-grain interface which is a fractal curve. Models suggest
that the fractal dimension of the curve increases with the ra-
tio between precipitation and dissolution rates, and also in-
creases from about 2.5 to about 2.75 in natural sandstones as
porosity reduces during diagenesis (Aharonov et al. 1997).
Pressure shadows and fringes are domains of secondary
mineral growth adjacent to grains (Plate 19). Pressure shad-
ows lack distinctive internal crystal forms, while pressure
fringes have fibrous mineral fillings. Mica beards are a dis-
tinctive type of pressure fringe, consisting of fibrous mica de-
fining a good shape fabric. Passchier and Trouw (1996) prefer
to use strain instead of “pressure” on the basis that it is non-
genetic; however, they point out that the term strain shadow is
also potentially misleading as it incorrectly implies that strain
is low in the shadow zone. Analysis of steady-state pure shear
around a rigid sphere shows that there are two volumes of low
pressure at the ends of the object perpendicular to the max-
imum applied stress, but that differential stress and strain are
high in these areas (Masuda and Mizuno 1995). With this in-
sight, and since pressure shadow is so firmly entrenched in
the literature, it is probably the better choice of terminology,
despite its genetic connotations.
The mineralogy in a pressure shadow or fringe may be the
same as the grain, the same as the matrix, or different from
CHAPTER 3. DIFFUSIVE MASS TRANSFER BY SOLUTION
both. Crystallographic continuity may be maintained with
the grain, host, or neither. Fibres may be perpendicular to
the grain boundary or oblique. They may be found on more
than two sides of polyhedral grains. Fibres may be straight,
curved, deformed or undeformed. All of these basic aspects
of pressure shadow and fringe description are important in
interpreting the mechanism of formation.
3.9.2 Mechanisms
Pressure shadows and fringes are considered to form by DMT
because they are a new mineral growth under low grade con-
ditions. Diffusion towards sites of low mean stress is pre-
dicted by the thermodynamic approach of Section 3.2, which
explains why pressure shadows and fringes form at the ends
of grains perpendicular to the inferred maximum principal
stress.
However, the geometry of the pressure shadows and fringes
is controlled by a number of other factors including strain,
grain shape, whether growth occurs at the grain interface (an-
titaxial) or the matrix interface (syntaxial), whether the ori-
entation of fibres is controlled by the grain surface (face con-
trolled) or the incremental extension direction (displacement
controlled), and whether the shadows or fringes are deformed
or not. Some of these factors are illustrated for a coaxial
deformation in Fig. 3.12. Given due consideration of these
factors, fibres can be used to deduce the extensional strain,
the deformation path, and the type of flow, as discussed be-
33
low for fibrous microveins (e.g. Durney and Ramsay 1973,
Elliot 1973, Ramsay and Huber 1983, Passchier and Trouw
1996). The use of fibres as shear sense indicators is discussed
in Section 7.7.
3.10 Grain shape fabrics
Grain shape fabrics are a common DMT microstructure.
They may form by material removal in the shortening dir-
ection (e.g. indenting, truncating or interpenetrating grain
boundaries), and by material addition (e.g. overgrowths)
in the extension direction (Fig. 3.11b). Grain shape fabrics
have been produced experimentally by DMT (e.g. Schutjens
1991). Lack of microfractures distinguish DMT grain shape
fabrics from cataclastic grain shape fabrics, and the lack
of undulatory extinction, sub-grains or recrystallized grains
(Chapter 4) distinguishes them from intracrystalline plastic
grain shape fabrics.
3.11 Fluid inclusion planes
Fluid inclusions consist of nm to mm sized cavities filled by
fluids, which may also contain solid material. They occur
as isolated inclusions, in clusters, and in planes. They are
common in thin section, where they may appear as dark in-
clusions which reveal their fluid contents on examination at
higher magnifications. The most common fluids are aqueous,
saline or with possible admixtures of
sulphur compounds, or more complex hydrocarbons.
An important distinction is made between primary fluid in-
clusions that form during growth of the original minerals of
a rock, and secondary inclusions that form subsequently (e.g.
Roedder 1984). Primary inclusions can be recognized be-
cause they are disposed on euhedral crystal forms, whereas
secondary inclusions cut across crystal growth features.
Fluid inclusion planes (FIPs) are planes of fluid inclusions
that often have a strong preferred orientation on a microscopic
scale, and may also have regionally consistent orientations
(Fig. 3.13, Fig. 2.5).
The fluids in any set of FIPs are generally composition-
ally homogeneous, and may be distinct from fluids in other
sets of FIPs that occur in the same rock. FIPs form by trap-
ping of a fluid during precipitation of microcrack fillings.
The microcracks are usually extension microcracks formed
by the mechanisms described in Section 2.3. Healing of mi-
crocracks in quartz can occur as rapidly as micrometres/day
(Smith and Evans 1984). The healing rate depends on tem-
perature, concentration of the fluid, and microcrack di-
mensions (e.g. Brantley 1992). Healing leaves a plane of
cylindrical or spherical fluid inclusions along the former mi-
crocrack, firstly by forming cylindrical tubes of fluid paral-
lel to the microcrack tip (necking down), and pinching off or
ovulation to form approximately spherical or negative crys-
tal shapes (Fig. 3.14). Isolation of spheres occurs because
grain boundary migration rates depend on the thickness of
the fluid phase (the microcrack can be considered as a type
of grain boundary): slower migration rates occur in thicker
fluid films. A local thickening of the microcrack will slow
34 CHAPTER 3. DIFFUSIVE MASS TRANSFER BY SOLUTION
CHAPTER 3. DIFFUSIVE MASS TRANSFER BY SOLUTION
the grain boundary migration rate at that point, isolating a
fluid inclusion behind the rest of the more rapidly migrating
boundary (e.g. Urai 1983). FIPs are primary evidence for
the importance of fluids and DMT during deformation. They
form perpendicular to and can be very useful in kinematic
analysis, because they can constrain both the orientation of
and the fluid pressure (e.g. Lespinasse and Cathelineau
1995). They can also give evidence for fluctuating fluid pres-
sures associated with stress cycling and therefore probably
with earthquake faulting (e.g. Robert et al. 1995).
3.12 Microveins
Microveins are microscopic tabular zones of secondary min-
eral growth. The rich variety of microvein textures observable
under the microscope can allow very detailed interpretations
of their formation. CL is valuable for analysis of microveins,
because variations in fluid chemistry and temperature during
microvein filling can be reflected in the luminescence, delin-
eating delicate growth features (e.g. Dietrich and Grant 1986,
Urai et al. 1991).
One of the most important features of a microvein is the
orientation of the opening vector, the vector which connects
points that were originally joined before microvein opening.
The opening vector may be perpendicular to the wall (an
extension microvein) or have components of displacement
both perpendicular and parallel to the walls (a shear micro-
vein). The opening vector can be determined from displaced
markers, or from some features of microvein fillings, as de-
scribed below. The opening vector can be considered for the
net opening history of the microvein (the cumulative open-
ing vector) or for individual increments of opening (the in-
cremental opening vector).
Common microvein fillings are carbonates, quartz, chlor-
ite and epidote. The texture of the filling may be massive,
equant (blocky; Plate 20), fibrous, laminated, euhedral (idio-
morphic), or botryoidal. Filling textures are a function of nuc-
leation and growth kinetics, the rate of microvein opening, the
geometry of the opening vector and the geometry of the walls.
Euhedral crystal terminations and botryoidal textures are dia-
gnostic of growth into open space, and are useful in ore par-
agenetic studies for discriminating epithermal environments.
Euhedral crystal faces can be recognized by growth zoning in
the crystal, which may be defined by fluid or solid inclusions.
Wilson (1984) suggests that considerable variation in crystal
35
orientation and grain size is characteristic of such “free-face”
growth.
In addition to the major filling phases, many microveins
also contain inclusions of the same mineralogy as the wall
rock. Lines of inclusions parallel to the microvein margins
are known as inclusion bands, while those at higher angles to
the margins are inclusion trails (Figs. 3.15, 3.16).
Inclusion bands and trails may form by two mechanisms:
overgrowth of wallrock fragments, and fracturing of the wall
rock followed by incorporation of fragments into the filling.
The latter mechanism may occur where irregularities on mi-
crovein walls obstruct opening, and must be broken off for
opening to occur (e.g. Urai et al. 1991). The presence of
numerous inclusion bands is evidence for a cyclic process of
microcrack opening followed by filling, a process known as
crack-seal (Ramsay 1980). Each inclusion band represents
one cycle. The width between inclusion bands is
for many rock types, and there may be up to thousands of
bands in a microvein (Ramsay and Huber 1987). Inclusion
trails are markers of the position of particular points on the
microvein margin at successive opening positions: they are
therefore parallel to the opening vector (Fig. 3.15b).
Paradoxically, microstylolites sub-parallel to microvein
margins have also been described, particularly along inclu-
sion bands (e.g. Cox 1987). The shortening demonstrated
by such microstylolites could be part of the crack-seal cycle
if fluid pressures decreased to less than lithostatic in part of
the cycle, causing the microvein to close and experience com-
pressional stress. These microstylolites may also be due to a
later deformation, unrelated to the microvein formation.
Laminated microveins have planar bands, often composed
of phyllosilicates, sub- parallel to the margins. The bands
36 CHAPTER 3. DIFFUSIVE MASS TRANSFER BY SOLUTION
 CHAPTER 3. DIFFUSIVE MASS TRANSFER BY SOLUTION
may form as inclusion trails where the opening vector has a
large component parallel to the margin (Cox 1987). In this
situation there is no distinction between inclusion trails and
bands.
Fibrous microveins are particularly rewarding for kin-
ematic interpretation. Fibrous fillings are common and form
by progressive microvein opening at a rate that can be
matched by crystallization of the filling. Fibres can grow
by at least five different filling sequences: these need to be
carefully established before kinematic interpretations can be
made. Syntaxial growth means growth from the wall rock
towards the microvein centre on both sides of the fracture
(Fig. 3.17a, Plate 21). The diagnostic features of syntaxial
growth are two separate bands of fibres on either side of a
central suture. The fibres are not continuous across the suture.
The microvein fill is similar to the wall rock and may be in
crystallographic continuity with it. Fibre widths generally in-
crease in the direction of growth due to competition between
fibres, which ensures that the faster growing and therefore
larger fibres overgrow and eventually isolate the slower and
smaller fibres from the precipitating solution (e.g. Smith
1964). Therefore in syntaxial growth, fibre widths may in-
crease towards the suture. By contrast, antitaxial growth oc-
curs from the microvein towards the wallrock, and may occur
symmetrically on both sides of the microvein (Fig. 3.17b) or
asymmetrically on only one side (Fig. 3.17c, 3.18). The dia-
gnostic feature of antitaxial growth is fibre continuity across
the microvein. Antitaxial growth is characterized by fillings
of different material from the wall rock, and no crystallo-
graphic relationship between the filling and wall rock. Sym-
37
metric antitaxial growth may result in a median line of inclu-
sions along the centre of the microvein, unlike asymmetric
growth. Fibre widths can also be used to distinguish sym-
metric growth (fibre widths increase symmetrically in two
opposite directions towards the wall rock) from asymmetric
growth, in which the widths increase unidirectionally across
the microvein. Composite growth means both syntaxial and
antitaxial protions in the same microvein (Fig. 3.17d). Non-
systematic growth (“ataxial” - Passchier and Trouw 1996)
histories may involve fracture at any point in the crystal
fibres, which are termed stretched crystal fibres by Durney
and Ramsay (1973). They exhibit none of the systematic fea-
tures described for the other four categories of growth above
(Fig. 3.17e), and the sides of the fibres have distinctive in-
terlocking teeth, dividing then fibres into tablets (Plate 22).
The lack of directional growth indicators (e.g. fibre widening
direction) in these microveins is diagnostic.
In many fibrous microveins, the fibres grow parallel to the
incremental opening vector: Such tracking or displacement-
controlled fibres can be used to deduce incremental strain
histories with great effect. They can be recognized because
fibres connect markers across the microvein, because they
are parallel to inclusion trails (Urai et al. 1991), or because
they have a constant orientation between microvein walls of
variable shape (Plate 23). The strain history deduced from
the fibres can be plotted on a diagram showing rotation of
the incremental strain on the horizontal axis against strain on
the vertical axis (a cumulative incremental strain history or
cish diagram, e.g. Fisher and Anastasio 1994, Hedlund et al.
1994).
38 CHAPTER 3. DIFFUSIVE MASS TRANSFER BY SOLUTION

occurred. Inclusion trails may be used to distinguish track-

ing and non-tracking fibres in this case. Non-tracking growth
occurs because fibre growth directions are determined by the
orientation of the growth surface, like face-controlled pres-
sure fringes. Fibre boundaries are either perpendicular to the
growth surface (Fig. 3.19), or along the bisector of two ad-
jacent growth surfaces. The fibre boundaries have no fixed
relationship to the opening vector. The tracking efficiency,
or degree of match between the opening vector and the fibre,
is determined by the angle between the opening vector and
the growth surface and the shape of the growth surface
(Fig. 3.19, Urai et al. 1991). These fibres can only be par-
allel to the opening vector when when the tracking
efficiency is 1.
Fibres in microveins with any of the above growth histor-
ies are often curved. The curvature can be primary (formed
during crystal growth), or secondary (due to subsequent de-
formation). Primary curvatures can form in both tracking and
non-tracking fibres due to rotation of the incremental open-
ing direction with respect to the previously formed part of the
fibre, and can be recognized because the curved fibres show
no evidence of strain or recovery.
All low-temperature microvein fillings form by precipita-
tion from solution, and are therefore excellent evidence for
DMT via solution. Microveins are a conspicuous feature of
greenschist-facies and lower grade deformation because both
Non-tracking fibres do not track the incremental opening
cataclasis (fracture) and DMT via solution are required for
vector (e.g. Durney and Ramsay 1973). Non-tracking
their formation. At higher grades, other deformation mech-
fibres can be recognized because they do not connect
anisms operate, and microvein textures have low preservation
markers across the microvein (Fig. 3.19). However, markers
potential because of recrystallization.
may not be connected even by tracking fibres if a micro-
vein has an early history of shear displacement before filling
Chapter 4
Intracrystalline Plasticity
4.1 Introduction
Permanent distortion of a crystal lattice without fracture oc-
curs by intracrystalline plasticity. The definitive feature of
all intracrystalline plastic deformation mechanisms is the in-
volvement of dislocation motion (Section 4.2), but solid state
diffusion (Chapter 5) is an integral part of some mechanisms
considered in this chapter. Intracrystalline plasticity has a
long history of research and a vast literature, particularly in
the materials science field, which is necessarily rather con-
densed in this chapter. Useful references that provide more
explanation and detail are Hull (1975) and Nicolas and Poir-
ier (1976).
4.2 Fundamental mechanisms of in-
tracrystalline plasticity
A dislocation is one type of imperfection or defect in a crystal
lattice. A useful way to understand dislocations is to imagine
cutting into the lattice, stretching the lattice apart along the
cut, and inserting an extra plane of atoms into the cut. The
dislocation is the line along the edge of the extra plane of
atoms (Fig. 4.1). The stretching of the lattice to accommod-
ate the extra atoms causes a distortion, the orientation and
size of which is measured by the Burgers vector which
can be perpendicular to the dislocation line (an edge disloca-
tion), parallel to the line (a screw dislocation) or oblique (a
mixed dislocation) (Fig. 4.1). If has a magnitude of one
lattice unit, the dislocation is described as perfect, but par-
tial dislocations have with magnitudes of fractions of lat-
tice units. The lattice distortion causes a stress field around
the dislocation, and is one way of storing strain energy in the
crystal. A direct image of dislocations can be obtained in the
transmission electron microscope (TEM) where they usually
appear as dark lines (Fig. 4.2). They can also be revealed
by the technique of etching, in which a flat crystal surface
is exposed to acid, creating a small depression (etch pit) at
the intersection of a dislocation with the surface of the crys-
tal. The etching occurs due to dissolution which is enhanced
by the lattice distortion and strain energy of the dislocation.
The density of dislocations can be used to measure past stress
fields (Section 9.8.4). Movement of a dislocation is accom-
plished by breaking bonds in the intact lattice ahead of the
dislocation and re-forming the bonds behind the dislocation,
causing it to advance through the lattice (Fig. 4.3).
39
Dislocations move along planes in the crystal called slip
planes, in a direction within the plane known as the slip dir-
ection; this process is called dislocation glide. The combin-
ation of the slip plane and slip direction is known as the slip
system, which is specified by the crystallographic orientations
of the slip planes and directions. For example, slip along the
prism planes of quartz in the < a > direction is annotated by
Breaking bonds during glide requires en-
ergy, which can be provided by heat, so the stress necessary to
cause glide decreases with increasing temperature. Slip sys-
tems in some directions are more active than in others because
of anisotropy in crystal properties. The relative ease of glide
between different slip systems changes with temperature.
Glide is impeded by impurities in the crystal lattice, and
by the stress fields associated with other dislocations. These
obstacles may be overcome by dislocations changing their
slip plane. Screw dislocations can accomplish this by a pro-
cess called cross-slip (Fig. 4.4). Edge dislocations can change
their slip plane if a lattice vacancy replaces the last atom in the
half-plane of the dislocation (Fig. 4.4). This process of dis-
location climb therefore involves diffusion, although it is an
intracrystalline plastic deformation mechanism because dis-
location motion occurs. Deformation by a combination of
dislocation glide and climb is called dislocation creep, and
occurs at higher temperatures, and lower strain rates than dis-
location glide (Nicolas and Poirier 1976).
4.3 Deformation twins
A twin is a region of a crystal that is rotated or reflected with
respect to the rest of the crystal (the host). Twins may form
during crystal growth or deformation: the latter are known as
deformation or mechanical twins. Growth twins are generally
straight and of constant thickness, but deformation twins have
variable thickness (thinning and branching towards the edge
of a crystal), and are commonly bent (Plate 24, Fig. 4.8). De-
formation twins are common in carbonates (where their mor-
phology is temperature-dependent; Section 9.9.2), and feld-
spars.
Deformation twins form by shear of the crystal lattice with
respect to the host lattice along the twin plane, together with
minor rearrangements of the twinned lattice points. The
twin plane is a mirror plane comprising an array of par-
tial or twinning dislocations. The strain due to twinning
can be measured, and deformation twins can also be used
to measure stress and temperature during their formation
40 CHAPTER 4. INTRACRYSTALLINE PLASTICITY
CHAPTER 4. INTRACRYSTALLINE PLASTICITY
(Sections 9.8.5, 9.8.9, 9.9.2).
4.4 Undulatory extinction
Undulatory extinction is visible in cross-polarized light when
a single crystal has variable extinction positions (Fig. 4.5).
The extinction position may change consistently from one
end of a crystal to the other, producing a continuous sweep
of extinction as the stage is rotated. Irregular patches of dis-
tinct extinction positions can occur, and sectors of different
extinction positions may radiate from the centre of the crystal.
Undulatory extinction is caused by distortion of the crystal
lattice by dislocations of a consistent orientation (Fig. 4.6a).
It forms at low strains during intracrystalline plastic deform-
ation, and as such it is a sensitive indicator of intracrystalline
plastic deformation.
4.5 Intracrystalline deformation
bands, kink bands and subgrains:
Recovery
Intracrystalline deformation bands are tabular low-strain do-
mains within crystals, separated from other parts of the crys-
tal along approximately planar boundaries across which there
is a slight change in lattice orientation. “Intracrystalline” is
used to distinguish these smaller scale features from cata-
clastic deformation bands (Section 2.5). Kink bands are sim-
41
ilar to intracrystalline deformation bands, but have sharper,
more planar boundaries. The change in lattice orientation
across an intracrystalline deformation or kink band may be
visible from changes in extinction position (Fig. 4.7) or
changes in the orientation of twin or exsolution lamellae in
feldspars or calcite (Fig. 4.8). Kinks are different from twins
because the change in orientation across a kink plane is not a
fixed amount, and the kink plane is not a mirror plane.
Subgrains are seen under the microscope as areas within
grains of slightly different crystallographic orientation, separ-
ated by boundaries subparallel to crystal planes. The variation
in crystallographic orientation is visible in quartz as slight
changes in extinction position which affect discrete areas,
in contrast to the progressive change in extinction position
characteristic of undulatory extinction. Subgrains in quartz
are usually elongate parallel to the prism planes, which form
the subgrain boundaries (Fig. 4.9). Tabular subgrains thus
have a similar geometry to kink bands. An alternative pat-
tern in quartz consists of approximately square subgrains with
boundaries parallel to both prism and basal planes, known as
a chessboard pattern (Fig. 4.10). Basal subgrain boundaries
are only visible in grains with their c-axes subparallel to the
plane of the section, in contrast to prismatic subgrain bound-
aries. Lattices with high dislocation densities possess a large
internal strain energy (Section 4.2), which can be lowered
by dislocation movement into surfaces surrounding relatively
dislocation-free volumes (Fig. 4.6). This process of recovery
results in a microstructure of low-energy volumes (subgrains)
surrounded by walls across which there is a slightly different
lattice orientation: hence the walls are sometimes called low-
angle boundaries. Undulose extinction, deformation and kink
bands, and subgrains are a sequence of microstructures that
form with progressive strain, by generation and movement
of dislocations into low-angle boundaries (Fig. 4.6; White
1976). The change in lattice orientation across the bound-
aries, and the dislocation density in the boundaries, increases
with strain.
Subgrain boundaries are orientated approximately perpen-
dicular to the glide direction of the moving dislocations
and therefore the orientations of the subgrain boundaries
42 CHAPTER 4. INTRACRYSTALLINE PLASTICITY
CHAPTER 4. INTRACRYSTALLINE PLASTICITY 43
44 CHAPTER 4. INTRACRYSTALLINE PLASTICITY
CHAPTER 4. INTRACRYSTALLINE PLASTICITY 45
46 CHAPTER 4. INTRACRYSTALLINE PLASTICITY
CHAPTER 4. INTRACRYSTALLINE PLASTICITY
may change with temperature. Most natural quartz subgrain
boundaries formed in the stability field are pris-
matic, while in the stability field, both prismatic and
basal subgrain boundaries (chessboard pattern) form (Kruhl
1996). These observations do not fully agree with exper-
imental results, or with the suggestion that basal subgrains
are indicative of water-present deformation (Mainprice et al.
1986), but the observations are robust empirical evidence, al-
lowing the occurrence of chessboard patterns to be used as a
geothermobarometer (Section 9.9.4). The size of subgrains
can be used as a palaeopiezometer (Section 9.8.3).
4.6 Deformation lamellae
Deformation lamellae are crystallographically orientated
planar features wide (Drury 1993). Deforma-
tion lamellae can be seen under the optical microscope us-
ing a high magnification and a narrow diaphragm to en-
hance relief contrasts. In quartz, they have a slight extinc-
tion or refractive index contrast with the adjacent host grain
(Fig. 4.11), and they commonly have a sub-basal orienta-
tion, sub-perpendicular to prismatic deformation bands (e.g.
Spang and Van der Lee 1975, Drury 1993). Deformation
lamellae are commonly slightly curved, and have a single,
consistent orientation within a grain. They are known from
both experimentally and naturally deformed rocks, especially
in quartz but also in olivine and plagioclase (e.g. Den Brock
and Spiers 1991). The nature of deformation lamellae is enig-
matic: observations include slip bands, walls of tangled dis-
locations, twin boundaries and planes of glass (e.g. McLaren
et al. 1967, Christie and Ardell 1974, Twiss 1974). However,
TEM studies have shown that typical deformation lamellae
in quartz consist of elongate subgrains wide with a
sub-basal orientation bounded by curved dislocation
47
walls made up of well-ordered arrays of two to three sets of
dislocations (Blenkinsop and Drury 1988, McLaren 1991).
The change in orientation across the subgrain walls is less
than 2°. The lamellae may have high fluid inclusion densit-
ies, and variable dislocation densities which suggest a highly
recovered structure (Blenkinsop and Drury 1988). These de-
formation lamellae probably formed by recovery of disloca-
tion slip bands, which leads to a variable decrease in dislo-
cation density and precipitation of water in fluid inclusions
(Drury 1993). Deformation lamellae can be used as a crude
paleopiezometer (Section 9.8.6). Planar deformation features
(PDFs) are different type of planar feature caused by shock
metamorphism (Section 8.4, 8.11).
4.7 Grain shape fabrics and ribbon
grains
One of the most characteristic microstructures formed by in-
tracrystalline plasticity are flattened or elongated grains with
a preferred orientation, resulting in a grain shape fabric, or
shape preferred orientation (Fig. 4.12). The effect of move-
ment of dislocations through a crystal is to change its shape
towards that of the strain ellipsoid. Apart from the distortion
of individual grains, intracrystalline plastic grain shape fab-
rics can also form by coalescence of grains of similar orient-
ation during dynamic recrystallization (Section 4.8; Means
and Dhong 1982). Extreme strain can result in monocrys-
talline grains with very large aspect ratios known as ribbon
grains (Fig. 4.13); they may have intracrystalline plastic de-
formation features such as undulatory extinction or subgrains.
Grain shape fabrics can also be produced by both cataclasis
and DMT. Intracrystalline plastic grain shape fabrics can be
distinguished by their association with other intracrystalline
plastic microstructures.
4.8 New grains, core and mantle struc-
ture: Dynamic recrystallization
New grains, usually equant and strain free, are common
around and within larger original grains in moderately or
highly strained rocks. The new grains may have a strong crys-
tallographic fabric which is often systematically related to ad-
jacent older grains. The new grains may be concentrated in
a mantle that partly or completely surrounds the older grains,
described as core-and-mantle structure (Fig. 4.14), and they
may have similar sizes and orientations to adjacent subgrains.
These features are characteristic of dynamic recrystallization,
or recrystallization that occurs syntectonically. The lack of
strain in the new grains shows that they are at an advanced
stage of recovery. The new grains form by two main mech-
anisms: subgrain rotation (SGR), and grain boundary migra-
tion (GBM). SGR and GBM are structural transformations
which do not per se accommodate deformation, and therefore
they are not strictly speaking deformation mechanisms (Urai
et al. 1986), but merely structural rearrangements.
Movement of dislocations into subgrain walls during re-
covery causes progressive rotation of the subgrains (see
48 CHAPTER 4. INTRACRYSTALLINE PLASTICITY

previous section) leading to the formation of a new grain

(Fig. 4.15). The collection of dislocations into the sub-
grain walls may occur by subgrain walls sweeping through
the crystal, or by movement of the dislocations towards the
walls, and some GBM probably accompanies SGR (Urai et
al. 1986). There is a continuum between subgrains and new
grains formed by this process, so that the definition of a new
grain as distinct from a subgrain is somewhat arbitrary. A
generally used criterion is that the new grain lattice orient-
ation differs from its host by more than 10°, but other val-
ues have been used (e.g. Urai et al. 1986). SGR is read-
ily inferred from the coexistence of new, smaller grains with
subgrains of similar size within the older grains (Fig. 4.16).
Other diagnostic microstructures for SGR include clusters of
new grains with similar orientations, which they inherit from
a single parent grain (Urai et al. 1986), and the coincidence
of one or more lattice directions in adjacent subgrains. GBM
occurs by the movement of a grain boundary from one grain
into another, and finally by the closure of the boundary to
isolate a new grain in a different lattice orientation from the
host (Fig. 4.17).
The grain boundary migrates in response to an internal
strain energy gradient from a less-deformed grain with a
lower dislocation density to a more highly strained one. The
final closure of the boundary may be achieved by an in-
termediate stage consisting of a bridging subgrain bound-
ary that accommodates progressively more misorientation
(Means 1981). GBM can be recognized by the presence of
CHAPTER 4. INTRACRYSTALLINE PLASTICITY 49
50
new grains along grain boundaries, together with the serrated
and lobate shapes of grain boundaries (Fig. 4.18, Plate 25).
The characteristic shape of these grain boundaries, also called
sutured grain boundaries, is caused by the fact that the
boundaries migrate away from their centre of curvature (e.g.
Hirth and Tullis 1992). A bimodal distribution of grain sizes
may develop between the old and new grains (e.g. Lloyd
and Freeman 1994). New grains often develop where there
is large lattice distortion and changes in lattice orientation,
such as deformation bands and kink planes (Fig. 4.5). This
occurs because grain boundaries migrate more rapidly at a
misorientation of about 5°. Drury et al. (1985) emphasize
the importance of these special sites by proposing a third cat-
egory of dynamic recrystallization: sub-boundary migration,
which is defined as subgrain growth in areas with large gradi-
ents of strain and orientation. New grains also form in high
stress sites around porphyroclasts. The size of recrystallized
grains can be used as a paleopiezometer (Section 9.8.2).
Dynamic recrystallization in naturally-deformed quartz oc-
curs by either a mixture of 50% SGR and GBM (Fig. 4.19),
or by SGR alone (Drury et al. 1985). Both mechanisms may
be observed because they occur sequentially and cyclically
(Lloyd and Freeman 199la, b, 1994). Three regimes of dy-
namic recrystallization in quartz, depending on deformation
conditions, have been indentified from experiments (Hirth
and Tullis 1992). The Hirth and Tullis classification of dy-
CHAPTER 4. INTRACRYSTALLINE PLASTICITY
namic recrystallization in quartz is given in Table 4.1, and is
commonly applied to naturally deformed rocks.
4.9 Crystallographic fabrics
A crystallographic fabric, or lattice or crystal preferred ori-
entation (L or CPO) is a concentration of lattice orientations
in one or a limited number of directions. Crystallographic
fabrics can be recognized quickly under a optical microscope
by observing that many grains have the same extinction pos-
ition or interference colour. A useful way to detect the pres-
ence of a crystallographic fabric in more detail is to insert
the sensitive tint plate or a quarter-wavelength plate, which
distinguish the different optical axes and therefore provides a
more precise picture of the lattice orientations than extinction
position or interference colour. This is particularly useful for
quartz because of its low order interference colours. Detailed
measurements of crystallographic orientation are made with
the universal stage under the optical microscope, by electron
diffraction, channelling, and backscattering techniques under
the electron microscope, and by X-ray and neutron diffrac-
tion. Crystallographic fabrics can be produced in rocks by
at least four distinct mechanisms (e.g. Hobbs et al. 1976,
Mainprice and Nicolas 1989). The first two mechanisms, an-
isotropic crystal growth (Chapter 5.3) and rigid-body rotation
CHAPTER 4. INTRACRYSTALLINE PLASTICITY
of grains in a flowing matrix, can be recognised because in-
dividual grains are not deformed. A simple way in which
intracrystalline plasticity can produce a crystallographic fab-
ric is shown in Fig. 4.20, in which a grain is deformed by the
operation of a single slip system. As the grain rotates, the
slip plane becomes orientated normal to the finite shortening
direction and the slip direction rotates towards a bulk shear
plane (cf. Allison and LaTour 1977). Although this is a sim-
plified case, it illustrates that lattice reorientation can occur
by dislocation glide. Fourthly, crystallographic fabrics may
be created by recrystallization. The exact mechanism is un-
clear, but experiments demonstrate that the mechanism of dy-
namic recrystallization determines the type of LPO (Gleason
et al. 1993).
A great deal of work has gone into theoretical attempts to
predict crystallographic fabrics, and to compare them with
experimental results and natural LPOs (see reviews by Law
1990, Wenk and Christie 1991). The general development
of a crystallographic fabric by intracrystalline plasticity can
51
be understood through relatively complex models that allow
for multiple slip systems and make additional assumptions,
such as strain compatibility between grains, uniform stress,
or viscoplastic self consistent theory, which minimizes stress
and strain differences from an average value (e.g. Wenk and
Christie 1991). The work of Jessell (1988a, b, Jessell and
Lister 1990) for quartz incorporates effects of both the intra-
crystalline plastic mechanisms referred to above, lattice rota-
tion and recrystallization. These models show that the dom-
inant slip plane does not necessarily align with the bulk shear
plane, and the dominant slip direction is not necessarily paral-
lel to the shear direction, in contrast to the single slip system
model above. The simulations also show that the LPO is af-
fected by the type of flow during deformation, the finite strain
magnitude and type, and the temperature, which determines
what slip systems are active. Crystallographic fabrics carry
large amounts of structural information, and have been used
to analyze shear sense (Section 7.9), finite strain, and grade
of deformation.
Chapter 5

Diffusive Mass Transfer and Phase

Transformations in the Solid State
5.1 Introduction
Material removal, transport and deposition without fractur-
ing, lattice distortion or melting at metamorphic grades at
and above amphibolite facies suggest diffusive mass trans-
fer (DMT) in the solid state. The major evidence for solid
state as opposed to fluid assisted DMT is provided by phe-
nomena that can be explained in terms of known solid state
diffusion coefficients, including many metamorphic textures.
Recent experimental evidence suggests that a variety of trans-
formations, some involving DMT, may also be important de-
formation mechanisms in the solid state (Section 5.9). There
has been considerable recent discussion about the potential
tectonic importance of superplasticity, which involves a com-
posite solid-state deformation mechanism: these microstruc-
tures and mechanisms are described in the last section, 5.10.
ture without bond breaking and with minor shape
change. An example is the phase transition in
quartz.
2. Martensitic-like transformations are coherent transform-
ations involving dominantly shear strain. Important
geological examples include:
and
3. Coherent exsolution may involve both dislocation move-
ment and DMT to effect crystallographic and chemical
rearrangements. Exsolution of clinopyroxene from or-
thoenstatite is one of the best studied examples.
4. Order-disorder transformations occur by disordering of
cation site occupancies, for example in Mg spinels.

5.2 Fundamental deformation mech- 5.3 Grain shape fabrics and ribbon
anisms of solid state diffusive mass grains
transfer and phase transforma-
A grain shape fabric of unstrained grains is an important mi-
tions crostructure in metamorphic rocks at higher grades (Plate 26).
The grain shape fabric can be produced by anisotropic grain
DMT in the solid state may occur though the crystal lat-
boundary migration recrystallization, although the details of
tice by the movement of lattice defects. This is known as
the mechanism are not clear (e.g. Jessell 1987), and by aniso-
volume diffusion, and the resulting deformation is Nabarro-
tropic crystal growth (e.g. Shelley 1989a, b). Both of these
Herring creep (e.g. Nicolas and Poirier 1976). Coble creep
processes are important DMT mechanisms.
is a different type of deformation resulting from solid state
Quart-mica rocks at higher metamorphic grades commonly
DMT through grain boundaries, which have different diffu-
have a distinctive microstructure of flat grain boundaries
sion characteristics from the grain interiors (e.g. White and
between quartz and mica parallel to the mica basal plane,
White 1981). Deformation by either or both types of creep
and quartz-quartz grain boundaries approximately perpendic-
is known by the general term diffusion creep. Diffusion oc-
ular to the mica flakes (Plate 27). A related effect is pin-
curs in response to gradients in chemical potential (Fick’s
ning of quartz-quartz grain boundaries at the end of mica
law) which may be created by variations in normal stress,
flakes. These microstructures attest to impeded grain bound-
internal strain energy, and grain boundary configuration (cf.
ary movement, and can be attributed to a greater surface en-
Section 3.2).
ergy between quartz and mica than between quartz and quartz
Solid state transformations can be subdivided into four
grains. Where one phase has a strong preferred orientation,
types (Green 1985, Kirby and Stern 1993), which may be im-
the impeding effect on grain boundary growth may create a
portant in deformation because they are sensitive to deviatoric
grain shape fabric in the other phase, which grows parallel to
stress. The transformed polymorph is related to the original
the shape fabric (Plates 26, 27).
by crystallographic rules in the first three types, which are
Monocrystalline quartz ribbon grains (Fig. 5.1) in high
known as coherent transformations.
grade gneisses may form by the above mechanism, and
1. Displacive transformations are changes in crystal struc- are characteristically free of internal structures (by contrast

52
CHAPTER 5. DIFFUSIVE MASS TRANSFER AND PHASE TRANSFORMATIONS IN THE SOLID STATE 53
54 CHAPTER 5. DIFFUSIVE MASS TRANSFER AND PHASE TRANSFORMATIONS IN THE SOLID STATE
to lower grade ribbons; Section 4.7, Fig. 4.13). Gower
and Simpson (1992) proposed that the geometry of quartz-
feldspar grain boundaries in ribbon grains is largely con-
trolled by a combination of dislocation creep and diffusion
that results in a microstructure of straight quartz-feldspar
boundaries perpendicular to the shortening, and cusps point-
ing in the extension direction. However, recently MacKinnon
et al. (1997) have proposed that the textures of some ribbon
grains may form by filling of microfractures, based partly on
the evidence that grains adjacent to the ribbons appear to be
truncated by the ribbon boundaries, and that the ribbons con-
tain wall rock particles that have very similar geometries to
inclusion bands (Section 3.12). Some of these features are
illustrated in Fig. 5.1. Both models account for many of the
observed features of high-temperature ribbon grains. A pos-
sible approach to distinguishing the two mechansims may lie
in careful examination of the ribbon tips, which could yield
evidence for incipient microcracking or diffusion processes.
5.6 Porphyroblasts
5.4 Foam texture, static and second- trails
ary recrystallization 5.6.1 Characteristics
Monomineralic metamorphic rocks, particularly at higher
metamorphic grades, may have a distinctive microstructure
consisting of approximately hexagonal grain sections with
straight or curved grain boundaries and strain-free grain in-
teriors, known as foam or granoblastic polygonal texture
(Fig. 5.2). This microstructure is readily interpreted in terms
of grain boundary migration and DMT in the solid state
driven by surface energy. The process of achieving a min-
imum energy configuration under hydrostatic stress is static
recrystallization. The lowest surface energy will occur for the
smallest surface area to volume ratio. The minimum surface
energy configuration for equal-sized, space-filling polyhedra
are rhomb dodecahedra (truncated octahedra). However, this
figure does not have an isotropic distribution of surface en-
ergies, because angles between grain edges around four grain
junctions are unequal. Grain edges and boundaries may curve
to allow all four grain edges to intersect in the same angle
of 109.5°, resulting in a structure of polyhedra with curved
faces, similar to liquid films and as observed in annealed al-
loys and chromitites in ultramafic intrusions (Smith 1964). In
two dimensions, 120° triple junctions are common between
aggregates of the same phase. The surface area to volume
ratio can also be reduced by an increase in grain size, which
often accompanies static recrystallization, and is known as
Ostwald ripening or exaggerated grain growth. This micro-
structure can be useful in revealing a post-tectonic period of
relatively high temperatures.
Grain shape fabrics can be produced even under static re-
crystallization by at least two processes. An older fabric
can control grain boundary mobility by surface energy effects
(Section 5.3) or a new mineral growth may overgrow a preex-
isting fabric: this is known as mimetic crystallization.
Relatively large, irregular crystals which commonly con-
tain inclusions of secondary phases are formed by the pro-
cess of secondary recrystallization. This occurs when second
phases become incorporated into the growing crystal, rather
than pinning the crystal boundaries as described in Sec-
tion 5.3, which are then free to grow at a faster rate. This
has been distinguished as a separate type of grain boundary
migration mechanism called fast or free grain boundary mi-
gration by Urai et al. (1986).
5.5 Decussate texture
Decussate texture consists of randomly orientated, interlock-
ing elongate crystals (Plate 28). It is especially common in
amphiboles and micas, and arises because of unequal growth
rates in different crystallographic directions. The growth
anisotropy modifies the ideal foam texture to favour grain
boundaries parallel to the faster growth directions, and may
lead to randomly orientated acicular crystals for particularly
high anisotropies.
and inclusion
Porphyroblasts are single crystals grown during metamorph-
ism with a larger size than the adjacent grains in the matrix.
They are only widespread in rocks that have been at upper
greenschist facies or higher, and are most common in meta-
pelites or metabasites. Chlorite, chloritoid, biotite, garnet,
cordierite, sillimanite, kyanite, andalusite, and staurolite are
common porphyroblastic minerals.
Porphyroblasts commonly contain inclusions, the most
common of which are opaque minerals, aluminium-rich
phases such as sillimanite or spinel, quartz, zircon, apatite, ru-
tile, and sphene. A porphyroblast with a very high density of
inclusions is a poikiloblast. Inclusions may have a variety of
textures that contain important microstructural information,
and need to be described carefully. The shape of individual
inclusions may be euhedral, platy, linear, or rounded. Inclu-
sion trails are aligned inclusions that define a fabric which is
given the symbol where the refers to an internal fabric
(compared to for fabric external to the porphyroblast).
usually has a two-fold rotational symmetry about an axis par-
allel to the length of the porphyroblast. may be straight
or curved. It may be continuous and curve smoothly from
the core of the porphyroblast to the rim; it may be sharply
deflected or cut off along deflection and truncation surfaces
respectively, which are sub-parallel to more external parts of
the inclusion trail.
Special types of inclusion trails include snowball textures
(Plate 29), which are spiral-shaped inclusion trails that curve
through more than 180°, with the total curvature decreasing
from the centre towards either end of the rotation axis (e.g.
Powell and Treagus 1970, Busa and Gray 1992). Millipede
texture consists of a straight, parallel which is deflected
into at the porphyroblast margin. Helicitic texture consists
of folds defined by Inclusions may be crystallographically
controlled by the porphyroblast: this can give rise to a number
of distinctive textural zoning patterns such as sector zoning
and re-entrant zones. The relation between and is very
CHAPTER 5. DIFFUSIVE MASS TRANSFER AND PHASE TRANSFORMATIONS IN THE SOLID STATE
important: can be continuous with or truncated by
at the porphyroblast boundary. This forms the basis of the
interpretation of inclusion trail patterns (Section 5.6.3).
5.6.2 Growth mechanisms
Porphyroblasts are a mineral growth and therefore form by
DMT. In many cases there is no evidence for a fluid phase
and it is assumed that diffusion was in a solid state. This
can sometimes be demonstrated by the observation that the
most mobile components are those with the highest solid state
diffusion coefficients. Porphyroblasts grow in response to
thermodynamic considerations including composition, tem-
perature, internal strain, and surface energy. Unusually large
porphyroblasts, especially those which contain high densities
of inclusions, may have grown by secondary recrystallization
(Section 5.4). The size and distribution of porphyroblasts re-
flects a balance between the energy required for nucleation
and that for growth. High ratios of nucleation to growth ener-
gies will favour the formation of fewer and larger porphyro-
blasts.
55
5.6.3 Relationship to deformation
Porphyroblast textures can yield detailed information about
the relation between porphyroblast growth (and thus P-T con-
ditions) and deformation. This is best analyzed by looking
at the relationship between inclusions and which can be
classified into four non-interpretive categories (Fig. 5.3):
1. Inclusions are randomly orientated, is commonly also
curved around the porphyroblast (Fig. 5.3a).
2. is discontinuous with is often also curved
around the porphyroblast (Fig. 5.3b).
3. is continuous with but and have different
shapes or orientations (Fig. 5.3c).
4. is continuous with and and have similar
shapes and orientations (Fig. 5.3d).
These categories are objective descriptions, but also allow
straightforward interpretations based on the original ideas of
Zwart (1960, 1962), and the recent comprehensive treatment
of Passchier and Trouw (1996). The first category suggests
growth of a porphyroblast before deformation i.e. pretectonic
(e.g. Borradaile et al 1982, p. 438-441), but exceptions are
noted by Passchier and Trouw (1996). The curvature of is
due to deformation of the matrix around the more rigid por-
phyroblast (Plate 30).
The second category is called intertectonic by Passchier
and Trouw (1996), and indicates porphyroblast growth fol-
lowing the deformation event that generated but preced-
ing another event that formed (Fig. 5.4). The two deform-
ations that created and may be separated by other de-
formations that are not recorded by or (e.g. Johnson
and Vernon 1995). An intertectonic interpretation is reliably
demonstrated when is folded and is straight (Plate 31,
e.g. Borradaile et al. 1982, p. 441, 453).
The third category indicates syntectonic porphyroblast
growth (Plate 32). A common example of different geomet-
ries assumed by and is a coarser grain size in than
which can be interpreted to show that the matrix was over-
grown by the porphyroblast relatively early and subsequently
underwent grain size reduction. Coarsening of towards the
margin of a porphyroblast indicates growth during prograde
conditions. A particularly complex pattern may be produced
by overgrowth of one type of in a pressure shadow and an-
other type of in a strain cap, both Si being formed in the
same event (Shoneveld 1977).
The fourth category indicates post-tectonic growth (Plate
33). However, even in the case of concordant and with
no obvious differences in geometry, may be curved around
the porphyroblast, suggesting either that the last increment
of deformation outlasted porphyroblast growth, or that low
strain deformation occurred subsequently.
Detailed analyses shows that some porphyroblasts can not
be accommodated into the above simplified scheme. Trunca-
tion of within the porphyroblast may indicate two phases
of porphyroblast growth and foliation development. Trunca-
tion surfaces can also be formed by post-tectonic overgrowth
of an early foliation which has been truncated by a strain cap
56 CHAPTER 5. DIFFUSIVE MASS TRANSFER AND PHASE TRANSFORMATIONS IN THE SOLID STATE
CHAPTER 5. DIFFUSIVE MASS TRANSFER AND PHASE TRANSFORMATIONS IN THE SOLID STATE
during a later deformation, or a later stage of a progressive de-
formation (Passchier et al. 1992). Bell et al. (1992) have ar-
gued that truncation surfaces form in the strain shadow at the
end of a porphyroblast during progressive deformation. The
same interpretations may apply to deflection surfaces. Prob-
lems of interpreting curved inclusion trails are discussed in
Section 7.8.
5.7 Reaction rims, relict minerals,
coronas and symplectites
Reaction rims are rims of altered mineralogy around grains.
This common metamorphic texture testifies to DMT since
metamorphic mineral growth requires mobility of compon-
ents. Relic minerals are mineral grains that have been mostly
replaced by reaction rims. Reaction rims that completely sur-
round a grain are coronas (Plate 34), which are more common
in high grade rocks. Symplectites are lamellar or vermicular
intergrowths that are common in reaction rims (Plate 35). The
intimate mixture of the phases involved, the fine grain size
and the disequilibrium grain shape shows that diffusion was
not possible over long distances.
5.8 Chemical zoning
Metamorphic minerals, especially garnets, amphiboles,
pyroxenes and feldspars, commonly show systematic com-
positional variations from core to rim, or a relatively con-
stant core composition and a quite different rim composition.
These variations can be seen in the colours of some min-
erals (e.g. blue-green colour variations in amphiboles), but
are most accurately revealed by electron microprobe studies. 5.10
Zoning is clear evidence for DMT, and may form in two dif-
ferent ways.
Growth zoning. Preferential partitioning of an element into
a mineral during growth can cause growth zoning by de-
pletion of that element within an equilibrium volume.
This describes how growth zoning may occur at con-
stant temperature and pressure: however, the P-T con-
ditions may change during mineral growth, which will text (Gilotti and Hull 1990):
also change the distribution coefficients for elements
between mineral and matrix. This is probably the most
common way in which growth zoning is produced.
Reaction zoning. After a crystal has formed, DMT may oc-
cur with neighbouring minerals in response to a change
in P-T conditions from the formation of the original
metamorphic rock. Commonly the rims of minerals have
compositions that reflect lower metamorphic grades than
the cores: the rims have equilibriated during the cooling
of a rock. Such zoning is known as retrograde zoning.
5.9 Solid state phase transformation
microstructures
Experiments suggest that phase transformations under devi-
atoric stress could have distinctive microstructures, but nat- been deformed by Superplasticity have been summarized by
57
ural examples are so far virtually undescribed. The
quartz phase transition can be viewed as Dauphiné twinning
on the scale of the unit cell, so that relict Dauphiné twins as
well as microfractures (Section 2.3.11) could constitute mi-
crostructural evidence of this deformation mechanism (Kirby
and Stern 1993).
Martensitic-like transformations can occur during cool-
ing under hydrostatic stress, but in the case of the
transformation, deformation-induced trans-
formation can be distinguished by lack of twinning in the
clinoenstatite (e.g. Kirby and Stern 1993). The best known
microstructures of Martensitic-like transformation are those
of the olivine-spinel system. “Fingers” or lobes of spinel
grow into olivine parallel to in experiments on
(Vaughan et al. 1984), and a similar phase transformation mi-
crostructure of aragonite crystals has been observed growing
into calcite parallel to (Hacker and Kirby 1993). These
microstructures are consistent with the theoretical analysis
of Green (1985), which suggest that ellipsoids of the stable
phase should grow with long axes parallel to possibly co-
alescing into ellipsoids separated by cusps. However, later
experiments on olivine showed lens shaped spinel inclusions
perpendicular to These can be accounted for by stress re-
distribution at a microscopic scale between stronger olivine
and weaker spinel (Green and Burnley 1989).
Exsolution of Ca-clinopyroxene from orthoenstatite is sim-
ilar to the transformation described
above, with the addition of Mg, Fe and Ca diffusion. Cooling
exsolution may be distinguished from deformation exsolution
by the orientation of the exsolved phase (Champness and Lor-
imer 1974).
Superplasticity
Superplasticity was first used to describe the behaviour of
metals deformed in extension to large strains without failure
(e.g. Langdon 1982). The dominant deformation mechan-
ism in these experiments is grain boundary sliding, with in-
compatibilities between grains mainly relieved by solid state
DMT around grain boundaries. Unfortunately the term has
been used in at least three different ways in a geological con-
1. As a deformation mechanism consisting of grain bound-
ary sliding accommodated by DMT and/or intracrystal-
line plasticity.
2. As a set of deformation conditions and mechanical re-
sponses in rock. In particular, dependence of strain rate
on an inverse power of grain size, high temperatures, and
proportion between strain rate and a low power of stress
have been regarded as characteristic (Section 9.4.3).
3. As a description of strain e.g. “continuous, homogen-
eous deformation to very large strain”. This “phenomen-
ological” definition proposed by Gilotti and Hull (1990)
is not in widespread use, and the more common first geo-
logical definition will be followed here.
Microstructures characteristic of rocks considered to have
58 CHAPTER 5. DIFFUSIVE MASS TRANSFER AND PHASE TRANSFORMATIONS IN THE SOLID STATE
Fliervoet and White (1995). They include:
1. A very fine grain size (less than in quartzites,
more in carbonates) (e.g. Behrmann 1985).
2. Equiaxed grains with diamond or blocky shapes (e.g.
Drury and Humphreys 1988).
3. Alignment of grain boundaries over several grains (e.g
White 1977).
4. An inverse correlation between finite strain and grain
size (e.g. Evans et al. 1980).
5. A weak crystallographic fabric (Rutter et al. 1994).
6. An inverse correlation between dislocation density and
grain size (e.g. Behrmann 1985).
7. High dislocation densities and voids at grain triple junc-
tions (e.g. White 1977).
8. Large mismatches between the crystallographic orienta-
tions of adjacent grains (e.g. Fliervoet and White 1995).
9. Rotations between grains that can not be explained by
rotation axes perpendicular to known Burgers vectors
(e.g. Fliervoet and White 1995).
Several of these microstructures are ambivalent in their in-
terpretation. For example, Fliervoet and White (1996) de-
scribe an exceedingly fine-grained quartz mylonite which de-
formed exclusively by dislocation creep with no grain bound-
ary sliding. A fine grain size is apparently a necessary but
not sufficient condition for superplasticity. Crystallographic
fabrics may be developed during superplastic flow of fine-
grained calcite rocks, with the implication that they could in
principle become strong after sufficient strain (Schmid et al.
1987, Rutter et al. 1994). Fig. 5.5 shows an ultramylonite
that shows some of the characteristic features of superplas-
ticity. The clear definition and recognition of superplasti-
city in rocks is still a difficult matter. An important example
of superplasticity related to phase transformation may occur
when olivine transforms to spinel. This is known as the anti-
crack theory of phase transformation faulting, which suggests
that olivine transforms into spinel in anticracks which local-
ize into faults within which grain boundary sliding occurs on
fine grained spinel (Green and Burnley 1989, Burnley et al.
1991). The theory accounts well for earthquakes that occur at
depths too great for frictional behaviour, and is well suppor-
ted by experimental evidence (e.g. Tingle et al. 1993).
Chapter 6
Magmatic and Sub-magmatic Deformation
6.1 Introduction
Identification of deformation microstructures and mechan-
isms in rocks containing melt has several important tec-
tonic implications, notably for the problem of melt extraction
and in the interpretation of pluton ascent and emplacement
mechanisms. However, microstructural criteria to distinguish
magmatic, sub-magmatic and non-magmatic deformation mi-
crostructures and mechanisms are not well established, and
the distinction is best made using a combination of meso-
scopic and microscopic evidence. The mesoscopic evidence
is briefly described in Section 6.4.
6.2 Fundamental deformation mech-
anisms and microstructures in
rocks containing melt
6.2.1 Magmatic flow
Flow of magma (i.e. melt and crystal phases) by transport
of rigid crystals is often regarded as the typical deformation
mechanism in melt-bearing rocks. Magmatic flow has been
defined as flow by displacement of melt and rigid-body rota-
tion of crystals without sufficient interaction to cause crystal
plastic deformation (Paterson et al. 1989). As shown be-
low, crystal interaction in melts may lead to deformation by
cataclasis and diffusive mass transfer (DMT) as well as in-
tracrystalline plasticity. A more useful, general definition for
magmatic flow is flow of melt and crystals without crystal de-
formation; this definition allows for the possibility that crys-
tals may be deformed by processes other than crystal plas-
ticity, and also describes the flow of a suspension. It leads
naturally to a definition of magmatic microstructures as those
which indicate melt-present deformation without crystal de-
formation.
Some experimental studies suggest that viscosities of melt-
laden systems reduce abruptly by orders of magnitude when
the proportion of melt increases beyond a value known as the
critical melt fraction, CMF (Arzi 1978, Van der Molen and
Paterson 1979). The CMF is commonly taken to be 30%, but
may be as much as 50% (Vernon et al. 1988) or as little as
10-20% for gabbroic rocks (Nicolas et al. 1988). Experi-
ments on two silicate melts reported an increase in viscosity
of three orders of magnitude, and a change from Newtonian
to non-Newtonian behaviour, as melt fraction increased from
59
40 to 60% (Lejeune and Richet 1995). The importance of the
CMF is further suggested by the observation that the max-
imum proportion of phenocrysts in volcanic rocks is 55-65%:
volcanic rocks with larger proportions of phenocrysts may not
be able to erupt because their viscosities are too high (Marsh
1981, Wickham l987).
A minimum melt proportion for magmatic flow can also
be deduced from the critical packing density of crystals to
bring them into a coherent mass. The critical packing density
depends on crystal shape, size, size distribution, packing ar-
rangement, and amount of compaction. Table 6.1 summarizes
porosity at critical packing density, which is equal to the min-
imum melt proportion, for some combinations of these factors
in geometrical models, and estimates for magmas. Surface
energies of the crystal and liquid phases may be important in
flow because they can affect melt distribution (e.g. Jarewicz
and Watson 1984, 1985), and indeed an explicit relationship
between the CMF and surface energy can be formulated (Ri-
ley 1990). A more fundamental parameter than melt fraction
for determining the rheology of melt-laden systems may be
the contiguity (the fraction of grain surface area in contact
with other grains), because contiguity affects surface energy
and the resistance to shearing at the average surface. A load
bearing framework of crystals breaks down at contiguities of
less than 0.15-0.2 (Miller et al. 1988), which correspond to
variable equilibrium melt fractions depending on surface en-
ergies and grain size and shape distributions (German 1985).
These factors may explain the variation in estimates of the
CMF.
Viscosities of suspensions depend on fluid (melt) com-
position, pressure, temperature, and proportion, size and
shape distribution of solids. The viscosity of melts contain-
ing spherical crystals is often approximated by the Einstein-
Roscoe equation (Roscoe 1952):
where is the viscosity of the pure melt, and is the
crystal fraction for coherent packing. Values of 0.6 for
seem to represent silicate systems well. n has a theoretical
value of 2.5 for variably-sized spheres, which is also a good
fit to data for silicate systems, but the viscosity-melt fraction
relationship has a slight temperature dependence which can
be allowed for by letting n vary between 2.0 and 2.5 with
temperature (Lejeune and Richet 1995). Another relationship
between viscosity and crystal fraction includes the effect of
grain size (Sherman 1968). At lower melt fractions, the rhe-
60
ology of the magma may be at least partly controlled by the 6.2.3 Magmatic and sub-magmatic flow and
mechanical properties of the solid phases or by the factors af-
fecting diffusive mass transfer (DMT) through the melt phase
(see below).
While some experiments and observations suggest a signi-
ficant mechanical change at the CMF, other experiments cast
doubt on the existence of a large change in viscosity over a
narrow range of melt fraction (e.g. Rushmer 1995), and it
has been argued that the abrupt change in viscosity observed
in some previous experiments was due to a combination of
temperature effects and increase in water contents of melts
(Rutter and Neumann 1995). There may be a continuous de-
crease in magma viscosity as melt fraction increases, and no
CMF, if the change in water content is allowed for. Yet other
experiments suggest that the change in strength at the CMF
is due to dilatancy hardening (cf. Brace and Martin 1968) at
low melt fractions (Renner et al. 1999).
6.2.2 Sub-magmatic flow
Sub-magmatic flow can be defined as deformation involving
flow of melt and crystals with crystal deformation. Sub-
magmatic microstructures are accordingly those indicating
melt-present deformation with crystal deformation, and cor-
respond to the pre-full crystallization fabric of Hutton (1988).
Crystal deformation by DMT through the melt phase is prob-
ably the dominant deformation mechanism at low melt frac-
tions and lower strain rates. The thermodynamic consider-
ations for DMT through melt are the similar to those de-
scribed for DMT through solution in Section 3.2. Experi-
ments show that strength decreases by an order of magnitude,
and intracrystalline plasticity changes to melt-enhanced diffu-
sion creep, when melt proportion increases from zero to only
3-5% (Cooper and Kohlstedt 1984, Dell’Angelo and Tullis
1988, Dell’Angelo et al. 1987). The weakening occurs due
to enhanced grain boundary diffusion though the melt. Ex-
periments on rock analogues by Park and Means (1996) also
demonstrate the importance of this process in some systems at
low melt fractions. Surface energy considerations may be im-
portant in sub-magmatic deformation. Most diffusion creep
models assume isotropic surface energy, but measurements
suggest an order of magnitude anisotropy in olivine, for ex-
ample (Cooper and Kohlstedt 1982). This may affect strength
by allowing a continuous film of melt along two-grain bound-
aries instead of limiting melt to three or more grain junctions,
as usually assumed (Hirth and Kohlstedt 1995).
CHAPTER 6. MAGMATIC AND SUB-MAGMATIC DEFORMATION
rheology
It appears that two fundamental changes in deformation
mechanisms occur as melt fraction is increased from the
solid to liquid states, and these correspond to reductions in
strength or viscosity. An order of magnitude decrease in
strength occurs as melt fraction rises from zero to only a
few percent melt, and solid-state deformation mechanisms
change to melt-enhanced diffusion creep, with other deform-
ation mechanisms (cataclasis, grain boundary sliding, and in-
tracrystalline plasticity) also possibly accommodating crys-
tal deformation. As melt fraction increases still further, sus-
pension flow can occur, reducing strength by three orders
of magnitude, and crystal deformation ceases. Figure 6.1
shows these two transitions in mechanism schematically, but
it should be emphasized that the values and range of melt frac-
tions over which the transitions occur, and the magnitudes of
the changes in viscosity, vary with magma composition, and
are presently the subject of some debate.
6.3 Mesoscopic evidence for magmatic
and sub-magmatic flow
It is important to use mesoscopic evidence in conjunction
with microscopic observations to distinguish magmatic, sub-
magmatic and non-magmatic flow. Fabrics in magmatic rocks
can be defined by phenocryst alignment, matrix mineral shape
fabrics, compositional banding, enclave or schlieren shape
fabrics, or magnetic anisotropy. Phenocrysts may be tiled or
imbricated (e.g. Blumenfeld 1983, Blumenfeld and Bouchez
1988). The fabrics can have any shape from prolate to ob-
late. The mere existence of any of these fabrics is not dia-
gnostic of melt-present flow, but detailed examination on the
mesoscopic scale may provide some strong indicators to dis-
tinguish magmatic/sub-magmatic from non-magmatic flow.
The following criteria are proposed as diagnostic of magmatic
or sub-magmatic flow because they suggest extremely large,
non-systematic strain gradients in an homogeneous rock on
a meter scale, which are mechanically unlikely in the non-
magmatic state. Microscopic studies should be used to back
up these lines of evidence.
1. Abrupt and non-systematic changes in fabric orientation.
2. Abrupt and non-systematic changes in fabric intensity.
3. Irregular, polyclinal, disharmonic or rootless folds in
 CHAPTER 6. MAGMATIC AND SUB-MAGMATIC DEFORMATION 61

massive rocks that have no sign of mechanical aniso- compositions. These foliations may have formed in a short
tropy or shear surfaces (e.g. McLellan 1984). interval of cooling after the melt has been emplaced but be-
fore final solidification.
The relationship between igneous layering and fabrics can Phenocryst density and size distributions may be affected
also be used to suggest magmatic/sub-magmatic flow. For by magmatic flow. Interaction between phenocrysts in con-
example, Pons et al. (1995) describe centimetre-scale cycles centrations greater than 8% in a moving fluid creates a “grain
with sharp bases consisting of a layer of fine-grained am- dispersive pressure” which is proportional to the velocity
phiboles to a medium grained amphibole-plagioclase layer to gradient in the magma and is therefore greatest at the margins
a slightly porphyritic plagioclase-K-feldspar-quartz layer in of an intrusion (Bagnold 1954, Komar 1972a, b). Phenocrysts
alkali granites. The layers are parallel to the preferred orient- are concentrated into the centre of the intrusion, and may also
ation in any of these minerals, and the fabric never cross-cuts coarsen in this direction. The velocity distribution and pheno-
the layering. The layering and fabric can be explained by cryst concentration should be plug-shaped with a central re-
trapping of a mafic cumulate layer from a slowly convecting gion of high density and an abrupt decrease in density towards
magma, leaving an increasingly felsic rich magma to crys- the sides of an intrusion, due to the effect of phenocryst con-
tallize as the upper layers. By contrast, Paterson and Ver- centration on viscosity, and this is indeed observed in many
non (1995) discuss several examples of an apparently mag- natural examples (e.g. Ryan 1995).
matic foliation that cross-cuts both gradational compositional Discordance between fabrics in a xenolith and a surround-
changes and contacts between phases of different magmatic ing igneous rock is often interpreted as evidence for mag-
62
matic flow, but this criteria is not diagnostic: fabrics may
be preserved in xenoliths during non-magmatic deformation
due to competence contrasts between the xenolith and sub-
solidus matrix. Sub- or non-magmatic fabrics on this scale
are demonstrated by deformation of individual crystals such
as feldspar megacrysts. However, concordance between fab-
rics within enclaves and the host rock can be evidence for
magmatic/sub-magmatic flow if the enclaves can be inter-
preted as partially molten during deformation (e.g. Vernon
and Paterson 1993).
Shear zones may develop during intrusion by magmatic,
sub-magmatic and non-magmatic mechanisms (e.g. Guine-
berteau et al. 1987, Pons et al. 1995). Magmatic shear
zones can be identified by fabrics defined by unstrained ig-
neous minerals (e.g. Miller and Paterson 1994) or reorient-
ation of a magmatic fabric in the shear zones (e.g. Pons et
al. 1995). Non-magmatic shear zones in the latter study had
pressure shadows filled by epidote around megacrysts, and
ribbon grains formed by intracrystalline plasticity in quartz.
Magmatic shear zones were identified in the experiments of
Park and Means (1996) by analyzing movements of solid in-
clusions, but there was very little direct microstructural evid-
ence to distinguish the shear zones from the unsheared walls.
Criteria which are sometimes misused to demonstrate mag-
matic flow include imbrication, which may occur in mylon-
ites (Section 7.11.3), magnetic anisotropy, which is well
known in metamorphic rocks, and S-C fabrics, which may
form in either sub-magmatic or non-magmatic deformation
(Blumenfeld and Bouchez 1988).
6.4 Magmatic microstructures
6.4.1 Grain shape fabrics
The typical microstructure of magmatic flow consists of a
preferred orientation of euhedral phenocrysts, in an isotropic
matrix that shows igneous textures (Plate 36). Grain shape
fabrics are commonly defined by feldspars and micas in felsic
rocks, and may be defined by feldspar, olivine and pyroxene
in mafic rocks (e.g. Benn and Allard 1989). This is diagnostic
of magmatic flow if there is no sign of any other deforma-
tion mechanism. Since intracrystalline plastic deformation
microstructures are readily visible in quartz after only small
strains, the lack of deformation in quartz (no undulose ex-
tinction, subgrains, or kink bands) is a reliable criterion for
magmatic flow. Lack of sub-solidus deformation can also be
checked from inclusions (e.g. rutile) in quartz: the inclusions
should be undeformed themselves and randomly orientated
(e.g. Mitra 1976, Stel 1991). Other primary, undeformed
igneous features such as strongly euhedral crystals, igneous
(e.g. idiomorphic) zoning, growth twins, and ophitic texture
can be used to demonstrate the absence of intracrystalline de-
formation. A fabric in igneous rocks can only be confirmed as
a magmatic microstructure by lack of any evidence for other
deformation microstructures or mechanisms, including any of
the microstructures described in previous Chapters.
It may be difficult to distinguish magmatic deformation
from non-magmatic deformation followed by static recrystal-
lization. Post-deformational annealing can be revealed by de-
CHAPTER 6. MAGMATIC AND SUB-MAGMATIC DEFORMATION
formed inclusions in annealed minerals, and by a granoblastic
texture in mineral aggregates (especially quartz) which them-
selves define a shape fabric. Primary igneous fabrics can also
be recognized by random spatial relationships between dif-
ferent phases. By contrast, solid state deformation produces
higher frequencies of contacts between like grains because
new grains preferentially nucleate on the same phase (e.g.
Ashworth and McLellan 1985).
6.4.2 Crystallographic fabrics
Magmatic crystallographic fabrics are due to orientation of
euhedral, inequant phenocrysts during flow. In mafic rocks,
(010) crystal faces are parallel to the magmatic foliation in
olivines, pyroxenes and feldspars (Benn and Allard 1989).
The [001] direction of olivine and clinopyroxene is parallel to
the magmatic lineation, and [100] has been observed parallel
to the magmatic lineation in feldspars within gabbros and ton-
alites (Benn and Allard 1989). Such crystallographic fabrics
can be distinguished from fabrics due to intracrystalline plas-
ticity by complete lack of evidence for intracrystalline plastic
microstructures (Chapter 4), and in the case of olivine, by the
fact that high-temperature non-magmatic deformation leads
to [100] parallel to the lineation rather than [001], as observed
for magmatic fabrics (Benn and Allard 1989).
6.5 Sub-magmatic microstructures
6.5.1 Grain shape fabrics
Grain shape fabrics may be expected to form in sub-
magmatic flow by both rigid body rotation and crystal de-
formation by DMT or intracrystalline plasticity. The crystal
deformation combined with evidence of melt such as matrix
with igneous textures is diagnostic of sub-magmatic flow (e.g.
Quick et al. 1992). Localization of melt in structures that are
coeval with the foliation constitutes good evidence for sub-
magmatic deformation: this sort of evidence is more readily
seen at outcrop scale. As for magmatic flow, static recrystal-
lization may give the matrix the false appearance of a primary
igneous texture.
6.5.2 Intracrystalline plasticity
Intracrystalline plasticity in quartz may be expected in the
presence of melt under appropriate differential stresses (>1
MPa) and temperatures (700 to 800°C) on the basis of granite
and quartz flow laws (Rutter and Neumann 1995). The very
common appearance of undulose extinction in quartz within
granites suggests that intracrystalline plasticity occurs during
sub-magmatic deformation (Plate 37). Subgrain formation or
recrystallization of quartz has been taken as an indicator of
sub-magmatic deformation where an overall igneous texture
is preserved and no other non-magmatic deformation event is
known (e.g. Bouchez and Gleizes 1995). Deformation twins
and bent twins in feldspar may also hint at sub-magmatic
intracrystalline plasticity (Plate 38). However, these micro-
structures on their own do not demonstrate that melt was
present during deformation.
CHAPTER 6. MAGMATIC AND SUB-MAGMATIC DEFORMATION
6.5.3 Diffusive mass transfer
Despite the experimental evidence for the importance of melt-
aided diffusion creep, microstructural evidence has remained
elusive, probably because melt films have almost no poten-
tial for preservation in the geological environment. However,
experiments suggest some features that could be used: trun-
cated, embayed, scalloped or overgrown grain boundaries in
igneous rocks may be analogous to some of the features dis-
cussed in Chapter 3 that indicate DMT through a fluid phase
(e.g. Dell’Angelo et al. 1987, Park and Means 1996). The
potential importance of surface energy anisotropy in melt dis-
tribution needs to be investigated and may have some micro-
scopic expression in the form of differences between crystal
faces.
6.5.4 Cataclasis
Paradoxically, some of the clearest sub-magmatic microstruc-
tures involve cataclasis of the crystals, such as microfractures
which are healed by melt (e.g. Hibbard 1987, Bouchez et al
1992, Karlstrom et al. 1993). Microfractures in plagioclase
can be demonstrated to have been filled by melt from the fol-
lowing criteria:
1. The microfractures are intragranular. This allows that
the plagioclase crystals were in contact with melt.
2. The microfracture filling is compositionally and crystal-
lographically continuous with the same phase in the ig-
neous groundmass of the rock.
3. The composition of the microfracture filling is compat-
ible with the later stages of the igneous petrographic his-
tory of the rock. Plagioclase microfracture fillings may
have lower anorthite contents than their host crystals,
consistent with progressive evolution towards a min-
imum melt composition (Bouchez et al. 1992). The rela-
tion between quartz and plagioclase in the microfracture
fillings also suggests a residual melt: feldspars are on
the walls or tips of the microfractures.
4. Early crystals (e.g. biotite, sphene) are trapped within
the microfracture fillings.
Cataclastic microstructures observed in experiments con-
firm the potential importance of cataclasis in sub-magmatic
deformation in the experiments of Rutter and Neumann
(1995). Up to 10% melt, axially-orientated cracks formed
and filled with melt, and the sample was faulted. Between
10 and 45% melt, cataclastic flow occurred with pore col-
lapse. Axially orientated microcracks formed by high melt
pressures have been observed in granitic aggregates contain-
ing 2-15% melt (Dell’Angelo and Tullis 1988). Connolly
et al. (1997) have demonstrated that microcracking caused
by volume increase during melting is a viable way to create
permeable fracture and melt-pool networks in a muscovite-
bearing quartzite. The syn-kinematic experiments by Park
and Means (1996) also recorded fracture, localized along a
kink band boundary.
On a larger scale, several cataclastic features are commonly
associated with melt in migmatites. Metatextites often consist
63
of a competent body sub-divided by fractures that are filled by
melt. Melt may form in pressure shadows at the ends of boud-
ins, and fill faults (e.g. Quick et al. 1992). Quartz-feldspar
neosomes have been described accumulated under imper-
meable refractory layers such as amphibolite sheets which are
boudinaged, allowing the neosomes to rise into boudin necks,
and forming a geopetal structure (Burg 1991). Segregations
in shear zones and along axial planes of folds in migmatites
are common. Localization of the melt in these structures in-
dicates that the melt was syntectonic. This sort of evidence
has great relevance to the problem of extracting melt to form
plutonic bodies (e.g. Wickham 1987).
6.6 Other microstructures
Park and Means (1996) introduced the term “contact melting”
to describe melting at contact points between grains observed
in their experiments, and suggested that indented boundaries
and truncation of growth zoning might be indicative of the
process in nature. Another suggestion from their experiments
is that filter pressing and expulsion of melt might be recog-
nizable from layers characterized by intracrystalline plasti-
city adjacent to layers of less-deformed or undeformed rock
formed by crystallization of the expressed melt. Overgrowths
of feldspar along low-stress boundaries have been considered
as indicators of magmatic or sub-magmatic deformation (Hi-
bbard 1987), but they may equally be be formed by sub-
solidus DMT processes (Paterson et al. 1989).
6.7 Non-magmatic deformation
Non-magmatic microstructures reflect deformation without
any melt present, which has also previously been known as
sub-solidus or solid state deformation. Non-magmatic is pre-
ferred to “solid state” because it allows for the presence of
fluids other than melt. Two sort of evidence can be used to
suggest that non-magmatic deformation has continued as part
of the same deformation event shown by magmatic or sub-
magmatic features. The first sort is evidence for high temper-
ature deformation, e.g. prism <c> slip in quartz (recognized
by quartz c-axes with an orientation close to the lineation e.g.
Law et al. 1992, Lagarde et al. 1994), basal subgrain bound-
aries (Section 4.6), or albite exsolution lamellae indicating
exsolution above the alkali feldspar solidus. A distinctive
grain boundary shape in quartz consisting of reticular grain
boundaries, resulting in a mosaic pattern, indicates crystallo-
graphic control of grain boundaries, extreme grain boundary
mobility and therefore high temperatures (Gapais and Bar-
barin 1986). However, a difficulty with this sort of evidence
is that the high temperature deformation may be a later event
which is entirely unrelated to the magmatic deformation (Pa-
terson et al. 1989).
The second line of evidence is kinematic; if magmatic/sub-
magmatic microstructures are kinematically compatible with
non-magmatic microstructures, they can plausibly be related
to the same event. This type of evidence is probably more
reliable. One example is non-magmatic S-C fabrics record-
ing the same shear direction and sense as magmatic/sub-
64
magmatic flow (Blumenfeld and Bouchez 1988, Miller and
Paterson 1994). Another case is the formation of quartz rods,
folds and boudins in a non-magmatic state along an intrus-
ive interface, while the bulk of the intrusion was still mag-
matic, as suggested by the fact that all these structures die
out away from the interface (Stel 1991). The non-magmatic
simple shear zones described by Ramsay (1989) have a tan-
gential extension direction around an intrusion: these can be
related to ballooning strains during successive phases of ex-
pansion of the pluton.
CHAPTER 6. MAGMATIC AND SUB-MAGMATIC DEFORMATION
Myrmekite is sometimes taken as evidence for non-
magmatic deformation, but this is unreliable as myrmekite
can form by direct crystallization (Paterson et al. 1989). Hi-
bbard (1987) has suggested that magmatic myrmekite can be
distinguished by growth in dilational sites (“pressure shad-
ows”) around phenocrysts, in contrast with tectonically in-
duced myrmekite which forms in volumes perpendicular to
the shortening direction (e.g. Simpson 1985).
Chapter 7
Microstructural Shear Sense Criteria
7.1 Introduction
Shear sense can be defined formally as the rotation sense
(sign) of the average angular velocity of material lines with
respect to the directions of maximum and minimum stretch-
ing rate, the instantaneous stretching axes, ISA (e.g. Hanmer
and Passchier 1991). This rotation is also known as the shear-
induced vorticity or internal vorticity (Means et al. 1980, Wil-
liams et al. 1994). Features such as pressure shadows, por-
phyroclast inclusion trails and fibrous vein fillings may pre-
serve some information about the orientation of the ISA, and
can be used to determine internal vorticity. However, shear
sense is commonly used in a much looser way to indicate the
displacement sense of a fault or shear zone, usually specified
by one or a combination of the usual terms for fault or shear
zone movement i.e. normal, reverse, sinistral, dextral. In this
wider usage, shear sense is defined with respect to a shear
plane, which is a useful external reference frame. Rotation
relative to this frame of reference is external vorticity, con-
sisting of the sum of internal vorticity and any rotation of the
ISA with respect to the external frame of reference, or spin,
which should be accounted for in a rigorous shear sense eval-
uation.
Shear sense should only be analyzed in a section that is
perpendicular to the shear plane and parallel to the shear dir-
ection, which is known as the shear sense observation plane
or the vorticity profile plane (Robin and Cruden 1994). The
shear direction is often assumed to be parallel to mineral
stretching lineations or slickenlines, and the shear plane to
foliations or fault planes; hence the shear sense observation
plane would be parallel to the lineation and perpendicular
to the foliation (Fig. 7.1). Other sections can give incor-
rect shear senses when using marker displacements as shear
sense indicators. However, the assumption that mineral foli-
ation and lineation are parallel to the shear plane and shear
direction breaks down in two circumstances: when the total
shear strain is low, and in complex types of three-dimensional
strain. Transpression with a high ratio of pure shear to simple
shear is one example of the latter. In this case, the maximum
finite stretching axis (tracked by the mineral lineation) may
come to lie perpendicular to the shear direction (Fig. 7.2;
Tikoff and Fossen 1993). This may explain some puzzling
cases where shear sense indicators are not seen in the plane
parallel to the lineation and perpendicular to the foliation, but
in planes perpendicular to the lineation (e g. the Larder Lake-
Cadillac deformation zone, Canada; Robert 1989). The vor-
ticity vector in these cases must be near to the maximum fi-
65
nite stretching axis, and the vorticity profile plane must be
perpendicular to the lineation. The vorticity vector in gen-
eral may lie at any angle to the maximum ISA, depending on
the amount of transpression, and this relationship can change
across a single shear zone (Robin and Cruden 1994, Tikoff
and Greene 1997). In these circumstances, the shear direc-
tion can only be established reliably by using shear sense in-
dicators other than displaced markers, observed in a variety of
sections. The shear direction is within a plane across which
the shear sense appears to reverse.
These complications do not apply to any of the examples
used in this chapter, in which all illustrations are in the plane
perpendicular to the foliation and parallel to the lineation,
which is the correct shear sense observation plane in these
cases. A convention used in many studies is to take the shear
plane as perpendicular to the plane of the illustration, and the
shear direction as horizontal within the plane of the illustra-
tion, so that the shear sense can be specified by dextral (clock-
wise) or sinistral (anticlockwise). Unfortunately this conven-
tion is not always explicitly recognized, sometimes creating
the misleading impression of horizontal movement on dip-
slip faults or shear zones. The convention is used throughout
this book, so that dextral or sinistral can be used to describe
shear sense. Microscopic observations such as shown in the
plates in this chapter are often invaluable aids to shear sense
determination, especially in fine-grained rocks. This is be-
cause of the finer detail visible in thin sections, and because
the sections can be cut accurately in the shear sense observa-
tion plane, which may not be visible in outcrop.
Contradictory shear sense indicators are common in out-
crop or thin section. There are good theoretical reasons for
this, including the fact that material lines rotate in oppos-
ite directions under general shear (e.g. Passchier and Trouw
1996). Therefore it is often necessary to evaluate a large num-
ber of shear sense indicators for reliability. This may mean
examining many thin sections, but a useful technique can be
to cut a number of hand specimens on a rock saw in the shear
sense observation plane. The shear sense may become visible
due to the smooth surface of the saw cut and because it is the
correct observation plane, and the procedure allows rapid ex-
amination of a large number of specimens. Specimens must
be orientated correctly in the field as discussed by Prior et al.
(1987) or Passchier and Trouw (1996). Orientation errors can
occur in the thin section laboratory, but errors can be checked
if all rock fragments created during sectioning are carefully
preserved, so that they can be reconstructed to the pre-sawing
configuration.
66
7.2 Curved foliation
Many shear zones have a foliation that curves smoothly
across the shear zone as shown in Fig. 7.1. The angle between
the foliation trace and the shear plane decreases from about
45° or less to approach zero at the centre of the shear zone
(Plate 39). The rotation of the foliation from the outside to
the centre of the shear zone (clockwise in Fig. 7.1) is the same
as the shear sense of the shear zone (dextral). This criterion
is one of the most common and reliable for deducing shear
sense, and can be applied to shear zones on any scale.
This sort of foliation follows the orientation of the XY
plane of the finite strain ellipsoid, and the curvature is due
to increased intensity of finite strain towards the centre of
the shear zone (Ramsay and Graham 1970). Such foliations
are referred to as strain-sensitive by Hanmer and Passchier
(1991) and constitute one of the most common and reliable
shear sense indicators. An important caveat to the use of such
foliations is that the foliation should be formed during shear-
CHAPTER 7. MICROSTRUCTURAL SHEAR SENSE CRITERIA
ing, as suggested by the observation that the rock has no fab-
ric outside the shear zone. A pre-shear foliation may not ex-
hibit this characteristic curvature, and is a less reliable shear
sense indicator.
7.3 Oblique foliations and shape pre-
ferred orientations
Oblique foliations are grain shape fabrics that maintain an ap-
proximately constant, acute angle to the shear plane across a
shear zone. The shear plane in this case is often represen-
ted by a compositional banding, so that the fabric consists of
compositional bands within which there is an oblique foli-
ation. The shear sense is given by the acute rotation from the
oblique foliation to the compositional banding (clockwise or
dextral in Fig. 7.3). Oblique foliations and the bands paral-
lel to the shear plane have been called and respectively
(Law et al. 1984). The geometry of oblique fabrics has strong
similarities with some S-C fabrics (see Section 7.5). The ob-
lique foliations described above are examples of shape pre-
ferred orientations, which can be used as shear sense indicat-
ors by a different method (Shelley 1995). The aspect ratio of
the grain long axes is measured and plotted against their angle
with respect to an arbitrary reference orientation. Frequency
curves can be plotted for the highest and the mean aspect ra-
tios, in class intervals of 5-10°. The angular distribution of
aspect ratios is typically skewed, and the shear sense is given
by two criteria: the rotation sense from the longer part of the
curve towards the highest aspect ratio orientation, and from
the mean orientation of all grains towards the orientation of
the highest aspect ratio orientation.
Shape preferred orientations can result from passive be-
haviour of grains that behave as strain markers (i.e. they
flatten and rotate towards the shear plane as described in
Section 7.2), from anisotropic mineral growth (Chapter 5.3),
or from rotation of grains behaving as rigid objects in a
fluid (e.g. Shelley 1989b). Development of shape preferred
orientations may be counteracted by dynamic recrystalliza-
CHAPTER 7. MICROSTRUCTURAL SHEAR SENSE CRITERIA 67

tion of new equant grains; oblique foliations probably re-

flect a balance between shaping and homogenizing processes
which can lead to an equilibrium state or steady-state foliation
(Means 1981). These foliations are distinguished as strain-
insensitive because they do not track the finite strain ellipsoid
closely (Hanmer and Passchier 1991).

7.4 Porphyroclast systems

7.4.1 Characteristics and classification
A porphyroclast system comprises a porphyroclast with a
mantle and tails (or wings) of grains attached and derived
from the porphyroclast (Passchier and Simpson 1986). The
mineralogy of the mantle and tails may be the same as the por-
phyroclast (a “mantled porphyroclast”; Passchier and Trouw
1996), or may be related to the porphyroclast by a meta-
morphic reaction, such as a feldspar porphyroclast breaking
down to tails of quartz and mica.
Two tails are usually developed around a porphyroclast,
symmetrically related to each other by a 180° rotation about
an axis parallel to the shear plane and perpendicular to
the shear direction. Fig. 7.4 shows four categories of por-
phyroclast system geometry, three of which are named from
their similarity to the Greek letters: and (Passchier
and Simpson 1986, Passchier 1994). and have
monoclinic symmetry (Figs. 7.5-7.7), while have
orthorhombic symmetry. Complex types (Fig. 7.8) consist
of more than one tail on each side of the porphyroclast
(Passchier and Simpson 1986). The geometry of porphyro-
68
clast systems can be described with respect to a reference
plane that passes through the centre of the porphyroclast par-
allel to the planar part of the tail far from the porphyroclast,
and that contains a symmetry axis (Fig. 7.4; Passchier and
Simpson 1986). An important distinction is made between
in-plane tails that both lie on the reference plane, and stair-
stepping tails that lie on opposite sides of the reference plane
(Fig. 7.3). types have been subdivided into which
are found around isolated porphyroclasts in an homogeneous
matrix, and which are are found in S-C or
mylonites, with short tails that curve into C- or
(Passchier and Simpson 1986). tails were origin-
ally defined by the criterion that an individual tail crossed
the reference plane near the porphyroclast, and therefore the
two tails stair-stepped (Passchier and Simpson 1986). How-
ever,the characteristic feature of a is commonly taken
to be a deflection near the porphyroclast which produces a
feature known as an embayment (Fig. 7.9), so that systems
do not necessarily stair step. There is a great deal of variation
in the detailed morphology of porphyroclast systems, and all
gradations exist between and (Fig. 7.10).
7.4.2 Mechanisms of formation
The formation of porphyroclast systems is now understood
to some extent from experiments and numerical simulations
(e.g. Passchier and Simpson 1986, Passchier et al. 1993,
Passchier 1994, Passchier and Sokoutis 1993, Bjørnerud and
Zhang 1995, Ten Brink and Passchier 1995). Tails are con-
CHAPTER 7. MICROSTRUCTURAL SHEAR SENSE CRITERIA
sidered to develop by dynamic recrystallization of the por-
phyroclast to form a mantle of finer grains around the clast,
which subsequently become entrained in the flow of the mat-
rix. The geometry of tails depends on the rate of recrystalliz-
ation relative to the rate of rotation of the porphyroclast, the
shape of the porphyroclast, the rheology of the tails and mat-
rix, the shear strain, and the degree to which the tails and mat-
rix adhere to the porphyroclast (the coupling). Many of these
factors can be simplified by analyzing the relation between
the recrystallizing mantle and the “separatrix”, which is a
surface around the porphyroclast that separates closed from
open flow lines. The separatrix is either eye-shaped or bow-
tie shaped in simple shear, depending on a variety of factors
including the rheology of the matrix. The shape of the tails
is governed by the shape of the separatrix and the location of
the separatrix relative to the mantle. A few generalizations
can be made from the experimental work of Ten Brink and
Passchier (1995):
A mantle entirely within the separatrix will not develop tails.
A mantle that intersects the separatrix will first form
tails which then develop into tails, thus explaining
why there are transitional types between the two end-
members.
A mantle that encloses the separatrix will first form
tails, which develop into type tails for an eye-
shaped separatrix, but remain as tails for a bow-
tie shaped separatrix.
CHAPTER 7. MICROSTRUCTURAL SHEAR SENSE CRITERIA
tails will stair step in a bow-tie shaped separatrix, but
not in an eye-shaped one.
tails only develop with high coupling.
The evolution of tails is incompletely understood at present,
but these approaches offer the possibility that analysis of tails
will yield considerable information on rheology and deform-
ation conditions.
There are three simple guidelines for using porphyroclast
systems as shear sense indicators. It should be emphasized
that shear sense can only be determined from tails with mono-
clinic symmetry, i.e. and tails.
7.4.3 Stair-step direction: and tails
The stair-step direction can be defined by taking an imagin-
ary walk along one tail towards the porphyroclast in the shear
sense observation plane: the stair-step direction is the dir-
ection of the step that needs to be taken over the porphyro-
clast to reach the opposite tail. Thus the tails on the left of
Fig. 7.4 step to the left. The stair-step direction defines the
shear sense unambiguously: the shear sense is the opposite to
the stair-step direction i.e. for a left stair-step direction, the
shear sense is right-handed (dextral) and vice versa (Figs. 7.5
to 7.10). This is probably the most reliable way in which por-
phyroclast systems can be used for shear sense determination.
69
7.4.4 Faces of a tail
The asymmetry of an individual tail can be used to
define shear sense (Simpson and Schmid 1983). An indi-
vidual tail has two faces in contact with the matrix
around the porphyroclast, one of which is approximately par-
allel to the shear plane, and the other which is curved and
oblique (Fig. 7.9a). Provided the face parallel to the shear
plane can be identified, the curvature and obliquity of the
other face can be used to give the shear sense: it is convex
in the direction of movement of the adjacent matrix, and the
acute rotation of the curved face to the shear plane is in the
same sense as an oblique foliation. It is usually possible to
check this criterion by stair-step direction, but it is sometimes
useful if only one tail is well-developed (Fig. 7.5).
7.4.5 Deflection and embayments of
tails
The deflection of a tail from the distal end towards
the porphyroclast can be used to give the rotation sense of
the porphyroclast (Passchier and Simpson 1986). The de-
flection of the tail is in the opposite sense to the rotation of
the porphyroclast. For example, the deflection of the tails in
Fig. 7.4 is to the left as the porphyroclast is approached, giv-
ing a clockwise or dextral rotation and sense of shear. An em-
bayment is the term for the approximately triangular region
of matrix between a tail and the adjacent porphyro-
clast (Fig. 7.9b; Passchier and Simpson 1986). The interface
between the porphyroclast system and the matrix in the em-
70 CHAPTER 7. MICROSTRUCTURAL SHEAR SENSE CRITERIA

bayment has the shape of a fold: the direction of fold clos-
ure is the same direction as the rotation of the porphyroclast
(Figs. 7.7, 7.9b).
Ideal conditions for the use of porphyroclast systems as
shear sense indicators are that the grain size of the matrix is
small with respect to the porphyroclast, the fabric of the mat-
rix is homogeneous, the porphyroclast systems were formed
in one phase of deformation, the tails are long enough to
define a reference plane, and observations are made in the
shear sense observation plane (Passchier and Simpson 1986).
Porphyroclasts should be spaced widely enough not to inter-
fere with one another. Structures similar to tails can develop
in a passive matrix around a rotating porphyroclast, but these
have formed in a different manner from the porphyroclast sys-
tems described above and should not be used in the same way
for shear sense determination (Section 7.10).
7.5 S-, C- and
7.5.1 Characteristics and classification
nis and Secor 1987, 1990). Figure 7.11 shows the essen-
tial geometry of these fabrics and the angular relationships
between them, which are useful for description and classific-
ation. S-surfaces intersect C- or in a line perpen-
dicular to, or at a high angle to, the shear direction, as defined
by the lineation on C- or surfaces. Angle is defined
as that between the shear plane and the local orientation of
S-surfaces between C or and angle is that
between the shear plane and which are inclined
to the shear plane in the opposite direction to the S-surfaces.
C-surfaces are parallel to the shear plane. In addition an angle
can be defined, which is the angle between S- and C- or
is equal to between S- and C-surfaces, and
between S- and S-, C- and have
a wide variation in morphology (Fig. 7.12, Plates 40, 41).
Two major subdivisions of S-C mylonites were proposed by
Lister and Snoke (1984), but problems with this classifica-
tion have been pointed out (Passchier and Trouw 1996). An
alternative approach to description and classification (Blen-
kinsop and Treloar 1985) uses:
1. The angles and

Many shear zones contain two or three planar fabrics that 2. The structures that define the S-surfaces,
can be divided into a sigmoidal penetrative foliation (an S- 3. The spacing of the C- or and
foliation), and discrete planar shears that displace the fo-
liation, which are known as C- or (Berthé et 4. The relative strengths of S- and C- or
al. 1979), extensional crenulation cleavage or ecc (Platt This classification is descriptive, yet uses features that have
and Vissers 1980), shear bands or shear planes (White et possible genetic significance. Three end members (porphyro-
al. 1980, Simpson 1986), or normal-slip crenulations (Den- clastic, megacrystic and banded types) identified using the
CHAPTER 7. MICROSTRUCTURAL SHEAR SENSE CRITERIA 71
72
scheme are shown in Fig. 7.13 and the relations between
and for the different fabric types are summarized in
Fig. 7.14. This scheme seems to have wide applicability,
based on other published descriptions.
7.5.2 Formation and evolution
Variations in the values of and are controlled by strain
and microstructure, and can be used to distinguish between
models for the formation of S-, C- and A com-
mon feature of several models is that S-surfaces are parallel
to the XY plane of the local finite strain ellipsoid (Ramsay
1967, 1980, Berthé et al. 1979, Lister and Snoke 1984, Blen-
kinsop and Treloar 1995). C- and are zones of
CHAPTER 7. MICROSTRUCTURAL SHEAR SENSE CRITERIA
localized shear analogous to Y-shears and Riedel shears re-
spectively, as observed in simple shear experiments and fault
gouges (e.g. Rutter et al. 1986, Evans and Dresden 1991)
and in strike-slip fault systems (e.g. Sylvester 1988). Some
may form in the orientation of a Coulomb failure
surface. It is likely that anisotropy controls the formation and
the orientation of i.e. the value of (Platt and
Vissers 1980, White et al. 1980, Platt 1984, Passchier 1984).
If S-surfaces are parallel to the axes of the local finite strain
ellipsoid, then the value of should decrease with progress-
ive strain in these domains. However, C- and
probably do not not rotate with increasing strain. This is
suggested by the planar nature of C- and if sig-
nificant rotations occurred in a material with discontinuous
C- and strain incompatibilities would distort ini-
tially planar surfaces (Shimamoto 1989). If decreases and
remains constant with progressive strain, then should also
decrease, which has been reported in many studies (e.g. Zee
et al. 1985, Burg 1987, Ghisetti 1987, Bal and Brun 1989,
Scheuber and Andriessen 1990, Rykkelid and Fossen 1992),
but is not compatible with steady-state models (e.g. Dennis
and Secor 1987, 1990). Volume changes and “stretching”
shear zones that extend parallel to their length may be import-
ant in the formation of some S-, C-, and (Behrmann
1984, Passchier 1991).
Complications in the use of S-, C-, and as kin-
ematic indicators have been pointed out by Behrmann (1987),
but the general rules given below (Sections 7.5.3 and 7.5.4)
can be used for all fabrics. These relationships may be seen
particularly clearly in thin section.
CHAPTER 7. MICROSTRUCTURAL SHEAR SENSE CRITERIA 73

7.5.3 Curvature of S-foliation geometry that can be used in the same way as porphyroclasts
(Section 7.4.3). It may be difficult to distinguish pressure
Many S-foliations curve into like the curved foliation de- shadows from porphyroclasts (Plate 44). Rotation of the por-
scribed in Section 7.2, and the rotation sense from the S- phyroclast relative to the ISA and deformation of the pressure
foliation to the C- or gives the sense of shear re- shadow or fringe complicate this simple geometry. Despite
liably (Fig. 7.12, Plates 39, 40). the large variety of intricate structures that may be produced
(e.g. Etchecopar and Malavieille 1987, Aerden 1996) there
7.5.4 Shear on C- or are two reliable methods of determining shear sense from
more complex pressure shadows and fringes.
The sense of shear on C- or is always the same
as the overall sense of shear. It can sometimes be determined
7.6.2 Geometry of the last increment of growth
independently from the curvature of S-foliations by identify-
ing features such as veins that are offset by shear on C- or The last increment of growth may be virtually undeformed
and can therefore indicate the direction of the last maximum
ISA. In the case of antitaxial growth, the last increment will
be closest to the inclusion, while the opposite will be true for
7.6 Pressure shadows and fringes syntaxial growth. The sense of rotation from the last max-
imum ISA to the shear plane give the shear sense. Fibre ori-
7.6.1 Kinematics of pressure shadows and entation in pressure fringes can be used to indicate the ISA
fringes in shear zones only if the fibres are displacement-controlled.

The formation and geometry of pressure shadows and fringes

has been discussed in Chapter 3.9, and here it needs to be
re-emphasized that pressure shadows and fringes grow in the
volume of low mean stress around the inclusion, which ap-
proximately coincides with the direction of the ISA. There-
fore in the simplest case of undeformed pressure shadows,
the pressure shadow or fringe will be oblique to the shear
plane, and the shear sense can be deduced from the acute
rotation from the pressure shadow/fringe to the shear plane
(Fig. 7.15). Some pressure shadows/fringes have a stair-step
7.6.3 Shape
Fortunately a simple empirical rule for shear sense determ-
ination is clear from computer simulations and natural ex-
amples, even without detailed considerations of the mechan-
ism of pressure shadow or fringe formation. The shape of the
whole pressure shadow or fringe, defined either by its median
line or by its enveloping surfaces, forms a doubly-inflected
curve which is either an S or a Z shape. S shapes imply dex-
tral rotation of the core objects and therefore dextral shear
74 CHAPTER 7. MICROSTRUCTURAL SHEAR SENSE CRITERIA

sense, and vice versa (Figs. 7.16, 7.17). One complication

that may occur in the use of pressure shadows or fringes as
shear sense indicators is that the shadow/fringe may be ro-
tated with the inclusion (White and Wilson 1978). Pressure
shadows formed in the extension field may be rotated into the
shortening field and therefore give the incorrect shear sense.
Longer pressure shadows can come to resemble por-
phyroclast tails by this process (Hanmer and Passchier 1991).

7.7 Mica fish

Mica fish are a distinctive type of porphyroclast consisting
of elongated single crystals of mica, often associated with
tails (e.g. Lister and Snoke 1984, Hanmer 1986, Passchier
and Trouw 1996). Stair-stepping of the tails can be used as a
shear sense indicator following Section 7.4, and the sense of
the acute rotation from the long axis of the fish to the shear
plane also gives the shear sense directly (Plate 42). The form-
ation of mica fish is not well understood, but may involve
development of tails by dynamic recrystallization as well as
cataclasis, and rotation of the fish. Other minerals (e.g. horn-
CHAPTER 7. MICROSTRUCTURAL SHEAR SENSE CRITERIA 75

blende, Plate 43) may show the same geometrical features as understand the porphyroblast growth mechanism, especially
mica fish. whether the porphyroblast is in a domain of coaxial or non-
coaxial flow.

7.8 Porphyroblast internal foliations

Curved foliations within porphyroblasts (internal foliations,
usually defined by inclusion trails) have been generally
considered to form by rotation and growth of porphyroblasts
with respect to the matrix foliation and the flow axes dur-
ing non-coaxial flow (Fig. 7.18a). However, Bell and cowork-
ers (e.g. Bell 1985, Bell and Johnson 1989, Bell et al. 1992,
Aerden 1995) have argued that many form by porphyro-
blasts overgrowing a new foliation that formed in a differ-
ent orientation relative to an external frame of reference, and
that the porphyroblasts themselves do not have an external
vorticity. The latter interpretation leads to the opposite sense
of shear to the former (Fig. 7.18). A third possibility for inter-
preting curved is that a pre-existing foliation rotates during
coaxial flow (Fig. 7.18b; Ramsay 1962). A fourth possibility
for generating curved inclusions with continuous and is
by post-tectonic overgrowth of folds (helicitic structure). The
last case can be distinguished by the presence of folds with
a similar geometry to the inclusion trail in the matrix away
from the porphyroblast.
The above ambiguities are sufficient to preclude the use
of porphyroblast inclusion trails as a shear sense indicator
unless the mechanism by which they formed is well known.
It is important to know the regional kinematic framework to
7.9 Crystallographic fabrics
Crystallographic fabrics are usually represented by lower
hemisphere, equal area stereographic projections of Crystal-
lographic directions of individual grains or sub-grains. It is
standard practice to use the shear sense observation plane
as the projection plane, with the foliation as a vertical east-
west plane, and the lineation as a horizontal east-west line.
This section focuses on the use of quartz c-axis Crystallo-
graphic fabrics, which are readily obtained from the universal
stage following the procedures in Turner and Weiss (1963) or
Passchier and Trouw (1996).
Quartz c-axes in non-coaxial shear are known to have an
asymmetrical distribution relative to foliation and lineation
from experiments, numerical models and natural examples.
The asymmetry has been demonstrated as a reliable shear
sense criterion (e.g. Behrmann and Platt 1982, Bouchez et
al. 1983, Simpson and Schmid 1983, Law 1986, 1987, 1990,
Law et al. 1994) but important exceptions are known (e.g.
Passchier 1983). Crystallographic fabrics should only be used
for shear sense determination when deformation is the res-
ult of intracrystalline plasticity, the foliation and lineation are
clearly defined and related to the finite strain, the deformation
is homogeneous, and the mineral used for the determination is
76 CHAPTER 7. MICROSTRUCTURAL SHEAR SENSE CRITERIA

Quartz a-axes can also be used for shear sense determin-

ation, but they require X-ray measurement. Calcite c-axes
develop a girdle in non-coaxial shear that is inclined to the
foliation in the opposite direction to the quartz c-axis girdle
(e.g. Schmid et al. 1987, Wenk et al. 1987). Asymmet-
ric girdles in calcite determined by X-ray diffraction
have proven to be reliable shear sense indicators (Erskine et
al. 1993). Plagioclase, olivine and orthopyroxene asymmetric
dominant in volume (Bouchez et al. 1983). Crystallographic fabrics have also been used to determine shear sense (Mercier
fabrics should always be used in conjunction with other shear 1985, Gapais and Brun 1981, Passchier and Trouw 1996).
sense indicators.
The crystallographic fabric asymmetry is best defined by
the fabric skeleton, which are the lines that connect the max- 7.10 Asymmetric microboudins
imum concentrations of c-axes (Behrmann and Platt 1982,
Law 1987). Two types of asymmetry are distinguished: ex- Microboudins can be observed in thin section and share the
ternal asymmetry is defined by the obliquity of the central same characteristics as the mesoscale examples described in
girdle to the foliation (angle in Fig. 7.19; angle nomen- outcrop or experiments. Boudins in non-coaxial deformation
clature after Law 1987), and by the difference between the are asymmetric, due either to modification of initially sym-
angles and (Fig. 7.19). Internal asymmetry is defined metrical boudins (types I and II in Fig. 7.20; Hanmer 1986),
by the angles and between the arms of the crossed or to development of asymmetric boudins ab initio (type III
girdle and the central girdle (Fig. 7.19). The most important in Fig. 7.19, Goldstein 1988). The three types of asymmetric
shear sense criterion is the obliquity of the central girdle to boudin can be used as shear sense criteria according to the
the foliation (Fig. 7.19). The shear sense is given by the dir- following rules: Type 1 asymmetric boudins have two faces
ection of the acute rotation from the girdle to the shear plane. parallel to the shear plane, and two inclined to the shear plane
The difference between the values of and or between such that an acute rotation from the inclined faces to the shear
and can also be used (Fig. 7.19, cf. Law 1987, 1990, plane gives the shear sense. Types II and III boudins are sep-
Law et al. 1994). At high temperatures where prism <c> slip arated on shears that are inclined to the shear plane, and dis-
operates, a completely different type of fabric forms, consist- place the boudins in the same sense as the overall shear zone
ing of a point maximum of c-axes near the lineation. The (analogous to and Riedel shears, Section 7.5, Plate 6).
acute rotation from the point maximum of the c-axes to the However, the geometry of boudins in non-coaxial shear de-
lineation is in the opposite direction to the shear sense (Main- pends on the initial shape and orientation of the boudinaged
price et al. 1986). layer (Goldstein 1988). Boudins can be separated by shears
CHAPTER 7. MICROSTRUCTURAL SHEAR SENSE CRITERIA 77

antithetic to the dominant sense of shear, even when layers

lie in the extensional field (Fig. 7.21). “Bookshelf sliding”
also involves antithetic shearing. Therefore microboudins can
only be reliably used for shear sense determination if their
initial shape and orientation are known: this may be possible
from observations outside shear zones.

7.11 Asymmetric microfolds and

rolling structures
The vergence of asymmetric folds in shear zones is often the
same as the dominant shear sense (e.g. Fossen and Hoist
1995), but fold vergence opposed to the shear sense is also
well documented (e.g. Krabbendam and Leslie 1996). Op-
positely verging folds can be generated by shear of buckle
folds in a layer inclined in the shortening direction of non-
coaxial flow (e.g. Ramsay et al. 1983, Little et al. 1994) or
by heterogeneous simple shear (Fig. 7.22; Krabbendam and
Leslie 1996). Folds in simple shear zones may be highly non-
cylindrical, and this also complicates the use of fold vergence
for shear sense determination. Asymmetric microfolds, like
asymmetric microboudins, should not be used for shear sense
determination unless the way in which they formed is known.
Reliability can be enhanced when the vergence of several lay-
ers in different orientations can be observed, or when the ini-
tial orientation of the folded layer can be determined, for ex-
ample by observations outside the shear zone.
A special type of asymmetric fold is developed by the in-
teraction between rigid inclusions and layering. This type of
fold is localized around the inclusion, and has the same ver-
gence as the sense of shear. Such structures developed at high
shear strains by interaction between porphyroclast and matrix
are referred to as rolling structures (Van Den Driessche and
Brun 1987).

7.12 Shear sense criteria in rocks con-

taining melt
7.12.1 Magmatic shear zones
Shear planes and shear directions that existed during deform-
ation of melt-bearing rocks may be difficult to identify be-
cause they leave no microstructural imprint (e.g. Park and
Means 1996). Compositional layering may function as a
shear plane because of its rheological anisotropy (Benn and
Allard 1989). It has been suggested that magmatic flow
planes and directions may correspond to the average ori-
entation of planar and linear shape fabrics respectively (e.g.
Guineberteau et al. 1987). However, magmatic foliation
defined by megacrysts is not generally parallel to the shear
plane (e.g. Paterson and Vernon 1995, Yoshinobu and Pa-
terson 1996) because megacrysts rotate at variable rates de-
pending on their aspect ratios and the rheology of the matrix
(e.g. Tikoff and Teyssier 1995). Indeed the first shear sense
criterion suggested below is based on the obliquity between
grain shape fabrics and the shear plane. Possible dangers of
the interpretation of magmatic or sub-magmatic foliations as
78 CHAPTER 7. MICROSTRUCTURAL SHEAR SENSE CRITERIA

shear planes are pointed out by Tikoff and Teyssier (1995). 3. Clasts are passive markers, but trains do not rotate
(“March-fixed train" model).
7.12.2 Oblique grain shape fabrics In all cases, the imbrication of clast trains gives the shear
sense according to the rule that the acute rotation from the
Grain shape fabrics of olivine, pyroxene and feldspar in gab-
train long axes to the shear plane is the same as the shear
bros have been used to determine sense of shear (Benn and
sense. Individual clast long axes can not be used reliably as
Allard 1989) on the basis that they form a fabric at an acute
shear sense indicators because they may rotate past the shear
angle to the shear plane. The shear sense is given by the acute
plane in the first two models, even in simple shear. The results
rotation from the fabric to the shear plane. However, since
of numerical modelling show that clast interaction depends
elongate grains may rotate past the shear plane, this criterion
strongly on clast density, and that the March models (2 and
needs to be used with caution, and a large number of obser-
3), possibly corresponding to sub-magmatic and solid state
vations should be collected.
deformation, are more effective at imbricating clasts. There-
fore clast imbrication is not diagnostic of melt-present de-
7.12.3 Tiling and imbrication formation.
Tiled and imbricated clasts have been proposed as shear
sense indicators in rocks containing melt (e.g. Blumenfeld 7.12.4 S-C fabrics
1983, Paterson 1989), and as diagnostic of melt-present, non-
S-C fabrics have been described in rocks that have no evid-
coaxial deformation. Imbrication has been comprehensively
ence of solid state flow (Blumenfeld and Bouchez 1988, Benn
modelled by Tikoff and Teyssier (1994), who suggested three
and Allard 1989), and these fabrics can be used as a shear
possibilities corresponding to magmatic, sub-magmatic and
sense indicator as described in Section 7.5. Euhedral, little
solid state deformation respectively:
deformed plagioclase grains in S- and C-orientations have
1. Rigid clasts in a fluid, which form imbricated trains of been described by Miller and Paterson (1994), suggesting that
clasts that rotate as a unit when they have coalesced the S-C fabric formed in a sub-magmatic state.
(“Jeffrey rotating train” model, after Jeffrey’s (1922)
analysis of rigid objects in a fluid). 7.12.5 Sub-magmatic microfractures
2. Clasts behave as passive markers in a fluid; trains rotate Sub-magmatic microfractures can be used as a shear sense in-
as a unit (“March-rotating train” model, after March’s dicator. They are inclined to the shear plane in the same ori-
(1932) description of the rotation of passive markers in a entation as T fractures (Fig. 2.17); the acute rotation from the
fluid). March-like behaviour of rigid clasts is suggested fractures to the shear plane opposes the shear sense (Bouchez
by the experiments of Ildefonse and Manktelow (1993). et al. 1992).
CHAPTER 7. MICROSTRUCTURAL SHEAR SENSE CRITERIA
7.13 Shear sense criteria for faults
7.13.1 Shear sense observations on faults
Determining the shear sense (sensu lato) of faults requires
observations in the shear sense observation plane which can
only be identified if the net slip vector of the fault is known.
In practice this almost always requires the presence of slick-
enlines to identify the shear direction within the fault plane.
Incohesive fault rocks are particularly difficult to sample and
section. It may be possible to collect intact and orientated
specimens by removing them in a metal casing, and to pre-
pare them for thin sectioning by impregnation with adhesive.
7.13.2 Displaced grain fragments
Small displacements on faults can be measured by matching
fragments of distinctive grains in the cataclastic fault matrix
to their parents in the walls of the fault, or by matching indi-
vidual grains on either side of the fault (Fig. 7.23, Plate 45).
The sensitive tint plate is useful for this task. However, the
sense of shear determined from fracturing of porphyroclasts
or boudins is ambiguous, because both synthetic and anti-
thetic fractures can form (Section 7.10).
7.13.3 Risers and slickenfibres
Risers (Section 2.9) on fault surfaces have been used histor-
ically to determine shear sense, making the assumption that
they are congruous, but the occurrence of incongruous steps
is well known. A variety of other fault surface features have
79
been suggested as shear sense indicators by observations on
faults with known shear senses in specific conditions (e.g.
Petit 1987, Doblas et al. 1997). It is not clear how widespread
these features are, and many of them could have ambiguous
interpretations on faults with unknown shear sense. Until fur-
ther work is reported, the only generally reliable fault surface
kinematic indicator at present are risers created by slicken-
fibre terminations (or accretion steps), which are always con-
gruous (Fig. 7.23). When using this criterion, it is useful to
examine fault surfaces in more detail under a binocular mi-
croscope such as those in common use for micropalaeonto-
logy, or under the SEM. This technique is particularly good
for dealing with incohesive specimens.
7.13.4 Gouges
The characteristic structures of gouges shown in Fig. 2.17
can be used to identify shear sense on a microscopic scale,
including P-foliation, Riedel and conjugate Riedel shears, T-
fractures and ductile stringers.
7.13.5 Jogs and bends
Compressional or dilational volumes are created at bends or
jogs in faults. On a microscopic scale, compression can often
be recognized by pressure solution, and dilation by creation
of open space or mineral deposition (e.g. Gamond 1987). The
shear sense can be determined from the sense of step and the
type of deformation: Right-handed bends or jogs are com-
pressional for sinistral faults and dilational for dextral faults.
The opposite rules apply for left-handed bends or jogs.
Chapter 8

Shock-induced microstructures and shock

metamorphism

8.1 Introduction
A number of distinctive natural microstructures have recently
been accepted as characteristic of shock metamorphism on
the basis of field observations, detailed microstructural stud-
ies, and comparisons with impact experiments. The products
and processes of shock deformation are distinct from other
geological microstructures and mechanisms, which justifies
a separate Chapter for their description. Shock effects have
well-established links with meteorite impact structures on
earth, which form under pressures ranging from <5 to > 100
GPa, temperatures up to 10 000 °C, and typical strain rates of
to (Fig. 8.1; Stöffler and Langenhorst 1994, Reimold
1995).
These pressures and strain rates are far greater than values
for tectonic crustal deformation (using the term tectonic to
imply endogenous processes). There has been vigorous de-
bate about which microstructures are diagnostic of meteorite
impact: this is discussed in Section 8.11.
a distinctive type of glass called diaplectic glass at moder-
ate pressures (25-50 GPa; 8.6), and a fused glass called le-
8.2 Shock mechanisms chatelierite at higher pressures (Section 8.8). Coesite and
stishovite, the high pressure polymorphs of silica, may be
Four fundamental shock mechanisms have been identified formed during shock metamorphism by solid state transform-
from experimental work that simulates shock conditions: ation or direct crystallization from melt (Section 8.7). These
cataclasis, intracrystalline plasticity, solid state phase trans- shock microstructures can be classified into high and low
formation, and melting (e.g. Huffman et al. 1993, Stöffler and pressure types (Table 8.1).
Langenhorst 1994). Cataclasis results in irregular, randomly
orientated microfractures, and sub-parallel sets of planar mi-
crofractures (Section 8.3). Intracrystalline plasticity is shown 8.3 Microfractures
by twinning and, possibly, shock mosaicism (Section 8.4), but
the formation of the latter is not well-understood. Non-planar, unorientated microfractures are common in
The most distinctive shock-induced microstructures and shocked materials. Planar, open microfractures (termed
mechanisms are associated with phase transformation at high planar fractures) parallel to low index crystallographic planes
compressive stress and with pressure-release melting. Quartz in quartz are a distinctive shock microstructure. They oc-
undergoes a phase transformation to an amorphous state in cur parallel to (0001) and planes, with a spacing of
which Si coordination with O changes from four-fold to six- (Stöffler and Langenhorst 1994). In experiment-
fold under pressures of approximately 5-35 GPa (Stöffler and ally shocked dunite, intragranular microfractures formed in
Langenhorst 1994). The phase transformation is heterogen- sets of variable orientation with separations of less than
eous at relatively low temperatures and high strain rates, and and more planar fractures with a spacing of
is localized on crystallographic planes leading to the form- formed in subregions of single crystals (Reimold and Stöffler
ation of one type of planar deformation feature (PDF, Sec- 1978). Their orientation is crystallographically controlled
tion 8.4). At higher temperatures and strain rates, the amorph- and a function of the direction of shock wave propagation,
ization is homogeneous. Quenching following melting forms and their density increases linearly with shock pressure in a

80
 CHAPTER 8. SHOCK-INDUCED MICROSTRUCTURES AND SHOCK METAMORPHISM
given rock type. PDFs (next Section) do not cross the mi-
crofractures, which has been interpreted to indicate that the and PDFs have spacings from 1 to
fractures formed earlier than the PDFs during the shock event of
(Stöffler and Langenhorst 1994). be distinguished in the TEM (Goltrant et al. 1991):
8.4 Planar Deformation Features
(PDFs)
Planar Deformation Features are intracrystalline zones of op-
tical and/or crystallographic contrast with the host crystal,
typically on the order of micrometres wide and with spacings
of 2 to as seen under the optical microscope (Fig. 8.2,
Plate 46). Quartz is the mineral in which shock characteristic
deformation is best developed and has been most extensively
studied. PDFs in quartz occur in sets parallel to the crys-
tallographic directions given in Table 8.2 Other orientations
include and As many as
18 different sets may form in one grain. The orientations of
PDFs in quartz can be related to the shock pressure as dis-
cussed in Section 8.10. Planar features with the dimensions
of PDFs in shocked quartz are spectacularly revealed in SEM-
CL images (Seyedolali et al. 1997), though it is not known yet
certain that they correspond to PDFs. A fundamental distinc-
tion can be made under the optical microscope between dec-
orated PDFs, which are marked by fluid inclusions or pores,
and non-decorated PDFs.
It is necessary to turn to the TEM to study PDFs in more
detail. About ten times more PDFs are visible in the TEM
than under the optical microscope (Goltrant et al. 1991),
81
and thicknesses
under the TEM. Four different types of PDFs can
1. Brazil twins in the basal plane.
2. Bands of high dislocation density, with concentrations
of voids or bubbles in rhombohedral planes.
3. Bands of variable proportions of glass and crystalline
quartz in the form of microcrystallites ~ 10 nm in size
in rhombohedral planes.
4. Glass lamellae in rhombohedral planes.
The basal orientation of the Brazil twins (type 1, Fig. 8.3)
distinguishes them from Brazil growth twins which are on
rhombohedral planes, and their association with dislocations
shows that they are mechanical twins (Leroux et al. 1994).
Types 2 and 3 are thought to be secondary features due
to post-shock annealing of type 4 PDFs, which are recog-
nized, together with basal Brazil twins, as characteristic of
fresh shock microstructures, and are the only type of lamellae
found in experimentally shocked material. The glass lamel-
lae can be subdivided into narrow transformation lamellae (<
10 nm wide) which are only visible in the TEM, and wide
transformation lamellae (50-500 nm wide) which are the op-
tically visible lamellae, and which may contain a finer scale
sub-lamellar structure of pillars at high angles to the lamellae
boundaries, which is clearly revealed by etching (Gratz et al.
1996).
82 CHAPTER 8. SHOCK-INDUCED MICROSTRUCTURES AND SHOCK METAMORPHISM

A number of models have been put forward for PDF form-

ation in quartz, which have largely been consolidated in the
work of Huffman et al. (1993), Langenhorst (1994), and
Huffman and Reimold (1996). Huffman et al. (1993) pro-
posed that PDFs formed by heterogeneous solid-state trans-
formation to amorphous silica along planes of progressively
lower compressibility, from basal to m, z, and a ori-
entations, with increasing pressure. Optically visible PDFs
are coalesced TEM-scale PDFs in domains between micro-
faults. Langenhorst (1994) considered the temperature pro-
files associated with shock fronts to show that, at relatively
low pressures (<25 GPa), melts were unlikely to form and
PDFs should consist of short-range order (quasi-diaplectic)
silica glass formed by solid-state transformation. At interme-
diate pressures (25-35 GPa), thin bands of melt may form in
addition to the solid state transformation, and at 35-50 GPa,
large-scale melting during compression may form diaplectic
glass. At >50 GPa, melting continues after shock compres-
sion to form lechatelierite by quenching under low pressure.
This model successfully accounts for the presence of both
amorphous silica in PDFs at temperatures too low for melting,
and diaplectic glass quenched from a melt. Fresh, impact- is uncertain whether these features are analogous to PDFs
induced PDFs are either Brazil twins or amorphous silica in quartz: recent TEM analyses of experimentally shocked
lamellae formed by solid state transformation or quenching zircon single crystals suggests that these features are micro-
of melt. cleavage, not PDF-type lamellar defects (Leroux et al. 1998).
Post-shock annealing may have several effects on PDFs. Zircon grains may also have a granular, polycrystalline tex-
The bands of high dislocation density in quartz (type 2, dec- ture of zircon crystals (“strawberry texture”), which has
orated PDFs) are likely to be due to post-shock annealing been observed in zircon from laboratory experiments and at
(Fig. 8.2). Annealing may be recognized by a distinct type several confirmed impact sites, including the Vredefort dome,
of fluid inclusion, which is typically much smaller (tens of but never in other circumstances: this texture may therefore
nm) than inclusions trapped during crystal growth (Goltrant be diagnostic of impact (Figs. 8.5, 8.6).
et al. 1991), although annealed PDFs may also contain in-
clusions up to diameter (Leroux et al. 1995, Leroux
and Doukham 1996). Fluid inclusions may form by diffusion 8.5 Mosaicism
along dislocations during recrystallization of PDFs, because
water is much more soluble in amorphous silica than in crys- Mosaicism is a pattern of domainal lattice misorientation seen
talline quartz. The tiny crystallites in the interior regions of as a mottled extinction pattern, which is distinctly different
PDFs (type 3 of Goltrant et al. 1991) are a characteristic an- from undulatory extinction, due to the sub-microscopic size
nealing texture (e.g. Langenhorst and Clymer 1996). of the domains (Plate 48, Stöffler and Langenhorst 1994).
Zircon, like quartz, is a favorable mineral to investigate Mosaicism can be described from spot or line broadening ob-
shock effects because of its transparency, lack of important served in X-ray diffraction (XRD) patterns from single crys-
twinning or cleavage, and uniaxial optical character. Fur- tal grains of quartz. As experimental shock pressures rise,
thermore, it is a very refractory mineral which is resistant the single crystal XRD pattern becomes increasingly similar
to alteration and thermal overprint. Shock features in zircon to a powder diffraction pattern. The technique can be used
can be seen after etching in the SEM (Bohor et al. 1993). to determine that domain size decreases from >3000 nm to
Planar features continuous across the whole grain occur with <200 nm with pressure. Single zircons with planar features
a spacing of or less (Fig. 8.4, Kamo et al. 1996). It can also show asterism (Bohor et al. 1993). The deforma-
CHAPTER 8. SHOCK-INDUCED MICROSTRUCTURES AND SHOCK METAMORPHISM 83

density (Table 8.3). Langenhorst’s (1994) model for the form-

ation of diaplectic glass suggests that it forms by quenching
of a melt before shock pressure is completely released. Its
distinctive properties are due to some long range order which
is inherited from the solid state. Diaplectic glass in natural
impact rocks recrystallizes during annealing to characteristic
textures which depend on the shock pressure reached. For
shock pressures less than 35 GPa, the glass becomes brown.
Microstructures of spherical single crystals, all in
the same orientation, called ballen, form at higher pressures.
At still higher pressures, the ballen have different crystallo-
graphic orientations (Grieve et al. 1996, Plates 47, 48).

8.7 High pressure polymorphs of

quartz - Coesite and stishovite
Coesite in some shocked samples appears as colourless-
brown, sized aggregates of individual grains less
than in size, typically twinned parallel to (010), often
enclosed by diaplectic glass or isotropic quartz with abundant
remnants of PDFs (Grieve et al. 1996). The aggregates may
be aligned on crystallographic planes. Coesite associated
with pseudotachylite veins from the Vredefort Dome is col-
ourless, with high relief, and very low birefringence (Fig. 8.7;
Martini 1991). It is either massive or forms radiating needles
up to long. Coesite has been observed at impact
craters and artificial explosion craters, but never in shock ex-
periments: this is attributed to the much shorter duration of
the pressure pulse in experiments compared to natural events
(Stöffler and Langenhorst 1994). Stishovite, the higher pres-
sure polymorph of silica, can be distinguished from coesite by
a higher birefringence and a brownish colour (Martini 1991).
It occurs in the same two habits described above for coesite
(Fig. 8.8). It appears in TEM as extremely fine-grained ag-
gregates parallel to PDFs in experimentally shocked quartz
(Ashworth and Schneider 1985). The difficulty of produ-
cing stishovite in shock experiments suggests that relatively
tion mechanism responsible for shock mosaicism is unclear.
long shock durations may be required, and that it may crys-
Although mosaicism appears similar to subgrain formation,
tallize from a high-pressure melt (Stöffler and Langenhorst
dislocations may not be mobile on the time scales of shock
1994). The preservation of stishovite appears to require rapid
events: therefore a direct comparison with subgrain forma-
quenching because it is transformed to amorphous quartz at
tion by recovery may not be valid (Stöffler and Langenhorst
relatively low temperatures.
1994). Remnants of planar features associated with mosa-
icism in quartz suggest that the mosaic domains may have
formed by the intersection of two sets of PDFs (Leroux and
Doukham 1996). Mosaicism has also been described from 8.8 Lechatelierite
other minerals, for example feldspars, olivine and pyroxene
(Hörz and Quaide 1973). A patchy optical extinction pattern Lechatelierite is a silica glass which may contain flow struc-
similar to mosaicism in feldspar can be formed by growth tures and vesicles, and may occur as veins within quartz with
zoning (Sharpton and Schuraytz 1989). PDFs. The optical properties of lechatelierite are summarized
in Table 8.3. The vesicles and flow structures demonstrate
that lechatelierite forms as a quench product from a melt un-
8.6 Diaplectic glass der low pressure, in distinction from diaplectic glass. Melting
to form lechatelierite requires pressures in excess of those for
Diaplectic glass is a distinctive type of silica glass that oc- whole rock melting, and therefore it is only preserved in veins
curs in homogeneous patches and associated with some types where pressures were locally increased by shock reverbera-
of PDF. It can be distinguished from either synthetic quartz tion, or as inclusions in whole rock melts or tectites (Stöffler
glass or lechatelierite (Section 8.8) by optical properties and and Langenhorst 1994).
84 CHAPTER 8. SHOCK-INDUCED MICROSTRUCTURES AND SHOCK METAMORPHISM

8.9 Tectites, microtectites and spher- MgO and ratios, and higher Cr, Ni, and Co (Koe-
berl 1990). These characteristics are similar to sediments.
ules
Tectites occur over large areas of the earth’s surface called
Tectites are rounded silicate glass bodies usually less than a strewn fields, demonstrating that they were deposited from
few centimetres in diameter (Glass 1990). They are usually the atmosphere. Terrestrial and lunar volcanism, and met-
black, but may be translucent, brown or green. Three major eorite impact, have been proposed as possible origins for
types are recognized: tectites, but a number of arguments favour the impact hypo-
thesis (Glass 1990). Flow structures demonstrate that tectites
1. Splash forms: spheres, disks, dumbell and teardrop were molten: the flanges of ablated forms were formed dur-
shapes. ing a second period of melting. Lechatelierite inclusions sug-
gest temperatures of 2000°C, far greater than volcanic tem-
2. Ablated forms, which are similar to splash forms but peratures. The chemical composition of tectites shows that
with an additional flange. they were derived by melting of sediments and not from ter-
restrial or lunar igneous rocks. Furthermore, the tectites in
3. Muong Nong types, which are larger, layered chunks of
two strewn fields can be linked to proven impact craters: for
tectite glass.
example, tectites in Czechoslovakia came from the Ries crater
Tectite glass has flow structures and abundant inclusions of in Germany, while the Ivory Coast strewn field is derived
from the Bosumtwi crater in Ghana.
lechatelierite. Baddeleyite, coesite, metallic spherules, and
corundum may occur as inclusions, as well as quartz, zir- Microscopic tectites (microtectites) have been described
con, rutile, chromite and monazite in the Muong Nong types from several sites at the Cretaceous-Tertiary boundary, and
(Glass 1990). The chemistry of tectites is similar to felsic vol- associated with impact at the Chicxulub site in Mexico (e.g.
canic glasses, with contents of >65%, but with higher Smit et al. 1992, Olsson et al. 1997). Many of these mi-
CHAPTER 8. SHOCK-INDUCED MICROSTRUCTURES AND SHOCK METAMORPHISM 85

crotectites are spherical, with diameters of 0.2 to 5 mm, and to mosaicism and PDFs, followed by diaplectic glass, coes-
composed of clays or calcite. Some of these spherules contain ite and stishovite, and lechatelierite at the highest pressure.
a core of glass, suggesting that the clays formed by devitrific- However, the accurate pressure calibration of this general se-
ation. Flow structures in the glass, and associated shocked quence is subject to the effects of a number of other variables
grains, demonstrate the impact origin of these spherule beds. (8. 10.3) which are not yet quantified with the exception of the
initial temperature of the target rocks and porosity.
Figure 8.9 shows onset pressures for shock microstructures
8.10 Shock barometry and thermo- in quartz and feldspar based on experiments on single crystals
of quartz or non-porous crystalline rocks. The lines showing
metry decrease in onset pressure with temperature were determined
by experiments on granite and quartzite (Reimold and Hörz
Establishing shock pressures has fundamental implications
1986, Huffman et al. 1993, Huffman and Reimold 1996).
for establishing the origin of shock microstructures and is
Microfracturing occurs at the lowest pressures: planar micro-
useful to estimate the rate of shock pressure attenuation for
fractures form at pressures greater than 5 to 10 GPa (Huffman
modelling impact processes. Shock pressures have been
et al. 1993). Mosaicism in quartz is first seen from pressures
calibrated experimentally using microstructures, the density
of 6 to 10 GPa. The onset pressures for PDFs in these experi-
of quartz, and the optical, X-ray diffraction, spectroscopic
ments fall between 15 and 18 GPa, but this is well above fig-
and thermoluminescent characteristics of quartz (Stöffler and
ures given by other workers, who suggest formation of non-
Langenhorst 1994, Grieve et al. 1996). Shock temperatures
basal PDFs (i.e. not Brazil twins) at pressures as low as 10
can be calculated in non-porous rocks from shock pressures
GPa. These lower pressures are shown on Fig. 8.2 by labels
(e.g. Langenhorst 1994). In the following Sections, two
giving the orientations of the dominant PDFs (after Stöffler
methods of shock wave barometry using optical microscopy
and Langenhorst 1994, Grieve et al. 1996). The nature and
(microstructures and optical properties of quartz) are briefly
orientations of PDFs in quartz changes as a function of pres-
described.
sure. Brazil twins form at the lowest pressures, followed by
PDFs. PDFs are generally considered to form at pressures
of ~20 GPa, and become the dominant orientation at ~25
8.11 Calibration of shock pressures GPa (e.g. Langenhorst and Deutsch 1994). Widths of experi-
from microstructures mentally created PDFs at the TEM scale change in thickness
from <100 nm at <25GPa to ~200 nm at >25 GPa. Ini-
Microstructures form with increasing shock pressure in a tial (i.e. target) temperature has an effect on PDF develop-
sequence that has been clearly established by experimental ment. Approximately equal numbers of grains show single
work. In quartz, from the lowest pressure, fracturing evolves and multiple sets of PDFs in experiments at 18 GPa and 250C
86 CHAPTER 8. SHOCK-INDUCED MICROSTRUCTURES AND SHOCK METAMORPH1SM
CHAPTER 8. SHOCK-INDUCED MICROSTRUCTURES AND SHOCK METAMORPHISM 87

(Huffman and Reimold 1996). The number of grains with

PDFs decreases as temperature increases, and multiple sets
are preferentially eliminated; at 750°C, there are very few
grains with single sets of PDFs in samples shocked at this
pressure. The shape of the PDFs also changes from narrow
with sharp boundaries at low temperatures to broad with wavy
boundaries at higher temperatures. There is some evidence
for a change from dominantly to orientations as temper-
ature is increased from 25°C to 440°C (Huffman et al. 1993).
Quartz phase may affect the character of PDFs: samples
shocked at 20-25 GPa and 540°C showed dominantly
PDFs, compared to a broad range of PDF orientation at
630°C, corresponding to the change from to sta-
bility in the target rocks (Langenhorst et al. 1992, Langen-
horst and Deutsch 1994). Experimentally shocked and
are also distinguished by the observation that positive
and negative planes of the same form never coexist in samples
shocked at less than 573°C, the transition tem-
perature, as expected from the trigonal symmetry of
This is in distinction from PDFs parallel to the hexagonal pyr-
amids of samples shocked in the stability field, and
has been used as a geothermometer for the pre-shock tem- from Fig. 8.7. The effect of temperature on the high pres-
perature of the target rocks: for example the temperature of sure phases is not well known, however. Microstructures in
the Ries crater and Eocene-Oligocene impact targets can be feldspar show a similar pattern with the notable difference
constrained to less than 573°C (Engelhardt and Bertsch 1969, that mosaicism occurs at considerably lower pressures. The
Langenhorst and Clymer 1996). best pressure estimates are given by the coexistence of two or
more microstructures.
A pressure calibration for porous rocks (Table 8.4) has
been established from work on the Barringer Crater in Ari-
zona (Kieffer 1975, 1981, Kieffer et al. 1976). In general, 8.11.1 Calibration of shock pressures from op-
the onset pressure for any microstructure decreases with in- tical properties of quartz
creasing porosity, because stress concentrations can occur on
The refractive indices and birefringence of quartz at room
the grain scale. PDFs seem to be less abundant in porous
temperature decrease continuously from samples shocked at
targets than crystalline ones, and there is some evidence that
25 GPa to those shocked at 35 GPa, which corresponds to the
different orientations occur in porous rocks:
transition to diaplectic glass (Fig. 8.10). The refractive index
and may be important (e.g. French et al. 1974). A
of diaplectic glass decreases slightly as pressure increases fur-
sequence of microstructures similar to those in quartz and
ther to 50 GPa. The effect of increasing pre-shock temperat-
feldspar with increasing shock pressures has been established
ure is to restrict the pressure interval over which the decreases
in olivine and pyroxene. Planar fractures and mosaicism de-
occur: at 630°C, the change occurs between 25 and 26 GPa
velop in olivine at 10 to 15 GPa, intergranular brecciation
(Stöffler and Langenhorst (1994).
at 30 GPa, and glass, annealing and melting occur above 50
GPa. In pyroxenes, twinning occurs at 5-10 GPa, mosaicism
and PDFs at 20-25 GPa, and glass, melting and recrystalliza- 8.11.2 Problems of shock barometry
tion above 75 GPa (Huffman and Reimold 1996).
Experiments have also shown that strain rate, pulse duration,
Details of the techniques for measuring PDF orientations and rate of pressure increase may also be important variables
are described in Engelhardt and Bertsch (1969), Stöffler and that should be considered in an accurate calibration of shock
Langenhorst (1994) and Grieve et al. (1996). There are vari- pressure (e.g. Huffman et al. 1993, Huffman and Reimold
ous methods of assigning an average shock pressure to ori- 1996). Different calibrations between experiments with dif-
entation measurements from a sample, which should consist ferent pulse lengths suggest that this is a factor which has not
of as many grains as possible. According to the method of been adequately explored, and raises the problem of extra-
Robertson (1975), individual grains are assigned the value of polation from experiment to nature (Huffman and Reimold
the highest pressure PDF observed within the grain accord- 1996). Grain size, grain size distribution, porosity and modal
ing to some experimental calibration. The shock pressure is mineralogy may also have effects (e.g. Robertson and Grieve
taken as the average of individual grain pressures. Variations 1977, Reimold and Stöffler 1978, Grieve et al. 1996).
on this method which account, respectively, for grains with Basal PDFs appear to be more resistant to post-shock an-
no PDFs and grains converted to diaplectic glass, have been nealing than other types of PDF (Leroux et al. 1994), render-
proposed (Fel’dman 1994). ing shock pressure calibrations from PDFs unreliable where
Mosaicism, the first appearance of diaplectic glass, 100% there has been post-shock annealing. Other barometers may
diaplectic glass, and lechatelierite, as well as the existence be questionable in this situation: for example, diaplectic glass
of coesite and stishovite can all be used as quartz barometers is a metastable phase and may not be preserved. Stishovite
88 CHAPTER 8. SHOCK-INDUCED MICROSTRUCTURES AND SHOCK METAMORPHISM

inverts in only 3 days at 250°C in the presence of water, and in impact rocks, so that the third criterion is not general. Mul-
thus has limited preservation potential (Gigl and Dachville tiple, intersecting sets of tectonic lamellae are also known
1968). (e.g. Lyons et al. 1993), but these lamellae are distinctly dif-
ferent to PDFs, mainly because they are non-planar (Reimold
1994). Several studies of PDF orientations in shocked targets
8.12 Diagnostic impact microstruc- show that criterion 4 is false: in particular, shock-induced
basal PDFs (Brazil twins) are common at low shock pres-
tures sures. Straightness (planarity), and sharpness or definition re-
main important characteristics for identifying PDFs, but have
The identification of microstructures that are diagnostic of
not been quantitavely defined: this lack of objectivity has
impact has profound implications for the understanding of the
evolution of the earth. The subject has been very controver- caused considerable controversy in the past. Optical studies
alone appear to be incapable of fully distinguishing impact
sial, with much debate on the extent to which shock-induced
from tectonic lamellae.
microstructures could be produced by volcanic eruptions or
other endogenous processes as alternatives to meteorite im- SEM and TEM-scale features do allow a clear distinction
pact. between fresh PDFs and tectonic deformation lamellae. Etch-
PDFs have been associated with shock metamorphism on ing with HF liquid or vapour followed by SEM examination
the basis of experiments and observations of their distribu- is a more widely available technique than the TEM (Gratz et
tion in suspected impact target rocks (e.g. McIntyre 1962, al. 1996). Relatively wide, glass-filled PDFs from impacts
Carter 1965, Hörz 1968, Robertson and Grieve 1977). How- and shock experiments are revealed as sharp, planar features
ever, PDFs can be superficially similar to deformation lamel- less than wide after etching, often containing sublamel-
lae formed by tectonic processes as described in Section 4.6, lar structure (see Section 8.4). By contrast, etched tectonic
and this raises the controversial questions of whether PDFs lamellae are much wider than and often sinuous, similar
can be diagnostic of shock metamorphism, and whether shock to their appearance under the optical microscope (e.g. Joreau
features can be produced in volcanic eruptions. et al. 1997; Fig. 4.11). Table 8.5 summarizes the differences
Commonly used criteria for identifying impact-induced between shock-induced PDFs and deformation lamellae in
PDFs include the following (e.g. Alexopoulos et al. 1988): quartz. Post-shock annealing reduces PDFs to a dislocation
structure similar to deformation lamellae, making the distinc-
1. Well-defined, sharp features. tion between the two difficult (cf. Goltrant et al. 1992). Basal
Brazil twins have only ever been observed in quartz from
2. Straight. impact structures and in experiments with deviatoric stresses
over ~4 GPa at room temperature (Leroux et al. 1994). These
3. Often occur in multiple sets per grain. observations were used by Leroux et al. (1994) to argue that
basal Brazil twins are strong evidence for shock.
4. 90% are in the and directions.
Stöffler (1972) suggested that mosaicism is the most com-
However, single sets of PDFs are developed in shock experi- mon manifestation of shock. However, mosaicism is not
ments under higher temperature conditions and are observed diagnostic of shock effects, and may also be caused by tec-
CHAPTER 8. SHOCK-INDUCED MICROSTRUCTURES AND SHOCK METAMORPHISM
tonic deformation or even chemical effects, especially in feld-
spars (e.g. Sharpton and Schuraytz 1989, Officer and Carter
1991). The occurrence of coesite is known from inclusions
in high-pressure metamorphic rocks and kimberlites, but the
very fine-grained, polycrystalline nature of coesite in impact
related rocks is diagnostic (Grieve et al. 1996). Diaplectic
glass can be formed by static compression at 25-35 GPa, but
this is much higher than any pressures recorded by rocks at
the surface of the earth (Fig. 8.1): diaplectic glass remains a
diagnostic indicator for shock pressures.
Explosive volcanism and deep-seated explosive activity
are possible alternatives to meteorite impact as a source of
shock waves. Controversy exists over what pressures may be
obtained in volcanic explosions; estimates range from values
89
within the field of crustal metamorphism (0.5 GPa) to values
as much as 10 GPa. Planar microstructures, mosaicism and
Brazil twins in volcanic rocks have been claimed as shock
microstructures (e.g. Carter et al. 1986, 1990, Huffman and
Reimold 1993), but much of this evidence has been strongly
refuted (Sharpton and Schuraytz 1989). The case for shock
features related to volcanism or deep-seated explosive activ-
ity is not strong. In summary, Brazil twins, glass-filled PDFs,
diaplectic glass, the distinctive very fine grained, polycrystal-
line occurrence of coesite, and shock features in zircon are
diagnostic of impact shock. As stressed by Reimold (1994),
a thorough evaluation of the case for shock metamorphism
should examine a variety of minerals and evidence on macro-
scopic to microscopic scales.
Chapter 9

From Microstructures to Mountains:

Deformation Microstructures, Mechanisms
and Tectonics
9.1 Introduction 9.2 Failure criteria
9.2.1 Coulomb and Mohr failure criteria
Deformation microstructures and mechanisms can be used to The simplest failure criterion, known as the Coulomb cri-
deduce conditions of deformation, because they imply partic- terion, is that failure occurs when the shear stress on a plane
ular relations between stress, strain rate (and possibly strain), equals a material property called the cohesion and
temperature, fluids, microstructure, and mineralogy. These the normal stress multiplied by the coefficient of internal
relations are derived from laboratory experiments and the- friction,
ories of material deformation. There are three types of re-
lationship: failure criteria (Section 9.2), which give stress
The criterion in terms of the principal stresses is:
conditions for faulting, frictional sliding laws (Section 9.3),
which give stress or stress-strain rate conditions for frictional
sliding, and flow laws (Section 9.4), which give stress-strain
where is the uniaxial compressive strength. The value of
rate relationships for flow accommodated by intracrystalline
is around 0.58 for many rocks, while varies widely for
plasticity, diffusive mass transfer (DMT), or composite de-
different rock types. A useful generalization of rock types
formation mechanisms. Relationships between flow laws are
in terms of their uniaxial compressive strengths is given by
usefully illustrated on a deformation mechanism map (Sec-
Paterson (1978):
tion 9.6) which shows fields of stress, temperature and grain
size in which particular mechanisms give the highest strain 1. Igneous and high-grade metamorphic rocks.
rate. The rheology of the lithosphere is often shown by a plot
of stress against depth, or a lithospheric strength envelope 2. Low-porosity sedimentary and low-medium grade meta-
(Section 9.7). morphic rocks.
Although failure criteria and flow laws are essential tools 3. High porosity sedimentary and some low grade meta-
in tectonic interpretation, they are based on laboratory exper- morphic rocks.
iments which have serious limitations when extrapolated to
4. Low porosity dolomites and quartzites.
nature (e.g. Carter and Tsenn 1987, Paterson 1987). Two of
the most important problems are the limited scale of triaxial However, the relationship between shear and normal stress
tests, which means that mesoscopic heterogeneities in rocks of real rocks is not linear as suggested by the Coulomb cri-
are not accounted for, and the fast strain rates of experiments terion. The Mohr criterion describes the relationship by an
(typically to ) compared to most tectonic de- empirical fit to data from rock mechanics experiments, and
formation ( to ), which mean that the deform- so is limited to materials that have been extensively tested.
ation mechanisms may differ between nature and experiment. The Griffith criterion (next Section) is a better approximation
Microstructures offer a potential solution to these problems: to rock behaviour in most situations.
if deformation microstructures and mechanisms can be iden-
tified in nature that correspond to experiments, then laborat- 9.2.2 Griffith failure criteria
ory results can be extrapolated with more confidence. This
Chapter provides some basic failure criteria, frictional sliding Griffith’s thermodynamic approach to failure outlined in Sec-
laws, and flow laws to be used in conjunction with micro- tion 2.2.1 leads to a failure criterion of the form:
structural observations to make tectonic interpretations. The
primary intention of the Chapter is to provide quantitative
data based on the concepts in the previous Chapters.

90
CHAPTER 9. FROM MICROSTRUCTURES TO MOUNTAINS 91

is the uniaxial tensile strength. This simple criterion is
widely applicable, but limitations are the difficulty of meas-
uring (which is dependent on the type of test used) and
the observation that in most rocks, the uniaxial compressive
strength is 10 to 12 times the value of (Jaeger and
Cook 1979). The Griffith criterion predicts that
Values of for use in the Griffith criterion can be calculated
from the generalized values of given in Section 9.2.1.
The simple Griffith criterion does not predict any effect of
on failure: this was accommodated in the Extended Grif-
fith criterion by Murrell (1963), giving the failure criterion:
This criterion implies that in better agreement
with observed values. A more rigorous treatment of triaxial
stress acting on a body containing randomly orientated ellips-
oidal cavities leads to a failure criterion which is independent
of and implies lower values of than the Griffith fail-
ure criterion (Murrell and Digby 1970). The effect of fric-
tional sliding on closed Griffith flaws with a coefficient of
friction and stress required for closure was dealt with
by McClintock and Walsh (1962) in the Modified Griffith cri-
terion:
and may also depend on the elastic moduli of the solid and
pore fluid (Bernabé 1987, Warpinski and Teuffel 1993).
generally lies between the value of porosity and 1; typical
values for reservoir rocks are 0.5-0.8 (e.g. Detournay et al.
1989, Kumpel 1991). is approximately 1 for many crystal-
line rocks. Departures from this value occur when the pore
fluid has a chemical effect, when permeability is low enough
to prevent uniform pore fluid pressures during experiments,
and when porosity is not interconnected (Paterson 1978).
9.4 Fracture mechanics and failure
criteria
Shear failure occurs by linking of axial tensile microcracks
(Section 2.4). This fundamental observation has been incor-
porated into failure criterion (e.g. Peng and Johnson 1972)
through the application of fracture mechanics (e.g. Lawn
and Wilshaw 1975a, Nemat-Nasser and Horii 1982, Horii and
Nemat Nasser 1985, 1986, Kemeny and Cook 1987, Hallam
and Ashby 1990, Baud et al. 1996). Unfortunately the res-
ultant expressions for failure are complex and depend on the
geometry and size of the initial flaws, which are not readily
measured microstructural properties.

is a function of Poisson’s ratio and the axial ratios of the 9.5 Frictional sliding laws
flaws: for penny-shaped flaws and
for biaxial stress. The value of is (Murrell 1965); 9.5.1 Byerlee’s law
a value of 100 MPa was used for in lithospheric failure
Amonton’s Law (Section 2.2.2) describes frictional behaviour
modelling by Kusznir and Park (1984, 1987). If is taken
of rocks well at low normal stresses, but at higher normal
to be negligible, this criterion becomes equivalent to the Cou-
stress, a threshold shear stress must be applied before any
lomb criterion and implies that
movement occurs: this is called the cohesion, so that fric-
which generally has little relationship to the observed values
tional sliding in rocks is described by:
of (Jaeger and Cook 1976). However, this criterion does
provide a better fit to stresses measured at compressive failure
than either the original or extended Griffith criteria.
The form of this equation is the same as used for the Coulomb
criterion; however, the cohesion and coefficient of friction of
9.3 Pore fluid pressure and faulting intact rock (the coefficient of internal friction) are different
The principle of effective stress (Terzaghi 1943) describes the from those of frictional sliding. Byerlee (1978) discovered
important mechanical effect of pore fluid pressure on that values of in most rocks are in the range of 0.5-1, with
failure in many experiments (e.g. Paterson 1978). The prin- an average of approximately 0.75, and that frictional sliding
ciple states that normal stresses are reduced by the value of in most rocks could be described by two simple equations,
the pore fluid pressure, so that effective stresses can be sub- depending on the normal stress.
stituted in any of the failure criterion above. The effective
stresses (“conventional effective stresses” of Paterson 1978)
are calculated from:
These two equations have become known as Byerlee’s law,
and are approximately independent of rock type, roughness
More detailed experiments and poroelasticity theory indicate of the sliding surface and temperature. Byerlee’s Law is of-
that the normal stress is not reduced by the exact value of the ten assumed to describe the state of stress in the upper crust
pore fluid pressure. The effective stresses are given by (e.g. Burov and Diament 1996) which implies that failure in
the upper crust is governed by frictional sliding of previously
formed faults in ideal orientations for slip.
where is known as the effective stress coefficient and has Marone et al. (1992) have proposed that distributed de-
values less than or equal to 1 for elastic properties. de- formation in a gouge zone has a separate frictional sliding
creases with permeability, porosity and confining pressure, law, because stress is re-orientated within the sheared layer
92 CHAPTER 9. FROM MICROSTRUCTURES TO MOUNTAINS

so that the maximum possible shear stress is supported. This localization on shear surfaces, which always has a negative
results in a sliding law of the form: velocity dependence (Marone et al. 1992).
Seismological observations support the above picture, but
there is a lack of corresponding knowledge about natural
microstructures produced by seismic slip. Pseudotachylites
where is the coefficient of sliding on a discrete (Section 2.11) are the only direct evidence for seismic slip
surface. (e.g. Sibson 1977), but seismic slip can also be tentatively
suggested by textures such as crack-seal vein fillings which
indicate repetitive fracture followed by fracture sealing (Sec-
9.5.2 Rate and state dependent frictional slid-
tion 3.12). Particle size distributions of gouge may give an in-
ing dication of its mechanical behaviour: velocity strengthening
Dynamic effects during frictional sliding, such as stick slip behaviour changed to velocity weakening when the fractal di-
behaviour, are not described by Amonton’s and Byerlee’s mension of the particle size distribution of the gouge attained
Laws. Stick-slip behaviour involves a steady rise in stress a value of 2.6 in experiments (Biegel et al. 1989). Another
with no movement followed by a sudden rapid episode of potential microstructural indicator of seismic slip is the evid-
stress drop and sliding, and is analogous to earthquake fault- ence of continuous deformation alternating with discontinu-
ing. Stick slip behaviour is favoured over stable sliding in ous deformation in slickenside surface material (Power and
rocks with higher quartz contents, by sliding along rougher Tullis 1989).
surfaces, by the lack of gouge, by high normal stresses, and
low temperatures (e.g. Paterson 1978). Dynamic frictional
sliding can be modelled by making the coefficient of friction 9.6 Flow laws
in Amonton’s Law depend on the rate of frictional sliding
V: 9.6.1 Diffusive mass transfer: Grain size sens-
itive creep
The fundamental flow laws for deformation accommodated
where is the coefficient of friction at a reference velocity by diffusive mass transfer can be derived from theoretical
V*, a and b are empirically determined constants, and is a principles for three cases: diffusion through a grain bound-
state variable (e.g. Rice and Gu 1983). L is the critical slip ary fluid (pressure solution, Section 3.2), diffusion through
distance for sliding to return to a stable rate after a change in the grains (Nabarro-Herring creep, Section 5.2), and diffu-
sliding velocity. It is possible to expand the above expression sion through grain boundaries (Coble creep, Section 5.2). All
with more than one state variable. The value of a expresses flow laws for diffusion-accommodated deformation have one
the dependence of on a change in velocity, and b expresses distinguishing characteristic: strain rate is a function of grain
a change in that decays with time. This behaviour is found size.
to describe laboratory experiments very well. The stability
of a sliding process depends on the value of if this
is negative, increasing velocity will lead to a reduction in Pressure solution creep
and the fault is said to show velocity weakening, and hence be Diffusive mass transfer through a solution requires three
capable of nucleating earthquakes. On the other hand, if steps: solution, diffusion and precipitation. The strain rate
is positive, velocity changes will lead to increased friction and may be controlled by the rate of diffusion in the fluid, the rate
the sliding will be stable. of solution or precipitation at the source or sink, or the rate of
The rate dependent friction law can be applied to the nuc- diffusion at the source or sink (Paterson 1995), and the flow
leation of earthquakes in the crust (Tse and Rice 1986, Scholz law depends on which process is rate-limiting. The follow-
1990). is expected to be positive in the upper few km of ing flow law can be derived theoretically for diffusion control
well-developed faults due to the presence of a layer of gouge (e.g. Spiers et al. 1990, Lehner 1990):
(which is characterized by positive values of ). Therefore
earthquakes are not expected to nucleate in the top part of the
crust except in areas lacking well-developed faults. Below the
level of gouge, there is an upper stability transition to negative
values of which are the conditions for earthquake nucle- where is the strain rate A is a dimensionless para-
ation (Scholz 1990). becomes positive with increasing meter varying from 40 to 140 that depends on a geomet-
temperature, so that there is also a lower stability limit be- rical model for the arrangement of the grains, is the molar
low which earthquakes will not nucleate: this is probably ap- volume is the thickness of the grain boundary fluid
proximately at the 300°C isotherm in continental crust, which (m), is the reference state solubility of the solid in the fluid
explains the observation that earthquakes generally nucleate (mole fraction), is the reference state diffusion coefficient
in the top 15 km of the crust (e.g. Sibson 1982, Meisner in the grain boundary fluid is the activation en-
and Strehlau 1982). However, this picture is complicated by thalpy for pressure solution R is the gas constant
the relation between velocity dependence and displacement: T is the temperature (K), and is the
positive velocity dependence at small displacements changes differential stress (Pa). The reference state for and is
to negative dependence with increasing displacement, due to It is conventional to quote flow laws for the uniaxial
CHAPTER 9. FROM MICROSTRUCTURES TO MOUNTAINS
shortening strain rate under axisymmetric stress, and the dif-
ferential stress relations between other components
of the stress and strain rate tensors can be obtained from ap-
propriate geometrical modifications.
The terms are sometimes
gathered together as a phenomenological coefficient repres-
enting effective grain boundary diffusivity (e.g. Spiers et al.
1990). Diffusion control is relevant for salt in which solution
rates are very fast (e.g. Spiers et al. 1990), and has been
reported for experiments on quartz (e.g. Gratier and Guiget
1986). This flow law is only valid for dense polycrystals:
porosity is a very important factor in pressure solution creep,
which requires a specific geometrical model (e.g. Lemée and
Guegen 1996). Paterson (1995) presents a model for pressure
solution creep in porous materials based on an analogy with
particulate flow in soil mechanics, leading to equations for
each of the three possible rate limiting processes.
Diffusion-limited pressure solution creep in quartz has
been described by the following flow law (modified by An-
gevine and Turcotte 1983 after Rutter 1976):
where A is in is the effective normal stress in Pa,
is the solubility of quartz at the reference state in and
is the density in
A flow law for the solution/deposition-controlled case is
given by :
where kC is the velocity of the deforming crystal face
e.g. Raj 1982). Solution/deposition controlled pressure solu-
tion has been described in quartz (Gratier and Jenatton 1984),
but seems to be less common than diffusion control. Pa-
terson’s (1995) model suggests that for quartz and rocksalt
aggregates, source/sink diffusion control is likely to be rate
limiting under geological conditions, but in high-temperature
laboratory conditions, precipitation control is effective for
quartz. Experimentally determined values for the relevant
parameters are given in Table 9.1.
Coble creep
The flow law for Coble creep has a very similar form to that
for pressure solution creep since both processes involve diffu-
sion around grain boundaries. The major differences are the
lack of a term for solubility, and differences in the values of
the diffusion coefficient and activation enthalpy:
is the reference state diffusion coefficient for grain
boundary diffusion, is the grain boundary width, and
is the activation enthalpy for grain boundary diffusion. The
specification of is difficult because it depends on the
diffusing species. The strain rate will however be limited by
the diffusion rate of the slowest species, which is normally
quoted. In olivine, the values of the diffusion coefficients in-
crease in the order Si < O < Fe; the value for Si is rate limit-
ing. Values for Coble creep flow laws are given in Table 9.1.
93
Nabarro-Herring creep
The flow law for Nabarro-Herring creep is similar to the pre-
vious law, with the following important differences: the grain
size dependence is to the square of d there is no grain bound-
ary thickness to take into account, and the diffusion coeffi-
cient and activation enthalpies are different:
where is the reference state volume diffusion coefficient,
and is the activation enthalpy for volume diffusion. Para-
meters for the flow law are given in Table 9.1.
A flow law for diffusion creep that combines both Coble
and Nabarro-Herring creep (Ashby 1970, Raj and Ashby
1971) is:
The value of A may differ in all the above expressions since
it depends on the preferred geometrical model of the grains.
9.6.2 Intracrystalline plasticity
Two different flow laws can be formulated from theory to de-
scribe flow controlled by dislocation glide (abbreviated to dis-
location glide; Section 4.2) and flow controlled by dislocation
climb, known as dislocation creep (Section 4.2).
Dislocation glide
Theoretical flow laws for dislocation glide are characterized
by an exponential relationship between strain rate and stress,
known as the Dorn Law, of the form:
where and are the strain rate and stress at 0 K, and
F is a constant (e.g. Dorn 1954). Dislocation glide is not
considered to be important in most minerals under geological
conditions because of the relatively high stresses required for
the process.
Dislocation creep
At lower stresses, higher temperatures and slower strain rates,
a power law relationship describes the strain rate-stress rela-
tionship:
where A is a pre-exponential constant, is the activation
enthalpy for dislocation creep, and n is the stress exponent
(Weertman 1968). A depends on the volume diffusion coeffi-
cient and the Burgers vector of the active dislocation system.
Unfortunately there are severe problems in using this
simple flow law. One of the most important variables that is
not explicitly taken into account is the effect of water. For ex-
ample, “Dry” quartz, with H contents of less than
Si, is an order of magnitude stronger than “wet” quartz (the
94 CHAPTER 9. FROM MICROSTRUCTURES TO MOUNTAINS

considerable amount of literature on this subject is summar- ation energy P is the mean stress (Pa), V is an ac-
ized in Paterson and Luan 1990). The effect is probably due in tivation volume often ignored due to its relatively
part to replacement of Si-O-Si bonds by weaker Si-OH-OH- small contribution to the exponential term), and m and n are
Si (hydroxyl) bonds, known as hydrolytic weakening (Griggs general dimensionless grain size and stress exponents. The
and Blacic 1965, Griggs 1967), which is similar to the mech- values of m and n suggest interpretations of the deformation
anism that controls sub-critical microcrack propagation (Sec- mechanism from experimental data by analogy with the the-
tion 2.2.1.1). Hydrolytic weakening enables easier disloca- oretical relationships: and indicates dislocation
tion glide and creep, although other mechanisms may also creep, and indicates pressure solution or Coble
play a role in the weakening effect of water. This suggests creep, and and indicates Nabarro-Herring creep.
that the flow law should incorporate a function of the water Superplasticity is characterized by and (e.g.
activity (e.g. Kronenberg and Tullis 1984, Ord and Hobbs Boullier and Guegen 1975, Schmid et al. 1977). Tables 9.2-
1985). Experiments show that the power law exponent de- 9.4 are a compilation of some results for minerals and rocks,
pends on water content, at least for low water contents (e.g. divided into grain-size sensitive Table 9.2), and
Blacic and Christie 1984). In any event, it is difficult to de- grain-size insensitive flow laws ( Table 9.3 for min-
termine water contents at the time of deformation, although erals and Table 9.4 for rocks). When using these tables or
Kronenberg et al. (1990) have shown how quartz water con- any such rock mechanics data, it is advisable to consult the
tents measured across a natural shear zone vary with shear original reference to find any important specific conditions of
strain, possibly reflecting a variation during deformation. the experiments which may limit the applicability of the flow
Mean stress is another variable that should appear in the laws.
flow law, which may have important rheological effects by At high stress levels, the power law relationship does not
increasing water diffusion rates, increasing water solubility, fit the experimental data (“power law breakdown”, Carter and
and increasing activation enthalpy. Quartz phase appears to Tsenn 1987). Two alternative empirical relationships may de-
affect both the activation enthalpy ( is higher for than scribe the data well:
and the power law exponent n which is lower for
(e.g. Linker and Kirby 1981). The quartz phase af-
fects diffusion coefficients in a remarkably similar way to ac- is an exponential law, with B and as empirical constants,
tivation enthalpies of power law creep, showing that the creep suggesting that flow controlled by dislocation glide is import-
enthalpies are essentially the same as the enthalpies of diffu- ant (Tsenn and Carter 1987). An expression that fits the in-
sion (Gilletti and Yund 1984, Dennis 1984). Trace amounts of termediate and high stress behaviour is :
impurities in quartz may also cause considerable weakening,
probably through their control on glide velocity (e.g. Jaoul et
al. 1984).
e.g. Heard (1963), with C, and n as the empirically-derived
constants.
9.6.3 Empirical flow laws from experimental
data
9.7 Polymineralic deformation
Experimental data can be fitted to empirical laws of the fol-
lowing general form for low stress levels: While flow laws such as those in Section 9.4.3 can describe
the bulk rheology of rocks, microstructural evidence shows
that strain is distributed in a complex manner between miner-
als with different rheologies, which should be accounted for
where A is a pre-exponential constant or in a detailed understanding of deformation. An empirical ap-
depending on the units of ), Q is an activ- proach was taken by Tullis et al. (1991), who derived a flow
CHAPTER 9. FROM MICROSTRUCTURES TO MOUNTAINS 95
96
law for a bimineralic rock that weighted the flow law para-
meters of each mineral by the volume fractions of the
weak and strong minerals as follows:
where n, Q, and A are the parameters in the dislocation creep
flow law (Section 9.4.2.2), and the subscripts and s are
for composite, weak, and strong minerals respectively. This
gives a reasonable fit to experimental data.
A more fundamental way to treat polymineralic rocks is
to model the relationship between the behaviour of different
minerals. Handy (1990, 1994) has suggested that for two
minerals of contrasting strength, the microstructure may be
described as a load bearing framework (LBF) if the stronger
mineral supports stress around pockets of a weaker mineral,
or as an interconnected weak layer (IWL) if the weaker min-
eral forms a matrix around microboudins of the stronger min-
eral. The behaviour of the composite depends on the contrast
on rheological properties of the minerals, and on their volume
fraction.
Quantitative observations can be used to distinguish LBF
and IWL microstructures. In granite deformed under am-
phibolite facies, for example, the LBF case may be char-
acterized by similar grain shapes and sizes in all minerals,
and strain magnitudes, as estimated approximately by grain
shapes, are low (Schulmann et al. 1996). Quartz has large
recrystallized subgrains, and K-feldspars are fractured, while
plagioclase recrystallizes. There is a transition to an IWL
with increasing strain, which is manifest from higher strain
in quartz than feldspar, and the appearance of S-C fabrics.
The ultimate stage of the process is a transition to another
type of IWL microstructure in which there is little contrast
between the quartz and feldspar grains: all minerals have re-
crystallized completely in a mylonite.
Two flow laws are necessary to describe the LBF and IWL
cases separately, which can be derived from considering that
the total rate of viscous strain energy dissipation is the sum
of the rates in the weak and strong minerals. In the LBF case,
both minerals deform at the same rate and the shear strength
of the composite is given by the sum of the shear
strengths of each mineral multiplied by their volume frac-
tions:
where and are the shear strengths and volume
fractions of the weak and strong minerals respectively. For
the IWL case,
where a function x is introduced that describes the sensitivity
of the strain rate partitioning in the rock to the strength con-
trast of the minerals. The nature of this function can be sug-
gested by considering limiting values. One possibility sug-
gested by Handy (1994) is:
CHAPTER 9. FROM MICROSTRUCTURES TO MOUNTAINS
The distinction between LBF and IWL behaviour occurs at
the conditions where both give the same bulk strength. On
either side of this equality, the more stable microstructure
is the one that dissipates less strain energy. For a quartz-
feldspar composite with dislocation creep flow laws, the LBF
microstructure is only stable for very low volume fractions of
quartz.
This model shows that strength of the composite always
lies between the limiting strengths of the strong and weak
phases, but the relative strengths of the composite compared
to the end members are a complex function of their strength
contrasts and their volume fractions. In a granite, 10-20%
volume fraction of quartz reduces the composite strength
by one half compared to the strength of pure feldspar, as-
suming IWL behaviour, and that the deformation occurs in
the conditions appropriate for dislocation creep flow laws.
Quartz effectively governs the strength of the composite at
volume fractions over 10%. Feldspars in gabbros signific-
antly weaken the composite strength from a pure pyroxene
rock up to 900°C: at higher temperatures, pyroxene is weaker
than feldspar, and the composite has an intermediate strength.
Both the Tullis and Handy approaches outlined above are
limited to two phase rocks. A generalization to any number
of phases is given by Ji and Zhao (1993) for two extreme
assumptions. If all phases are loaded equally (isostress cri-
terion), the flow law is given by taking the volume average of
the strain rates of individual phases:
where n, A, and Q are the flow law parameters, the subscripts
r and i refer to the isostressed aggregate and the individual
phases (total number m and volume fractions f) respectively.
An alternative assumption is that all phases have the same
strain and strain rate. This isostrain criterion leads to the fol-
lowing aggregate properties:
An average flow law is considered to lie between the
physically unrealisitic extremes of the isostress and isostrain
cases. The average is determined by minimising the dif-
ference between two composite flow laws, that each allow
for variable, complementary proportions of the isostress and
isostrain flow law parameters. The results achieve reasonable
fits to some experimental data and the method is advantage-
ous when the effects of more than two phases need to be con-
sidered.
In another approach to the deformation of polymineralic
rocks, Ji and Zhao (1994) have used a fibre loading model to
derive an expression for the elastic solution to the problem
of rigid fibres in a weaker matrix, and generalized from the
elastic solution to a viscoplastic case. The equation they de-
rive includes an expression for the aspect ratio of the fibres.
Their model describes some experimental results better than
the Tullis model, but they point out that it assumes uniformly
 CHAPTER 9. FROM MICROSTRUCTURES TO MOUNTAINS 97

distributed fibres with a constant orientation, which may limit haviour of the lithosphere and have important applications to
its geological application. Flow laws for polymineralic rocks large-scale tectonic problems (e.g. Burov and Diament 1995,
require more theoretical and experimental research. 1996).
The upper part of the LSE is usually constructed using
Byerlee’s Law for frictional sliding to represent cataclastic
9.8 Deformation mechanism maps behaviour. Coulomb or Griffith failure criteria can also be
used to model the behaviour of intact lithosphere (cf. Sib-
The rheology predicted by the flow laws in Section 9.4 can son 1983, Kusznir and Park 1987). A power law for disloca-
be compared on a deformation mechanism map (Fig. 9.1), tion creep is usually assumed for the lower, plastic part of the
which shows the relationships between deformation mech- LSE, justified by observations that suggest that lithospheric
anism, stress, strain rate, temperature, and grain size (e.g. stress/temperature/grain size conditions are appropriate for
Stoker and Ashby 1973, Ashby and Verrall 1978). These this deformation mechanism. Dislocation glide can also be
maps may be shown in plots of stress normalized by the included (e.g. Burov and Diament 1995).
shearmodulus against temperature normalized by melt-
The LSE is based on a model of the compositional structure
ing temperature (homologous temperature, ). The shear
of the earth. Gross simplifications are necessary due to the
modulus normalization allows for the systematic dependence
limited availability of rock mechanics data, and the difficulty
of the flow law constant A on and for the temperature de-
of applying them to the earth. The upper crust is commonly
pendence of the modulus (cf. Tsenn and Carter 1987). The
modelled by wet quartzite, the mid to lower crust by feldspar
melting temperature normalization allows for better compar-
or diorite, and the mantle as olivine. A temperature-depth
ison between different materials because transitions between
profile is chosen for the crustal model. Appropriate steady
different rheological regimes depend on These nor-
state geotherms can be calculated from surface heat flux (e.g.
malizations are relevant for materials-science applications,
Kusznir and Park 1984, 1987), but Burov and Diament (1995)
but the direct values of stress and temperature are more useful
have modelled an evolving geotherm due to cooling after oro-
for tectonic studies.
geny.
The fundamental assumptions for constructing these maps
are that deformation will occur by the mechanism that The LSE is delineated by the lesser of the cataclastic or
provides the fastest strain rate, and that steady state conditions plastic strengths. The stresses can either be calculated for
are obtained. Deformation mechanism fields in stress and a given strain rate, or by applying a constant stress at the
temperature space are contoured for strain rate using the flow boundaries of a model that analyses the stress and strain with
law of the deformation mechanism with the fastest strain rate; time. The latter approach shows that stress applied uniformly
boundaries between fields correspond to loci of equal strain at the boundaries of the lithosphere is redistributed into the
rate. Different maps are constructed for different grain sizes; more competent layers which deform elastically, a process
alternatively grain size can be added as a third dimension. referred to as stress amplification (Kusznir 1982). Eventu-
The possibility of contributions to strain rate by more than ally the elastic strength of all layers is exceeded, leading to
one mechanism can be allowed for (e.g. Stoker and Ashby whole lithosphere failure, and deformation continues by fric-
1973). For example, both diffusional creep mechanisms can tional sliding and intracrystalline plasticity (Kusznir and Bott
be combined as in the last equation in Section 9.4.1.3, and dif- 1977, Kusznir and Park 1982, 1984, 1987). Hence steady
fusion and dislocation processes can also combine. However, state LSEs have no part that is controlled by elastic strength.
flow by dislocation glide and dislocation creep are mutually The shape of the simplest LSE (for a lithosphere of homo-
exclusive. geneous composition) consists of a rapid linear increase in
Deformation mechanism maps for geological materials strength with depth from the surface of the earth governed by
have been produced for only quartz, olivine and calcite (e.g. the high normal-stress dependence of Byerlee’s Law or a fail-
Rutter 1976, White 1976, Carter and Tsenn 1987), because a ure criterion (e.g. the top part of Fig. 9.2). The cataclastic
range of flow laws for different mechanisms are not available part of the LSE depends on the orientation of the failure sur-
for other minerals or rocks. Microstructures are a guiding face: differential stresses for faulting or frictional sliding at
principle to the construction and use of deformation mechan- any level of the crust increase in the order normal - strike-
ism maps: similarity in experimental and natural microstruc- slip - thrust fault. The strength of the lithosphere reaches
tures and mechanisms allows for the correct choice of flow a maximum where the cataclastic strength is equal to the
law parameters (e.g. Busch and Van der Pluijm 1995). flow stress for intracrystalline plasticity. Below this point the
flow stress is less than the cataclastic strength, and continues
to decrease with depth as temperature increases. LSEs for
9.9 Lithospheric strength envelopes layered models of the earth generally show the above pattern
repeated in each layer (Fig. 9.2). There are dramatic strength
A Lithospheric Strength Envelope (LSE) shows the relation- contrasts across layers, especially between the crust and the
ship of lithospheric strength with depth derived from elasti- mantle. This suggests that detachment could occur at these
city, failure criteria, frictional sliding laws and flow laws layer boundaries, which are sometimes misleadingly called
(Fig. 9.2). The term yield strength envelope is commonly “brittle-ductile transitions”, but are more accurately referred
used (e.g. Goetze and Evans 1979), but since the upper part to as brittle-plastic transitions (Section 1.3, 1.5).
of the envelope is governed by cataclastic failure, LSE is a However, saw-tooth LSEs such as those in Fig. 9. 2 can
better term. LSEs are a powerful way of describing the be- be criticized because the validity of Byerlee’s law has not
98
been established at mid to lower crustal pressures, and the
high stresses predicted by extrapolation of the law to these
conditions are unrealistic (Ord and Hobbs 1989). Moreover,
the semibrittle deformation regime is not recognised, prob-
ably because of the paucity of published flow laws. More
realisitic possibilities for the shape of the LSE at mid crustal
depths are either a vertical line of constant stress with a value
equal to the stress at the base of the seismogenic zone (Hobbs
et al. 1986), or non-linear, pressure-dependent functions de-
rived from Mohr-Coulomb constitutive laws for permanent
deformation (Ord 1991). The experimental basis for the lat-
ter laws is very limited, and they have the disadvantage of
predicting strain-dependent values of stress.
9.10 Palaeopiezometry
9.10.1 Methods and calibration
Palaeopiezometry is the determination of past stress fields,
which can provide major constraints on tectonic models. Mi-
crostructural methods have concentrated mainly on measur-
ing differential stress (Sections 9.10.2-9.10.6), and the ori-
CHAPTER 9. FROM MICROSTRUCTURES TO MOUNTAINS
entation of the stress tensor (Sections 9.10.7-9.10.8). Pa-
laeopiezometers are calibrated by experiments and theory,
but there are large variations in calibrations of the same pa-
laeopiezometer. Furthermore, different palaeopiezometers
yield considerably different values when applied to the same
rocks. The latter variations can potentially lead to further tec-
tonic insights (Section 9.10.9). Determination of the mean
stress is considered in the separate Section on geothermoba-
rometry (Section 9.11).
9.10.2 Recrystallized grain size
The size of grains recrystallized during deformation (d, mm)
can be related to differential stress ( MPa) by an expression
of the form:
where m and are constants, which can be determined ex-
perimentally or derived theoretically (e.g. White 1979). Val-
ues of m and are given in Table 9.5, and the calibrations
for quartz are plotted in Fig. 9.3. The differential stresses
for quartz predicted by different calibrations differ by up to
four orders of magnitude, for at least seven possible reasons,
CHAPTER 9. FROM MICROSTRUCTURES TO MOUNTAINS 99
100 CHAPTER 9. FROM MICROSTRUCTURES TO MOUNTAINS

where and are calibration constants, is the shear mod-

ulus, and is the most common Burgers vector. Values of
1 and 2 for have been proposed on theoretical grounds
(Twiss 1977). Another possible relationship proposed by
Twiss (1986) is:

where C and are constants, implying that there is a

stable subgrain size at zero stress. However, the second rela-
tionship does not fit data for olivine and quartz better than the
first. This may be due to the lack of accurate, low stress meas-
urements (Twiss 1986). Until these are available, empirically
derived constants for the first relationship are probably the
most satisfactory calibration of the subgrain size palaeopiezo-
meter, as given in Table 9.6. Problems with the application
which are worth examining in detail because they highlight of this palaeopiezometer include a possible temperature de-
the problems of recrystallized grain size palaeopiezometry. pendence, the sensitivity of subgrain size to water known for
olivine (Twiss 1986, Van der Wal 1993) and the problem of
1. Recrystallized grain size appears to depend on the re- subgrain size measurement. Subgrain sizes may be measured
crystallization mechanism: subgrain rotation (regime 2) under the optical microscope in reflected light after etching
gives smaller grains than grain boundary migration (re- (see Ord and Christie 1984 for the method) or by electron mi-
gime 3) (e.g. Drury et al. 1985, Drury and Urai 1990, croscopy. Optically determined subgrain sizes are commonly
Hirth and Tullis 1992). an order of magnitude larger than subgrain sizes measured
by electron microscopy (Ord and Christie 1984). Available
2. The importance of the effect of water is obvious from
data at present may not allow reliable extrapolation outside
comparing the dry and wet calibrations of Ord and
the range of subgrain sizes used to calibrate the palaeopiezo-
Christie (1984). However, it does not appear to be im-
meter, since alternative calibrations fit the experimental data
portant in olivine (Van der Wal 1993).
almost equally well, yet give enormous differences when ex-
3. The possibility that the recrystallized grain size is sens- trapolated (Twiss 1986).
itive to temperature is suggested by some data on metals
and olivine (e.g. Mercier et al. 1977, Ross et al. 1980), 9.10.4 Dislocation density
and predicted by theory (Mercier 1980a).
The dislocation density relationship can be
4. The possibility that the recrystallized grain size is de- written as:
pendent on quartz phase is suggested by the flow law
dependence on phase (9.4.2.2).
where k and u are constants, and and are defined as above.
5. Kinetic effects may severely hamper determination of A theoretical value of u is 0.5 (Weathers et al. 1979), but
the calibration constants if equilibrium grain size is not measured values have a range from 0.45 to 3.33 (Twiss 1986).
attained during experiments (Twiss 1977). The lack of An alternative form of the relationship sometimes used is:
such equilibrium for grain sizes on the order of mm is
strongly suggested by the experiments of Kronenberg
and Tullis (1984); hence recent experiments have been
on much finer grain sizes (e.g. Post and Tullis 1999). where D and are constants, implying a steady state
free dislocation density. However, data for olivine and quartz
6. Equilibrium grain size may not be achieved if grain
are not fitted any better by the second relationship. Table 9.7
boundaries are pinned by impurities (e.g. Evans and
presents calibration constants for quartz and olivine using the
White 1984).
first expression. Problems with this palaeopiezometer are
7. Recrystallized grain size has been measured by various possible temperature dependence and the difficulty of meas-
techniques and may be specified by different parameters: uring dislocation density accurately. Invisibility of disloca-
a standard practice is to measure the mean linear inter- tions under the TEM may cause an underestimate in disloca-
cept grain size and multiply by 1.5 to allow for trunca- tion density of 30% (Ord and Christie 1984).
tion and sampling effects (e.g. Christie and Ord 1980).
However, this will not be correct for grains with a fabric.
9.10.5 Twinning - differential stress

9.10.3 Subgrain size Three different approaches have been proposed to relate twin-
ning in carbonates to differential stress. Two of these (Jam-
Subgrain size can be related to stress by an expression ison and Spang 1976 and Laurent et al. 1981, 1990) take
of the form: no account of the fact that grain size is known to have an
effect on the twinning, and are therefore less suitable than
CHAPTER 9. FROM MICROSTRUCTURES TO MOUNTAINS 101

the approach of Rowe and Rutter (1990), who have calib- a non-twinning deformation mechanism. In principle, grain
rated three twinning palaeopeizometers from laboratory ex- size distribution could have an effect on this palaeopiezo-
periments, which all appear to be independent of temperature, meter because stress distributions in grains are strongly in-
strain rate and strain. fluenced by the size of neighbouring grains (Newman 1994),
but this has not yet been evaluated or demonstrated. This
Twinning incidence, palaeopiezometer has been calibrated only for calcite (other
carbonates twin at different stress levels), and since the cal-
is the proportion of grains with optically visible twins in ibration experiments were carried out at 400°C and above, it
any grain size class. It can be related to differential stress is probably not appropriate for low temperature deformation
(MPa) and grain size (d, mm) by the following equation: (Burkhard 1993). The best results will be obtained in samples
that have experienced a single, coaxial strain event (the con-
ditions of the experimental calibration), otherwise the method
In practice, stresses are calculated from for each grain size will overestimate stress (Rowe and Rutter 1990).
class and plotted against grain size: they should lie on lines There is some experimental evidence that twinning in
of constant slope for different values of The standard error pyroxene could be used as a palaeopiezometer: Tullis (1980)
in the experimental calibration was 31 MPa. suggests that the minimum stress needed for twinning in
pyroxenes is 100 MPa.
Twin density,
is the number of twins per mm. This is calculated by the
slope of the relation between number of twins in a grain size 9.10.6 Deformation lamellae
interval and grain size. appears to be independent of grain
size, and is related to with a standard error of 43 MPa, by:
The appearance of deformation lamellae (Section 4.7) in ex-
periments is characteristic of flow laws with an exponential
relationship between stress and strain rate, which occur at
Maximum twin volume, relatively high stresses. This observation leads to the sug-
gestion that there may be a critical differential stress for the
is the maximum volume proportion (%) of twinned ma- formation of deformation lamellae, dependent on the type of
terial in a grain size class. In the experiments, the area frac- bonding and crystal structure of the material (Blenkinsop and
tion of twins was taken as equal to the volume fraction, and Drury 1988). Values of 100-200 MPa have been suggested
was measured from a two-dimensional thin section. is for quartz. However, it is possible that the critical stress
related to with a standard error of 41 MPa, by : may be inversely temperature-dependent, so that at present
deformation lamellae in quartz should only be taken as qual-
itative indicators of relatively high stress levels (Drury 1993).
Spacing of deformation lamellae (s, mm) may constitute a
As with the previous palaeopeizometers, there are a number
palaeopiezometer (Koch and Christie 1981, McLaren 1991).
of potential problems. Clearly if twinning is the only deform-
The relation derived by Koch and Christie is ( MPa):
ation mechanism, the amount of twinning measured by any of
the three parameters will be a function of strain. The method
thus assumes that after twinning, equilibrium is reached with
102 CHAPTER 9. FROM MICROSTRUCTURES TO MOUNTAINS
CHAPTER 9. FROM MICROSTRUCTURES TO MOUNTAINS 103

9.10.7 Principal stress orientations from de- (e.g. Turner 1953, Weiss 1954). Twinning in calcite occurs
formation lamellae on the e planes in the direction of the plane contain-
ing the pole to the twin and the c-axis (Fig. 9.4). and
Techniques of using deformation lamellae in quartz to de- are therefore at 45° to the twin plane in the plane of the c-axis
duce principal stress orientations were developed by Carter and the pole to the twin - a similar geometry to that used for
and Friedman (1965) and Carter and Rayleigh (1969). Of the quartz deformation lamellae method. However, in con-
the three methods proposed by Carter and coworkers, the “ar- trast to that method, is in the opposite quadrant from the
row” method is the easiest and yields consistent results. The c-axis (Fig. 9.4). A similar construction can be applied to f
orientations of the c-axis and deformation lamellae are first twins in dolomite, but here is in the same quadrant as the
measured from individual quartz grains. The plane containing c-axis (Fig. 9.4).
the pole to a lamella and the c-axis is constructed (Fig. 9.4). A development of this technique is to use the right dihedra
and are located within this plane at 45° to the lamella
method to determine the and orientations that are com-
plane. is distinguished from by the fact that the c-axis
patible with the largest numbers of twins. The value of the
lies closest to An arrow from the c-axis to the lamella maximum number of compatible twins (the MAX number)
pole will point from to (Fig. 9.4). Unique and gives a measure of the degree to which the data can be fitted
orientations can be derived by eigenvector analysis from a by a single stress orientation (Pfiffner and Burkhard 1987).
number of such measurements (e.g. Spang and Van der Lee This method has the advantage that it does not assume a fixed
1975). This construction implies that the deformation lamel- angle between and the twin plane. A further development
lae form in a plane of maximum resolved shear stress with a is the determination of principal stress orientations and ab-
maximum shear stress direction parallel to the projection of solute magnitudes by assuming homogeneous stress distribu-
the c-axis onto the lamellae plane. The evidence presented in tion and a critical resolved shear stress for twinning (Laurent
Section 4.7 shows that recovery is an integral part of lamellae
et al. 1981, 1990).
development, so that a simple analogy with a slip system for
It is possible to calculate a finite strain tensor by incorpor-
the formation of lamellae may not be entirely valid. However,
ating the shear strain necessary for twinning into the orient-
the strength of the method is based on its empirical success
ation analysis (e.g. Groshong 1972, 1974, 1984). A com-
(Pavlis and Bruhn 1988, Drury 1993), even if its theoretical
puter program to carry out the analyses is described by Evans
basis remains unclear. The principal stress axes from deform-
and Groshong (1994). The measurements necessary for the
ation lamellae are in good agreement with those calculated
determination include the c-axis orientation, twin set orienta-
from the carbonate twin method from the same samples (e.g.
tion, average thickness and number of twins, and grain width.
Spang and Van der Lee 1975). It is possible to consider other
25 grains in two perpendicular thin sections should be meas-
angular relationships between and the lamella plane, but
ured.
some results suggest that the stress axes do not change ap-
Twins which do not fit the calculated strain or stress fields
preciably from the 45° constraint (Spang and Van der Lee
are a problem in all these methods. Two basic philosophies
1975). It is also possible to analyze for the principal stresses
to deal with this problem have been adopted. The first is to
without using a fixed angular relationship between and the
recognize that some twins will inevitably develop in incom-
lamella plane, by using the right dihedra technique (cf. An-
patible orientations due to stress inhomogeneity. The propor-
gelier 1984).
tion of such twins (negative expected values, NEV, Groshong
1972) can be used to test the homogeneity of the sample, and
9.10.8 Principal stress orientations and strains the incompatible grains can be removed from the data set.
from twins Alternatively, the incompatible twins are presumed to reflect
different superimposed stress fields, and they can be used to
Twins have been used to deduce principal stress orientations separate out a number of different stress fields (e.g. Lacombe
by assuming that the twin plane is a shear plane and the twin et al. 1990). This method has been criticized by Burkhard
direction is parallel to the maximum resolved shear stress (1993) because it has yielded unrealistic results, and the as-
104 CHAPTER 9. FROM MICROSTRUCTURES TO MOUNTAINS

for subgrain sizes and perhaps 30% for recrystallized grain

sizes; dislocation densities may therefore record later tectonic
events with low strains such as stress during uplift (e.g. White
1979a). This problem can potentially be overcome by plot-
ting stress levels derived from one palaeopiezometer against
another. If the stresses are recorded by both palaeopiezomet-
ers from the same part of the stress-time path, they will lie
on a line with a unit slope, while deviations from this line
indicate records from different parts of the stress path.

9.11 Geothermobarometry
9.11.1 Methods and calibration
The determination of past temperature and mean stress (geo-
thermobarometry) is traditionally the domain of thermody-
namics and mineral chemistry. However, there are a num-
ber of promising new developments in the application of mi-
crostructures to geothermobarometry, which are particularly
robust because they are calibrated from naturally deformed
samples.
In addition to these new, quantitative approaches, experi-
ments and thermodynamic results allow some generalizations
about the minimum temperatures for plasticity. Plasticity in
the form of twinning can occur even at room temperature in
calcite, but appears to require a temperature of 300°C in dolo-
mite. Plasticity (sensu lato) in quartz and mica is generally
restricted to temperatures greater than 200°C. The onset of
plasticity in feldspars is commonly taken as 450°C, but this
value is not well constrained. The common mafic minerals
(clinopyroxene, amphibole, orthopyroxene and olivine) may
be plastic from 500°C or above. These numbers must how-
ever be treated with great caution, because there are many
other variables involved in the mechanism transitions (not-
ably stress/strain rate, see Section 1.3), and because of the
problems of extrapolating from experiments to nature (Sec-
tion 9.1).

9.11.2 Calcite twin morphology

Twin morphology in calcite appears to be strongly temperat-
sumption of stress homogeneity is clearly false in a polysized
ure dependent, and has been proposed as a geothermometer
grain aggregate.
(Burkhard 1993). Four types of twins can be distinguished
(Fig. 9.5), together with appropriate temperature ranges for
9.10.9 General problems with palaeopiezomet- deformation:
ers
Type I. Thin (1 mm), straight, rational twins form at temper-
A general problem with all palaeopiezometers is the interpret- atures of less than 200°C.
ation of the results. The significance of the stress level recor-
ded can only be evaluated in the context of an evolving stress Type II. Thicker, straight and rational twins (> 1 mm),
field, analogous to the problem of interpreting results from which are slightly lens shaped, form at 150-300°C.
geothermobarometry within a P-T path. Interpretations be-
come especially problematic when considering results from Type III. Thick, curved, irrational twins, which may contain
the same sample that differ according to the method used. For twins within twins, form at temperatures greater than
example, stresses measured by dislocation density, subgrain 200°C.
size and recrystallized grain size may differ because they have
variable dependence on strain magnitude. Dislocation dens- Type IV. Thick, irrational and patchy twins, breaking up into
ities may be reset after less than 1% strain, compared to 5% trails of small grains, form at temperatures over 250°C.
CHAPTER 9. FROM MICROSTRUCTURES TO MOUNTAINS 105

9.11.3 Sutured quartz grain boundaries were limited to to and maximum strains of
31%. Ultimately the validity of a temperature - only depend-
The geometry of sutured grain boundaries (Section 4.8)
ence of D rests on the empirical evidence.
formed by grain boundary migration depends on the temper-
ature during deformation. With increasing temperature, the
length of segments, serrations or lobes increases (Fig. 9.6, 9.11.4 Subgrain boundary orientation in
Kruhl and Nega 1996). The geometry of a grain boundary can quartz
be characterized by its fractal dimension, D, which is best
The orientation of subgrain boundaries in quartz appears to
measured by the “divider” method (Kruhl and Nega 1996).
be controlled by the phase present during deformation (Sec-
A grain boundary is divided into linear segments (“strides”)
tion 4.6). The presence of chessboard patterns, indicating
of individual length r. The length of the grain boundary L
both basal and prism-parallel sub-grain boundaries, is restric-
is equal to the product of the number of segments and their
ted to deformation in the field (Kruhl 1996). This
length. The process is repeated over a range of values of r.
means temperatures above 573°C at 0 MPa, and 825°C at
For a fractal grain boundary, L is related to r by:
1000 MPa (Gross and Van Heege 1973). Chessboard patterns
can only be seen in grains with c-axes subparallel to the plane
of the section (high interference colours) and must be distin-
D is derived from the gradient of a log-log plot of L against guished from three types of pseudochessboard pattern (Kruhl
r. Kruhl and Nega (1996) established the relation shown 1996).
in Fig. 9.7 empirically from measurements of natural su-
1. Two sets of prismatic subgrain boundaries visible in
tures with known temperatures of deformation. The relation
grains with c-axes at high angles to the section (i.e. low
between T (°C) and D is approximately:
birefringence).
2. Rectangular kink band boundaries that are not crystallo-
graphically orientated.
D values of sutures produced in experimental deformation
appear to be affected by the experimental strain rate as well 3. Two sets of rhombohedral subgrain boundaries in grains
as temperature (Takahashi et al. 1997). However, the extent with c-axes subparallel to the section, which can be dis-
to which strain rate may be important in natural deformation tinguished by their inclined extinction positions.
is unknown, especially because the experimental strain rates
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1987, Murphy 1990, Onasch 1994, Passchier & Trouw 1996,
Petit & Matthauser 1995, Powell 1979, Price & Cosgrove
1990, Railsback & Andrews 1995, Raj 1982, Raj & Chyung
1981, Ramsay 1980, Ramsay & Wood 1973, Ramsay &
Huber 1983, 1987, Robert et al. 1995, Roedder 1984, Rutter
1976, 1983, Schutjens 1991, Smith 1964, Smith & Evans
1984, Spiers & Schutjens 1990, Tada & Seiver 1986, 1989,
Tada et al. 1987, Tullis et al. 1996, Urai 1983, Urai et al.
1986, 1991, Watson & Brennan 1987, White & Knipe 1978,
Williams 1972, Wilson 1994, Wintsch & Dunning 1985,
Wood 1974, Wright & Platt 1982, Wright & Henderson 1992.
124
Drury et al. 1985, Drury 1993, Gleason et al. 1993, Hirth &
Tullis 1992, Hobbs et al. 1976, Hull 1975, Jessel 1988a, b,
Jessel & Lister 1990, Kruhl 1996, Lloyd & Freeman 1991a,
b, 1994, Mainprice & Nicolas 1989, Mainprice et al. 1986,
McLaren 1991, McLaren et al. 1967, Means 1981, Means &
Dhong 1982, Nicolas & Poirier 1976, Spang & Van der Lee
1975, Twiss 1974, Urai et al. 1986, Wenk & Christie 1991,
White 1976.
Chapter 5. Behrmann 1985, Bell et al. 1992, Borradaile et
al. 1982, Burnley et al. 199l, Busa & Gray 1992, Champness
& Lolimer 1974, Drury & Humphreys 1988, Evans et al.
1980, Fliervoet & White 1995, Gilotti & Hull 1990, Green
1986, Green & Burnley 1989, Gower & Simpson 1992,
Hacker & Kirby 1993, Jessell 1987, Johnson & Vernon 1995,
Kirby & Stern 1993, Langdon 1982, MacKinnon et al. 1977,
Nicolas & Poirier 1976, Passchier & Trouw 1996, Passchier
et al. 1992, Powell & Treagus 1970, Rutter et al. 1994,
Schmid et al. 1987, Shelly 1989a, b, Shoneveld 1977, Smith
1964, Tingle et al. 1993, Urai et al. 1986, Vaughan et al.
1984, White 1977, White & White 1981, Zwart 1960, 1962.
Chapter 6. Arzi 1978, Ashworth & McLellan 1985, Bagnold
1954, Brace & Martin 1968, Benn & Allard 1989, Blu-
menfield 1983, Blumenfield & Bouchez 1988, Bouchez &
Gleizes 1995, Bouchez et al. 1992, Burg 1991, Conolly et
al. 1997, Copper & Kohlstedt 1982, 1984, Dell’Angelo &
Tullis 1988, Dell’Angelo et al. 1987, Finney 1970, Gapais
& Barbarin 1986, German 1985, Gray 1968, Guineberteau
et al. 1987, Hibbard 1987, Hirth & Kohlstedt 1995, Hutton
1988, Jarewicz & Watson 1984, 1985, Karlstrom et al. 1993,
Komar 1972a, b, Lagarde et al. 1994, Law et al. 1992,
Lejeune & Richet 1995, Marsh 1981, McBirney & Murase
1984, McLellan 1984, Miller & Paterson 1994, Miller et al.
1988, Mitra 1976, Nicolas et al. 1988, Park & Means 1996,
Paterson et al. 1989, Paterson & Vernon 1995, Pons et al.
1995, Quick et al. 1992, Ramsay 1989, Renner et al. 1999,
Riley 1990, Roscoe 1952, Rushmer 1995, Rutter & Neumann
1995, Ryan 1995, Sherman 1968, Simpson 1985, Stel 1991,
Van der Molen & Paterson 1979, Vernon & Paterson 1993,
Vernon et al. 1988, Wickham 1987.
Chapter 7. Aerden 1995, 1996, Balé & Brun 1989, Behr-
mann 1984, 1987, Behrmann & Platt 1982, Bell 1985, Bell &
Johnson 1989, Bell et al. 1992, Benn & Allard 1989, Berthé
et al. 1979, Bjørnerud & Zhang 1995, Blenkinsop & Treloar
1995, Blumenfield 1983, Blumenfield & Bouchez 1988,
Bouchez et al. 1983, 1992, Burg 1987, Dennis & Secor 1987,
1990, Doblas et al. 1997, Erskine et al. 1993, Etchecopar &
Malavielle 1987, Evans & Dresden 1991, Fossen & Holst
1995, Gamond 1987, Gapais & Brun 1981, Ghisetti 1987,
Goldstein 1988, Guineberteau et al. 1987, Hanmer 1986,
Hanmer & Passchier 1991, Ildefonse & Mancktelow 1993,
Jeffrey 1922, Krabbendam & Leslie 1996, Law 1986, 1987,
1990, Law et al. 1984, 1994, Lister & Snoke 1984, Little et
al. 1994, Mainprice et al. 1986, March 1932, Means 1981,
Means et al. 1980, Mercier 1985, Miller & Paterson 1994,
Park & Means 1996, Passchier 1983, 1984, 1991, 1994,
Passchier & Simpson 1986, Passchier & Sokoutis 1993,
REFERENCES
Passchier & Trouw 1996, Passchier et al. 1993, Paterson &
Vernon 1995, Paterson et al. 1989, Petit 1987, Platt 1984,
Platt & Vissers 1980, Prior et al. 1987, Ramsay 1962, 1967,
1980, Ramsay & Graham 1970, Ramsay et al. 1983, Robert
1989, Robin & Cruden 1994, Rutter et al. 1986, Rykkelid
& Fossen 1992, Scheuber & Andriessen 1990, Schmid et
al. 1987, Shelley 1989b, 1995, Shimamoto 1989, Simpson
1986, Simpson & Schmid 1983, Sylvester 1988, Ten Brink
& Passchier 1995, Tikoff & Greene 1997, Tikoff & Fossen
1993, Tikoff & Teyssier 1995, Turner & Wiess 1963, Van den
Driesche & Brun 1987, Wenk et al. 1987, White & Wilson
1978, White et al. 1980, Williams et al. 1994, Yoshinobu &
Patterson 1996, Zee et al. 1985.
Chapter 8. Alexopoulos et al. 1988, Ashworth & Schneider
1985, Bohor et al. 1993, Carter 1965, Carter et al. 1986,
1990, Engelhardt & Bertsch 1969, Fel’dman 1994, French
et al. 1974, Gigl & Dachville 1968, Glass 1990, Goltrant
et al. 1991, 1992, Gratz et al. 1996, Grieve et al. 1996,
Hörz 1968, Hörz & Quaide 1973, Huffman & Reimold 1996,
Huffman et al. 1993, Joreau et al. 1997, Kamo et al. 1996,
Kieffer 1975, Kieffer et al. 1976, Koeberl 1990, Langenhorst
1994, Langenhorst & Clymer 1996, Langenhorst & Deutsch
1994, Langenhorst et al. 1992, Leroux & Doukham 1995,
1996, Leroux et al. 1994, Lyons et al. 1993, Martini 1991,
McIntyre 1962, Officer & Carter 1991, Reimold 1994, 1995,
Reimold & Hörz 1986, Reimold & Stöffler 1978, Reimold et
al. 1998, Robertson 1975, Robertson & Grieve 1977, Seye-
dolali et al. 1997, Sharpton & Schuraytz 1989, Stöffler 1972,
1984, Stöffler & Langenhorst 1994.
Chapter 9. Angelier 1984, Angevine & Turcotte 1983,
Ashby & Verrall 1978, Avé Lallement 1978, Baud et al.
1996, Berckhemer et al. 1979, Bernabé 1987, Biegel et al.
1989, Blacic & Christie 1984, Blenkinsop & Drury 1988,
Boland & Tullis 1986, Boullier & Guegen 1975, Burkhard
1993, Burov & Diament 1995, 1996, Busch & Van der pluijm
1995, Byerlee 1978, Caristan 1982, Carter & Friedman 1965,
Carter & Rayleigh 1969, Carter & Tsenn 1987, Carter et
al. 1993, Christie & Koch 1982, Christie & Ord 1980, De
Bresser 1988, De Bresser & Spiers 1990, Dennis 1984,
Detournay et al. 1989, Dorn 1954, Drury 1993, Drury & Urai
1990, Drury et al. 1985, Evans & Groshong 1994, Farver &
Yund 199la, b, Fowler 1990, Gilletti & Yund 1984, Goetze
& Evans 1979, Gratier & Guiget 1986, Gratier & Jenatton
1984, Griggs 1967, Griggs & Blacic 1965, Groshong 1972,
1974, 1984, Gross & Van Heege 1973, Hallam & Ashby
1990, Handy 1990, 1994, Hansen & Carter 1982, 1983,
Heard 1963, Hirth & Kohlstedt 1995, Hobbs et al. 1986,
Horii & Nemat-Nasser 1985, 1986, Jaeger & Cook 1979,
Jamison & Spang 1976, Jaoul et al. 1984, Ji & Zhao 1993,
1994, Karato & Wu 1993, Kemeny & Cook 1987, Kirby &
Kronenburg 1984, Koch & Christie 1981, Kollé & Blacic
1983, Kronenberg & Tullis 1984, Kronenburg et al. 1990,
Kruhl 1996, Kruhl & Nega 1996, Kumpel 1991, Kusznir
1982, Kusznir & Bott 1977, Kusznir & Park 1982, 1984,
1987, Lacombe et al. 1990, Laurent et al. 1981, 1990, Lawn
& Wilshaw 1975a, Lehner 1990, Lemée & Guegen 1996,
Linker & Kirby 1981, Marone et al. 1992, McClintock
& Walsh 1962, McLaren 1991, Meisner & Strehlau 1982,
REFERENCES
Mercier 1980a, Mercier et al. 1977, Muller & Briegel 1978,
Murrell 1963, 1965, Murrell & Digby 1970, Nemat-Nasser
& Horii 1982, Newman 1994, Ord 1991, Ord & Christie
1984, Ord & Hobbs 1985, Ord & Hobbs 1989, Paterson
1978, 1987, 1995, Paterson & Luan 1990, Pavlis & Bruhn
1988, Peng & Johnson 1972, Pfiffner & Burkhard 1987,
Post & Tullis 1999, Power & Tullis 1989, Raj 1982, Raj &
Ashby 1971, Raterron & Jaoul 1991, Rice & Gu 1983, Ross
et al. 1980, Rowe & Rutter 1990, Rutter 1976, Schmid et al.
125
1977, 1980, Scholz 1990, Schulmann et al. 1996, Shelton et
al. 1981, Sibson 1982, 1983, Spang & Van der Lee 1975, Spi-
ers et al. 1990, Stoker & Ashby 1973, Takahashi et al. 1997,
Terzaghi 1943, Tse & Rice 1986, Tsenn & Carter 1987, Tullis
1980, Tullis et al. 1991, Turner 1953, Twiss 1977, 1986, Van
der Wal 1993, Walker et al. 1990, Warpinski & Teuffel 1993,
Weertman 1968, 1978, Weiss 1954, White 1976, 1979a.
This page intentionally left blank
Index
(Bold numbers refer to plates or figures)

abrasive wear 10 classification 28, 29

accretion steps 20 continuous 29
activation enthalpy 92-96 crenulation 29, 30, Plates 16, 17
activation volume 94 disjunctive 29, 3.7
adhesive strength, wear 10 domain 29, 30
alteration 9, 10, Plate 1 slaty 30, 3.9
Amonton’s law 10, 91 spaced 29, 30
amphibolite facies 24, 52, 96 zonal 29
amygdale 22 coefficient of friction, coefficient of internal friction 90, 91
annealing 62, 82, 88 coesite 16, 80, 83, 8.7, 85-88
anticrack 58 coherent exsolution 52
antitaxial fibre growth 33, 37, 3.17, 3.18 coherent transformation 52
arrow method 102, 103 cohesion 5, 90, 91
asperities, asperity ploughing 10, 2.4, 20 composite deformation mechanism 3, 52, 90
asterism 82 composite fibre growth 37, 3.17
constrained comminution 10
ballen 83, Plates 47, 48 contact melting 63
barrier theory 9 contiguity 59
bend 79 core-and-mantle structure 4.14, 42, 49
bookshelf sliding 77 corona 2, 57, Plate 34
botryoidal texture 32, 35 crack-seal 35, 92
boudin 19, 2.17, Plate 6 crater 23
Boussinesq configuration 12 creep 92-94
Brazil twin 81, 8.3, 85, 88, 89 Coble 52, 92-94
breccia 5, 6 diffusion 52, 54, 60, 97
brittle 1,3 dislocation 93-97
brittle-ductile transition 4, 5 grain size sensitive 92, 93
brittle-plastic transition 3, 97 Nabarro-Herring 52, 92, 94
Burger’s vector, 39, 4.1, 58 pressure solution 92, 93
Byerlee’s law 91, 97 critical melt fraction 59
critical packing, packing density 59, 60
calcite twin morphology 104 critical slip distance 92
cataclasis 1-3, 5, 7-24, 30, 38, 47,60,63,74 cross-slip 39, 4.4
cataclasite 6 crystal plasticity 4, 5, 19, 59, 104
foliated cataclasite 6, Plate 8 crystallites 22
protocataclasite 6 crystallographic fabric, preferred orientation 1, 2, 19, 22, 50,
ultracataclasite 6, 23 51, 4.20, 58, 62, 75, 76, 7.19
cataclastic flow 4, 18, 19, 63 curved foliation 66
cathodoluminescence 2.6, 12, 17, 32,35, 81
cement, cementation 17, 32 Dauphine twin 57
chemical potential 24, 52 debris streaking 20
chemical zoning 2, 57 decussate texture 2, 54, Plate 28
chessboard pattern 41, 4.10, 47 defect 52
Chixculub structure 84 deflection surface 54, 57
Cish diagram 37 deformation bands 2, 5, 7, 18, 41, 4.6, 47, 50
cleavage 2, 13, 28-30 deformation lamellae 2, 14, 4.11, 47, 49, 101-103, 9.4

127
128 INDEX

deformation mechanism 1, 2, 3, 5, 90 fibre strain 17

classification 1, 2 growth histories: antitaxial, ataxial, composite, non-
map 90, 97, 98 systematic, syntaxial 37, 3.17, 3.19
deformation microstructure 1-3, 5, 90 non-tracking 38, 3.19
classification 1, 2 tracking 37, 38, Plate 23
deformation (mechanical) twin 2, 39-41, 4.8, Plate 24, 62, tracking efficiency, 38, 3.19
81, 87, 102-104, 9.4, 9.5 Fick’s law 24, 52
deformation zone rocks 5 finite shortening, extension 25
deformation flow laws 90, 92-97
continuity 4, 5, 18, 19,57 fluid inclusions planes 2, 12, 24, 2.5, 33-35, 3.13, 3.14, 47
distribution 4, 5, 18 foam texture 2, 54
mechanism and mode 4, 5 fold 4, 19, 2.17, 60, 63, 70
scale 4 foliation 54-57, 65, 75
dendritic crystals 22 curved 66, Plate 39
diaplectic glass 80-83, 85, 87, 89 external foliation 54, 55, 5.3, Plates 29-33
diffusion 24, 29, 53, 57, 82, 94-94 internal foliation, 54, 55, 5.3, Plates 29, 31-33
coefficient 52, 92-94 oblique foliation, 66, 67, 7.3
creep - see creep steady-state, strain insensitive 61
grain boundary 93 strain sensitive 66
volume 93 fractal dimension 10, 22, 92, Plates 1-4
diffusive mass transfer 1-3, 47, 63, 90, 92 fracture 1
by solution 3, 24-38 fracture toughness 9
in melts 60 fragmentation 10
solid state 52-58 frictional sliding 7, 10, 2.4, 90-92, 97
dihedral angle 24
dilatancy hardening 60 generation plane 22
dislocation 1, 30, 39, 4.1, 4.2, 4.3, 4.4, 47 geotherm 97
climb 39, 93 geothermobarometry 104, 105
creep 39, 5.1, 54, 93-97 gouge and gouge zone microstructures 5, 6, 10, 17, 2.17,
density 39, 41, 47-49, 58, 81, 82 Plate 6, 72
glide 39, 51,93-95 grain boundary migration 4.12, 47, 4.17, 48-50, 4.18, 4.19,
displaced grain fragments 79, 7.23, Plate 45 95, 99, 100
displacement control 33 grain boundary width - fast or free 54
displacive transformation 52 grain dispersive pressure 61
divider method 105 grain shape fabric 2
Dorn law 93 cataclastic 19, 33
ductile stringer 19, 2.17 diffusive mass transfer 33, 3.11, 52, Plates 26, 27, 54
ductility 4, 5 intracrystalline plastic 33, 4.12, 47
dynamic recrystallization 47-50, 4.19 magmatic 62, Plate 36
sub-magmatic 62
effective stress 91 grain size sensitive creep 92, 93
Einstein-Roscoe equation 59 grain surface deposition textures 2, 30
enclave 60 grain surface solution textures 2, 25
erosional sheltering 20 granoblastic polygonal texture 32, 54, 62
etching, etch pit 39, 88 growth twins 39, 62, 81
exaggerated grain growth 54 growth zoning 57, 83, Plate 18
exponential law 93-97
extensional crenulation cleavage 70 helicitic texture 54
external asymmetry 76, 7.19 Hertzian configuration 12
homologous temperature 97
fabric skeleton 76 hydrolytic weakening 9, 94
face control 33, 38, Plate 19
failure criteria 90, 91, 97 igneous zoning 62
Coulomb and Mohr failure criteria, 90, 97, 98 imbrication 60, 62, 78
and fracture mechanics 91 inclusion 35, 3.15, 3.16, 62, 84
Griffith criteria 91,97 band 35, 3.15, 3.16
fault gouge - see gouge trail 35, 3.15, 3.16, 37, 38, 54, 65
fault breccia - see breccia indenting grain contacts 2, 25, 3.1, 3.2, 33, 63
fibre 32, 33, 37, 65 independent particulate flow 2, 22
INDEX 129

instantaneous stretching axis, axes 65, 73, 7.15, 7.17 sub-critical propagation 9, 94
interconnected weak layer 96 thermally-induced 15, 16
internal asymmetry 76, 7.19 transgranular 10, 2.5, 12, 13, 16
internal strain energy 4, 48, 52, 55 wing 13, 2.10
interpenetrating grain contacts 2, 25, 3.1, 3.4, 33 microcrystallite 81, 82
intracrystalline plasticity 1, 3, 4, 14, 19, 22-24, 30, 39-51, 57, microfault 2, 7, 17, 18, 2.14-2.16, 7.23, Plates 3, 45
60, 62, 63, 75, 90, 93, 97 microfold 77, 7.22
intracrystalline deformation bands 2, 41 microfracture 1, 2, 4, 7, 80, 85, 86, Plate 4
island and channels 24 mirror 20
isostrain criterion 96 mist 20
isostress criterion 96 surface features 2, 19, 20
velocity hackle 20
jog 79 Wallner line 20
microlithon 29, 30
kink, band 2, 14, 30, 41, 4.6, 4.7, 4.8, 50, 62 microphenocryst 22
microslickolite, 27, 28, 3.6
landslide 23 microstylolite 1, 2, 27, 28, 3.5, Plate 14, 3.6
lattice preferred orientation 58, see crystallographic fabric characteristics 27
lechatelierite 80-85 filling 24-28
lineation 66, 7.1, 7.2, 75 formation and propagation 27, 28
lithospheric strength envelope 90, 97, 98, 9.2 teeth, walls, crown 27, 3.5, 28
load bearing framework 96 microvein 1, 2, 7, 35-38
low angle boundaries 41 free-face growth 35
lower stability limit 92 fibrous 33, 35, 37, 38
laminated 35
magmatic flow 3, 59-63, Plate 36 opening vector 35
magmatic microstructures 59, 62 migmatite 63
magmatic shear zones 62, 77, 78 millipede texture 54
magnetic anisotropy 60, 62 mimetic crystallization 54
Martensitic-like transformation 52, 57 mode of failure 4
mean stress 94 molar entropy 24
megacryst 62 molar internal energy 24
metatextite 63 molar volume 24, 92-94
mica beard 32 mosaicism 81-83, Plate 48, 85-89
mica fish 74, Plate 42 mylonite 5, 6, 62
microboudins, asymmetric 76, 7.20, 7.21, Plate 6 protomylonite 6
microcrack 2, 7, 2.1, 2.5, 2.6, 10-16, 33 ultramylonite 6
axial 12, 17, 2.14, 19, 63,91
characteristics and observation 10-12 necking down 33, 35, 3.14
circumgranular 10-12 neosomes 63
classification 10-12 new grains 47, 50
cleavage 13, 19 non-magmatic deformation 63, 64
cone 12 non-systematic fibre growth 37, 3.17, Plate 22
dynamic propagation 7 normal slip crenulation 70
elastic mismatch 13, 14, 2.11, Plate 5
en-echelon 17, 2.15 oblique grain shape fabric 78
en passant 17, 2.15 ophitic texture 62
extension 12, Plate 2 order-disorder transformation 52
extension force 7 Ostwald ripening 54
flaw-induced 2.6, 13, 2.10 overgrowth 1, 2, 4, 13, 32, 33, 3.10, Plate 18, 3.11, 4.11
grain boundary 13
impingement 2.6, 12, 13, 2.7, 2.8, 2.9 P-foliation 19, Plate 6, 79
intragranular 10, 2.5, 12, 13, 2.9, 18, 19 P-shear, fracture 19, 20
microfault- induced 14, 19 paleopiezometry, palaeopeizometer, 98-101
microscopic feather fracture 14, 15, 2.12 deformation lamellae 101-103
modes I, II, III 7, 2.2, 12 dislocation density 100, 101
phase transformation-induced 16 general problems 104
plastic mismatch 14, 2.12, 2.13 maximum twin volume, 101
refracturing 13, 2.11 principal stress and strains 103, 104, 9.4
130 INDEX

recrystallized grain size 98-100, 9.3 pseudotachylites 2, 5-7, 22, 23, Plates 9-11, 83, 92
subgrain size 100, 101 characteristics 22
twinning - differential stress 100, 101 misidentification 23
twinning density, 101 origin 22, 23
twinning incidence, 101
particle size distributions 10, 22, 92 rate and state dependent frictional sliding 92
perlitic texture Plates 47, 48 reaction rims 2, 57
permeability 91 reaction zoning 57
phase transformation microstructures 2, 57, 58, 80-92 recovery 2, 41, 47, 82
phenocryst 60-62 recrystallized grain size 49, 50
phenomenological coefficient 93 reentrant zoning 54
phyllonite 6 relict minerals 2, 57
pinching off 33, 3.14 rheology 90
planar deformation feature 47, 8.2, 80-89 rhomb dodecahedra 54
decorated 81,82 ribbon grain 2, 4.13, 52-54, 5.1
non-decorated 81, 82 ridges and grooves 20
sub-lamellar structure 81, 88 Riedel, conjugate Riedel shear 2.17, 19, Plates 6, 7, 20, 72,
plastic, plasticity 3, 14 79
poikiloblast 54 fractures 15
Poisson’s ratio 97 risers 20, 2.19, 79
polymineralic deformation 94-97 congruous/incongruous 20, 2.19
pore fluid, pressure 3, 22-24, 91 rolling structures 77
porosity 12, 13, 18, 87, 88, 93 roughening transition 32
reduction 19, 32
porphyroblasts 1, 2, 54-57 S-, C- and 5, 20, 62, 63, 66, 70-73, Plates 40, 41
characteristics 54, 55 characteristic and classification 70-72, 7.11, 7.13, 7.14
growth mechanisms 55 curvature of S-foliation 73
internal, external foliations 54, 75, 7.18 formation and evolution 72
intertectonic 55-57, 5.3, 5.4, Plate 31 shear on C-or 19, 73
plate 33 shear sense from 73
posttectonic 55-57, 5.3 scaly clays 22
pretectonic 55-57, 5.3, Plate 30 scanning electron microscope 2.6, 19, 2.18, 2.19, 25, 30, 50,
relationship to deformation 55-57, 5.3 79, 82, 88
shear sense indications 75, 7.18 schlieren 60
syntectonic 55-57, 5.3, Plate 32 secondary recrystallization 54, 55
porphyroclast, porphyroclast systems 5, 14, 67-70 sector zoning 54
characteristics and classification 67, 68, 7.4 semibrittle 3, 14, 19
complex type 67, 7.4, 7.8 sensitive tint plate 2.6, 12, 17, 50, Plates 1-4, 45, 79
67-70, 7.4, 7.7, 7.9, 7.10, 74 separatrix 68, 69
deflection, embayments 68-70, 7.7, 7.9 shape preferred orientation 47, 66
faces of a tail 69, 7.9 shatter cones 23
in-plane 67, 68 shear band 70
67, 7.4 shear modulus 97
mantle 67 shear sense 65-79
mechanisms of formation 68, 69 criteria 65-79
67-69, 7.4, 7.5, 7.6, 7.9 for faults 79, 7.23, Plate 45
stair-step 67, 68 in rocks containing melt 77-79
tail, wing 67 observation plane 65, 71
power law 93-97 shock-induced microstructures 3, 80-89, 8.1
breakdown 94 shock mechanisms and metamorphism 23, 80
pre-exponential constant 93-97 shock wave barometry and thermometry 85-88
pre-lithification deformation 2, 22 calibration 85-87
pressure shadows and fringes 1, 2, 4, 32, Plate 19, 33, 3.12, problems 87, 88
63, 65, 73,74 slickenfibre 20, 2.19, 79
last increment of growth 73, slickenline 20
kinematics in shear zones 73, 7.15 slickenside 20, 92
shape 73, 7.16, 7.17 slip 39
process zone 9, 28 direction 39, 51
prod mark 20, 2.18 plane 39, 4.1, 51
INDEX 131

system tiling 60, 78

snowball texture 54, Plate 29 tool track or mark 20, 2.18
solid state transformation 52-58, 80-82 transmission electron microscope 19, 39, 4.2, 81-83, 88, 101
solubility 24, 92-94 transpression 65, 7.2
spherulites 22, 83, 84 triple grain junction 54, 5.2
spin 65 truncating grain contact 2, 25, 3.1, 3.3, Plate 12, 30, 33
state variable in frictional sliding law 92 truncation surface 30, 3.7, 54, 55
static recrystallization 54, 62 twin, twinning 47, 57, see also deformation (mechanical)
stick-slip behaviour 92 twin, growth twin, paleopiezometry
stishovite 80, 83, 8.8, 85-87
strain cap 2, 27, Plate 13 undercutting mechanism 24
strain rate 90, 92-97 undulatory extinction 1, 2, 33, 41, 4.5, 4.6, 4.13, 49, 62, 82
strawberry texture 82, 8.5, 8.6 uniaxial compressive strength 90, 91
stress 1 uniaxial tensile strength 90, 91
amplification 97 upper stability transition 92
corosion 9
exponent 93-97 velocity weakening, strengthening 92
intensity factor 7, 9 vesicle 84
stretched crystal fibre 37, 3.17 viscosity 59-61
strewn field 84 volume loss 29, 3.8, 30
sub-boundary migration 50 vorticity 65
sub-magmatic flow 3 external 65
microstructures 3, 59-63, Plates 37, 38, 78, 79 internal 65
subgrain 1, 2, 14, 19, 32, 41, 47, 4.9, 4.13, 47, 4.16, 50, 62 profile plane 65, 7.1
boundary orientation in quartz 41, 63, 105 shear-induced 65
rotation 47, 4.15, 4.16, 48, 49, 4.19, 50, 99, 100 vector 65, 7.1
size 1, 47
superplasticity 3, 52, 57, 58, Fig. 5.5, 94 wear groove 20, 2.18
surface tension force, energy 7, Plate 27, 54, 55 whole lithosphere failure 97
sutured grain boundary 25, 50, 3.1, 4.19, 104, 105, 9.6, 9.7
symplectite 2, 57, Plate 35 Y-shear Plate 7, 19, 2.17, 72
syntaxial fibre growth 33, 37, 3.17, Plate 21 Young’s modulus 7

T fracture 19, 2.17, 20, 79 zircon, shocked 82, 8.4-8.6, 89

tectite, microtectite 83, 84
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Color Plate Section
This page intentionally left blank
 COLOR PLATE SECTION 135

Plate 1. Alteration-enhanced microcracking. The plagioclase crystal in the light blue colour is fragmented along cleavage planes without significant rotation
or displacement of the fragments. Alteration of the feldspar to more sodic compositions (and ultimately to laumontite) occurs along the microcracks, showing
that chemical reaction and deformation were linked in alteration-enhanced microcracking. The fractal dimension of the particle size distribution (PSD) is
~2.0, which is characteristic of this type of cataclasis. (Chapters 2.2.1, 2.3.6).
XPL, ST, 4.3 mm, Biotite granite, Cajon Pass drillhole, California, U.S.A.

Plate 2. Extension microcrack. Grain boundaries between the yellow and pink grains in the wallrock can be matched across the microcrack, demonstrating
extension in the plane of the section. The microcrack is filled by angular fragments of quartz, biotite and feldspar in random orientations which can not be
matched with adjacent grains in the wall-rock. These textures suggest that the fragments were transported in a single, chaotic manner from some distance,
probably in a fluid matrix. The fractal dimension of the PSD is approximately 2.8, slightly higher than typical for extension microcracks. (Chapter 2).
XPL, ST, 2.2 mm, Granodiorite, Cajon Pass drillhole, California, U.S.A.

Plate 3. Microfault. The great variety of colours of the fragments (mostly quartz) in the matrix under the sensitive tint plate shows that they have been
rotated and probably derived from grains at least outside the field of view. Many fragments are equant and sub-angular, suggesting some wear during shear.
The fractal dimension of the PSD is approximately 2.6, a common value for fragments in shear fractures, and also the value predicted by the constrained
comminution model. (Chapters 2.2.2, 2.4).
XPL, ST, 4.3 mm, Granite, Cajon Pass drillhole, California, U.S.A.
136 COLOR PLATE SECTION

Plate 4. Selective microfracture of larger fragments. Angular, randomly orientated fragments were produced by microfracture during cataclasis. A large
feldspar grain at lower right is separated into two fragments by a microfault. The fractal dimension of the PSD is approximately 2.9. (Chapter 2.2.2).
XPL, ST, 4.3 mm, Granite, Cajon Pass drillhole, California, U.S.A.

Plate 5. Elastic mismatch strains. Intracrystalline plastic strains around the ends of an inclusion of biotite are dramatically shown by the areas of quartz in
extinction, compared to the birefringent host grain elsewhere. The strained area has the same geometry as the area of high stress predicted from modelling
the elastic stress field around a weak inclusion, suggesting that the elastic stresses resulted in lattice distortion. See Fig. 2.11. (Chapter 2.3.7).
XPL, 0.5 mm, Chilimanzi granite, Great Zimbabwe, Zimbabwe.

Plate 6. Riedel shears, asymmetric boudin and P-foliation in a sinistral gouge zone. Riedel shears trend from top right to bottom left, and cut across a P-
foliation which trends in the opposite direction. The two features surround an asymmetrical boudin. All three features give a sinistral shear sense. Compare
with Figs. 2.17, 7.20. (Chapters 2.7, 7.13.4).
PPL, 2 mm, Tarskavaig thrust zone, Tarskavaig, Isle of Skye, Scotland, U.K.
COLOR PLATE SECTION 137

Plate 7. Y-Shear in a gouge zone. The central dark line parallel to the top/bottom edges of the photomicrograph is a Y-shear. Above and below are Riedel
shears similar to those in the previous plate, which give a sinistral sense of shear. Compare with Fig. 2.17. (Chapters 2.7, 7.13.4).
PPL, 2 mm, Tarskavaig thrust zone, Tarskavaig, Isle of Skye, Scotland, U.K.

Plate 8. Foliated cataclasite. The foliation (planar feature from upper right to lower left) is defined by bands of quartz and calcite. Calcite-filled microfractures
at high angles to the foliation demonstrate the brittle component of the deformation. (Chapter 1.3).
XP, 1 mm, Foliated cataclasite, Punchbowl fault zone, California, U.S.A.

Plate 9. Pseudotachylite. Dark, fine grained matrix containing clasts fills a triangular-shaped veinlet branching from a narrow vein of the same material
parallel to a fault surface. The veinlet cross-cuts an older foliation in the wall rock. Sub-angular fragments of wall rock in the veinlet have a large range of
sizes. All these features are typical of pseudotachylite. See Plates 10, 11. (Chapter 2.11).
PPL, 2 mm, Pseudotachylite in grey gneiss mylonite, Buhwa, Zimbabwe.
138 COLOR PLATE SECTION

Plate 10. Pseudotachylite. The same view as plate 9 in crossed polars. The opacity of the matrix suggests a glassy nature. Slight alteration to a very fine
grained, moderately birefringent phyllosilicate picks out a weak foliation in bands which are concave towards the apex of the veinlet. These bands suggest a
primary flow foliation. See Plates 9, 11. (Chapter 2.11).
XL, 2 mm, Pseudotachylite in grey gneiss mylonite, Buhwa, Zimbabwe.

Plate 11. Pseudotachylite. Branching veins contain an opaque, fine grained matrix suggesting glass. Poorly sorted, sub-rounded fragments define a weak
foliation parallel to a feint colour banding in the matrix. The foliation and banding are folded about an axis parallel to the margin of one vein, suggesting a
flow foliation. See Plates 9, 10. (Chapter 2.11).
PPL, 2 mm, Pseudotachylite in tonalitic granulite, Bollingen Islands, Antarctica.

Plate 12. Truncated Ooid. Concentric banding in the elliptical ooid is truncated at the upper and lower surfaces by quartz grains along approximately planar
surfaces. The length of the original ooid can be estimated as approximately 0.6 mm: its present length is 0.3 mm. (Chapter 3.4).
XPL, 1 mm, Bargate Stone, U.K.
 COLOR PLATE SECTION 139

Plate 13. Strain cap. The porphyroclast of feldspar at centre has foliae of muscovite wrapped around the top and bottom surfaces. Flakes of muscovite
distributed sparsely through the matrix around the porphyroclast define a weak foliation. The presence of muscovite in the matrix suggests that the muscovite
was concentrated in the strain cap by diffusion of the other matrix components away from the strain cap. (Chapter 3.5).
XPL, 1 mm, Mylonite, Moine thrust zone, Scotland, U.K.

Plate 14. Microstylolite truncating crinoid fragment. The microstylolite has a filling of opaque iron oxides/hydroxides and truncates the crinoid fragment,
showing material removal. See Fig. 3.8. (Chapter 3.6).
PPL, 1 mm, Crinoidal limestone, Derbyshire, U.K.

Plate 15. Microstylolites. The wider stylolite is approximately planar, and the narrow stylolite is sinusoidal. Both are zones of concentrated opaque minerals,
which are found in low concentrations throughout the adjacent rock, showing that they have been concentrated by removal of the more soluble carbonates
along the stylolites. Shell fragments are truncated by the stylolites. The amplitude of the sinusoidal stylolite suggests approximately 0.3 mm of shortening
perpendicular to the stylolite trace. (Chapter 3.6).
PPL, 2 mm, Carboniferous limestone, Somerset, U.K.
140 COLOR PLATE SECTION

Plate 16. Incipient crenulation cleavage. A early fabric defined by muscovite and chlorite is folded into open folds. A weak second fabric is seen on the
fold limbs, defined by muscovite and chlorite alignment parallel to the axial surfaces of the folds, and by concentrations of opaque minerals which are found
elsewhere throughout the rock, suggesting that diffusive mass transfer has contributed to the formation of this cleavage by removal of the more soluble
phases from the fold limbs. (Chapter 3.7.2.2).
PPL, 2 mm, Albite chlorite schist, Perthshire, U.K.

Plate 17. Advanced crenulation cleavage and fabric transposition. Two distinct types of layers are visible in this rock. Layers consisting of strongly aligned
biotite also contain a few small elongate grains of quartz parallel to the biotite fabric (S2, not labelled). Layers between the S2 domains contain larger,
equant quartz grains and a higher proportion of quartz, which defines a compositional banding (S1, not labelled) of quartz layers alternating with biotite
layers, which also have a strong fabric parallel to S1. S1 is folded into tight to isoclinal asymmetric folds; small scale fold hinges can be seen in some of
the biotite grains and in the compositional layering. Depletion of quartz in the S2 layers shows that it has diffused away from the S2 domains. S1 has been
almost completely transposed into S2. (Chapter 3.7.2).
XP, 1 mm, Biotite schist, Cornwall, U.K.

Plate 18. Precipitation and solution textures in hydrothermal quartz. This SEM-CL false colour image shows a zoned quartz crystal with euhedral concentric
growth zones shown by different colours disrupted by solution. The complex zonation patterns show variations in fluid chemistry during growth. (Chapter
3.9).
SEM-CL, 0.9 mm. Hydrothermal quartz vein cross-cutting the Ventersdorp Contact Reef, Klerksdorp goldfield, Witwatersrand, South Africa.
COLOR PLATE SECTION 141

Plate 19. Pressure fringe. Fibrous quartz overgrows euhedral faces of pyrite crystals. The quartz fibres are perpendicular to several faces, showing a typical
face-controlled geometry. (Chapter 3.9).
XPL, 1 mm, Quartz-sericite schist, Sabi mine, Zvishavane, Zimbabwe.

Plate 20. Blocky microvein filling. Blocky grains of calcite filling this microvein suggest a single opening and filling event. (Chapter 3.12).
XPL, 2 mm, Mylonite, Freda Rebecca mine, Bindura, Zimbabwe.

Plate 21. Syntaxial vein filling. The photomicrograph shows one side of a syntaxial quartz and calcite vein filling. A narrow band of partly fibrous quartz
lines the vein adjacent to the dark wall rock. Some fibres overgrow quartz grains in the wall rock, and the quartz grain size increases away from the wall,
showing that the quartz grew syntaxially. The calcite consists of curved but unstrained calcite fibres, which also coarsen away from the wall rock. The
calcite fibres grow towards a median suture which is parallel to the vein wall. A second group of fibres growing from the opposite side of the vein meets
the first group at the median suture, but the two groups are not continuous. The continuity between the vein quartz and the wall rock, the increase in grain
size away from the wall, and the joining of two separate groups of fibres at the median suture are all distinctive features of syntaxial growth. The curved but
undeformed nature of the fibres shows that the curvature is a primary growth feature. Since the fibres grow towards a median suture, wall rock control of
their orientation is unlikely, and the fibres probably tracked the incremental opening vector, which rotated with respect to the vein. See Fig. 3.17a. (Chapter
3.12).
XPL, 4.3 mm, Quartz-calcite vein, locality unknown.
142 COLOR PLATE SECTION

Plate 22. Non-systematic (stretched) fibres. Individual quartz fibres stretch all the way across the microvein. There is no symmetry or suture, and the sides
of the fibres have interlocking teeth. They are subdivided into tablets perpendicular to their length, each of which represents a growth increment. These are
the typical features of non-systematic growth histories. See fig. 3.17e. (Chapter 3.12).
XPL, 4 mm, Semi-psammite, Anglesey, U.K.

Plate 23. Tracking fibres. Undeformed biotite fibres grow obliquely across the microvein, and remain parallel through a small jog in the margin (centre).
These observations suggest that the fibres were tracking an incremental opening direction that was oblique to the margin, since the change in the margin
orientation at the jog has no effect on the fibre orientation. (Chapter 3.12).
XPL, 1 mm, Serpentinite, Sabi mine, Zvishavane, Zimbabwe.

Plate 24. Deformation twins in calcite. Characteristic features of deformation twins are variable thickness, pinching out, and bending of individual twins.
These twins are type 2 of Burkhard’s classification, and therefore formed between 150 and 300°C. Also see Fig. 4.11. (Chapters 4.3, 9.11.2).
XPL, 0.25 mm, Limestone, Mushandike, Zimbabwe.
 COLOR PLATE SECTION 143

Plate 25. Grain boundary migration. Advanced stages of grain boundary migration. As well as highly convoluted grain boundaries, blue grains can be seen
entirely surrounded (in the plane of the section) by the yellow grain. Also see Figs. 4.17, 4.18. (Chapter 4.8).
XP, ST, 0.5 mm, Deformed granitic rock, Unknown locality.

Plate 26. A strong grain shape fabric defined by hornblende and biotite shows no evidence of internal strain features, and formed by solid state diffusive
mass transfer. The fabric in the mafic minerals has controlled the shape of the quartz grains, imparting a similar fabric. Also see Plate 27. (Chapter 5.3).
PPL, 4 mm, Hornblende schist, Makaha greenstone belt, Zimbabwe.

Plate 27. Grain boundary control in a two-phase aggregate. Quartz grain boundaries are controlled by muscovite grains. Boundaries between two quartz
grains are perpendicular to muscovite basal planes, and often pinned at the ends of the muscovite grains (centre). Both these effects are due to the higher
surface energies between quartz and mica than between quartz grains. The resultant quartz grains are elongate parallel to the muscovite fabric. Also see
Plate 26. (Chapter 5.3).
XP, 2 mm, Mica-garnet schist, Miami district, Zimbabwe.
144 COLOR PLATE SECTION

Plate 28. Decussate texture. Randomly orientated, interlocking, elongate actinolite crystals show a good example of this texture, produced by diffusive mass
transfer processes in crystals with anisotropic growth rates. (Chapter 5.4).
XPL, 2 mm, Biotite-actinolite schist, Arcturus mine, Zimbabwe

Plate 29. Snowball texture in garnet. Inclusions trails of quartz define an internal foliation that curves through more than 180°. The external foliation is
defined by a strong grain shape fabric in adjacent muscovite. See Fig. 7.18. (Chapters 5.6, 7.8).
XPL, 4 mm, Muscovite-garnet schist, Makaha greenstone belt, Zimbabwe.

Plate 30. Pretectonic porphyroblast. The andalusite porphyroblast contains randomly orientated opaque inclusions. An external fabric defined by biotite
wraps around the porphyroblast. This is the typical texture of pre-tectonic porphyroblasts (Fig. 5.3c). Asymmetric quartz pressure shadows (light areas)
occur on either side of the porphyroblast. See Plate 44 for another example from this rock. (Chapter 5.6).
PPL, 2 mm, Biotite-andalusite schist, Sharriva greenstone belt, Zimbabwe.
COLOR PLATE SECTION 145

Plate 31. Intertectonic porphyroblasts. The two biotite porphyroblasts contain an internal fabric of relatively large quartz grains. The external fabric
is continuous with but has a smaller grain size The strong fabric localized on the limbs of folds in and the folds themselves, are not present in
the biotite porphyroblasts. The porphyroblasts grew after was formed, but before reached its present grain size and was folded, showing the diagnostic
features of intertectonic porphyroblast (Fig. 5.3b). (Chapter 5.6).
PPL, 2 mm, Metapelite, Longman Mountains, Sichuan province, China.

Plate 32. Syntectonic porphyroblast. The external foliation is continuous with the internal foliation, which is curved within the staurolite porphyroblast.
This is the typical texture of a syntectonic porphyroblast (Fig. 5.3c). (Chapter 5.6).
XPL, 4 mm, Staurolite schist, Dindi greenstone belt, Zimbabwe.

Plate 33. Post-tectonic porphyroblast. The kyanite porphyroblast at centre grows across a strong biotite-muscovite fabric. The internal fabric and the
external fabric are continuous, and is undeformed around the porphyroblast, indicating post-tectonic growth (See Fig. 5.3d). (Chapter 5.6).
PPL, 2 mm, Kyanite staurolite schist, Reynolds range, Arunta block, Australia.
146 COLOR PLATE SECTION

Plate 34. Corona. The central hornblende grain is surrounded by an intergrowth of orthopyroxene, plagioclase and magnetite, a typical texture produced by
prograde reaction of hornblende. (Chapter 5.7).
PPL, 1 mm, Mafic granulite, Northern Marginal Zone, Chief Bota, Zimbabwe.

Plate 35. Symplectite. Intergrowth between orthopyroxene (clear) and plagioclase (clouded appearance). Vermicular intergrowth of the two phases occurs
because diffusion distances during the reaction were too small to allow an equilibrium microstructure
to form. (Chapter 5.7).
PPL, 2 mm, Mafic granulite, Datong-Huai’an, China.

Plate 36. Magmatic grain shape fabric. The three large euhedral plagioclase phenocrysts and several smaller ones define a grain shape fabric trending from
upper right to lower left. The phenocrysts are completely unstrained and set in a matrix of pyroxene. Undeformed igneous zoning can be seen in the largest
phenocryst. No evidence for deformation is seen in the hand specimen, which also shows the alignment of euhedral phenocrysts. The complete lack of
microstructural evidence for strain demonstrates that the fabric is magmatic. (Chapter 6.4).
XPL, 2 mm, Basalt, Bembezi river, Zimbabwe.
COLOR PLATE SECTION 147

Plate 37. Magmatic/submagmatic grain shape fabric. Euhedral plagioclase and biotite crystals define a grain shape fabric parallel to the top/bottom of the
plate. The only other evidence for deformation is slight undulatory extinction in quartz. Primary, undeformed zoning is visible in the dark plagioclase crystal
on the right. The biotite and feldspar crystals define a moderate grain shape fabric in the hand specimen. There is no evidence for recrystallization (e.g.
a quartz aggregate shape fabric). The deformation was either magmatic, with a later non-magmatic deformation that created undulatory extinction in the
quartz, or sub-magmatic. In either case, the fabric was created with melt present. (Chapter 6.5).
XPL, 4 mm, Tonalite, Fort Rixon, Zimbabwe.

Plate 38. Sub-magmatic fabric. The euhedral outline of the feldspar megacryst is parallel to a biotite and hornblende grain shape fabric. A euhedral feldspar
megacryst alignment is a conspicuous feature of the outcrop from which this specimen was collected. The feldspar megacryst is recrystallized along its
margins, and slight bending of the feldspar twins is visible. This granite is part of a suite that is syntectonic with a major deformation event. The shape fabric
and the intracrystalline deformation features can therefore be interpreted as submagmatic. (Chapter 6.5).
XPL, 2 mm, Razi Granite, Mavizhu, Zimbabwe.

Plate 39. Curved foliation. Foliation defined by muscovite lies at angle of about 45° to the upper edge of the plate. It curves smoothly to become parallel to
the lower edge of the plate, which is the orientation of the shear plane. The clockwise rotation shows a dextral sense of shear (Fig. 7.1). (Chapter 7.2).
XPL, 1 mm, Granite, Mushandike, Zimbabwe.
148 COLOR PLATE SECTION

Plate 40. fabric or extensional crenulation cleavage. A penetrative S-foliation from upper left to lower right is defined by hornblende grains. S is
deflected into a narrow inclined in the opposite direction. The sinistral shear sense is clear from the curvature of S into (See Figs. 7.12, 7.13).
(Chapter 7.5).
XP, 1 mm, Hornblende Schist, Unknown locality.

Plate 41. S-, C- and Three fabrics are visible. The pervasive S-foliation inclined from upper right to lower left is defined by muscovite and quartz
grain shapes and compositional banding. Discrete shears parallel to the top and bottom edges are C-surfaces. A few discrete shear surfaces are inclined to
the shear plane from upper left to lower right; these are surfaces. Both S-C porphyroclastic fabrics and banded fabrics and
are visible (see Fig. 7.11 for definitions of and The dextral shear sense is clearly given by the curvature of S towards C- and (See
Figs. 7.12, 7.13). (Chapter 7.5).
PPL, 1 mm, Mylonite in grey gneiss, Buhwa, Zimbabwe.

Plate 42. Mica fish. The lozenge shape of this single crystal of biotite is typical of mica fish. Short tails of biotite extend from the end of the fish, and appear
to have formed by microfracture along basal cleavage planes. The basal cleavage is parallel to the long axis of the fish. Recrystallization occurs along the
left and right margins of the fish. The shear sense is clear from the left-stepping tails, and the clockwise rotation from the long axis of the fish to the shear
plane (parallel to the top/bottom edges of the plate). Also see Plate 43. (Chapter 7.7).
XPL, 0.5 mm, Mylonite, Shamva greenstone belt, Zimbabwe.
 COLOR PLATE SECTION 149

Plate 43. Hornblende fish. The single hornblende crystal has a similar geometry to the mica fish in the previous plate. The dextral shear sense is clear from
the stair stepping of the tails and the obliquity of the fish long axis to the shear plane. Also see Plate 42. (Chapter 7.7).
XPL, 2 mm, Granite mylonite, Zivuku, Zimbabwe.

Plate 44. Asymmetrical pressure shadow. This andalusite porphyroclast gives a dextral shear sense from the left-stepping tails. The clear areas are
pressure shadows of quartz which also step up to the left. Plate 30 shows another example from this rock. (Chapter 7.6).
PPL, 2 mm, Biotite schist, Shamva greenstone belt, Zimbabwe.

Plate 45. Matching of grains across a microfault. The use of the sensitive tint plate allows grains of similar colour to be matched across the microfault,
showing a sinistral separation of ~ 0.1 mm in this section. The microfault matrix contains fragments of different colours from the adjacent grains, suggesting
rotation or transport from other grains, as well as a quartz cement which is continuous with the wall grains (Fig. 7.23). (Chapter 7.13).
XPL, ST, 1 mm, Barrios quartzite, Cantabrian zone, Villamanin, Spain
150 COLOR PLATE SECTION

Plate 46. Multiple sets of PDFs in quartz. The central grain shows at least three sets of PDFs, visible from slight contrasts in optical properties. The typical
planar, sharp and parallel (within individual sets) geometries of PDFs contrasts with the non-planar appearance of deformation lamellae, shown in Fig. 4.13.
(Chapter 8.4).
XPL, 0.45 mm, Aruonga Impact crater, Chad.

Plate 47. Suevite. Two types of clast can be distinguished. The large clear clast on the left has prominent circular features which are ballen structure. The
right hand clast is feldspar. The dark matrix anastomoses around the clasts, defining a weak fabric. (Chapter 8.6).
PPL, 1 mm, Suevite, Bosumtwi Impact crater, Ghana.

Plate 48. Suevite. The same view as the previous plate in cross polarized light. The clear clasts are non-birefringent. The boundaries between individual
ballen are filled by a birefringent phase, probably a clay mineral, suggesting that the ballen structure formed in a similar way to perlitic texture by hydration
of a glass. Traces of albite twins can be seen in the feldspar clast, which has the mottled extinction characteristic of mosaicism. However, in view of the
evidence for alteration, the mosaicism can not be unambiguously attributed to shock. (Chapter 8.6).
XPL, 1 mm, Suevite, Bosumtwi Impact crater, Ghana.