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To evaluate the results of fault-slip analyses, sizable simple structural geological models and fieldconmlld slope
failures were chosen. The used examples are related to faults with a rigid block rotation component (rotational faults).
gravity spoon shaped (listric) fault mbdels with and without lateral Aide ramps and two slope failures.
Some of the obtained principal stress axes show incongruent intermediate positions, mainly related t the bare stadstical
matmen1 of he data. This suggests the need of a more detailed interactive control of the patterns of the regional
deformation and the check by other more direct methads (CSlRO. borehde breakouts, hydraulic fracturing etc.) before
the acceptance of the calculated results.
Resumo. A detenninuqh de rens6es tectdnicas mediante a mdlise de estrias de falhas tern sido considerado
u r n metodoIogia promissora por diversos arttorex. No entanto, apresenra algumas limiru@es sPrias que ndo
podem ser esquecidas. As complexas solq6es numkricas podem represenfur incorrefamente o estodo de tens6es
aruante na crosta local AOS cases em que ncio levem em consideraqGo alguns aspectos meramente matemdticos
inerentes d metodologia adoradu. Outrossim. mesmo quc as arirudes de rensbes tecf6nicas regionais deteminadas
sejom por acaso realistas, elas nEio s& necessariamcnte representarivas daqsrelas atuantes em escala de obra,
onde o estado de teruks pode ser rnuito diwrso, resultante da sobreposi$80 de efeiros de alfviosde supeflcie
associados & emsao, escava~aoosc tensdes residuais espdrias. Por ourro lado. em Geologia, costuma-se
represenlor urn esrado de tens6es vincuiado a unt passado geoldgico remoto e de pouco inreresse imedialo.
No sentido de avaliar o resultado de tais anrilises & farma ilustmriva,foram escolhidos tnodeios geoidgicos
simples e acessfveis de rupturos contmladas de taludes. 0 s exemplos podem ser relacionadus a falhas corn
componente de rorardo de bloco rigido @has rotacionais),falhas de gmvidade listticar ou emforma de colher,
corn ou sem rampas latereis, bem como dois desiizamantos de ralude. Aiguns dos resultadus obridos mosframm
eixos de tensdo em posi@es intennedidrias incongmenres, relacionado principalmenre a urn tratampnto esrarl~icosupersimpi~~cado
dou a apenas aparente simplicidade das mrilliplas cinemdticas presentes. O mdtodo
impiica aceirar restriqces associ6veis ao mode10 numJrico e mecrinico quefrequentemenre deixam de ser levadas
em conta. Comu exempiu mmciona-se a inremclia enrre as difewnresfamilias de fraruras e a necessidade de gue
os wtores de deslocamento sejam similares em mddulo. As considera$&s q u i desenvolvi&s sugsrem a necessic h k de wn conrrole iterativo mais deralhadodas merodologiasutilitadus e, no m fnimo, t
m conhecimentoapumdo
do p a d o & deforma@o regional. Em caso de sua utiliem projetos de engenharia geoldgica, condm um
controle por outras metodologias mmo as utilem m e d i ~ 6 sdiretas de tens&s em m40s (CSIRO,
"breakouts"ak furos de sondagem, rarpruras hidrbulicm erc.).
R ~ u m e nL. a dcterrninaci6n de las msiones mt6nicasmediaateel anhlisis de esrrias de fallas hay sido oonsiderada
una metodologfa promisoria par diversos aurores. Entretantdl presenta algunas limimiones serias qut no p&n ser
olvidadas. Las complejas soluciones numricas pueden repwntar incorrectamenteel cstado de tcnsiones actuante en
la corteza l d en 10s casos en que no se tome en consideraci6n algunos aspeetos meramente materndticm inherentes a
la metodologia adoptada, M,
frecuentemenk representan cinemhticas ocurridas en tiernpos geol6giws rernotos
quc son de poco i n t d s en proyectos de ingenieria. Altemativamente, mismo que 10s ejes de tensiones tect6nicas
regionalesestimadw sean pot acaso verdadem, en la escalade actividad humana local el atado de tensiones pubde ser
rnuy distinb y resultantede la sobreposici6n de factarespuntualescomoel alivio de tensiones asociadoa efectos erosivos,
excavaciones o tensiones residuales espurias.
Con el objetivo de hacer una evaluacidn ilustrativa de tales analisis, fuemn eswgidos rnDdelos geol6gims sencillos y
accesibles de ruptum controladas de taludes. Los ejemplos utilizados pueden sw mferidos a fallas con componentesde
rotaci6n de blquc rigida (failas mtaeionales), fallas gravitacionales dei tipo listrim o en f o m de cuchara, con y sin
rampas laterales, y de 10s deslizamientos de taludes. Alguws de 10s resultados obtenidos con el uso de 10s dtodos
tradicionales indicaron posicianes intermedias ineongruentes relacionadas principalmente a la falta de muamiento
estadistico ponderado, como tambiCn debido a la exccsiva simplifieaci6n de Ias mfiltiples cinematicas presentes. El
d k i d o presenta restriociones asmiadas a1 modelo numrico y mechico que comunrnente no son tornadas en cuenta
coma, entre o t w , la necesidad de interacci6n entre las diferentes fmturas y de que 10s v w r c s de movimiento de las
fallas sean similares en m6dulo. Concluyese que las metadoIogias utilizadas necesitan de un control interactive rnBs
severo y detallado del padr6n & deformaci6n regional. En caso & su utiIizaci6n en proyeems de ingenieria geoldgica
conviene mnmlarla por otras metodologias como las usuales utilizadas para rnedicibn directa de tensiones (CSIRO,
ubreakouts" de hoyos de sondajc, ruptura hi&ulica em.)
I. Introduction
Between the different existing techniques used
to establish the best guess about the state of stress
in the crust (ovemring, hydrofracturing slit cIosure, flatjack, drillhole breakouts, earthquake soIutions etc.), identification of conjugate fractures and
as
fault shatian anaivsjs have heen
means of
least h e ~ l a t i v espatial position of the main axes and the form of the stress
tensor.
Before taking the fault-shiatioo analysis into
consideration, specially, in what concerns its use in
engineering &sign, it has to be reminded that even
accurately obtained stress axes orientationsmay be
related to tectonic states of stress of a far remow
geologicd past. Alternatively, even if the obtained
regional tectonic stress axes are realistic, in w local
human activity scale, the state of stress may be
totally diverse, being a resultant of the overprint of
near surface relief effects induced through excava-
,
,
Hafner' s paper (1951) on stress trajectories mrsus fracture patterns, gave an idea of the complxitics involved and a glimpse of the potential of the
i
,
different principal stress regimes or stress ellipsoids. Bott (19591, using the same approach,formulated the relationship between maximum shear
stresses on fault pIanes vs. the slip direction. To
define the tectonic regime with the help of the
ratio ktween the principal stress ellipsoid axes.
He also suggested through the parameter
R = ( 0 2 -~)/(UI 0 3 ) with btru2,b3as the principal compressive stresses. These two last contributions led to the known Wallace-Bott approach.
In seismology McKenzie (1969) referred to the
tensorial approach for focal solutions to determine
the positions of rhe main smses. Arthaud (1969)
proposed the use of rhe concept of intersection of
movement planes (containing the n
d to the
plane and the striation) associated with some field
strain markers as a tool to help ro define the directions of the main axes of a stress tensor. Similar
approaches were later introduced into FractureTectonics by Carey and Brunier (1974) and, mainly, by
Angelier and colIaborators (Angelier, l975a ,b; Angelier and Mechler, 1977; Angelier, 1984, 1992:
etc.). Angelier explained the application of the inversion technique and proposed a variant of Bolt's
R parameter used to define the shape of the stress
tensor, = 1 R. Later contributions brought by
papers of Etchecopar et al. (19811, Armijo and
k-I
dtbestrband~shmoatbelttbfbtltt~
~ ~ ~ t h e i r a m g k T o ~ t k
~
@dnsoftlmhatfoftha~(R4DS)artho
~ u a t # 1 ~ t 0 f a n g i s & ~ ~ ~ , ( R 4 ~ .
T b e ~ ~ ~ e d ~ y t o t
ofobe~QJI1~Oftbeatrk~dre
~
modulasafthe*~rslassdm~~~
I bJ.
Tho nwtiwda (RsDT*R4DS) may bs applied to
n o n - f a u l t s , ~ j ~ o r ~ ~ &
~ ~ s n
-*It#yw-accsp--
b y a n y ~ ~ b e t w a e D ~ r s o o l ~ ~ d
Tbe Use of t
h Fault Striation Analysis Mehod in Engin~ringGeoIogy to Deternine in Situ Stress Axes
t
[
&=
u is the
k= 1
@on
vector on the keith fault. Consequently this
Iscthod is applies only for faults created (not pre-Iy
existing) by the calculated tensor. Values
at h i o n and friction angles are admitted alh g h they are not n e c d l y obtained by a strict
Mohr Coulomb failure criterion but have the same
rredranical meaning. Other used parameter is the
RO value - size of the shear component parallel to
h wrmal to the movement plane (which contains
et striae s and the normal to the fault plane).
Since these methods apply tensorial analysisfor
d u o u s media based on statistics of individual
m t i o n s , these should be relatively small or be
i d a r in modulus in relation to the scale of the
d l i z e d masses, as dready pointed by Gautbier
d Angelier (1985). Unfortunately this aspect is
f h p n t l y neglected as also the rigid block kined c s (like rotations) that introduces bias in the
dculations.
In geological terms, we tried to test the method
ithree relatively simple casts: rotational block
W n g . faults w i h lateral ramps in which certain
h m m sets are almost not resistant,and circular
rqnues.
Our Test-Model, a NS 6OE gravity or extensional fault plane (supposedly with a vertical 01)
has 7 etrirte directions falling symmetrically along
the NE and SE quadrants (Table 1).
Figures 2c and 2d, show the stereographic projections of the spatid position of the tensot axes
obtained from a simplified analysis using the Tectonics FP demo program. Also an analysis using
compression-tension dihedra and the position of
individual and average P (compression), T (tension) and BIintcrmediate) axes was performed. A
value of 9 = 0.6 was obtained showing that the
intermediate stress cumponds nearly to the average of the maximum and minimum stresses. The B
axes for each striation are contained in the fault
plane and consequently d i s p e d along its maximum circle while the P axes follow a small circle
being contained in a cone. The same data using
Angelier's 1989 TNVD method are expressed in
Table 2.
In this case, planes where the angle between
striae (STR) and the calculated shear stress (TAU)
lies above 22" and below 45" are considered only
as fair average solutions. And those around 45*
could be eventually considered as pertinent to another phase of compression. The planes nr. 4 and 5
show the lowest angles while plane 4 shows a
significantly lower RO value. The Ratio RMU between the calculated s h and nwmal stresses as
also the angle between the general tension and the
nomd tothe plane are constantfor all the solutions.
From the above analysis the orientation of the
main stressaxes gives an average resdt which does
not a p with a normal fault model with a vertical
maximum and a horizontal minimum stress. This is
due to a complex, but not uncommon kinematics,
involving block rotalion and consequently, the obtained resdt lacks significance.
Such situation traasposcd to regional field tectonic analysis could induce into mistakes that may
be easiIy overseen.
Rotational Fault
Comprtssivt
Tensor
Tensile
I!.
L d - - C - L C
--
FIgura 2,Rotational fault with c u d sLridona m t a i n t d in the fault plam. Blofk diagram (a) and lower hemisphere ptmgraphjc
pmjdon. (b) and the respective principal stress axes {c) and compression-tw~siondihcdra (d) obmined Ihrough tensor adysis.
(t),(f)&) and (h) are s i r n i I a r r c ~ t ~ ~ i adaped
o n s for a lisvic normal fault wilh lateral ramp, P,B and Tare respectively Compssion.
Imdiate a d Tension axes wrrespomling ta fatal solutions.
The Uw of the Fwlt S h t h Analws Methoa in Engineering Geology lo DcWmint I n Sjm Svess Axes
Nr
1
6
7
Type
CNS
Strike
Dip
Pirch
60E
89N
Plunge
60
DataNr
Type
Strike
Dip
Pitch
Plunge
CNS
0
0
0
10E
89N
10
20E
89N
20
90
893
1E
CNS
60E
67PI
53
CNS
CNS
60E
62N
50
CNS
CNS
CNS
16
CNS
MIE
36N
19N
1s
31
6OE
60E
CNS
CNS
CIS
CNS
CNS
the striae of the curved faiIure surface will be disposed along the EW vertical movement plane
which coincides with the crllm plane rebed to a
planar stress. If we consider the presence of a
subvertical lateral transfer fault or lateral ramp
which will behave as a strike slip fault. the combination of the fault plane-striae solutions, turns out
into an inclined alla3 plane which would be dw
incompatible with the tectonic global stress for a
gravitational or inverse fault model where one of
the principal stresses is expected to be vertically
oriented (respectively or or 03).
The INVD solution finds expression in Table 4.
As may be seen the lowest angleshtween striae
and calculated shear are relatad ofaults nr. 4 to 6
and the lateral ramp fault nr. 15 with an angle of
plunge for the striae of 4U0.This would be relatively
compatible, however the final results are again
contradictory in geological terms.
CNS
CND
CNS
CNS
CNS
CNS
CNS
ms
CNS
CNS
CNS
CNS
21
lateral ramp
In this more simple case without a lateral ramp
effect, the prasence of the curved dipping fault
2*2*2-
Table 2. Angelier's 1989, W D MGthod Saiutions for the Rotational Fault MdeI. SIGMA I; DIP DIRECTION= 279: D m 34.
SIGMA 2; DIP DXRECTION= 169; D m 28. SIGMA 3; DIP DIRECTION= 48;DIP= 43. PHI = 0,57.
MEASURE SIGMA
SIGMAN
TAU
RO
UPSILON
smA~
SIG~N
2,s 1
2,7 1
0,76
033
0.62
0,28
16
44
2,8 1
2,7 1
0.76
0,29
0,33
Oy28
16
22
2,81
2,7 1
0,76
0,22
0.26
028
16
17
2.8 1
2,71
0.76
0,03
0.11
0,28
16
2,81
27 1
0,78
0,12
0,16
038
16
2,81
2,7 1
0,76
034
0,38
028
16
2,8 1
2.71
0.76
0,SS
065
0,28
16
26
46
Legend: SIGMA - resulhnt ski%% SIGMAN - uonnai s m s ;TAU shtar stress; RMU, RO and UPSILON - we text: SIGAM- angle
I normal
~ and rcsulmt; STWT - angle bmeen striac and shear stress on the fault p h e .
Table 4 Angelier's M V D Solutions for Listric Fault with a lateral ramp. SIGMA 1 DIP DIRECTION = 13. P= 68.SIGMA 2 DIP DIRECTION= 206. P= 21. SIGMA 3 DIP DIRECTION = 114. P = 4.
PHI= -53.
PLANE
SIGMA
SIGMAN
TAU
RO
UPSILON RMU
SIGAN
STRAT
42.
w.
18.
7.
1.
7.
IS.
28.
52.
87.
94.
39.
29.
19.
1.
11.
21.
3 1.
36.
35.
40.
The Use of the Fault Striation Analysis Mtthod in EnanteringGtology to Determine In Situ Stress Axes
01
ShSS
ellipsoid
stress
ellipsoid
Planes +
Dihedra
Striae
3. Example Areas
3.1. The A p dam slide
A relatively clear and weII-describedsub circular slide of the A p earthfill dam failure in De Mello
(1982). Here it is chosen since we had the opponunity to study it closely and the data &hindfit
reasonably we11 in the model of a controlled listric
failure.
It was a construction period rupture that involved a 40 m high dam. which failed just before
5 m of reaching its design crest. An eyewitness
solos e U,
S& Paulo. Zi. (2): 79-92.Maia-Agosm. 20M.
Horizontal shear
Translation 25 rn
I00 m south
SlidP
rotation
75 m south
@,
Shear layers
Lifted
surfaws
Aqu d a m failure
Figura 4 Acu Dam slide and respective stereonets showing the poles of tht rob@ layers and the shear s u r f a m to illustmte
rotational component in a planar strain regime. Thc poles of the shear and reference sutfaccs arc contained inside the NS movc
plane.
Method). The movement planes show a planar deformation with rotation of the blocks around the
Y-axis. The profile of the rupture could also be
compared with that of a detachment fault along a
weak surface (similar to the Basin and Range geologic extension zone described in Wernicke and
Burchfiel, 1982).
The quantitative treatment of the data using the
conventional stress determination procedure obtained relatively inclined P -Taxes (but not vertical
and horizontal) situated in the expected vertical
plane.
32. The natural slnpe failure site
3.2.I. Geometry
This model showed planar and curvilinear failure surfaces affecting brittle as also ductile deformations in saproIite of banded gneisses.
The area is located along the margin next to a
construction site of one of the Dam facilities in
Brazil, on deeply weathered Precambrian gnaisses
with biotitic micaceous layers dipping slightly into
the slope,
The landslide, which locally endangered a railway, had to be careFulIy monitored by surface geodesy. The slip surfaces were clearly exposed on
the slope face, void of vegetation On the top of the
The Use of the Fault Striation Analysis Method in Enginkng Gwlogy to Determine In Siru S W s A m
~pr.PassivcZone
< Layering
SP @ Spl horings
IF
I nvrsliplion pils
>
@
la:
ili~p~awm~n~
vcctorslplungc
Planes- strim
I Mohr
Figura 5. Laterally constrained circular slide . Large arrows represent the horizontal projcnion of the d i s l d i o n vectors of markers
M. with the ma[ dislocation in parenthesis, a small arrow (IPE)shows the dipldipdirectionof striae on he slide plane measured about
19 m below the surface.The stide mass was subdivided in dominantly extensional and compressional domnins.Below are dimcnsionlcss
3D Mohr circlescalculated and the position ofthe plumes mainly on the major circle what reveals that these fractures arenot preexisting
weakness planes with exception of those ( 5 and 7)coinciding with the biolite layers. On the lower right is the tensorial solution for the
planes chosen.
Sadowski
3.3. Kinematics
Figure 5 shows the slide area with the magnitude, dip and dip direction of the dislocation vectors
of the reference markers, the stereogram of the
slickenside surfaces and striae and the solution of
CNS 90
12
CNS 90
89
CNS 90
CID
110
CIS
160
CID
140
IOW 45s
185
42N
200
IS
201
CNS 160
CIS
22
CNS 50
CNS 135
II
20E
32E
89N
60E
89W 95
89N 223
60
TabIe 6. Angelier's INVD Solutions for the Landslide. SIGMA 1 058/57. SIGMA 2 280126. SIGMA 3
18W19.RAPPORT f = .90.
PLANE
I
SIGMA
SIGMAN
TAU
RO
UPSILON
SIGAN
.84
.I5
-83
.08
-09
9.
Average
SIGMA = .85: SIGMAN = -0.7:T A U z.54: RO = .22; UPSILON = .73;SIGnN = 46.: STKhT= 43.
STRAT
The Use of the Fault Striation Analysis Method in Engineering Geplogy to Ilefennine In Situ S t m s Axes
4. Conclusions
The results of the simple tesrs made indicate that
regional stress axes orientations obtained by conventional fault & striae analysis may give yield
incoherent results although very elegant at a first
glance. To be of some value the data have to be
carefully evaluated: deformations should be similar
in modulus and fractures should work independently.
The data should be related to shear joints and
not to fault planeswith Iarge dislocations in relation
to the neighboring failures.
Block rotations wilI induce false interpretations.
Superposed tectonics with change of e stress
distributions will complicate even more the interpretations.
Also lwal "shaIlow"stressesmay be controlled
by topography, stressrelief and excavationsor local
landslide phenomena and sometimes induce small
adjustments along pmxicisting fractures.
In the kinematics of the studied landslides certain coherence was found with the theoretical approaches of the slip x rupture plane rnethds for
what concernsthe initial brittle deformations. However during subsequent deformation increments
and block rotations the data develop into complex
patterns.Exceptions art planar failure modes where
the movement planes tend to lie statistically inside
the main principal plane.
What concerns the tectonic rotational and subcircular (listric) failure models, the results may be
misleading if not geographically constricted. It
means that in this case deformation is not linear
being too heterogeneous to allow its representation
by an unique tensor or stress, or strain ellipsoid.
Before taking the fault-striation analysis into
consideration, specially, in what concerns its use in
engineering design, it has to be reminded that even
accurately (!) obtained stress axes orientations may
be related to tectonic states of stress of a far remote
geological past.
We conclude that these methods should be used
with much caution in Geological Engineering.
Acknowledgements
References
ANDERSON, E.M. (1951). The Dynamics of
Faulting and Dyke Formation with application
to Britain. z ~ B Edinburgh,
~.,
Oliver and Boyd,
206 p.
ANGELIER,J. (1975a). Sur urn apport de l'informatique 21 I'analyse structurale: exemplo de la
tectonique cassante. Ver. Gehgr. Phys. Dinamique, v. 17, n. 2, p. 137-146.
ANGELIER, 1. (I975b). Sur I'analyse des &splacements dus au jeu d'une population de
failles. Exemples en C*te ( M e ) . C.R. Acad,
Sci. Paris, Ser. D.,280, p. 1657-1668.
ANGELIER,J. (1984). Tectonic Analysis of Fault
Slip Data Sets. Jonm. of Geopbys. Research,
v. 89. n. 87, p. 5835-5848.
ANGELIER, J. (19921, Urn element nouveau dans
la determination d& &tats de contraintes en
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ANGELIER, J.; MECHLER, P. (1977). Sur une
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droits. lull. Smz G h L France, (71, XIX, p.
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CAREY,E.;BRUNIER, B. (1974). Analyse t b r i que et num6rique d'un mod&lemecanique elementaire appliqut a I'etude d'une population de
failIes.C.R. Acad. Sci. Paris, Skr. D,279,p.89 1-
894.
DE CXZANCOURT, H . (1947). Quelques
probl2mes de tectonique gdorndtrique. Ver.
I.F.P. Nr. 1 :3-154.
DE MELLO, V.F.B. (1982). A case bistory of
major construction dam failure. Special Volume of Tribute to Prof. Dr.De Beer, p. 63-78.
ETCHECOPAR, A.; VASSEUR, G.; DAIGNIEEIES, M. (1981). An inverse problem in
microtectonics fot the determination of stress
lensors from fault striation analysis. J. Struct.
G e ~ l . V., 3, p. 51-65.
GAUTHIER, B.;ANGELIER, 1. (1985). Fault Tectonics and Deformation: a Method of Quantification Using Field Data. Earth and PIanehry
Sci btters, 74, I37 - 148.
GEPHART, J.W. (1990). Stress and the direction
of slip on fault planes. Tectonics, v. 9. n. 4, p.
845 -858.
215 p.
12.205-12.222.
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Discuss6es ate 3 111WMd