'OURNALOF GEOPHYSICALRESEARCH VOLUME 67, NO.

11 OCTOSER1962

Long-Wave Elastic Anisotropy Producedby Horizontal Layering

Go6z E. BACKUS

Institute of Geophysicsand Departmentof Earth Sciences

Universityof California, La Jolla

Abstract. A horizontally layered inhomogeneous medium, isotropicor transverselyisotropic,is

considered,whosepropertiesare constantor nearly so when averagedover somevertical height l'.
For waveslonger than l' the medium is shownto behavelike a homogeneous,or nearly homogene-
ous, transverselyisotropicmedium whosedensity is the averagedensity and whoseelastic coeffi-
cientsare algebraiccombinationsof averagesof algebraiccombinationsof the elasticcoeffcients
of the original medium. The nearly homogeneousmedium is said to be 'long-wave equivalent'
to the original medium. Conditions on the five elastic coeffcients of a homogeneoustransversely
isotropicmediumare derivedwhich are necessaryand sufficientfor the mediumto be 'long-wave
equivalent'to a horizontallylayeredisotropicmedium. Further conditionsare alsoderived which
are necessaryand suffcient for the homogeneous medium to be 'long-waveequivalent' to a hori-
zontally layered isotropic medium consistingof only two different homogeneousisotropic ma-
terials. Except in singular cases,if the latter two-layered medium exists at all, its proportions
and elastic coefficientsare uniquely determinedby the elastic coefficientsof the homogeneous
transverselyisotropic medium. The observedvariations in crustal P-wave velocity with depth,
obtainedfrom well logs,are shownto be large enoughto explainsomeof the observedcrustal
anisotropiesas due to layering of isotropicmaterial.

1. INTRODUCTION The followingquestionis alsoexamined:Given

It is our purpose in the present paper to the five elastic coefficients of a stable HTI
discussthe propagationof long seismicwavesin medium, is there a layered isotropic medium
a finely layered, horizontally stratified, trans- which has these five elastic constants when it
versely isotropic, elastic medium whose axis ofreacts, as a transverselyisotropic medium, to
symmetryis vertical.By 'longwa-es'and 'fine long waves?The geophysicalquestionat issue
layering'wemeanthe following:wepick a length here is whetherthe apparentanisotropies in the
l long enoughso that the elasticpropertiesof earth's crust, observedby seismicprospecting
the mediumvary appreciablyover a length l. with long waves [Uhrig and Van Melle, 1955],
We then consideronly seismicwavesin which may be due to a fine horizontal layering of
the distancek% over which the displacementsdifferent isotropic rocks. The result of the
changeby an appreciablefractionof their values, theoretical investigationis that there are stable
is much larger than 1t. We showthat the varia- HTI materialswhich cannotbe modeledby any
tions in the medium which have vertical scales stack of stableisotropiclayers.Any stable HTI
less than l can be averagedout, so that the material which can be modeledfor long waves
medium can be replacedby an equivalentbut by a stable, isotropic,layered medium can be
lesswildly varyingmedium,at leastin discussing modeled by a stack of isotropic stable, homo-
waves for which kl 1. geneous (ISH) layers of just three different
In particular, we show that a horizontally types. There are stacksof ISH layers of three
stratified, continuouslyor discretely varying, types which cannotbe modeledby any stack of
isotropicmedium whoseLam parametersand two different types of ISH material. Finally, if
densityhaveposition-independent averagesover a stable HTI material can be modeled for long
any vertical distance 1 behaves like a homo- waves by a stack of two ISH materials, then,
geneous transversely isotropic (HTI) medium except in singular cases, the proportions and
with a vertical symmetry axis whose elastic properties of the two materials are uniquely
coefficientscan be calculated explicitly as determinedby the transverselyisotropicmaterial
algebraiccombinationsof averagesof algebraic they model.
combinationsof the Lam. parametersof the This last result will be of some interest if it
originalmediumand whosedensityis the average should develop that the secondlayer under the
density of the original medium. oceansconsistsof a relatively uniform isotrvpic
4427
 4428 GEORGE E. BACKUS

sedimentpenetratedby occasional isotropic can take morethan two values.Postmagave

volcanicsills. The measurement of any five someinequalities whichmustbe satisfiedby the
independent propagationvelocitiesin the second fiveelasticcoefficients of a transverselyisotropic
layerwouldthendeterminethe proportions and mediumif it is long-waveequivalentto a PITL
properties of the sills and the sediment to within medium.Theseinequalities are not exhaustive,
an unknownscalefactorfor density. however;their satisfaction by a transversely
The other applicationof the aboveresultsis isotropicmedium doesnot ensurethat it can be
to the propagation of long surfaceand body modeled by a PITL medium,or, for that matter,
waves in crustal rock. It is concludedthat some by a stratifiedisotropicmedium.
of the anisotropies
observedin the crustcan be White and Angona[1955] calculatedthe hori-
explained
by vertical
variations
in isotropic
zontalandverticalpropagation
velocities
of long
properties aslargeasthoseobserved in welllogs. compression andshearwavesin a PITL medium,
thus generalizingRiznichenko'sresult. Their
2. SUMMARYOr PREVIOUSWORK paper is not equivalentto Postma's,as their
The problemof elasticwavepropagation in conclusion(that thefivevelocitiestheycalculated
finelylayeredmediahasbeentreatedby a num- determine the five elastic constants of the
ber of authors,all of whomexceptThomsonlong-waveequivalentHTI medium)is incorrect.
[1950],Helbig[1958],and Anderson [1961]have The errorwascorrected by Rytov[1956].
restricted themselves to what we shall call Rytov completelyand definitelysolvedthe
periodic,isotropic, two-layered(PITL) medium: problemof the propagation of planewavesin a
a medium periodicin the vertical directionand PITL medium. He used Floquet's[1883]theorem,
consisting of alternatingisotropiclayersof thick- and hencehis methodis applicableto any
nesses h, h,.,havingconstantLam parameters mediumwhosepropertiesvary periodicallyin
X,, tz,,and X,.,z,.,andconstant densities the verticaldirection.By examining the limiting
Riznichenko [1949]calculated,for long com- case of small wave number k, he showed that
pression waves,the velocities of propagation in the fractionalerror introducedby the other
the verticalandhorizontal directions, treating authors'long-wavelength approximation is of the
the mediumas if it werelocallystaticin order orderof (kh)*-,h beingthe vertical distanceover
to get average stress-strainrelations. whichthe properties of the mediumare periodic.
Thomson[1950]gave the formal solutionfor (The presentauthorhasseenonlyBrekhovskikh's
waves of arbitrary wavelengthin a medium [1960]descriptionof Rytov's work.)
consistingof any number of different homo- Helbig [1958] expressedPostma'sformulas as
geneous
isotropiclayers;he foundthe displace- averages and generalized them to the multi-
at any interfaceby layeredcase,but did not considerthe possibility
mentsand verticalstresses
multiplying the surface displacementsand that the layers were intrinsicallyanisotropic.
stresses matrices,He gave some inequalities on Postma's elastic
by a productof propagator
one matrix for each layer betweenthe interface coefficientsbased on the hypothesisthat the
and the surface.This techniquehas lent itself Lam6 parameter k be positive. This is not a
well to numericalcalculationof dispersionstability condition,and Helbig did not try to
relations[Haskell,1953],but is rather cumber- justify it. His inequalities,like Postma's,were
somefor our purposes. At any rate, no onehas not exhaustive.(The authorlearnedof IIelbig's
takenthe limit of the matrixproductsfor small work from D. Anderson.)
wavenumber,a procedure whichoughtto yield Anderson [1961] has generalized Haskell's
the resultsof the presentpaper,but whichwe method to anisotropiclayered media, but has
shall not use. not examinedthe long-wavelimit.
Postma[1955]gave explicitformulasfor the Despite the completenesswith which the
five elasticcoefficients
of the HTI mediumwhich problem of the PITL mediumhas been solved,
is long-waveequivalentto any PITL medium. the presentauthor feelsthat at least two gaps
The resultsare very complicated and are not
remain in our knowledgeof long wavesin finely
expressed as averages;thereforethey do not
layered media, and he proposesto try to fill
suggesta generalizationto nonperiodicmediaor
them in the followingdiscussion.
The first is the
mediain whichtheLam6parameters
anddensity questionof how to treat mediacontaininglayers
 LONG-WAVE ELASTIC ANISTROPY 4429

of three or more kinds of rock when there is no

verticalperiodicityof properties(and, inciden-
tally, when the separatelayersmay be intrin-
sicallyanisotropic).
The otheris the questionof
which HTI media can be modeledby stacking
layersof isotropicmedia.

3. THE AVERAGING TECHNIQUE (4)

Let x, x, x3 be the position.coordinates in
a cartesiancoordinatesystem.Let s, s, s3 be
the cartesiancomponents of displacementof an
elasticmediumwhosepropertiesare independent
of x and x but may vary with x. Let w(x) be
any continuous weightingfunctionthat averages
over a length l'. That is, let w(x) have these
properties:
Of the six elasticparametersa, b, c, ),l, and m,
w() > 0 w(+ only five are independent,since
a = b 4- 2m (5)
The elastic coefficient l should not be confused

f = la with the length l'.

Consider an infinite horizontal slab of vertical
Then, if (xa) is any function, thicknessU>> l', consistingof discretehorizontal
layerssothin that whenaveragedover a vertical
(1) distancel' all propertiesof the slab are nearly
independentof x. All propertiesof the slab are
is the averageof ! over a distanceroughly assumedindependentof x and x. If the slab is
aroundthe positionxa.This is a movingaverage; subjectedon its top and bottom to the same
that is, it dependson x3. Effectively,()(x3)is static stressesT, T, and T, independentof
f(xa) with thosewavelengths removedwhichare x and x, then throughout the deformed slab
lessthan l'. The functionaldependence
of T3, T, and T will be constant.Furthermore,
on xa will not usually be shownexplicitly; the s, s, and s will be continuousand will vary
averagewill be writtensimply linearly in each layer with x3 derivativeswhich
If ! is function
of x,x andx, then vary widely from layer to layer: however,there
will be constants N, N, and N, such that
[s,(=.) - N, x,I << L' IN, I. Thus T,s,
-- (]) i -- 1,2,3 (2) Os/Ox,and Os/Oxall vary very slowlyor not
The first two of these formulasare obvious,and at all in the slab. On the other hand, Tn, T2,
the third followson integrating (1) by parts for T, Os/Ox3,Os/Oxa,and Os3/Oxa
all vary by
(ai/ax). large fractions from layer to layer in' the slab
The only approximationthat we make in the becauseof the different elasticpropertiesof the
presentpaperis the following:if )(x3)is nearly layers.
constant when x3 changesby no more than l', Since any continuouslyvariable medium can
while g(x) may vary by a large fraction over be approximatedarbitrarily closelyby discretely
this distance,then, approximately, layered media, in a continuouslyvariable slab
subjectedto constantstatic surfacestresses,T,
(!g) -- ](g) (3) Ta, and Ta3will be constant,and the values of
Now supposethat for each xa the medium is Os/Ox,and Os/Oxwill be smoothlyvarying
transversely isotropic with a vertical axis of functions of x: on which are superposedvery
symmetry.Then [Stoneley, 1949]the stress-strain smallwiggles, whileT,, T:, T::, Os,/Ox:,OsffOx,
relations in the medium can be written andOs:/Oxwill vary widelyand rapidlywith x.
 4430 GEORGE E. BACKUS

Finally,if the stresses

T,,, T,, and T, vary derivatives
by formula2, weobtainfrom (6)
only slightly in a horizontalor vertical distance
l', as in an elastic wave with wave number
k << l'% the aboveremarksremainapproxi-
matelytrue.Thisobservation
amounts
to stating
that in an elastic wave of wave number k the
stressesinside a piece of the medium whose
diameter is much lessthan k- can be calculated
fromthe stresses on the surfaceof the pieceas Oxs
if it were in staticequilibrium.This point has
alreadybeen made by Riznichenko [1949]and
Postma [1955].
The mannerin whichthe small-scale large-
amplitudevariationsin Tn, T,, T,,, Os/Ox,,
Os,/Ox,,andOss/Ox,,areproduced by the small-
scalelarge-amplitude
variationsin the properties
of the mediumcan be exhibitedexplicitlyby
solving(4) for thesesix rapidly varyingstress
and displabementfield variables.The result is

Os, 1
-- Wls
Oxs !
Os2 1
--
Oxa 1

If equations
7 are solvedfor the averaged
Oxs
- c - XOx
Oxd stress, we obtainrelationsbetweenaveraged
stresses
andthestrainscalculatedfromaveraged
displacements'
T a -- Ox
c

Ox

All the field variableson the right in (6) vary

slowly with x,. The rapid variationswith x, of (8)
the fieldvariableson the left are produced
by
the rapid variationsof the elasticcoefficients.
The advantageof writing the stress-strain
relations
in theformof (6) isthat theseequations
containno productsof a rapidly varying field
variableanda rapidlyvaryingelasticparameter.
Thus when equations6 are averagedover a
verticaldistancel' by meansof the weighting
functionw, formula 3 can be applied to the
averageson the right. Computingaveragesof
 LONG-WAVE ELASTIC ANISTROPY 4431

The effective elastic coefficientsin equations 8 In usingequations8 it shouldbe recalledthat

are the values(but not necessarily
the derivatives)
of T.8,T,8,T., s.,s,, s,as,lax,,andas,lax,are
A = (a -- fc-') -+- approximately
the sameastheir averages'
B = (b- l'c-') -+- T,, = =

a,- ax,
ax, a (s,) ax
as,- a
F=
We still mustexane the equationsof motion
L = (r'>-'
of the layeredmedium.Neglectinggraty, we
M = obtain

A number of remarks are in order about these

relations(9) betweenaveragestresses and aver-
O's, OT,
POt --
i (10)
agestrains.First, note that a -- b - 2m and
therefore A -- B q- 2M. Consequently,the If we averageboth sidesof theseequatio over
averagedstress-strainrelations(8) are thoseof the veical distance l', using the weighting
an elastic transversely isotropic solid with functionw, we obtain
verticalaxisof symmetry.This new solidwill be
saidto be 'long-waveequivalent'to the original, a' a <T,,) (11)
morestronglylayeredsolid.The elasticconstants
of thenew,morenearlyhomogeneous solidwhich Here formulas 2 and 3 have been appSed.
is long-waveequivalentto the old, morestrongly thusdevelops that for wavesmuchlongerthan
inhomogeneous solidare not simplyaveragesof l' the equations
of motion(11) and the stress-
the corresponding elasticconstantsin the more strainrelations
(8) for theaverage
stresses
and
inhomogeneous solid,exceptthat M -- (m). displacements are preciselythoseof a trans-
Alsonote that if a, b, c, 1',l, and m are all con- verselyisotropicmediumwith verticalaxis of
stant,then, as expected,A = a, B -- b, C -- c, smetry, whoseelasticparameters(9) are
F -- ], L -- l, and M -- re;the newmorenearly smootherthan thoseof the originalmedium,all
homogeneous solidis identicalwith the original vaHatio on veical scalesof l' or less hang
one. been removed from the elastic parameters.
In casea = a0 q- $a, b-- b0q- $b, etc., To findhowthe realmedium
moves
in the
where[$a/ao]<< 1, [lib/bo[
<< 1, etc., <ia)= presence of wavesth wavelengths muchlonger
($b) ..... 0, and a0, bo, ... are constant, than l', we solve(9) and (11) for the eqvalent
expressions
9 can be simplifiedby neglectingall smoothedmeum, thus obtaing the averaged
but the lowest-orderterms in $a, $b, .... The stress<T,i>anddisplacements
<s,>.
Theactual
result is stresses
T,, T,, and T andthe actualdisplace-
mentsare the sameas their averages,to witch
our accuracy,wle the valuesof T,,, T,,,
Co
8s,/8x,8s,/8x,and8s/8xcanbe foundfrom
(6), thefieldvariables
onthefightbeingraplaced
o by their averages.
AsStocky [19] hasshown,in a HTI medium
thesquareof thevelocityof veical propagation
is c/p for compression
wavesandI/p for shear
waves. The velocity of horizontalpropagation
is a/p for compression
waves,l/p for SV waves,
andm/p forSH waves.Fromthe aboveremarks,
we concludethat, in a layered traversely
L= isotropicmediumin wch A, B, C, F, L, M,
and<p)am co,rant, the corresponding
velocities
M m0 for wavesmuchlongerthan l' shouldbe
4432 GEORGE E. BACKUS

for vertical P velocity, L/(p) for vertical S medium.The result, whichcanbe shownto agree
velocity,A/(p) for horizontalP velocity, with Postma's[1955]resultwhenthe real medium
for horizontalSV, andM/(p) for horizontalSH. is periodicand two-layered,is
The elastic constantF doesnot appear among
these velocities, a point overlookedby White
and Angona, which prevents the use of these
velocitiesin determiningall the elastic constants
of the medium.
The long-wavelengthpart of the impulse
responseof a layered medium having constant
average propertiesought to be the long-wave- B= +
length part of Kraut's [1962] calculatedimpulse
responseof a IITI medium, the appropriate
elasticcoefficients
beinggivenby (9). The limita-
tion to long waveshas the followingeffect. At a
surface detector, the first arrival travels with
speed(a/p)' in most real HTI media. In a
layeredisotropicmedium,(A/(p))'- is slower
than the speedsof compressionwaves in some
of the layers, so that the first arrival is earlier
than the abovetheory would indicate. However,
if the receiver is a low-passfilter which 'sees'
only waveslongerthan l t, the head wavescarried
by the fast layerswill presumablydie out rapidly =
with distance from the source (we have not These expressio are algebraiccombinations
examined this question), and the first large of averagesof algebraiccombinationsof k and .
arrival will comein with velocity(A/(o))'- if Most of the algebracan be eminatedfrom the
the separationof sourceand receiver is several relation between the elastic parametersof the
times I t.
real isotropicmediumand the STIL medium
Comparisonof (9) and (11) indicatesthat in by deng new elastic parametersin the two
the averaging processwhich converts a finely media. In the real isotropicmeum we shall use
layered,highly variablemediumto a smoothed, the elasticparameters and , where
transversely isotropic, long-wave equivalent
(STILWE) medium,the averagingwhich occurs
in the equationsof motionis quite simple,while : + (1-- ) (14)
the averagingin the stress-strainrelationsis not.
The remainder of the present paper is devoted a being Poisson's ratio. The dimensionless
to an algebraic discussionof the stress-strain parameter is the squareof the ratio of shear
averageswhen the highly variable real medium velocityto compressional
velocity.en a = ,
is locally isotropic.The goal of this discussion is a commonvalue amongreal materials, = .
to find how far apparent anisotropy in the The range of and for wch the mediumis
stable is
earth's crust can be due to a layering of isotropic
media.
(15)
4. LOCALLY ISOTROPIC LAYERED MEDIA In the STILWE medium we shall use the
In an isotropic medium, equations4 become elasticparametersL, M, R, S, and T, where
the Lam relations. If k and are the Lam R=
parameters,
s = + sc)
a=c=k+2a b--]--k l= m=z (12)
=
These expressions
can be substitutedinto (9) to
obtain the elastic coefficients of the STILWE The elastic coecients A, B, C, F, L, and M
 LONG-WAVE ELASTIC ANISTROPY 4433

are given in terms of L, M, R, S, and T by the The matrix (19) with a - b 2m is positive
formu'.asinverseto (16) semidefiniteif and only if all its principal minors
are non-negative. It is sufficient for positive
A = B-{- 2M
definitenessthat all the upper left principal
minors be positive. That this result.cannot be
B= 2M- 4Sq-R-'(1
-- 2T)
(17) extended to positive semidefiniteness is shown
C= R-' by the matrix
F- R-'(1- 2T)
In terms of the new elastic parametersthe
relations(9) betweenthe real isotropicmedium The resultingconditionsare
and the long-waveequivalent, transverselyiso-
tropic medium are simply l_ 0 m_ 0 bc m_ 0

L-- <l/tz> c >_0 (b--}- m)c>_ I' (20)

There are somefurther inequalitieswhich, being
consequences of (20), can be omitted.
R = (0/la) ' (18) Parentheticallywe remark that if b(x,), (,),
/'(,), /(,), and m(x,) satisfy all of conditions
20 and i/ a(x,) = b(x,) q- 2m(x,), then the
= coefficientsA, B, C, F, L, and M defined by
(9) also satisfy all of conditions20. The proof is
The questionwe proposeto consideris this: straightforward and will be omitted. It follows
Given elastic coefficientsL, M, R, $, and T for that if the real medium is stable, so is the
a stabletITI medi m, is there a stable,isotropic, fictitiousSTILWE mdium. Postma[1955] con-
horizontallylayered medium which is long-wave structed a PITL medium, both of whoselayers
equivalent to the homogeneousmedium? That are stable and whose STILWE medium violates
is, are there unctionstz(z,) and 0(,), satisfying one of the inequalities which Postma quoted
the stability ondition(115)or more stringent Rudski [1911]as sayingmustbe satisfiedby the
restrictions, which are related by (18) to the elastic coefficientsof a transversely isotropic
elastic coefficientsothe given IITI medium? medium. In fact, Rudski said only that his
inequalities are usually satisfiedby real aniso-
5. CONDITIONS FOR STABILITY AND ISOTROPY tropic materials.His inequalitiesinclude,besides
To discussthe questioniust raised, we must the stability conditions (20), the further in-
know the conditions on the elastic coefficients equaltriesa >_ l, >_ l, and c >_ m; it is the
whichensurestability (that is, that no deforma- third of theselatter inequalitieswhichPostma's
tion havenegativeinternalenergy).The stability exampleviolates.
For the STILWE medium it will be convenient
conditions(15) for an isotropicmedium are well
known. A necessaryand sufiqcientconditionfor to have the stability conditions(20) on B, C,
the stability of the transverselyisotropicmedium F, L, and M rewritten in terms of L, M, R, ,
and T. The result is
whose stress-strainrelation is (4) is that the
followingmatrix be positivesemidefinite: M>0 ]M> S
ablOO0 Having noted the stability conditionsfor a
transversely isotropic medium, we now seek
b a ! 0 0 0 conditions on the elastic coefficients that are

! ! c 0 0 0 necessaryand sufficient for isotropy of the

(9) medium. From (12) these conditionsare clearly
0 0 0 1 0 0
b= I l= m a=c= b+2m (22)

0 0 0 0 10
0 0 m0 0 0
A smoothedequivalent medium will appear to
be isotropic for long waves, even though it is
 4434 GEORGE E. BACKUS

layered,if its effectiveelasticcoefficients

A, B, 7. THE CASE OF CONSTANTPOISSONRATIO
C, F, L, and M satisfy (22). In terms of the
Somewhatmoreinterestingphysicallyis the
elastic coefficientsL, M, R, S, and T, these followingquestion'Whenis a stableHTI medium
conditionsfor isotroPyare
long-waveequivalentto a finelylayeredisotropic
L = M S = MT T= MR (23) medium with constant 0 and variable zz?
If L, M, R, S, and T are the elasticcoefficients
For reasonswhichWill appearlater, we preferto
of a homogeneous mediumwhich is long-Wave
write theseequations
in the followingequivalent equivalentto a stable,layered,isotropicmedium
but more complicatedform'
with constant0, then, by equations18,
RL = T $ = TM

T = RS (24) 0_ T_ L_ M (25)
(-- )= (--- )(-- S) The first three of equations25 are trivial conse-
quencesof (15) and (18). The fourth, L _ M,
Our task now is to see which stable HTI is proved as follows'
mediaare long-waveequivalentto somestable,
layered, isotropicmedium, or to a particular I = <1>
= <-/z/>

kind of such medium. < =
6. THE CASE OF CONSTANT RIGIDITY The inequality in the above chain is Schwarz's
inequality.
We ask first what conditions beside the
Conversely,we assertthat if L, M, R, $, and
stability conditions(21) are necessary
and suffi-
T satisfy(21) and (25) they are the elasticcoeffi-
cient to insurethat L, M, R, S, and T are the
cients of a HTI medium which is long-wave
elastic coefficientsof a HTI medium whic is
equivalentto a stable,layered,isotropicmedium
long-waveequivalent to a stable, isotropic, with constant0. Obviouslywe musttake 0 -- T.
layeredmediumwith constantrigidity?
Suppose wecanfinda (xs) suchthat(z-x> = L-
On the onehand,if L, M, R, S, and T are the
and() -- M. Then,by (25)andthe constancy
averaged coefficientsof an isotropic layered
of 0, R - (0/z)andS - (0). The existence of
mediumwith constantc, we have, from (18), the requiredz(x0 is shownby
L = M = ()= I, T = (0), R = M-xT, and Lemma1. There is a functionz_ 0 suchthat
S = M T. But theseare exactly the conditions
(23) ensuringthat the long-waveequivalent,
homogeneous mediumbe isotropic.
Conversbly,if the homogeneous medium is if and only if0_< L_ o, 0_< M_ ,and
L<M.
stable and isotropic,it is equivalentto a stable
isotropicmediumwith constantzand 0, namely Proo]. That L = (-x>-xandM = <g>imply
=M,O=T. L _ M wasprovedfrom Schwarz's
inequality
Parentheticallywe remark that inequalities in proving(25). It remainsto provethe converse.
28, 29, and 30 showthat if any one of the three If L or M is 0 or o, or if L = M, the problem
isotropy conditions (24) is satisfied by the is trivial, and so we assume 0 < L < oo
smoothedmedium,and if the originallayered 0 < M < oo,and L < M. We considera layered
isotropicmediumhas 0 0 -, then that isotropicmedium of which a fraction px, dis-
isotropicmediummust have constant#. tributed no matter how, has constantrigidity
To summarize,if a layeredisotropicmedium ua > 0 while the remainingfraction p,. has
hasconstant/z, theSTILWE mediumisisotropic. constantrigidityzz,.> g. We hopeto find p, p,.,
This much was proved by Postma [1955] for g, andg,.suchthat pxq- p,.= 1, p#q- p,.zz,. = M,
periodic two-layered media. Conversely,if a and pz- - p2,.- - L-x. Assume for the
transverselyisotropicmediumis isotropic,it can momentthat zandz,.are known,and solvethe
be the smoothedmedium equivalent to an first two equationsfor p and p. The result is
isotropiclayeredmediumwith constant, but it
cannot be the smoothedmedium equivalentto 2-- M M
Px = p2 =
any layered isotropic medium with variable /z.
 LONG-WAVE ELASTIC ANISTROPY 4435

To satisfythe conditionsof the problemwe 0 M o, andL M thena functionof the

musthave p _ 0 and.p, _ O; therefore0 < requiredkind existshasalreadybeengivenin
_< M _< ,. Also, pm- q- p/Zz -1 -- L-; provinglemma1. To provethe converse, note
therefore u q- /z -- M = L - /z/z.We try that if M ----0 then/z - 0 almosteverywhere,
/z= M- X and/z = M q- X. We mustthen since/zis non-negative. But then 0 M < o.
have 0 < X < M and M = L-(M -- X), or If L -- o then(/z-)- 0, sothat/z- -- 0 almost
X= M(M-- L)= M -- ML. ThusL < Mis everywhere, and (#) -- o. Thus,0 < L < o.
preciselythe condition needed
to ensurethat X Finally,as may beverifiedby directcalculation,
is real and 0 X M. This concludes the
proof of lemma 1. thatbylemma
2withq
-- 1,((/z't,M-' t'-- 1)')<_
To summarize,
the abovearguments
showthat (M/L) -- 1. ThusL <_M. But, by hypothesis,
if a HTI medium is long-waveequivalentto a t is not constant.HenceL < M.
layeredisotropic mediumwith constant0, the Havingestablished lemmas2 and 3, we prove
elastic coefficientsof the former medium satisfy the first half of theorem1. That is, if/z and 0
conditions 21 and 25, and conversely. As canbe exist,inequalities (27) follow.The inequalities
seenfromsection6, it is not true in generalthat 0 < R < 3L-,/4,0 < S
the homogeneous mediumwhichis equivalentto are obvious from (18) and (26). To prove
a layeredisotropic mediumwithvariable0 must T' < RS, we note that
fail to satisfy (25).
((,/.T,/.
S-,/.- -,/..- o>
8. THE GENERXL CXSE
- (s- )/ (28)
Now we ask what are conditions on the elastic
Hence, by lemma 2,
coefficients
L, M, R, S, and T necessary
and
sufficient in order that there exist functions <O(''S -'-- )> (S- ')/ (2O)
/z(xs) (not constant)and (x8) satisfyingthe
Strict isotropicstability conditions Thus RS T', and, if RS -
( T S - -- 1): 0
0 0 -I
almosteverhere, contraryto the hypotheses
almosteverywhere and givingL, M, R, S, and that 0 and that not be constant.There-
T via (18). For simplicity,we do not consider fore,T RS. The inequality
the weakstabilityconditions(15). Our conclusion ( L- -- R)(] M -- S) is provedin silar
will be fason by obserng that
Theorem1. Such functions /(x) and (x)
exist if and only if '/V -- T)-'/

O R -L-' O S < -M - -

(27)
- (] - ?]/(-
({_ ). < (IL-, _ n)(_- S) whence,by lemma 2,
TheProof
issomewhat
invOlVed.
Firstweneed - - j T)- - ]
Lemma. Suppose
(x0 >_ 0 andq(x)>_ 0.
Then((- 1)') <_((- -')>. 5 [(I - -
Prooj.Let f = 1 q- g. Then -(I- )"]/(I- ) (ao)
= (g(1 ])/]> (g>= ((] 1)>.We
also need ally, we mus provehe secondhalf of
Lemma 3. ere is a nonconstant function heorem1, ha he inequafifies
(27) ensurehe
such
that0 < # < o,>< m,-,>< m, existence
of functions
tz (notconstant)
and 0
= L% and</>= M if andonlyif satisfyingconditions
(26),andrelated
to L, M,
L < o, 0 < M < m, andL < M. R, S, andT by (18).We consideran isotropic
Proof.The proofthat if 0 < L < o, layeredmedium consisting
of a fractionp in
4436 GEORGE E. BACKUS

which 0 takes the constant value 0, and a by longwavesin the field fail to satisfyinequali-
fraction p2 in which 0 is the larger constant ties 27, then it is certain that some intrinsic
0 > 0. We denotethe averageof z in the first anisotropy is present; no layered isotropic
fractionby (#) and its averagein the second medium can reproducethe observations.On the
fractionby (). We hen hopeto find p, p, other hand, if the field observationsdo satisfy
, , and (x) such that all of inequalities27, in principle it is possible
that the observed material may be a finely
p p = 1 p p0 = T layered isotropic material. The only way to
confirm or eliminate this possibility is to look
for a wavelengthdependenceof L, M, R, $, and
T at shorterwavelengths,or to obtain an actual
sampleof the material.
A purely algebraicconsequence of theorem1
is this' From lemma 3, in a homogeneous material
which is long-waveequivalent to an isotropic
Solving the first two of these equations for layered material of variable rigidity, L < M.
p and p, we have But inequalities27 imply that L, M, R, S, and T
- T T- are the elasticconstantsof sucha homogeneous
material. lienee inequalities27 must imply that
L < M. This can be shown directly, but it
The last four equationscan then be solved for involves some intricate algebra, which will be
omitted.
L, M, R, S, and T: Finally, on examiningthe proofsof lemma 1
and theorem1 we seethat we have provedmore
#_) --- R (_)
= 82L
82-- T
= RT---- L-O
8
than is stated in theorem 1' A stable HTI medium
whoseelasticconstantssatisfy inequalities27 is
long-wave equivalent to a stable, layered, iso-
tropic medium consistingof only four different
02- T T- O
kinds of material. Such a medium will be called
By lemma 3 we can find a positive function four-layered,meaning not that four layers are
which satisfiesthe four equationsgiven aboveif present but that layers of four materials are
and only if present.It can be shown, by an intricate argu-
ment whichwill not be reproducedhere,that in
(O:L-'--R)(OM-
S)> (0- T? (31) fact inequalities27 imply that L, M, R, S, and T
and can be reproducedby a three-layered, stable,
isotropic medium. Therefore, any stable IITI
> o,) medium which is long-wave equivalent to a
stable, layered, isotropic medium is long-wave
The problemis solvedif we can find a 0 and a
equivalent to a stable, three-layered,isotropic
0 satisfyingthe aboveinequalities(31) and such
that 0 < 0 < T < 0 < -. Inequalities27 medium.This, however,is the best we can do.
As we shall seein the next section,two-layered
and 0 < T < - ensurethat we can do so by
isotropicmaterials are essentiallylessgeneral.
taking 0t very dose to but greater than zero
and 0 very closeto but lessthan -. Theorem1 9. THE Two-LAYERED CASE
is thus proved.
A number of consequencesof theorem 1 are In this case,the only one consideredso far in
worth noting. First, and most important, in- the literature, we seek necessaryand sufficient
equalities27 are muchmorerestrictivethan the conditions that a stable HTI medium with
stability conditions(21). That is, there are many elasticconstantsL, M, R, S, and T be long-wave
stable IITI media which are not long-wave equivalent to a stable, isotropic, horizontally
equivalent to any layered, stable, isotropic layered medium containing only two different
medium. If the elastic coefficients of an ap- kinds of homogeneousisotropic material. A
isotropicmediumobserved fractionp of the mediumhas 0 = 0 and # - ,
parentlytransversely
 LONG-WAVE ELASTIC ANISTROPY 4437

anda fractionp, has 0 = 0, and = ,. The In caseRL T, (34) and (36) can be solved
constants,, ,, ,, and, satisfythe stability for ,, and
inequalities
(26).Vie mustthensolvethe equa- RLM- $ L(MT- $)
tions
, -]-2 = RL-- T ,l2= RL-- T
p, -{- p.= 1 p,, - p.02= T It followsthat , and#, are the two rootsof the
quadraticequation

(RL- T) -- (RLM -
p, -1 + p -1 = L-1 (32)
-{- L(MT- S) = 0 (37)
p,0, - p0 -' = R
The onlyproblems remaining in thissecondcase
Thesere six equations in six unknowns;
hence are whether the roots, and , of (37) are real,
we expectin generalto be ble to calculate p,, positive,anddifferentandwhensubstituted into
p,, 0,, 0,, ,, nd , fromfieldmeurements of (33) and (35) whetherthe rootsgive p > 0,
L, M, R, S, nd T. p > 0, 0 < 0 -,and0 0 -.To discuss
If ny oneof theequations L = M, RS = T', thesequestions we introducea third set of
or(L-'- R)(M- = ( -- T)' is stisfied, elasticparameters, M,/, , /,and',defined
thus:
we know from theorem 1 tht equations 32
can hve no solutionth , ,. If equations t] = LM-' = RM l = SM-' ' = T
32 hve solutiont 11, = ,; hence from We let r = /M and r = #,/M. Then (37)
ction 6, thelyeredmfil isisotropic
forlong becomes
wves,nd L M, RS = T', nd (L-' -- R) g(r) = 0 (38)
(M -- = ( -- T)'. TMsc hasedy
been discused in section6. In the reming whereg(r) = (l -- ') r' -- (l -- 7) r-]-
ca we my sume , < ,, nd L < M, /(' -- ,/), equations33 are
T, < RS, (- T)' < (]L-,- R)(]M- S). r2 -- 1 1 --r,
Momentarilytang g, and g, as known,we p, = P2= (39)
solvethe firsttwo of equations
32 for p, andp,'
and equations35 are
-- M M-
p, = P2= (33) , = r2- , 0.- '1 ---r,.Cr, (40)
r2 -- 1
Then, fromthe third of equations
32,
The valueof p,, p,, 8,, 8,, g,, and g, are accept-
, -]- 2 = M -{- L-',2 (34) ableif andonlyif 0 < r, < 1 < r,, r, < -' < r,,
andr, < (]- )(- ')-' < r. Therefore,we
We now solve the fourth and fifth of equations musthaveeitherg(0)> 0, g(1)< 0, g(l/')< O,
32 for , and g(3-- 47/3-- 4') < 0, andg(+ o) < 0, or
g(0)< 0,g(1)> 0,g(l/')> 0,g(3- 47/3- 4')
0,-- Tg.-
g.-- M
S 02- S- T#i (35)>
M--g,
0, andg(q- o) < 0. Thefirstsetof conditions
is

Substituting(33) and (35) into the last of ft('- v/) > 0 (1 -- ft)('- v/) > 0
equations
32 wehave
r> o .(}. > o
-]- 2 = ST- -]- RT-'ll2 (36)
- - - n - (-: - > o
Equations 34 and 36 can now be usedto The secondset is the same as that given with
determinethe rigiditiesg, and g,. There are two
possible If RL = T, then(34) and (36) > replaced
cases. by < throughout.
A setof conditions
are solubleif and only if S = M T; by lemma3, equivalentto the first set is
equations
32 alsoimplyL < M, sothat in this
casewe have the problemof constant0, dis-
cussed in section 7. (]/5
- --)(]-- v/)> ( -- ')2 (41)
 4438 GEORGE E. BACKUS

A setof conditions
equivalentto the second
setis 45, or 46 imposefurther restrictions.We conclude
that there are stable,three-layered,
isotropic
0< /g< 1 /g ' r/ jr/> .2(42)mediawhicharenotlong-waveequivalentto any
- - .) > - stable,isotropic,two-layeredmedium.
In consequence of theoremsI and2, it is clear
Eitherthe firstset (41) or the secondset (42), that thereis a hierarchyof stable,transversely
togetherwith M 0, is necessary andsucient isotropic media as follows: there are stable ttTI
for the existence
of a physicallyacceptablesolu-
medianot long-waveequivalentto any stable,
tion of equations
32 with , and finelylayered,isotropic
medium.Everystable,
andif sucha solutionexists,it is unique. finely layered,isotropicmediumis long-wave
To summarize the caseiustdiscussed,
wehave equivalentto a stable,three-layered,isotropic
Theorem 2. A HTI mediumwith elasticparam- medium.There are stable,three-layered, iso-
etersL, M, R, S, and T is long-wave
equivalent tropicmedianot long-waveequivalentto any
to a strictlystable,two-layered,
isotropicmedium stable,two-layered,isotropicmedium.
if and onlyif the parameters satisfyoneof the
followingsetsof conditions' 10. COMPARISONWITH OBSERVATION
Set 1:
Uhrig and Van Melle [1955] find that the
horizontalvelocity,cll,of compression wavesis
largerthan the verticalvelocity,el, by a factor
(43) of 1.17 to 1.40 in certainlayerswhosesurface
outcropsare homogeneous. They think this
discrepancyprobably representsan intrinsic
(44) anisotropy. In 1700 to 8000 feet of clastic and
carbonatesediments,
on the otherhand, they
Set2: The sameas set 1 exceptthat (44) is
replacedby find c,/c. = 1.10to 1.19.Now
and c2 = C/{o) in a transversely
isotropic
RL T SM- (45) mediumwith verticalaxisof symmetry;there-
Set 3:
fore (c,/cz)2 = A/C. The question
is whether
observed variationsof 0 and t with depthare
o < able to accountfor valuesof A/C as largeas
1.21 and 1.42.
The data on variationof 0 and/ with depth
comefrom well logswhich measurethe variation
RL = T = SM - (46) with depth of verticalcompressional
velocity,
Set : averaged over distances of 5 feet or more. For
example,Summers
and Broding[1052]find verti-
0 < R < ]L -1 0 < S < ]M cal compressional
velocities
in a singledrill hole
whichvary moreor lessrandomlyfrom0 to 15
kilofeet/see.
If density
isassumed
constant
(they
RL = T = SM - give no data on densities),and if it is assumed
that the rockis homogeneous andisotropic over
In eitherset 1 or set 2, tz,t2,p, p2, 0, and 02 verticaldistancesof 5 feetor less,thesevariations
areuniquelydetermined by (33), (35), (37), and in compressional velocitycan be interpretedas
the demandtz < #2. In set 3, tzandt2are not variationsin X q- 2tz= tO-.
uniquelydetermined,but are any solutionsof Can we explainvaluesof (c,/cD
(34)(whence
tz #2),whilepl andp2areunique- Uhrig and Van Melle's on the basisof variations
ly determinedby t and t2,and 0 - 02 - T. in t0- as largeas thoseobtainedby Summers
In set4,/ = /z2= M andp, 0, p2,and 02can and Broding? (It would be much more satis-
haveany valuesconsistent
with p q- p2 = 1 factory if both kinds of data were available for
and p 0 q- p202 = T. thesamerocklayer,but thepresent authorknows
Conditions43 in theorem 2 are the same as of no such combined measurementsand would
conditions
27 in theorem1, whileconditions
44, greatly appreciatehavingany suchcalledto his
 LONG-WAVE ELASTIC ANISTROPY 4439

attention.) For simplicity, we restrict attention layers too thin to be observedby contemporary
to a two-layeredisotropicmedium,in whichboth well logging techniquesare present and con-
materials have the same density. We define tribute appreciablyto the large-scaleanisotropy
a - 20/, 02 1, the ratio of the compres- of the crust.
sional velocities in the two media. On the basis
of Summers and Broding's data we permit a to 11. SUMMARY OF CONCLUSIONS
be aslargeas (15/9)" = 2.78.The expression
for A transverselyisotropic,stratifiedmediumhas
A/C in terms of the proportionsp and p,. of been considered,whoseaxis of symmetryis the
the two materials and their elastic constants ,,
x8 axis and whosepropertiesvary only with xs,
2, , and ,. is, from (32), not with x or x,. The medium may be locally
isotropic.A length l' is chosenarbitrarily. (The
C 1- a 2 resultswhich follow are true for any l', but are
useful only if l' is large enough so that the
properties of the medium are significantly
(47)
smoothedby averagingover a vertical distance
l'.) The responseof the medium to elastic waves
Clearly,if a, 0, and 02are fixed,A/C will be whose wave numbers k are much less than
largestwhen p = p,. = . If O, and 0,. are 2'/1' can be calculatedas follows:the medium
varied,the maximumvalueof A/C is is replaced by a 'long-wave equivalent' trans-
A/C = 1 + (a -- 1)=/4a (48) verselyisotropicmedium, whosedensity is the
averagedensity (averagedlocally over a vertical
whereasif O:= 0. = (Poisson's
ratio = ), length l, and whosefive elastic parameters are
calculated from the parameters of the original
A/C = I -{- 8(a- 1),/36a (49)
medium by meansof equations9, the averages
From (48) and (49) it is clear that variations being computedlocally over a vertical distance
in 0 will not markedly increasethe anisotropy, l. The responseof the resulting smoothed
(A/C) -- 1. Furthermore,if A/C is to be ap- medium to wavesof the given wave number k is
preciablylarger than 1, the ratio a betweenthe calculated. The stresses and strains in this
elastic constantsof the two media must be very smoothed medium are the local average stresses
much larger than 1. and strains in the original medium, averaged
We assumethat 0 -- 02 - -. Then, with over a vertical length l. In the original medium
a = 2.78, A/C = 1.25. the stressesT3, T2s, Ts3and the displacements
As far as the very rough calculationsgiven s, s,., s, and their derivativeswith respectto
above are concerned,we conclude that Uhrig x and x,. (but 'notx), are equalto their averages,
and Van Melle's data on anisotropyin carbonate while the stressesT,,, T,.,, T,. and the displace-
sediments can, with a bit of stretching, be mentderivatives Os/Ox,Os/Ox3, Os/Ox8canbe
explainedby fine layering of an isotropictwo- calculated from formulas 6. The above state-
layered medium. More careful calculations,in ments are only approximately correct. Where
which actual measured values of and 0 are the error is known from exact treatments, it is
inserted into equations 18, are probably not of order (kl)', and in generalit is probably of
justified until both well log measurementsand order kl'.
grossanisotropymeasurementsare available for Detailedattentionis givento the caseof a
the same suite of rocks. finelylayeredmediumWhichis locallyisotropic.
In making such comparisonsof large-scale In this case,the five elastic parametersof the
anisotropy with small-scalelayering, it should long-waveequivalentmediumare given in terms
be rememberedthat the layers do not become of the Lam parametersofthe original medium
lesseffective in generatinglarge-scaleanisotropy by equations13. (The author is indebtedto D.
as they becomethinner. A wave 5 meters long Andersonfor pointing out that equations13 are
in a mediummadeby laminatingbrassand steel not new,but wereobtainedby K. IIelbig in 1958.
'sees' the same five effective anisotropic elastic The derivation given in the present paper is
constants,whether the lamina are 5 cm or 0.1 different from Helbig's and perhaps simpler.)
mm thick. Therefore, it is conceivable that The followingquestionis then examined'Which
4440 GEORGE E. BACKUS

stable,homogeneous, transverselyisotropicmedia wave equivalent to a homogeneous,isotropic

are long-waveequivalentto horizontallylayered mediumif and only if it has constantrigidity
isotropicmedia?In other words,given the'five (the 'if' half of this statement has been proved
elastic coefficients of a homogeneous,trans- by Postma[1955]for two-layeredmedia).
versely isotropicmedium, obtained from the Finally, it is shownthat someof the observed
response of the mediumto longwaves,whenis anisotropiesin P velocity can be explainedas
it a possibilitythat shorter waves will reveal due to layering of isotropicmedia, if contrasts
that the anisotropyis really the result of a fine are allowedto be as large as thoseobservedin
layeringof isotropicmaterial? well logs.
To answer this question,new elastic param- REFERENCES
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media are definedby equations14 and 16. In Anderson, D. L., Elastic wave propagation in
layered anisotropicmedia, J. Geophys.Research,
terms of these new parameters,the relation 66, 2953-2964, 1961.
betweena layered isotropicmedium and the Brekhovskikh, L. N., Wavesin LayeredMedia, pp.
long-wave equivalent, transversely isotropic 87-100, AcademicPress, New York, 1960.
mediumis expressed by the verysim'pleequations Floquet,G., Surlesquationsdifferentielles linaires
coefficients pbriodiques,
Ann.JcoleNorm.,Set.
18. The conditions for stability (a positive- , vol. 12, 47-89, 1883.
definite internal energy) of a transverselyiso- Haskell, N. A., Dispersion of surface waves on
tropicmediumare shownto be inequalities(21). multilayered media, Bull. Seism. Soc. Am., 43,
Inequalitiesare then derived for the elastic 17-34, 1953.
coefficientsof a transverselyisotropicmedium Helbig, K., Elastischen Wellen in anisotropen
Medien, Getlands Beitr. Geophys.,67, 256-288,
whichare necessary andsufficientfor the medium 1958.
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tropic, stable medium. These inequalitiesare line sourceon a transverselyisotropicelastichalf-
(27). Sinceinequalities(27) are more restrictive space, Ph.D. thesis, University of California,
Los Angeles, 1962.
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518-544, 1949.
In the light of the above remarks,a natural
Rudzki, M.P., Parametrische Darstellung der
questionis this: Given a stable, homogeneous, elastischenWellen in anisotropischenMedien,
transverselyisotropicmedium,how many differ- Bull. Acad. Cracovie,p. 503, 1911.
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that if the homogeneous, transverselyisotropic aelotropy in continental structure, Monthly
mediumis long-waveequivalentto any layered, Notices Roy. A stron. Soc., Geophys.Suppl., 5,
isotropicmedium,it is equivalentto a layered, 222-232, 1949.
isotropicmediummadeof just fourhomogeneous, Summers,G. C., and R. A. Broding, Continuous
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isotropicmaterials.It can be shownthat three Thomson, W. T., Transmissionof elastic waves
suffice.Two do not suffice,and we derive condi- througha stratifiedsolidmedium, J. Appl. Phys.,
tions on the homogeneous, transverselyisotropic 1, 89-93, 1950.
material which are necessaryand sufficientfor Uhrig, L. F., and F. A. Van Melle, Velocity anisot-
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isotropicmediummadeof just two homogeneous, White, J. E., and F. A. Angona,Elastic waveveloci-
isotropic materials. These conditionsare (43), ties in laminated media, J. Acoust.Soc.Am., 7,
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In the courseof the above arguments, it is (Manuscript receivedMay 31, 1962;
shownthat a layered, isotropicmedium is long- revisedJuly 19, 1962.)