PUBLICATIONS
Journal of Geophysical Research: Solid Earth
RESEARCH ARTICLE
10.1002/2014JB011780
Key Points:
• Mechanical anisotropy plays significant
role in localizing damage at fault tips
• Layer-parallel/normal compression
leads to brittle/ductile damage,
respectively
• Layer-oblique compression does not
reactivate the fault and damage
localizations
Correspondence to:
S. Misra,
smisra@iitk.ac.in
Citation:
Misra, S., S. Ellis, and N. Mandal (2015),
Fault damage zones in mechanically
layered rocks: The effects of planar
anisotropy, J. Geophys. Res. Solid Earth,
120, doi:10.1002/2014JB011780.
Received 17 NOV 2014
Accepted 26 JUN 2015
Accepted article online 30 JUN 2015
©2015. American Geophysical Union.
All Rights Reserved.
MISRA ET AL.
Fault damage zones in mechanically layered rocks:
The effects of planar anisotropy
Santanu Misra1,2, Susan Ellis2, and Nibir Mandal3
1
Department of Earth Sciences, Indian Institute of Technology, Kanpur, India, 2GNS Science, Lower Hutt, New Zealand,
3
Department of Geological Sciences, Jadavpur University, Kolkata, India
Abstract This study shows how inherited strength anisotropy influences damage localization at both the
tip and wall regions of a fault or fracture. We performed analogue and numerical compression experiments
on transversely isotropic models with single and multiple cuts of finite length, simulating the propagation
of preexisting faults and cracks in layered rock. The stress-strain curves from the analogue experiments show
a change in bulk yield behavior with fault inclination and anisotropy orientation with respect to the stress
direction. Earlier isotropic models demonstrated a brittle (wing fracturing) to ductile (shear-zone formation)
transition as the fault angle (α) to the principal compression direction increased. The experiments with
anisotropic models show patterns of damage localization change dramatically with the orientation of
transversely isotropic planes (θ, measured with respect to principal extension direction). Under layer-normal
(θ = 0°) and layer-parallel compression (θ = 90°), preexisting faults undergo significant reactivation when
0 < α < 90°, and fault slip eventually leads to mechanical instabilities within the anisotropic layering, causing
damage zones in the tip regions. For layer-normal (θ = 0°) compression, the damage processes involve
intense extensional shear localization, whereas for layer-parallel compression, contractional shear localization
and tensile opening result in characteristic internal shear-band structures. In contrast, for 0 < θ < 90°, the
faults undergo little or no reactivation, irrespective of α. In this case, bulk compression leads to an interlayer
slip-mediated global deformation. Obliquely anisotropic models thus produce weak or no fault damage
zones. We also show that the fault-parallel principal damage localized at the tips can be coupled with
transversely oriented, antithetic secondary damage in the wall regions. However, secondary damage develops
predominantly when θ = 90°. Field examples of fault damage in anisotropic rocks and numerical experiments
are in good accord with our experimental damage patterns.
1. Introduction
Cracks and fractures can act as mechanical flaws in materials and intensify local stresses, leading to
mechanical failure at their tips. Earth scientists have used flaw-controlled mechanics to a wide range of
geological and geophysical phenomena, e.g., formation of flanking structures and wing fractures in
structural geology [Mandal and Karmakar, 1989; Passchier, 2001; Kocher and Mancktelow, 2006; Misra et al.,
2009; Misra, 2011], secondary fracture-controlled hydraulic conductivity in geohydrology [Evans, 2005;
Caine et al., 1996; Gudmundsson, 2000; Faulkner and Rutter, 2001], and growth of crustal-scale faults in
tectonics [Wilson et al., 2003]. Flaw mechanics has been increasingly invoked to explain and predict the
dynamic behavior of tectonic faults and their seismicity [Kim et al., 2004; Mitchell and Faulkner, 2012; Johri
et al., 2014]. Field and laboratory experiments suggest that the sliding motion along faults produces
damage zones in their neighborhood and the processes operating in the damage zones play a critical role
in dictating seismic behavior [Biegel et al., 2008]. Moreover, characterizing such damage zones is a crucial
step in quantifying various physical properties and processes of fault zone rocks, e.g., permeability,
coseismic fluid flows, and fault-gouge strength.
Damage zones formed in the brittle regime typically display a cloud of numerous incipient cracks (often
called process zones) [Friedman et al., 1972; Atkinson, 1983; Ingraffea, 1987; Vermilye and Scholz, 1998]. A
number of mechanical models have been proposed to estimate their crack densities. The models predict
either power law [Johri et al., 2014; Savage and Brodsky, 2011] or logarithmic [Chester et al., 2005] or
exponential [Mitchell and Faulkner, 2009, 2012] decay of the crack density with distance. In many cases the
fault-tip regions undergo inelastic deformations, coupled with a stress relaxation and energy dissipation
concomitantly with plastic strain localization [Dunham et al., 2011; Duan and Day, 2008]. In contrast to elastic
FAULT DAMAGE IN ANISOTROPIC ROCKS 1
 Journal of Geophysical Research: Solid Earth 10.1002/2014JB011780

models, inelastic fault-tip deformation

models account for lower fault slip rates
(~10 m/s) reported from natural faults
[Sleep, 2010].
Physical experiments and field observa-
tions commonly show Mode 1 tensile
ruptures (called wing fractures) forming
at the tips of preexisting faults [Brace
and Bombolakis, 1963; Mutlu and Pollard,
2008; Misra et al., 2009]. The tensile frac-
tures originate at high angles to the fault,
but progressively redirect their path
along the regional compression direction,
forming curvilinear geometries. Most of
the available theoretical models predict
their growth as a function of different
dynamic and geometric parameters (see
Mutlu and Pollard [2008] for a detailed
discussion). Using various types of model
materials, such as glass, marble, and
polymers, several workers have investi-
gated this type of damage mechanisms
Figure 1. (a) Schematic 3-D illustration of the sample dimensions and the through laboratory experiments [Brace
orientation of the principal stress axes with respect to the sample and Bombolakis, 1963; Erdogan and Sih,
geometry. (b) A 2-D sketch of σ 1-σ 3 plane viewed along σ 2 direction of 1963; Thomas and Pollard, 1993; Wong
the sample showing the geometric definition of the simulated fracture
et al., 2004; Lu et al., 2005; Misra et al.,
and anisotropic plane. The orientation of the cut (α) is measured
counterclockwise with respect to the principal compression direction, 2009]. Their experiments produced a pair
whereas the orientation of the transverse anisotropy (θ) is measured of wing fractures at the initial shear-crack
clockwise with respect to the principal axis of extension. Several tips, displaying curvilinear geometry, as
orientations of α were considered for the experiments keeping θ = 0, 45, predicted from theoretical models dis-
and 90° as listed below the sketch.
cussed above. Misra et al. [2009] carried
out a series of compression experiments
on precracked polymethylmethaacrelate (PMMA) (a type of polymer) models with varied crack angles (α) to
the compression direction. Their experimental findings suggest that preexisting faults can localize wing
fractures at their tips only when α exceeds 30°.
Distributed plastic (ductile) shear zones are an alternative form of deformation localization around mechanical
flaws in rocks, particularly around melt pockets, mechanical inclusions, and shear cracks [Grujic and Mancktelow,
1998; Mancktelow, 2002; Mandal et al., 2004; Misra and Mandal, 2007; Misra et al., 2011, 2014]. The nature and
orientation of the shear zones depend mostly on the flaw geometry [Misra and Mandal, 2007]. Recent field
studies have documented ductile shear zones in association with old faults [Segall and Simpson, 1986;
Mancktelow and Pennacchioni, 2005; Fusseis et al., 2006]. Their geometries are mainly controlled by the
orientation and array of faults. The process of shear-crack-induced strain localization has been investigated in
laboratory experiments using materials such as metals, polymers, and granular substances [Li et al., 2005;
Misra et al., 2009]. Precracked polymer models under compression yield preferentially at the shear crack tips
to produce a conjugate pair of plastic (shear) bands, radiating from each tip. The pattern of shear bands
depends largely on the initial crack angle (α). Multiple shear bands are replaced by a single crack-parallel
shear band as α increases from 20° to 35°.
Most of the experimental and theoretical studies up-to-date deal with isotropic models to demonstrate the
role of mechanical flaws, fractures, and faults in brittle and ductile deformation localizations [e.g., Mutlu and
Pollard, 2008; Misra et al., 2009; Misra, 2011, and references therein]. However, rocks in tectonic zones are
often mechanically anisotropic due to the presence of penetrative crystallographic or shape fabrics and
compositional foliations. In this study we explore how such inherent mechanical anisotropy influences
the process of damage-zone localization in the terminal zones of preexisting faults by performing

MISRA ET AL. FAULT DAMAGE IN ANISOTROPIC ROCKS 2

 Journal of Geophysical Research: Solid Earth 10.1002/2014JB011780

a
Table 1. List of Experiments With Relevant Experimental Parameters and Mechanical Data Under Plain Strain Condition
Experiment No. Sample a (mm) b (mm) c (mm) θ (°) α (°) σ p (MPa) Ec (MPa) Et (MPa) ν εc (%) εe (%)

P_01 Horizontal 59.06 39.80 40.79 0 - 71.3 918
3989 0.23 13.7
3.7
P_02 Vertical 59.61 38.70 41.40 90 - 60.6 1722
11292 0.15 11.8
5.9
P_03 Inclined 63.30 38.15 37.66 45 - 15.2 725
3780 0.19 13.0
8.0
P_04 Horizontal 61.72 39.21 39.88 0 20 69.5 1105
3922 0.28 18.6
6.9
P_05 Horizontal 32.70 38.59 40.17 0 45 75.2 1120
3640 0.31 17.8
5.5
P_06 Horizontal 63.40 38.41 39.60 0 70 62.7 1003
4102 0.24 17.7
5.8
P_07 Horizontal 63.10 38.59 39.74 0 0 66.9 1289
7444 0.17 17.6
6.5
P_08 Vertical 63.90 38.25 40.31 90 90 62.5 1984
10756 0.18 12.6
4.8
P_09 Vertical 61.05 38.51 40.01 90 70 58.5 2021
12276 0.16 12.4
4.0
P_10 Vertical 63.27 39.42 40.79 90 45 57.2 1962
10512 0.19 8.5
4.7
P_11 Vertical 61.96 38.26 39.92 90 20 52.4 1969
10879 0.18 7.9
4.1
P_12 Inclined 66.44 39.50 39.25 45 0 19.8 1287 ND ND 10.2 0.0
P_13 Inclined 62.12 38.82 40.20 45 20 18.6 1423
11514 0.12 10.2
4.9
P_14 Inclined 65.78 37.50 37.25 45 45 18.8 1237
10753 0.12 5.8
3.3
P_15 Inclined 62.62 39.16 37.31 45 70 ND ND ND ND ND ND
P_16 Inclined 63.53 38.41 37.59 45 90 23.2 1411
10338 0.14 16.0
9.1
P_17 Horizontal 60.32 39.81 39.86 0 - 72.8 977
4020 0.24 17.6
8.4
P_18 Vertical 59.71 38.77 37.27 90 - 65.0 1885
11464 0.16 10.6
3.2
P_19 Inclined 63.01 39.71 41.24 45 - 23.9 1479
7419 0.20 9.7
8.0
P_20 Horizontal 61.01 39.26 38.93 0 0 73.4 1453
8841 0.16 18.4
4.8
P_21 Horizontal 61.35 39.17 39.20 0 20 69.5 1368
5298 0.26 18.0
7.8
P_22 Horizontal 59.16 38.56 39.77 0 45 72.3 1446
5067 0.29 18.0
8.4
P_23 Horizontal 61.02 39.68 39.40 0 70 70.3 1418
5782 0.25 17.7
8.5
P_24 Vertical 60.15 39.16 40.16 90 90 59.5 2084
11770 0.18 17.4
8.3
P_25 Vertical 59.92 37.55 38.87 90 20 57.5 2011
11021 0.18 10.6
4.0
P_26 Vertical 59.52 39.11 39.06 90 45 53.0 1987
10566 0.19 10.9
5.3
P_27 Vertical 61.57 38.24 40.37 90 70 61.5 2023
11001 0.18 9.3
3.5
P_28 Inclined 61.02 38.92 41.45 45 0 19.0 1054
8846 0.12 4.8
2.1
P_28_1 Inclined 62.35 38.69 38.98 45 0 22.5 1531
12159 0.13 14.0
7.3
P_29 Inclined 63.32 38.33 43.47 45 20 16.8 1039
10840 0.10 11.4
5.4
P_29_1 Inclined 62.51 38.34 42.75 45 20 25.3 1732
12525 0.14 12.0
6.2
P_30 Inclined 60.82 38.72 44.10 45 45 26.9 1815
10636 0.17 10.1
5.4
P_31 Inclined 62.64 38.42 40.33 45 70 24.4 1609
11717 0.14 9.7
7.8
P_32 Inclined 62.91 37.53 43.71 45 90 23.6 1428
10360 0.14 7.0
4.4
a
a, b, and c–length, width, and height of the initial sample, respectively (see Figure 1); θ–orientation of the planar fabric with respect to σ 3 (see Figure 1);
α–orientation of the cut with respect to σ 1 (see Figure 1); σ p–peak stress; Ec, Et–compressive and extensional Young’s moduli, respectively; ν
Poisson’s ratio;
εc, εt–compressive and extensional strains, respectively; ND–no data.

physical experiments with precracked models, simulating transverse isotropy. Our experiments are
performed in a material that can experience both localized and distributed brittle deformations, with
applicability to natural rocks deformed at crustal temperatures and pressures. We show that mechanical
anisotropy can significantly affect the damage-zone patterns (shear-band formation versus fracturing) in
the neighborhood of a fault. We extend the analogue experiments to calibrated numerical experiments
to further quantify the competition between tensile opening and damage zones around fault tips. The
behavior of the numerical model was similar in both bulk stress-strain curves and in observed damage
as seen in the analogue experiment.

2. Experimental Approach
2.1. Model Preparation
One-millimeter thick PMMA (polymethylmethaacrelate) sheets were cut into smaller (~42 mm × 68 mm)
rectangular pieces. The pieces were then stacked one over another with a thin film of chloroform as
adhesive at their interfaces to develop a layered (transversely isotropic) structure. To simulate an inherent
fault in the model, the PMMA layer stack was cut by a thin (~1 mm) saw, keeping the cut surface flat and
maintaining the desired angle α uniform all along the cut. The cut surfaces were polished by P100 grit
sand paper to reduce friction and ease the sliding motion on them. The two halves were united along the
cut plane to restore the layer stack, which was finally sandwiched between two intact layer stacks to build

MISRA ET AL. FAULT DAMAGE IN ANISOTROPIC ROCKS 3

 Journal of Geophysical Research: Solid Earth 10.1002/2014JB011780

Load frame a complete precut model (Figure 1a). The

models were finally trimmed in order to
Load cell make perfect parallel faces to the oppo-
site sides using a lathe machine.
We ran experiments using three orienta-
tions (θ) of the layered models to simu-
Spherical seat
late transverse strength isotropy with
respect to the principle compression
Deformation
jig (σ 1) and the extension (σ 3) directions
(Figure 1a). Models with the planar fabric
parallel (θ = 0°), perpendicular (θ = 90°),
LVDT and oblique (θ = 45°) to σ 3 direction are
(Horizontal)
referred to as horizontal, vertical, and
Sample (inside) inclined models, respectively. For each
Bottom orientation, two models were deformed
Platen to investigate the bulk mechanical
property, rheology, and the degree of
strength anisotropy. The remainder of
the models had flaws, characterized by
120 mm a throughgoing cut parallel to the σ 2 axis.
The trace of the cut on the σ 1-σ 3 plane
Figure 2. Photograph showing the different components of the assembly. was at an angle α to the σ 1 axis
The sample (not visible in the photograph) is kept inside the rectangular (Figure 1b).
channel of the deformation jig. The bottom platens move up following a
Most of the samples had a single cut.
constant displacement rate to deform the sample in plane-strain condition
(see text for details). However, a few parallel (θ = 0°) and
vertical (θ = 90°) samples had multiple
cuts with either uniform or variable α.
All the samples were machined to perfectly rectangular blocks with a dimension of approximately
60 mm × 40 mm × 39 mm. The 2 mm × 2 mm square grids were marked on one of the lateral faces (σ 1-σ 3
plane) of the samples to visualize the sample-scale strain distribution. Table 1 provides a synopsis of the sam-
ple geometry used in the experiments. For convenience and the intended application of the study, we will
refer to the preexisting cut and cut angle (α) as fault and fault angle, respectively.

2.2. Deformation Setup

The constant displacement rate (0.1 mm/min) compression experiments were run in a hydraulic-controlled
400 kN load frame (Virtual Infinite Stiffness Loading System, GDS Instruments, UK) under ambient room
pressure and temperature condition. The samples were housed inside a deformation jig [Mandal et al.,
2004; Misra and Mandal, 2007; Misra et al., 2009] to achieve a plane-strain condition (Figure 2), where the
bulk shortening and extension occurred along the σ 1 and σ 3 directions, respectively. The rigid jig walls
hindered deformation along the σ 2 axis, which coincided with the fault axis. A vertical load to the jig was
generated by moving the crosshead of the loading frame in the upward direction. For an in situ
measurement of the vertical load during the experimental run, we used a 400 kN external load cell (±1 in
10,000 resolution), placed at the top of the load frame (Figure 2). In addition, we placed two Linear
Variable Displacement Transformers (LVDTs) at the sample surface through the openings in the sidewalls
of the deformation jig and measured the bulk horizontal extension (along σ 3) by a Picologger data-
recording software. The data captured simultaneously from the LVDTs were averaged to estimate the
extensional strain. The movement of the crosshead of the load frame was controlled by GDSLAB software,
which also recorded the vertical load and the displacement with reference to the run time.

2.3. Postprocessing
Axial loads, vertical and horizontal displacements obtained from the data logger, were processed to calculate
the differential stress (σ) and axial strains (ε) correcting for the instrument compliance and the distortion of
the sample geometry. The sample-scale observations of the deformed models involved visual analysis of

MISRA ET AL. FAULT DAMAGE IN ANISOTROPIC ROCKS 4

 Journal of Geophysical Research: Solid Earth 10.1002/2014JB011780

the passively deformed square grids as

well as the traces of the layers on the
σ 1-σ 3 face. We also constructed displace-
ment field maps of each model using the
initial and final positions of the grid inter-
sections in a Cartesian coordinate frame.
Thick (~2 mm) slices, normal to the σ 2 axis,
were taken from the deformed samples to
prepare thin sections with a thickness of
~0.5 mm. The thin sections were observed
under cross-polarized light to study the
microscale deformational features.

3. Experimental Results
3.1. Bulk Mechanical Behavior
Homogeneous anisotropic samples of
the three principal orientations showed
markedly different mechanical responses
(dashed line curves in Figure 3). All of
them exhibited linearly increasing stress
with compressive strain. However, they
differ largely in their bulk Young’s
moduli. The estimated compressive
Young’s moduli (Ec—plane strain) for
parallel and vertical samples are ~0.9
and 1.8 GPa, respectively (Figures 3a and
3b). The compressive Young’s moduli (Ec)
of the inclined samples varied over a
wide spectrum from 0.7 to 1.5 GPa
(Figure 3c). The postyield behavior of
both parallel and vertical samples was
characterized by strain hardening. The
parallel samples retained their strain hard-
ening behavior over the entire experimen-
tal run for about 20% axial bulk shortening
(Figure 3a). In contrast, deformation of the
vertical samples involved a sharp stress
drop at nearly 10% axial shortening
(Figure 3b). The peak axial stresses (σ p) in
these experiments are in the range
of 60–74 MPa. The inclined samples always
Figure 3. Summary of the mechanical data of deformed samples with had a much lower peak stress (15–23 MPa)
(a) parallel, (b) vertical, and (c) inclined transverse anisotropies. The and involved strain softening (Figure 3c).
mechanical data of samples without cut are in black, and those of The postsoftening sections demonstrate a
containing cuts are represented in different colors corresponding to
their orientation (α) with respect to principal compression direction (σ 1).
pseudo steady state flow characterized by
The color index is given at the side of each plot. Key mechanical few stick-slip-like events. The stress-strain
parameters obtained from these data are listed in Table 1. curves for the extensional direction,
obtained from the same series of experi-
ments, show geometrical similarity with
those for the compressive direction but limited to relatively lower extensional strain (Figure 3). We tested the
bulk behavior of materials in numerical models simulating similar layer anisotropy. Details of the simulation
are provided in the Appendix A1. The numerical model results show the stress versus strain responses of the
bulk medium as a function of the orientation of planar anisotropy (Figure A1) in agreement with those obtained

MISRA ET AL. FAULT DAMAGE IN ANISOTROPIC ROCKS 5

 Journal of Geophysical Research: Solid Earth 10.1002/2014JB011780

from physical models. This convergence

in physical and numerical experimental
results thus validates our consideration
of the layer anisotropy models for this
study.
Irrespective of the fault angle α, the
precut samples had bulk mechanical
responses similar to the equivalent
fault-free samples (solid line curves in
Figure 3). However, we observed an appre-
ciable difference in their yield strengths.
The fault-bearing parallel samples had
yield strengths much lower than fault-free
samples. Their postyield strain prior to the
bulk failure varied with α. For example,
parallel samples with α = 20° failed at
about 10% bulk shortening, whereas sam-
ples with α = 90° could accommodate
nearly 15% bulk shortening. Fault-bearing
inclined samples showed large variations
in both their peak stress (see Table 1) and
postyield mechanical responses. In a few
experiments the samples showed strain
hardening after a period of strain softening
(Figure 3c).

3.2. Bulk Sample Deformation and

Types of Deformation Localization
Four distinct types of damage zones at
the fault tips are observed: diffuse shear
zones (Type 1, Figure 4a), microshear
bands (Type 2, Figure 4b), extensional
(Type 3, Figure 4c), and contractional kink
bands (Type 4, Figure 4d). Localization
pattern in Type 1shows gradational
contacts with the surrounding low-strain
regions (Figures 4e and 4f) and widen
progressively as they lengthen. In
contrast, Type 2 bands show strain locali-
Figure 4. (a–d) Schematic illustrations of four major types of shear zation along discrete shear surfaces,
localization observed in the experiments. (e and f) The four types of forming a cluster (Figures 4e (inset) and
shear are shown over two microphotographs from experiments. In 4f). Their internal strain distribution is
Figure 4e, the inset image is a transmitted plane-polarized photograph of
θ = 0° experiments showing Type 2 conjugate microshear bands (high-
strongly heterogeneous, and the band
lighted by dashed yellow lines) developed along individual layers. In structures show sharp contacts with
Figure 4f, note that the microshear bands are further deformed due to the surrounding materials. Instead of
flexural buckling. The compression direction is vertical in all experiments. widening, Type 2 bands exhibit increas-
ing numbers of discrete bands with
increasing deformation. Type 3 and Type 4 bands show accommodation of shearing by localized rotation
of the layers as a consequence of mechanical instability [Gillam et al., 2014]. The sense of shear in Type 3
localization produces overall extension along the layers. In contrast, Type 4 bands localize intense shear
that involves buckling of layers, and the sense of shear complies with the overall shortening along the
layers. The evolution of Type 3 and Type 4 bands is mostly coupled with either Type 1 or Type 2 shear
localization (Figures 4e and 4f).

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 Journal of Geophysical Research: Solid Earth 10.1002/2014JB011780

P_17

θ = 0°

P_03

θ = 45°

P_18

θ = 90°

Figure 5. Deformation features of three transversely anisotropic models without the cut (compression direction is vertical).
Along the row, (a, d, and g) θ = 0°, (b, e, and h) θ = 45°, and (c, f, and i) θ = 90°. The first column shows the photographs of the
deformed sample and deflected square grid pattern. The second column represents the velocity path of the deformed
samples deduced from the initial and final positions of the grids. It is important to note that none of them shows typical
velocity path of pure shear deformation. The photographs of the third column show cross-polarized thin section observations
of the deformed samples. The solid and dotted yellow lines in the third column highlight the orientation of microshear bands
(Type 2) and gentle buckling, respectively. Scale bar: 10 mm.

3.3. Homogeneous (Fault-Free) Anisotropic Models

Samples under layer-normal (horizontal) and layer-parallel (vertical) compression underwent homogeneous
deformation on the sample scale (Figures 5a and 5c). However, layer-oblique (inclined) samples showed
strongly heterogeneous deformations, which resulted from localized layer-parallel shearing (Figure 5b). This
strain heterogeneity was also evident from the corresponding displacement path (Figure 5f). Both horizontal
and vertical samples also underwent heterogeneous deformation but in advanced stages of the experimental
runs. This kind of heterogeneity appeared when the samples failed at the yield stress, leading to conjugate
plastic zones on the sample scale. The displacement fields revealed the departures from homogeneous pure
shear in the samples (Figure 5d). Thin sections observed under cross-polarized light with a magnification of 10
to 100 showed densely packed Type 2 shear bands in conjugate sets (Figures 5g and 5i). Such band structures
were typically absent in inclined samples and show a gentle buckling (Figure 5h).

3.4. Layer-Normal Compression (θ = 0°; Variable α)

Type 1 shear localization was the dominant mechanism for the damage-zone formation around the induced
faults (Figure 6). The horizontal samples, in general, produced sample-scale extensional kinks (Type 3) that
nucleated at the tips and grew nearly along the fault trace on the σ1-σ3 plane. The kinks became potential zones
of plastic strain localization, leading to Type 1 shear zones (Figure 4a). In fact, Types 1 and 3 processes were
coupled with one another to produce the fault-parallel damage zones (called primary damage zone (PDZ) in
the following descriptions) in the anisotropic medium.
The scale of PDZs in samples depended largely on the fault angle (α) and the finite sliding movement
along them (Figure 6). PDZs strongly developed in samples with α = 20° (Figure 6b) and 45° (Figure 6c)
but less prominent in samples with α = 0° (Figure 6a) and 70° (Figure 6d). Using the displacements
captured from the sample surfaces, we mapped the displacement vectors to reveal the patterns of
fault-induced strain localization (Figures 6e–6h). The displacement maps forα = 20° and 45° delineate

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 Journal of Geophysical Research: Solid Earth 10.1002/2014JB011780

P_07

θ = 0°, α = 0°

P_04

θ = 0°, α = 20°

P_05

θ = 0°, α = 45°

P_06

θ = 0°, α = 70°

Figure 6. Deformation features of θ = 0° (i.e., parallel models and layer-normal compression) samples containing cut at
variable α. The first column shows the photographs of the deformed sample and deflected square grid pattern. The
second column represents the velocity path of the deformed samples deduced from the initial and final positions of the
grids. The photographs of the third column show the cross-polarized thin section observations of the deformed samples.
The bright areas in these photographs represent localized deformation. The dashed yellow lines in the third column mark
the predeformed straight single layer in each model which passes through the cut. Scale bar: 10 mm.

distinctfault-parallel linear zones showing displacement reversal across them (Figures 6f and 6g), which
can be attributed to the PDZs.
Thin sections of the deformed samples studied under cross-polarized light featured the details of damage
zones characterized by brighter shades (higher birefringence) in gray scale (Figures 6i–6l). Samples
with α = 20° and 45° localized optical birefringence preferentially along a pair of PDZs with clearly discernible
boundaries. These two samples underwent maximum slip along the cut surface. Under a high magnification
(4X) the PDZs were seen to be clusters of densely packed parallel shear surfaces, appearing as continuous
shear zones with diffuse boundaries (Type 1). The cross-polarized views also revealed weakly developed
secondary damage zones (SDZs)in the tip as well as wall regions of the preexisting faults (Figures 6j and 6k;
also see Figure 4e). SDZs occurred as Type 2 shear bands, oriented at high angles to the fault, and they
had an antithetic sense of shearing. In some samples the transverse SDZs were characterized by extensive
Type 2 bands consisting of conjugate sets of shear on either side of the preexisting fault (Figures 6j–6l). The
transverse set of SDZs always dominated over the other set, irrespective of α.
Experiments with α = 0°showed relatively weak deformation localization at the fault tips (Figures 6a, 6e, and 6i).
The crack opened, with maximum displacements at the middle of the crack axis, and produced elliptical fissures.
Conjugate bands of Type 2 shears radiated from the tips with a dihedral angle of ~80°. The samples also
produced microshear bands globally (Figure 6i). In contrast, experiments with α = 70° showed broad, diffuse
PDZs, characterized by extensional shear bands containing a set of parallel Type 2 shear surfaces (Figure 6l).
The PDZs were coupled with a cluster of transverse Type 2 shear, forming SDZs close to the fault-tip regions.

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 Journal of Geophysical Research: Solid Earth 10.1002/2014JB011780

P_25

θ = 90°, α = 20°

P_26

θ = 90°, α = 45°

P_27

θ = 90°, α = 70°

P_08

θ = 90°, α = 90°

Figure 7. Deformation features of θ = 90° (i.e., vertical samples and layer-parallel compression) samples containing cut at
variable α. The first column shows the photographs of the deformed sample and deflected square grid pattern. The
second column represents the velocity path of the deformed samples deduced from the initial and final positions of the
grids. The photographs of the third column show cross-polarized thin section observations of the deformed samples.
The bright areas in these photographs represent the localized deformation. The dashed yellow lines in the third column
mark the predeformed straight single layer in each model which passes through the cut. Scale bar: 10 mm.

3.5. Layer-Parallel Compression (θ = 90°; Variable α)

The fault-tip deformation in vertical (θ = 90°) samples generally led to compression-normal tensile opening
along the isotropic planes (Figure 7). The geometry and morphology of the tensile opening was mainly
controlled by the layer and fault orientation. The tensile cracks that opened were wing fractures, showing
a maximum opening close to the fault tips. These wing fractures had a maximum length and the largest
opening in α = 45° samples. They sometimes propagated to the sample boundaries (Figure 7b). However,
the α = 20°, 70°, and 90° samples showed limited growth of tensile fractures at the fault tips (Figures 7a, 7c,
and 7d). Type 4 localization originated either from the fault tips or from the wing fractures and
propagated lengthwise to form narrow PDZs (Figures 7a–7d). The PDZs were characterized by plastic
strain localization with diffuse boundaries (Type 1).
The damage-zone patterns changed markedly between different initial fault angles α. For α = 20°, the PDZs at
the fault tips were conjugated with antithetic SDZs oriented at high angles to faults (Figures 7a, 7e, and 7i). The
faults localized PDZs at their tips but without any secondary shear localizations. The surrounding regions
remained largely undisturbed. The PDZs had uniform finite shear along their lengths, implying that they
propagated rapidly lengthwise to accommodate the progressive sliding. The experiments showed that small
amounts of fault slip give rise to significant shear localization at the terminal zones. A 10% fault slip
(normalized to crack length L) localized a finite shear in the order of 1 to 1.5. The amount of fault slip had a
strong correlation with the type of deformation localization (i.e., wing fracturing versus kink-band formation).
For an applied bulk shortening, the magnitude of fault slip (s) increased dramatically when wing fracturing

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 Journal of Geophysical Research: Solid Earth 10.1002/2014JB011780

P_28

θ = 45°, α = 0°

P_13

θ = 45°, α = 20°
P_30

θ = 45°, α = 45°

P_31

θ = 45°, α = 70°

Figure 8. Deformation features of θ = 45° (i.e., inclined samples and layer-oblique compression) samples containing cut at
variable α. The first column shows the photographs of the deformed sample and deflected square grid pattern. The second
column represents the velocity path of the deformed samples deduced from the initial and final positions of the grids. The
photographs of the third column show cross-polarized thin section observations of the deformed samples. The dashed
yellow lines in the third column mark the predeformed straight single layer in each model which passes through the cut.
Scale bar: 10 mm.

dominated in the damage processes at the fault tips. For example, s/L = 0.1 for damage formation by Type 3
shear localization but increased to 0.25 as the damage was coupled with wing fracturing. The displacement
path suggests that vertical samples underwent more complex sample-scale heterogeneous deformation
(Figures 7e–7h), as compared to parallel samples (θ = 0°). This heterogeneity resulted from interaction
between the two simultaneously active processes: Type 3 shear localization and wing fracturing.
A detailed microstructural study of the deformed samples under cross-polarized light revealed
characteristic internal structures of the damage zones at the fault tips (Figures 7i–7l). Samples with
α ≤ 45° formed a pair of PDZs and SDZs (Figure 7j), where the PDZs consisted of a single set of densely
packed discrete microbands (Type 2) parallel to the zone boundaries. Their density increased in the
central region and gave rise to diffuse shear bands. The SDZs had two sets of internal microbands (Type 2)
with a dihedral angle of 80° and one set being nearly parallel to the SDZ boundaries. Single PDZs in the
samples with α > 45° had a set of closely spaced internal microshears at an angle of 20° to the shear-zone
boundary (Figures 7k and 7l). The density of these microshears decreased away from the crack tips. The
SDZs were typically absent in samples with α > 45°. For α = 45°, samples produced relatively wide, diffuse
shear bands, originating from wing fractures with large openings. On the other hand, α = 90° samples
showed weak Type 2 shear bands at the fault tips (Figure 7l).

3.6. Layer-Oblique Compression (θ = 45°; Variable α)

Unlike the θ = 0° and 90° experiments, samples with θ = 45° did not show deformation localization at the fault
tips; in other words, the inherited cracks were inactive and did not significantly modify the stress field in their

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 Journal of Geophysical Research: Solid Earth 10.1002/2014JB011780

P_36

θ = 0˚, α = 30˚

P_37

θ = 0˚, α = 60˚

Figure 9. Deformation features of θ = 0° samples containing multiple cuts at (a) α = 30° and (b) α = 60°. The first column
shows the photographs of the deformed sample and deflected square grid pattern. The second column represents the
velocity path of the deformed samples deduced from the initial and final positions of the grids. The photographs of the third
column show cross-polarized thin section observations of the deformed samples. The bright areas in these photographs
represent localized deformation. The dashed yellow lines mark the initially straight single layer in each sample which passes
through the cut. Scale bar: 10 mm.

neighborhood (Figure 8). Deformation in all the oblique samples was accommodated by slip, mostly along
one major and some other transversely isotropic planes. Buckling at large wavelengths compared to the
crack length was also observed as seen for the samples without cracks. The displacement vector diagrams
confirmed the observations from macroscale (Figures 8e–8h). The flow paths at the crack tips were
undisturbed, and the slip planes were marked by sharp and linear transition of displacement paths.
Microobservations under cross-polarized light revealed no slip along the crack interface (Figures 8i–8l). A
close inspection showed few layer-normal, randomly distributed tensile fractures in these samples.

3.7. Experiments With Multiple Faults

Two experiments were conducted with θ = 0° samples containing multiple faults of uniform orientation
(α = 30° and 60°). Macroscale observations revealed ductile shear localization at all the fault tips in both

Figure 10. Deformation features of (a) θ = 90° and (b) θ = 0° samples containing multiple cuts of two different α. The first
column shows the photographs of the deformed sample and deflected square grid pattern. The second column represents
the velocity path of the deformed samples deduced from the initial and final positions of the grids. The photographs of the
third column show cross-polarized thin section observations of the deformed samples. The bright areas in these photographs
represent localized deformation. The dashed yellow lines mark the initially straight single layer in each sample which passes
through the cut. Scale bar: 10 mm.

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 Journal of Geophysical Research: Solid Earth 10.1002/2014JB011780

(a) (e) (i)

θ = 0°, α = 70° θ = 90°, α = 70° θ = 45°, α = 70°

(b) (f) (j)

θ = 0°, α = 45° θ = 90°, α = 45° θ = 45°, α = 45°

(c) (g) (k)

θ = 0°, α = 20° θ = 90°, α = 20° θ = 45°, α = 20°

0 50 100 0 50 100 0 50 100

Yield Strength (MPa) Yield Strength (MPa) Yield Strength (MPa)

6 (d) θ = 0° (h) θ = 90° (l) θ = 45°

4 4 2
(Ptens / Pref)

2
2 1
0

0 0
0 2 4 6 8 10 12 14 0 2 4 6 8 10 12 14 0 2 4 6 8 10 12 14
Axial strain (%) Axial strain (%) Axial strain (%)

Figure 11. An example of the numerical modeling results described in detail in Appendix A. The plane-strain model has
horizontal dimension 6 cm and vertical 4 cm (like in analogue experiments). (a–c) Results of numerical experiments with
horizontal foliation after 12.5% axial strain for (a) α = 70°, (b) α = 45°, and (c) α = 20° crack orientations. The colors show yield
strength (MPa). The blue zones are the low-strength adhesive and strain-softened shear bands, where onset of strain
softening occurs for 8% strain. The white areas are the initial crack and tensile crack regions; tensile yielding allows this zone
to propagate into neighboring material (also white). (d) Smoothed time variation in maximum normalized tensile pressure
near crack tips as a function of axial strain for horizontal foliation. The blue curve shows α = 70°, red curve α = 45°, and
green curve α = 20°. Only the red curve shows tensile pressure significantly exceeding reference pressure, leading to crack
opening. (e and f) Equivalent results but for vertical foliation after 12.5% axial strain. (h) For this foliation orientation,
significant tensile opening occurs for cracks oriented at α = 70° and α = 45° as shown in the blue and red curves in the
smoothed time variation in tensile pressure. (i–k) Equivalent results for oblique foliation after 12.5% axial strain. While
sufficient tensile pressure initially develops for cracks oriented at α = 45° (red curve, Figure 11i), it does not persist, and
deformation is subsequently absorbed by foliation-parallel flow.

experiments (Figures 9a and 9b). The magnitude of localization was largest in α = 30° models. Confirming this
observation, the displacement vector diagrams further suggest a complex pattern of deformation relative to
single fault models (Figures 9c and 9d). Thin sections of these experiments showed the contrasting features
for α = 30° and 60° experiments. The two major differences observed were (i) shear bands in the α = 30°
experiments were more prominent, with sharper boundaries compared to those of α = 60° models, and (ii)
the relative slip along the fault interfaces was larger in α = 30° samples (Figures 9e and 9f). A pair of weakly
developed secondary shear bands was observed in α = 30° experiments. These secondary shear bands
connected the adjacent ends of neighboring fault tips (Figure 9e). As with all the other θ = 0° experiments
described, the region surrounding the fault of these two models was also characterized by microshear bands.
To test deformation style with variable α in a single sample, we ran two experiments with θ = 90° and θ = 0°
models. In θ = 90° models the preexisting faults were oriented at α = 20° and 60°. The deformed sample
showed a combination of opening and ductile shear bands at the tips of the α = 60° fault, whereas the

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 Journal of Geophysical Research: Solid Earth 10.1002/2014JB011780

deformation in the neighborhood of the α = 20° was negligible (Figure 10a). The displacement path plot also
showed no significant change of flow trajectory near the α = 20° fault tips; however, the α = 60° fault showed
flow perturbation at the tips (Figure 10c). The microscale photographs highlight the shear localization at the
α = 60° fault tips (Figure 10e). The opening mode of deformation was also associated with ductile strain. One
of the α = 20° fault tips showed ductile strain localization, whereas the other tip remained undeformed. The
α = 60° fault slipped about 2 mm along its interface; on the other hand, the interface of the α = 20° fault did
not slip. In experiment θ = 0°, deformation is more intense at the low-angle (α = 20°) fault tips compared to
the high-angle (α = 70°) one (Figure 10b). Both the displacement path diagram and microobservations also
showed maximum deformation at the α = 20° fault tips (Figure 10d). The θ = 20° sample was also
characterized by conjugate microshear bands; one set is more prominent than the other (Figure 10f).

4. Deformation Localization in Numerical Models

The results from the analogue experiments show a strong dependence of the deformation localization
mechanism on the orientations of both fault and planar anisotropies to the compressive stress direction.
We verified this finding further using numerical model experiments. A detailed account on the numerical
analysis is given in Appendix A. Figure 11 shows the numerical model results for the three different layer
orientations and fault angles after 12.5% axial strain. The numerical results match with the analogue
experiments (Figures 6–8) that variably show zones of tensile opening develop along PMMA layer
interfaces near the fault tips for particular layer and fault orientations. The greatest opening occurs for
vertical foliation and a 45° fault, where the tensile opening propagates vertically along the isotropy plane,
with the resultant structures resembling wing fractures. Concomitantly, ductile shear bands grow from the
fault tips, oriented ~45°, and propagate toward the boundaries. The inclined-layering model (layering at
45°) allowed the anisotropy interface to deform in distributed shear. The faults thus underwent little
reactivation, and the tensile stresses surrounding them remained low. In contrast, they developed high-
enough tensile stresses near the tips to open fractures in cases of horizontal and vertical layering. On the
other hand, the horizontal anisotropy arrested the fracture propagation as the weak layer interfaces that
might act potential paths for fracture propagation were oriented normal to the compression.

5. Discussion
According to the published literature, most of the foliated rocks (e.g., phyllite, schists, shale, slate, and
gneisses) show the lowest compressive strength (peak stress) when the plane of anisotropy occurs at an
angle of 30–45° to the principal compression direction. The strength gradually increases with either
decreasing (toward 0°) or increasing (toward 90°) foliation angles [Donath, 1964; Allirot et al., 1981;
Paterson and Weiss, 1966; Shea and Kronenberg, 1993]. The mechanical data of layered PPMA (without cut)
presented in Figure 3 and Table 1 indicate a similar behavior, where the peak stresses multiply a factor of
~4. Given this mechanical similarity between transversely isotropic rocks and our PMMA model, we are
confident that the layered PMMA models are a suitable analogue for studying the mechanics of
anisotropic rocks, provided that the experimental setup enforces plane-strain deformation under constant-
velocity boundary conditions. These conditions are appropriate for modeling outcrop-scale fracture
interaction in foliated rocks where the regional stress field is fairly uniform. We have excluded, however,
the influence of effective stresses and fluid pressure changes (e.g., near larger faults during the seismic
cycle); nor have we considered the behavior when the small cracks modeled here coalesce into a large,
throughgoing crack or fault that significantly changes the larger-scale stress field and regional mechanics.
We are also unable to comment on the role of increasing pressure-temperature (P-T) on our data, although
variable P-T conditions and frictional properties along the fault interface can greatly influence the damage
pattern at the fault tips.
The following section discusses the implications of the experimental results for the analysis of fault-tip
damage in foliated rocks, taking into account the effects of fault orientation and mechanical layering. We
refer to numerical experiments matching the conditions in the analogue experiments to further quantify
the competition between fracturing and shear bands during fault reactivation. In the last section, we use
the results from our rock analogue to upscale and help interpret field examples of outcrop-scale fault
reactivation in foliated rocks from an Archean-Proterozoic mobile belt in Eastern India.

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 Journal of Geophysical Research: Solid Earth 10.1002/2014JB011780

5.1. Effects of Mechanical Anisotropy

Earlier isotropic models showed that faults and fractures can reactivate irrespective of their orientations and
localize shear bands or wing fractures at their tips. Our present investigation demonstrates that mechanical
anisotropy can dramatically alter the reactivation and deformation style of inherent faults. In the presence of
significant transverse isotropy, faults undergo little reactivation unless the planar fabric is either parallel or
perpendicular to the bulk compression (σ 1) direction. For layers oriented obliquely to σ 1, strain partitioning
mediated by interlayer slip can accommodate distributed deformation in the bulk medium without fault
activation. The experiments indicate that inherited fractures or faults in foliated or layered terrains are less
likely to be reactivated if the foliation planes are oblique to the principal compression direction. The
fractures instead behave like passive surfaces, involving no slip-mediated stress intensification or localized
fractures or shear zones in their tip regions.
Our anisotropic models show significant shear localization at the tips of preexisting faults when they are
compressed either parallel or perpendicular to the layering. However, this localization, discussed in
section 3, differs greatly from that in isotropic models [Misra et al., 2009; Misra, 2011], where tips of faults
undergo localized plastic yield, forming shear bands. Mechanical instabilities at the layer boundaries act as
additional factors to promote the process of shear localization. Theoretical and experimental studies show
that closely spaced mechanical layering triggers instabilities to produce deformation bands under both
layer-normal and layer-parallel compression [Biot, 1964; Ghosh, 1968; Cobbold, 1976]. Layer-parallel
compression involves localized flexural rotation of layers, which intensifies further strain localization. Our
anisotropic models under layer-parallel compression readily produce shear zones, often in conjugate pairs,
preferentially at the crack tips. Two processes (flexural rotation of layers and plastic strain localization) act
in a coupled manner to promote their growth, leaving the wall regions free from any flexural instability.
On the other hand, models under layer-normal compression localize mechanical instability at the fault tips
in the form of sharp extensional kinks, coupled with intense plastic strain localization. Both the contraction
and the extensional shear zones show densely packed shear surfaces but with characteristic patterns. The
contraction deformation bands consist of a set of obliquely oriented secondary internal shear surfaces
with vergence against the shear sense. They resemble typical low-angle Riedel shear bands (Figure 4f),
widely reported from shear zones. In contrast, extensional deformation bands produce band-parallel shear
surfaces (Figure 4e).

5.2. Role of Initial Fault Orientation

Isotropic models predict the initial angle (α) of sliding faults to the bulk compression direction as the most
critical parameter in determining the brittle (wing fracturing) versus ductile (shear-band formation)
mechanism of deformation localization at the fault tips [Mutlu and Pollard, 2008; Misra et al., 2009; Misra,
2011]. For α < 45°, shear-band formation is the principal mechanism, which transitions to wing fracturing
as α > 45° [Misra et al., 2009; Misra, 2011]. Our study shows that planar strength anisotropy greatly
modifies the fault angle (α) effect on deformation and localization style. Anisotropic models produce
atypical wing fractures when they are compressed parallel to the anisotropy plane. Unlike isotropic
models, they only develop wing fractures for α ≤ 45°. Tip opening does not occur for α exceeding 60°,
where the localized deformation at fault tips is replaced entirely by shear-zone formation. Fault-parallel
shear localization in anisotropic models is coupled with the formation of secondary shear bands in the
fault wall regions. These bands are made up of discrete microshear surfaces. They grow preferentially at a
high angle to the preexisting faults and show an antithetic sense of shear. The initial fault orientation thus
determines the disposition of secondary shear-band growth in the wall regions. This type of high-angle
antithetic secondary shear fractures also has been reported from natural faults [McGrath and Davison,
1995; Vermilye and Scholz, 1998].
In nature, orientations of preexisting cracks, fractures, and mesoscale faults can be distributed either
systematically (e.g., uniform orientations) or randomly. Randomly oriented cracks, such as cooling cracks
and uplift-associated release cracks, form in a stress field with dilatational strains. Our multiple-crack
models indicate that randomly oriented faults reactivate selectively, leading to shear localization along
cracks at a favorable orientation to the stress field (Figure 10). Nonreactivated faults remain mostly passive,
with little or no role in the formation of damage zones. Our experimental findings thus have significant
implications in interpreting the structural development in multiply deformed terrains.

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 Journal of Geophysical Research: Solid Earth 10.1002/2014JB011780

6
Parallel (θ = 0 ) 5.3. Quantifying the Competition Between
Vertical (θ = 90 ) Tensile Opening and Shear-Band Formation
5
Inclined (θ = 45 )
We have investigated the competition between

Max (Ptens / Pref)

4
tensile fracturing and shear localization mechan-
3 isms using numerical model experiments that
included both shear-band formation at the fault
2 tips (induced by strain softening of the PMMA)
1
and tensile opening between PMMA layers
(details are given in the Appendix A). The numeri-
0 cal models show that there is a competition
0 20 40 60 80 100 between tensile opening and shear bands. Once
Crack orientation α ( )
sufficient shear strain has accumulated to strain
Figure 12. Numerical model summarizing the variation in tensile soften the matrix, the tensile-crack propagation
opening pressure Ptens normalized to the reference opening slows and the deformation style shifts to shear
pressure (Appendix A2) between PMMA layers as a function of bands, which most closely resembled the Type 4
crack angle and layering orientation with respect to compressive contractional kink bands shown in Figures 4 and 7.
stress direction. The smoothed lines are best fit guides to the
model data (symbols). In the numerical experiments shown in Figure 11,
the magnitude of tensile stresses required to pull-
apart the adhesive depends on the relative
orientation of the fault and the layering (Figures 11d, 11h, and 11l). Figure 12 shows maximum normalized
tensile opening pressure in the adhesive (defined in the Appendix A2 and Table A1) as a function of fault
angle relative to σ 1. Maximum tensile stresses are attained for only a limited period with increasing strain
and reduce once strain-softened shear bands have formed at the crack tips. This explains why, even when
peak-normalized tensile stresses temporarily exceed tensile limits, they must be greater than ~2–3X these
limits to cause significant tensile opening. The numerical models quantify the competition between wing
fracturing versus shear-band formation with increasing strain observed in the analogue experiments, where
shear bands become dominant once the strain accumulated at the tips is sufficient to cause plastic softening.

5.4. Fault Damage-Zone Analysis

Fault-tip damage zones [e.g., Kim et al., 2004] are characterized by fracture patterns that range from wing
cracks, to antithetic fault sets, and synthetic splay faults. Our present models provide a new insight into
these mechanisms in anisotropic rocks (Figure 13). When the anisotropy planes are oriented perpendicular
to the principal compression direction, the tip regions produce closely spaced synthetic branching shear
fractures (Figure 13b). They multiply in number and increase their spatial density with progressively
increasing strain localization in the tip damage zones. This fracture pattern is replaced by a set of obliquely
oriented antithetic shear fractures when the plane of bulk anisotropy is oriented parallel to the principal
compression direction (Figure 13c).
Faults also show wall damage zones. Like tip damage zones, wall damage is marked by a variety of
mechanisms, such en échelon extensional fractures, and conjugate sets of antithetic or synthetic faults.
Faults hosted in rocks with the anisotropy oriented along the principal compression direction localize
deformation mostly at their tips, leaving the walls almost unaffected by shear bands. In contrast, when the
anisotropy planes are oriented normal to the compression direction, faults produce abundant closely
spaced shear surfaces, forming wall damage zones. However, unlike isotropic models (Figure 13a), the wall
damage zones in our anisotropic models are characterized by a single set of antithetic shear surfaces,
which occur at high angles to the principal faults. Some of the models produce wall damage zones with
shear localization in conjugate sets (Figure 13c). However, in these models, synthetic shear surfaces
formed at low angles to the principal faults are outcompeted by the high-angle antithetic shear. In
summary, mechanical anisotropy promotes tip damage at the expense of wall damage; wall damage zones
are dominated by closely spaced antithetic shear formed at a high angle to the fault.

5.5. Field Observations

To provide an appropriate test of our anisotropy model we compare our experimental results with field
observations in strongly foliated rocks from the E-W trending Chotanagpur Granite Gneissic Complex

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 Journal of Geophysical Research: Solid Earth 10.1002/2014JB011780

(CGGC) of Eastern India [Mahadevan, 2002].

This terrain shows shear zones nucleated
around outcrop-scale inherited faults
(shear fractures).
We present an example of shear localiza-
tion at the tip of a preexisting, discrete
shear fracture hosted in a strongly foliated
quartzo-feldspathic rock (Figure 14a). The
fracture is oriented at an angle of ~42° to
the compression direction, as indicated by
associated compression structures, such as
folds. It has reactivated with a dextral
strike-slip motion, forming a fracture-
parallel, long (length about 3 times the frac-
ture length) ductile shear zone at the tip.
The finite shear decreases away from the
fracture tip. Shear-zone patterns in our
equivalent experimental models shows
excellent agreement with this field struc-
ture (Figures 6c and 6k). Our experiments
showed that crack-parallel shear zones are
enhanced if the cracks are oriented at
around 45° to the compression direction.
Their growth is weak if the cracks lie either
parallel or perpendicular to the compres-
sion direction. This experimental finding
explains why lower crack angles have
relatively weak localization of shear zones
(Figure 14b) in the field example from
the CGGC.
In the field, we have observed a sliding
fracture filled with quartzo-feldspathic mate-
rials hosted in granite gneiss (Figure 14c).
The fracture was reactivated in sinistral
slip, leading to a fracture-parallel, wide
shear zone at its tip with a synthetic, sinis-
tral sense of shear. This process of shear
localization at the tip coupled with the
formation of multiple narrow, antithetic
shear zones in the wall regions agrees with
antithetic microshear bands in the models
Figure 13. A summary diagram showing the possible damage (Figures 6 and 7).
localization at the fault/fracture tips in (a) isotropic (modified after Misra
In another field example (Figure 14d) the
et al. [2009]) and (b–d) transversely isotropic media. Abbreviations: SB:
shear band; TF: tensile fracture/opening; SF: shear fracture (fault); DSZ:
bulk compression was near-parallel to the
diffuse shear zone (Type 1); MSB: microshear band (Type 2); EKB:
foliation. Due to mechanical strength ani-
extensional kink band (Type 3); CKB: contractional kink band (Type 4).
sotropy, the foliation has undergone a
local buckling instability at the crack tip
and produced crack-parallel band structures. The field structure is in agreement with those produced in
the equivalent experimental models (e.g., Figures 7d and 7l).

Our experiments demonstrated that under the same stress field, two preexisting fractures can show large
differences in their reactivation depending on differences in their initial orientation (Figures 9 and 10).Field
observations suggest that two neighboring fractures or faults can similarly experience contrasting

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 Journal of Geophysical Research: Solid Earth 10.1002/2014JB011780

(a) (b)

(c) (d)

(e)

Figure 14. Field photographs illustrating outcrop-scale deformation localization at the tips of preexisting shear fractures
(marked by dotted yellow lines) hosted in strongly foliated gneissic rocks. Bulk compression direction, estimated from
other structures (e.g., buckle folds), is marked by white block arrows at the top left corner of each photograph. (a and b)
Examples of a single set of ductile shear localization at the fracture tips. (c) Two sets of oppositely moving ductile shear
zones originated from a shear fracture filled with quartzo-feldspathic materials. (d) Layer-parallel compression produced
fracture parallel shear bands. (e) Example of variable patterns of ductile shear localization at the tips of closely spaced
multiple shear fractures filled with quartzo-feldspathic aggregates.

kinematics in a tectonic belt (Figure 14c). One of the fractures has undergone reactivation with a strike-slip
displacement of 0.25 (normalized to fracture length), whereas the others show virtually no slip. This
difference in reactivation is also reflected in the localization of a spectacular ductile shear zone at the tip
of the fracture with larger slip. In multiple-crack model experiments, a row of parallel sliding cracks
activate differently when they are oriented at variable angles with respect to the compression direction
(Figure 10). A similar pattern of shear localization is seen in CGGC rocks (Figure 14e).

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 Journal of Geophysical Research: Solid Earth 10.1002/2014JB011780

6. Conclusions
Our experiments with models containing transverse isotropy show that planar mechanical anisotropy can
have significant effects on the localization of damage zones in the neighborhood of a fault, inherited flaw
or crack. The experimental results together with numerical models and field observations enhance
understanding of the localization and damage phenomena in transversely anisotropic media. The key
findings of this study are summarized below.
1. The mechanical response of materials with transverse isotropy largely depends on the orientation of the pla-
nar fabric with respect to the compressive stress direction. Both anisotropy-parallel and anisotropy-normal
compression show postyield strain hardening; however, materials with anisotropy-parallel compression lead
to brittle failure at relatively less axial shortening. Anisotropy-oblique compression is characterized by post-
yield strain softening.
2. The brittle (e.g., wing fractures) versus ductile (e.g., shear bands, extensional, and/or contractional kink
bands) type of deformation localization or damage at the fault/fracture tips is strongly controlled by
the orientation of the anisotropic plane (θ) and the fault surface (α) with respect to the bulk compression
direction.
3. In a mechanically layered system, this wing fracturing only occurs when the anisotropy planes lie near
parallel to the compression direction and the fault occurs at angles <45° to the compression direction.
4. The process of damage localization at the fault tips is promoted by anisotropy-controlled mechanical
instabilities.
5. Under layer-normal compression, the mechanical instabilities lead to fault-parallel or nearly parallel
extensional shear zones, characterized by a single set of densely packed shear surfaces parallel to the
shear-zone boundary.
6. Under layer-normal compression damage zones develop by localized flexural deformation of the layers
preferentially at the fault tips, giving rise to nearly fault-parallel contractional shear zones. The damage
zones are marked by a set of obliquely oriented shear surfaces.
7. Localization of fault-parallel damage zones at fault tips is coupled to transversely oriented shear zones
with an antithetic sense of shear. These transverse damage zones develop only when the anisotropy
planes oriented normal to the principal compression direction.
8. For obliquely oriented layers (~45° to the bulk shortening direction), interlayer-mediated slip dominates
over the process of deformation localization at the fault tips. Consequently, associated faults do not give
rise to damage zones.

Appendix A: Details of the Numerical Model

A1. Initial Calibration of Numerical Model Properties to Analogue Experiments

Without Cracks
The two-dimensional finite element code SULEC [Buiter and Ellis, 2012; Ellis et al., 2011] was used by
prescribing brittle, viscous, and elastic rheologies to model deformation. Thin adhesive layers were added
in between material representing PMMA to prescribe anisotropy. We used the stress-strain relationships from
section 3.1 (Figure 3) to calibrate the numerical experiments for crack-free anisotropic layering oriented
vertically, horizontally, and at 45° (Figure A1). The effective Young’s moduli of layered models between 0.7
and 1.7 GPa (Table 1) include both elastic and anelastic deformations. We found that to match the preyield
relationship between axial stress and axial strain (the straight-line parts of the relationships in Figure 3 and
Figure A1), we needed a shear modulus of G = 1.2 GPa. For a Poisson’s ratio of 0.2, this corresponds to
Young’s modulus E of around 2.9 GPa, ~1.5 times higher than that calculated for the PMMA by Misra et al.
[2009]. The initial gentle slope on the right-hand side of the plot for horizontal layering (Figure 3a) could
not be reproduced. We attribute this behavior in the analogue experiments to preliminary settling of small
air gaps in the PMMA.
Table A1 summarizes the best fit of prescribed frictional (brittle) and viscous yield in the PMMA and adhesive
to match bulk behavior (Figure 3). Brittle yield of the PMMA for the horizontal and vertical anisotropic layering
are fitted assuming a peak Von Mises cohesive strength of 65 MPa, that is, by prescribing a peak differential
yield stress (σ1-σ3) of 130 MPa, similar to that given by Misra et al. [2009]. Brittle softening occurs in the vertical

MISRA ET AL. FAULT DAMAGE IN ANISOTROPIC ROCKS 18

 Journal of Geophysical Research: Solid Earth 10.1002/2014JB011780

anisotropic experiment for axial strains

>8%. The gradual onset of yield was
approximated with a linear PMMA viscos-
ity of around 1012 Pa s
1, within the range
of viscosities calculated for pure PMMA by
Duckett et al. [1970] for similar displace-
ment rates. The adhesive was modeled
as a frictionally and viscously weak sub-
stance (Table A1) and best constrained
by the experiment with anisotropic planes
oriented at 45°. The sliding along adhesive
planes in this experiment dramatically
reduces peak strength compared to the
horizontally and vertically anisotropic
samples (Figure A1).

A2. Relationship Between

Tensile Stress and Pressure
Criterion for Crack Opening
Tensile opening in the numerical finite
element code SULEC is modeled by comput-
ing the pressure (mean stress) at each step
and using it to determine whether the tensile
yield limit in the adhesive and/or PMMA has
been exceeded (see below). Where this yield
condition is met, and an element is adjacent
to an already “open” element (e.g., the
imposed crack), material is overwritten by
low-strength “air” simulating the weakening
effects of crack formation; the volumetric
effects are neglected. The adjacency criterion
ensures that tensile cracks do not open
spontaneously but rather require propaga-
tion from an existing flaw.
The code SULEC models brittle yield
according to the Coulomb failure criterion
cast in terms of optimally oriented failure:

ðσ 1
σ 3 Þ ðσ 1 þ σ 3 Þ
¼ sinφ þ C cosφ (1)
2 2
where (σ 1, σ 3) are the maximum and
minimum principal compressive stresses, C
is the cohesion, and φ is the angle of
internal friction. Since we use cohesion to
prescribe brittle behavior in the PMMA and
neglect pressure dependence, this can be
simplified to
Figure A1. (a) Comparison between stress-strain curves from analogue
experiments (dotted lines) and numerical experiments. (b) Yield strength ðσ 1
σ 3 Þ ¼ 2C (2)
(MPa) for numerical calibration experiments with (Figure A1a) parallel
(θ = 0°) layering, (Figure A1b) vertical (θ = 90°) layering, and (c) inclined At tensile failure:
(θ = 45°) layering. The 2 mm thick PMMA layers are separated by 1 mm
thick adhesive.
σ 3 ¼
T 0 (3)
where T0 is the tensile yield strength.

MISRA ET AL. FAULT DAMAGE IN ANISOTROPIC ROCKS 19

 Journal of Geophysical Research: Solid Earth
Acknowledgments
The authors thank laboratory support
from S. Mawdesley, P. Berker, Z. Bruce,
and B. Durrant. B. Jensen assisted in
preparing the analogue models.
Stimulating discussions with
M. McSaveney at different stages of
the work is greatly acknowledged.
M. McSaveney and F.D. Pasqua read the
manuscript critically. The Associate Editor,
J. Sarout and an anonymous reviewer
provided helpful suggestions in revising
the manuscript. S.M. and S.E. acknowledge
Strategic Development Fund from GNS
and Public Research Fund from New
Zealand Government, respectively. N.M.
thanks the DST, India for awarding him
J.C. Bose Fellowship. The data of the
paper can be obtained directly from
the corresponding author.
MISRA ET AL.
10.1002/2014JB011780
Table A1. Numerical Model Parameters: Best Fit Calibration
Rheological Parameter Best Fit Value Constrained by
PMMA Shear modulus (GPa) 1.2 Vertical layering experiment
PMMA Poisson’s ratio 0.25 Analogue axial:radial strain
PMMA Initial, final yield stress 65–40 (softens between finite Horizontal, vertical crack
(τ y = (differential stress)/2) (MPa) strain = 8–10%) experiments
PMMA tensile strength (MPa), equivalent 80,
15 Calibration with pure PMMA from
tensile pressure limit (MPa) Misra et al. [2009] and Idemat [2003]

1
1
13 12
PMMA A (Pa s) and viscosity (Pa s ) 5 × 10 ; 1 × 10 Horizontal, vertical experiments
Adhesive initial, final yield stress (MPa) 20–10 (softens between finite 45° layering experiments
strain 0–2%)

1
1
11 10
Adhesive A (Pa s) and viscosity (Pa s ) 4 × 10 ; 1.25 × 10 45° layering experiments
Adhesive tensile strength (MPa), equivalent 14,
4 Best fit from crack experiments
tensile pressure limit Pref
in softened adhesive (MPa)
Crack friction coefficient, cohesion (MPa) 0.17, 0.05 Best fit from crack experiments

1
6
Vertical velocity (ms ) 1.667 × 10 Analogue setup
Model element size in x, y (mm) 0.2 -
Equations (2) and (3) can be combined to give
σ 1 ¼ 2C
T 0 (4)
Writing in terms of 2-D mean stress:
ðσ 1 þ σ 3 Þ
¼ C
T0 (5)
2
For example, for PMMA with C = 65 MPa (Appendix A1) and T0 = 80 MPa (Idemat material database 2003),
tensile opening will occur for pressures less than
15 MPa. The softened adhesive has a cohesion of
10 MPa and a lower tensile limit of T0 = 14 MPa which means that tensile opening occurs for pressures less
than
4 MPa. We show the minimum pressure in the adhesive material surrounding the crack, Ptens,
normalized to the reference pressure for opening softened adhesive material, Pref =
4 MPa (Figures 11d,
11h, and 11l).
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