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Thermodynamics of folding in the middle to lower crust

Bruce Hobbs
Commonwealth Scientific and Industrial Research Organization Exploration and Mining,
PO Box 1130, Bentley, Western Australia 6102, Australia
Klaus Regenauer-Lieb
CSIRO Exploration and Mining, PO Box 1130, Bentley, Western Australia 6102, Australia, and
The School of Earth and Geographical Sciences, University of Western Australia, Perth, Western Australia 6009, Australia
Alison Ord
Commonwealth Scientific and Industrial Research Organization Exploration and Mining,
PO Box 1130, Bentley, Western Australia 6102, Australia

ABSTRACT
We show that dissipative processes involving thermal-mechanical coupling produce fold
systems with characteristics observed in the middle to lower crust. These comprise folds in
layers with little strength contrast, scale invariance, no strict periodicity, small wavelength/
thickness ratios, nonconcentric fold shapes, and axial plane crenulations. This contrasts with
classical folding theory that emphasizes large mechanical contrasts between a weak matrix and
strong embedded layers leading to periodic concentric fold systems with no formal link to axial
plane structures.

Keywords: folding, thermodynamics, thermal-mechanical coupling.

INTRODUCTION
This paper is about folding in layered elastic-plastic-viscous mate-
rials with feedback coupling between heat generated by the deformation
and the temperature-dependent viscosity of the material. The conditions
are those of the middle to lower crust. The folding process differs sig-
nificantly from the classical Biot approach; instead of a single dominant
wavelength, folds develop at a range of scales. Folds formed at the kilo-
meter scale are governed by the thermal diffusivity, but folds also develop
at smaller scales governed by the heterogeneous distribution of thermal
conductivity arising from fluctuations in mineralogy.
BACKGROUND
For more than 110 yr, the processes involved in the formation of folds
in geological layered systems have been envisaged as buckling instabili-
ties controlled by the strongest (or more competent) layers in the system
(Willis, 1893; Biot, 1965; Johnson and Fletcher, 1994). Such notions fol-
low intuitively from classic Euler unconfined elastic buckling behavior
(Jaeger, 1969). The essence of the classic folding theory presented by
Biot (1965) for a strong layer embedded in another weaker material is that
shortening of the system is intrinsically unstable because some initial geo-
metrical perturbations are amplified by the deformation. Commonly, only
one wavelength of the perturbations grows preferentially, at an exponen-
tial rate depending upon the contrast in mechanical properties of the layer
with its matrix. This contrast, however, needs to be >100 for significant
fold growth to occur (Biot, 1965). For large enough mechanical contrasts,
this process leads to a single wavelength, periodic fold train, the wave-
length of which is the Biot dominant wavelength, λB (Biot, 1965), given
for a viscous layer embedded in a viscous matrix by
ηL
λ B = 2 πH 3 6 ηE ,
(1)
where H is the layer thickness, and ηL and ηE are the viscosities of the
layer and the embedding matrix, respectively. The expression is similar
for power law viscous materials (Fletcher, 1974; Smith, 1979; Mühl-
haus et al., 1998), but the dominant wavelength can be <λB. For some
elastic-viscous materials, more than one wavelength develops (Hunt
et al., 1996; Mühlhaus et al., 1998; Hobbs et al., 2000). This approach
has become entrenched in the geological literature to the extent that text-
books in structural geology (Ramsay, 1967; Hobbs et al., 1976; Price
and Cosgrove, 1990; Twiss and Moores, 1992) admit no other mecha-
nisms of folding, although there is a strong emphasis in some works that
processes involving shortening normal to the axial plane are dominant in
natural fold formation (Turner and Weiss, 1963). This classic approach
involves a mechanical formulation in which the balances of mass and of
momentum constitute the governing equations. Dissipation of energy is
not included in most of the geological literature, although Biot (1958,
1965) considered energy dissipation as a fundamental process operating
during deformation, and he expressed the instability evolution during
folding in terms of the Helmholtz free energy and the dissipation func-
tion. This means that in folding theory, except for Biot’s work and a few
other instances (Fletcher, 1982; Hobbs et al., 2000), there has been no
coupling of deformation to other processes, such as thermal transport,
fluid flow, chemical reactions, and damage and fabric evolution, that
influence both the mechanical properties and the energy fluxes in the
system. We refer to the classic approaches as uncoupled approaches,
and the framework developed in this article as a coupled approach. The
uncoupled theory qualitatively explains the first-order geometrical fea-
tures of folds, i.e., periodicity and a wavelength proportional to the layer
thickness. However, the uncoupled approach does not reproduce quan-
titatively what is observed geologically, i.e., a range of wavelength-to-
thickness ratios compatible with realistic fold growth rates, and the fact
that strictly periodic fold systems are rare and that parasitic folds of vari-
ous orders are the norm. The distribution of the shapes and wavelengths
of natural folds is commonly scale invariant, so folds at the microscale
resemble folds at the mesocale and macroscale. Moreover, experimental
data (Ranalli, 1995), given in Table 1 for a feldspathic layer embedded
in quartzite, indicate that at a strain rate of 10–13 s–1 and a temperature of
530 K, the contrast in viscosity (measured as the second invariant of the
deviatoric stress divided by the associated strain rate) is 3.5, implying
from equation 1 a dominant wavelength/thickness ratio of 5.2. At such
low viscosity contrasts, fold growth, according to classic theory (Biot,
1965), is small or nonexistent, and one would not expect folds to form.
We show that realistic folds develop for such low-viscosity contrasts
through thermal-mechanical coupling.

© 2007 Geological Society of America. For permission to copy, contact Copyright Permissions, GSA, or editing@geosociety.org.
GEOLOGY,
Geology, February
February 2007
2007; v. 35; no. 2; p. 175–178; doi: 10.1130/G23188A.1; 3 figures; 1 tables; Data Repository item 2007040. 175
 Downloaded from geology.gsapubs.org on September 28, 2015
TABLE 1. MODELING PARAMETERS
Quantity Description Units
A Quartzite Pre-exponential factor for quartzite flow law Pa–n s–1
A Feldspar rich Pre-exponential factor for feldspar-rich Pa–n s–1
flow law
Q Quartzite Activation enthalpy for quartzite flow law J mol–1
Q Feldspar rich Activation enthalpy for feldspar-rich flow law J mol–1
n Quartzite Power law exponent for quartzite flow law — 4
n Feldspar rich Power law exponent for feldspar-rich flow law — 3.1
E Young’s Modulus for quartzite and feldspar Pa
flow laws
ν Poisson’s ratio for quartzite and feldspar — 0.3
flow laws
α Volumetric expansion coefficient for quartzite K–1
and feldspar layers
cp Specific heat at constant pressure for all J kg–1K–1
materials
ρ Density of all materials kg m–3
κ Thermal diffusivity of all materials m2 s–1
DEFORMATION IN COUPLED SYSTEMS
In deforming systems where several processes operate such that each
has feedback influences on the others, we speak of coupled systems. A
classic example is the influence of fluid pressure upon the effective stress
in a fluid-saturated deforming porous medium (Coussy, 1995). A second
example is the influence of temperature arising from mechanical dissipa-
tion upon the strength of materials with temperature-dependent mechani-
cal properties (Ogawa, 1987; Hobbs and Ord, 1988). Another example is
the influence of energy dissipated by chemical reactions upon the effective
viscosity of viscoelastic materials (Haase, 1969).
The important issue is that many of these feedback interactions can
lead to instability of the deformation. A deforming body is said to be stable
if a vanishingly small perturbation in the deformation remains vanishingly
small (Hill, 1959; Koiter, 1960). If these perturbations grow with time,
then the system is unstable. Instabilities, as emphasized by Biot (1965),
can be of two kinds: (1) the growth of initial geometrical, chemical, physi-
cal, and microstructural irregularities in the system, and (2) bifurcation
phenomena where the system spontaneously transforms to a deformation
mode different to the stationary state (Coussy, 1995; Nguyen, 2000). Shear
band formation is an example of a bifurcation phenomenon.
In all these systems, which by their nature are thermodynamically
irreversible, the underlying principle is that the dissipation of energy must
be nonnegative to satisfy the Second Law of Thermodynamics (expressed
by Truesdell and Toupin [1960] as the Clausius-Duhem inequality). The
stability of the system is governed by the dissipation function (Ziegler,
1983) and by the Helmholtz free energy, as initially expressed by Biot
(1965) and elaborated upon by Nguyen (2000).
FOLDING IN THERMAL-MECHANICAL SYSTEMS
Details of the mathematical formulation for systems of interest here
are given in the GSA Data Repository1. Briefly, we employ an elastic-
plastic von Mises yield function (Regenauer-Lieb and Yuen, 2003) with a
power law creep function characterized by a stress exponent, n, and Arrhe-
nius temperature dependence with an activation enthalpy, Q. The elastic
term contains a contribution arising from thermal expansion. Details of
the constitutive parameters are given in Table 1. The governing equations
comprise the continuity and momentum equations together with an energy
equation that describes the evolution of temperature with time and has
contributions from shear heating arising from mechanical dissipative proc-
esses, together with temperature changes arising from isentropic work and
1
GSA Data Repository item 2007040, mathematical formulation, is avail-
able online at www.geosociety.org/pubs/ft2007.htm, or on request from editing@
geosociety.org or Documents Secretary, GSA, P.O. Box 9140, Boulder, CO
80301, USA.
176
from thermal conduction with thermal diffusivity, κ. The continuity equa-
Value tion is coupled to the energy equation.
1.33 x 10–34 Two competing physical processes are essential for thermal-mechan-
7.84 x 10–26 ical instabilities to develop; one involves the energy stored during deforma-
135 x 103 tion and the other involves the energy dissipated during deformation. The
163 x 103 deforming rock matrix stores energy by elastic deformation of the crys-
talline lattice and by producing microstructural defects such as disloca-
4.5 x 109 tion arrangements, microcracks, or grain size changes. These processes
are expressed as strain hardening. The second process is the dissipation
of energy, which appears as heat. This in turn weakens the material if
3.1 x 10–5 temperature-dependent processes dominate. For power law creep flow, the
viscosity within a one-dimensional shear zone is described (Yuen et al.,
1450
1978; Fleitout and Froidevaux, 1980) by
2750
0.6 x 10–6 R Tc 2
ηeff ≈ 8κρc p , (2)
Q ε2k 2
where ηeff is the effective viscosity within the shear zone; Tc is a critical
temperature; ε̇ is the instantaneous strain rate within the shear zone of
initial, but collapsing, thickness k; κ is the thermal diffusivity; ρ is the
density; and cp is the specific heat. Equation 2 describes the temperature
at the center of the shear zone at the beginning of localization, and implies
that an order of magnitude increase in strain rate within such a shear zone
leads to a viscosity decrease of two orders of magnitude. As the shear-
ing progresses and heat is conducted from the shear zone, two processes
operate: (1) the viscosity within the shear zone decreases through thermal-
mechanical feedback, and (2) the thickness changes until the heat gener-
ated within the shear zone balances that lost to the surrounding material
by conduction. At this stage the shear zone has achieved its minimum
effective viscosity and maximum strain rate, ε̇max, related by
R Tc 2
ηeff ≈ 2ρc p , (3)
Q ε max
and a steady-state width, ltherm, given by Equation 4. Equation 3 is exact
for Newtonian viscous flow (n = 1) and a good approximation for power
law viscous flow (Fleitout and Froidevaux, 1980). While the analytical
approaches based on linear stability analyses (Ogawa, 1987; Hobbs and
Ord, 1988) give insight into the instabilities associated with shear zone
development, numerical models are required to investigate details of the
growth of instabilities and how they may nucleate folds. Whether new
instabilities develop during folding, and whether their development influ-
ences fold shape or fold evolution, can only be addressed numerically.
Details of the theory behind the results have been presented (Regenauer-
Lieb and Yuen, 2003; Regenauer-Lieb et al., 2006).
Numerical Model Setup
Folding behavior in thermal-mechanical coupled systems is illus-
trated in a generic model that incorporates a variety of length scales. This
enables the generation of folds spanning lengths from meters to kilome-
ters. We reproduce examples at the intermediate scale. The initial length of
this model is 13.2 km and the height is 3 km. A feldspathic layer of initial
thickness 400 m is embedded in a quartz-rich matrix. We present results
for a single-layer model at 530 K. The models are initially isothermal.
Our rationale for this derives from a consideration of the thermal Peclet
number, Pethermal, which is the ratio of heat transport due to advection by
the deforming material to heat transport by conduction. This dimension-
L2 ε Total
less number is given by Pe thermal = , where L is the height of the
κ
model. In the models considered, Pethermal begins at 0.9 increasing during
deformation to >8.0. Thus heat is moved by the deforming material faster
than by conduction, so the local temperature in the model stays constant
except for temperature changes induced by the deformation. Although ini-
GEOLOGY, February 2007
 Downloaded from geology.gsapubs.org on September 28, 2015
tial geothermal gradients could be considered, we have opted to neglect
them in order to understand the mechanisms involved. Fine-scale hetero-
geneity is introduced by incorporating random thermal perturbations
associated with a thermal expansion strain of ~10−9. These initial pertur-
bations act as white noise for thermal-mechanical instabilities, which in
turn cause thermal strain five orders of magnitude larger than that of the
random perturbations. Perturbations may be interpreted as small scale
and compositional, such as would arise in an assemblage of quartz, feld-
spar, and mica. Although this is a realistic thermal-mechanical effect, the
perturbations also have a pure computational meaning in that they allow
thermal-mechanical instabilities to arise around perturbations rather than
nucleating from numerical round-off errors that are sensitive to the geom-
etry of the finite element mesh. In all models, the initial topography of
the quartz-feldspar interface is perturbed following an elastic eigenmode
analysis (first 20 modes are perturbed), allowing the possibility for classi-
cal folding instabilities to develop, if such a mechanism dominates.
NUMERICAL SIMULATIONS
We specifically explore the behavior of systems in which there is an
initial small contrast in mechanical properties between the layer and the
embedding matrix. The example is that used earlier (for constitutive param-
eters, see Table 1). As indicated, at 530 K the viscosity contrast is 3.5, which
in classic uncoupled theory would produce no fold amplification.
Figure 1 shows results for single-layer folding with no initial fine-
scale heterogeneity. The maximum contrast in the second invariant of the
stress, J2, at this stage of deformation, is ~10. Large-scale ductile shear
zones appear, arising from shear heating feedback, after 1 m.y. of short-
ening (Fig. 1B). At this large scale, shear heating feedback is the most
efficient mechanism leading to instability: although the opportunity exists
within the model setup for folds to develop by the classic Biot mecha-
Figure 1. Model setup: single stiff feldspathic layer is embedded in
soft quartz-rich matrix and is subject to layer-parallel shortening.
⎛3
A: Second invariant of deviatoric stress tensor, σ′ij , J 2 = ⎜ σ ij′ σ ij′ ⎟ .
⎝2
J2
B: Corresponding instantaneous effective viscosity, ηeff (see
ε eff
text). Shear zones are highlighted by low effective viscosities corre-
sponding to high local strain rates emerging from background strain
rate of 1 × 10−14s–1.
GEOLOGY, February 2007
nism arising from initial geometrical perturbations driven by weak viscos-
ity contrasts, the perturbations induced by thermal-mechanical feedback
grow fastest. At this scale, the intersections of developing shear zones
with layer boundaries act as nucleation points for fold hinges. At these
intersections the effective viscosity of the feldspar rich material is reduced
due to shear heating in accordance with Equation 3, and these weakened
areas act as nucleation sites for localized buckles. The scaling length for
thermal-mechanical shear heating feedback is the thermal diffusion length
scale given by the thermal diffusion equation (Carslaw and Jaeger, 1959),
κ
l therm = 2 , (4)
ε max
where κ is ~10−6 m2s–1 and ε̇max is the maximum shear strain rate in the
shear zone at quasi-steady state (~10−12 s–1). Therefore, ltherm is ~2 km.
The reflection of shear zones from the boundaries of the layer together
with the inclination of shear zones at 45° to the bulk shortening axis means
that the wavelength of folds that develop is ~2H, a factor of 1.7 less than
λB predicted by Equation 1 if such folds were able to grow.
Figure 2 shows the geometry, viscosity, and thermally induced strain
after 76% shortening for the single layer case in which fine-scale hetero-
geneity is incorporated. Figure 2A shows the viscosity and Figure 2B
shows zones of intense inhomogeneity of thermal strain developed paral-
lel to the axial planes of folds. These zones coincide with zones of high-
viscosity contrast, as would be expected from Equation 3. The thermal
strain is defined as
ε ijthermal = αΔT δ ij , (5)
where ΔT is the temperature rise within a shear zone. It is this distribu-
tion of thermal strain, and its influence on the local viscosity, that feeds
back through Equation 3 to produce the fine-scale axial plane crenula-
tions shown in Figure 3. Small-scale folding instabilities nucleate on the
thermal expansion sites that have been inserted in the initial conditions.
The folds become attenuated with strong shortening normal to the axial
plane of the folds. The fold profiles are Type IA of Ramsay (1967). This
contrasts with concentric profiles developed in uncoupled systems (e.g.,
Schmalholz et al., 2001).
DISCUSSION
We have shown that coupling thermal and mechanical processes
during rock deformation in middle to lower crustal conditions leads to
fold systems that resemble those observed in natural fold systems. The
characteristics are a departure from strict periodicity in fold profiles,
the development of folds at many length scales, nonconcentric fold pro-
files, and a variety of axial plane structures. Moreover, these structures
develop with relatively small contrasts in mechanical properties between
the layers. These attributes are not predicted by classic uncoupled fold-
⎞
⎠
Figure 2. Single-layer system shortened at 530 K showing accumu-
lated deformation after 76% shortening. A: Effective viscosity ηeff.
B: Thermal strain εijthermal = αΔ
αΔT δij.
177
 Downloaded from geology.gsapubs.org on September 28, 2015
Figure 3. Simulation showing different wavelengths of folds. Large-
scale folds are triggered through ductile shear zones, as shown in
Figure 1, while smaller-scale folding is triggered by thermal strain
(cf. Fig. 2B). This in turn cascades downward into small-scale shear
bands.
ing theories (Biot, 1965). The results presented here do not preclude the
development of natural folds arising from classic uncoupled processes.
However, it seems unlikely that regimes exist in middle to lower crustal
situations where initial contrasts in mechanical properties could be high
enough for the classic uncoupled theory to hold. We have developed
the theory for temperature-dependent elastic-plastic-viscous (power
law) materials. Our discussion does not address the behavior of brittle
materials. We emphasize that coupling to the evolution of damage in the
material is necessary for brittle materials to be treated in the same man-
ner as viscous materials. In the examples presented, Equation 3 defines
the viscosity contrasts that develop with or without fine-scale hetero-
geneity. Equation 4 defines the length scales of folds that develop for a
given process that defines the diffusivity. The driver for the finer-scale
structure in examples presented arises from the thermal strains defined
by Equation 5.
ACKNOWLEDGMENTS
We thank Roberto Weinberg, John Batley, and an anonymous reviewer for
comments.
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Printed in USA
GEOLOGY, February 2007
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Geology

Thermodynamics of folding in the middle to lower crust

Bruce Hobbs, Klaus Regenauer-Lieb and Alison Ord

Geology 2007;35;175-178
doi: 10.1130/G23188A

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