Society of Economic Geologists

Reviews v. 14, 2001, p. 1–24

Chapter 1

Principles of Structural Control on Permeability and

Fluid Flow in Hydrothermal Systems
S. F. COX,†
Centre for Advanced Studies of Ore Systems, Department of Geology and Research School of Earth Sciences,
The Australian National University, Canberra, ACT 0200, Australia

M. A. KNACKSTEDT,
Research School of Physical Sciences and Engineering, The Australian National University, Canberra, ACT 0200, Australia

AND J. BRAUN
Research School of Earth Sciences, The Australian National University, Canberra, ACT 0200, Australia

Abstract

Fluid pathways between metal sources and sites of ore deposition in hydrothermal systems are gov-
erned by fluid pressure gradients, buoyancy effects, and the permeability distribution. Structural controls
on ore formation in many epigenetic systems derive largely from the role that deformation processes and
fluid pressures play in generating and maintaining permeability within active faults, shear zones, associ-
ated fracture networks, and various other structures at all crustal levels.
In hydrothermal systems with low intergranular porosity, pore connectivity is low, and fluid flow is typ-
ically controlled by fracture permeability. Deformation-induced fractures develop on scales from microns
to greater than hundreds of meters. Because mineral sealing of fractures can be rapid relative to the life-
times of hydrothermal systems, sustained fluid flow occurs only in active structures where permeability is
repeatedly renewed.
In the brittle upper crust, deformation-induced permeability is associated with macroscopic fracture ar-
rays and damage products produced in episodically slipping (seismogenic) and aseismically creeping faults,
growing folds, and related structures. In the more ductile mid- to lower crust, permeability enhancement is
associated with grain-scale dilatancy (especially in active shear zones), as well as with macroscopic hydraulic
fracture arrays. Below the seismic–aseismic transition, steady state creep leads to steady state permeability
and continuous fluid flow in actively deforming structures. In contrast, in the seismogenic regime, large
cyclic changes in permeability lead to episodic fluid flow in faults and associated fractures.
The geometry and distribution of fracture permeability is controlled fundamentally by stress and fluid
pressure states, but may also be influenced by preexisting mechanical anisotropies in the rock mass. Frac-
ture growth is favored in high pore fluid factor regimes, which develop especially where fluids discharge
from faults or shear zones beneath low-permeability flow barriers. Flow localization within faults and shear
zones occurs in areas of highest fracture aperture and fracture density, such as damage zones associated
with fault jogs, bends, and splays. Positive feedback between deformation, fluid flow, and fluid pressure
promotes fluid-driven growth of hydraulically linked networks of faults, fractures, and shear zones.
Evolution of fluid pathways on scales linking fluid reservoirs and ore deposits is influenced by the rel-
ative proportions of backbone, dangling, and isolated structures in the network. Modeling of the growth
of networks indicates that fracture systems reach the percolation threshold at low bulk strains. Just above
the percolation threshold, flow is concentrated along a small proportion of the total fracture population,
and favors localized ore deposition. At higher strains, flow is distributed more widely throughout the frac-
ture population and, accordingly, the potential for localized, high-grade ore deposition may be reduced.

Introduction monly localized within faults, shear zones, or associated frac-

THE FORMATION of many types of epigenetic ore deposits
involves some form of control by structures produced dur-
ing crustal deformation. In particular, ore deposition is com-
†Corresponding author: e-mail, sfcox@geology.anu.edu.au
ture systems. Additionally, mineralization can be restricted
to particular parts of faults or shear zones such as jogs or
bends (Hulin, 1929; Newhouse, 1942; McKinstry, 1948; Sib-
son, 1987), to fold-related structures such as saddle reefs
(Hulin, 1929; Chace, 1949; Cox et al., 1991), or related to
deformation around heterogeneities such as competent

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 2 COX ET AL.
rock masses (Oliver et al., 2001). Epigenetic mineralization
also is typically localized along low displacement faults and
fracture systems (e.g., Robert et al., 1995; Cox, 1999).
Hydrothermal mineral deposits are produced by focused
flow of large volumes of fluids (Henley et al., 1985; Fyfe,
1987; Cox, 1999). Mass balance calculations, based for
example on silica and metal solubility, indicate that time-
integrated fluid volumes in many types of hydrothermal ore
systems are typically greater than several cubic kilometers.
Crustal deformation processes influence fluid flow in
hydrothermal systems via controls on rock permeability and
the driving forces for fluid flow. Understanding how defor-
mation processes and structures influence permeability evo-
lution is a key aspect to understanding the architecture of
fluid pathways in hydrothermal systems, and the factors con-
trolling where ore deposits form along these pathways. This
review explores how active deformation controls the perme-
ability of rock masses through the formation of macroscopic
fracture systems, damage zones, and grain-scale microcrack
permeability within actively deforming structures. The role
of fluid pressures and stress regimes in driving permeability
enhancement and growth of permeable fault/fracture/
shear networks is highlighted. We outline how stress regimes
and variations in fluid pressure in hydrothermal systems gov-
ern the location and geometry of fluid pathways between
metal sources, fluid sources, and sites of ore deposition. We
also examine how linkages among structures develop during
progressive deformation, and how they control the architec-
ture of fluid pathways from deposit to crustal scales.
Principles of Fluid Flow in Porous and Fractured Rocks
Fluid migration through the Earth’s crust occurs in
response to various driving forces. The fluid flux and geom-
etry of flow is fundamentally controlled by permeability
variations in the crust. In this section, we outline the forces
driving crustal fluid flow and examine the dependence of
fluid flux on rock permeability. We also discuss how the evo-
lution of grain-scale to macroscopic permeability in
hydrothermal systems is influenced by stress regimes and
fluid pressure regimes during both brittle and ductile styles
of deformation. Two central points are highlighted: firstly,
the geometry of fluid pathways is strongly dependent on
the geometry and style of deformation; and secondly, per-
meability is a transient rock property that can be rapidly
reduced by porosity-destruction processes such as com-
paction and sealing of intergranular pores and fractures.
Maintenance of permeability and fluid flow in hydrother-
mal systems is, therefore, dependent upon active deforma-
tion repeatedly regenerating permeability. Accordingly,
fluid flow is localized within structures that were active dur-
ing the operation of hydrothermal systems.
Driving forces for fluid flow
Fluid flow occurs in response to two major classes of dri-
ving forces: (1) pressure-driven flow, and (2) buoyancy-
driven flow.
Pressure-driven flow arises from a number of causes. Par-
ticularly at crustal depths less than several kilometers, rock
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permeability is generally high enough that pore spaces are
highly interconnected and fluid pressures are close to
hydrostatic values (i.e., owing to the weight of the fluid col-
umn). In this regime, topographic relief is a major factor
establishing hydraulic gradients that drive subsurface flow
downward from regions of high topography towards
regions of lower topography. Depths of topographically
driven fluid penetration are typically up to several kilome-
ters (Forster and Smith, 1990).
Transient, deformation-induced pore pressure changes
that set up vertical and lateral hydraulic gradients can be
important at all crustal depths. These changes arise from
compaction of intergranular pore spaces during burial or
regional deformation, grain-scale dilatation associated with
granular flow, or from microscopic to macroscopic crack
growth and closure during deformation. Such deforma-
tion-induced pore pressure gradients are associated with
both small elastic responses (poroelastic effects) or larger
inelastic deformations of intergranular pore spaces and
fractures owing to stress changes associated with the seismic
cycle and heterogeneous deformation (Muir-Wood and
King, 1993). In particular, macroscopic dilatancy associated
with episodic fault slip exerts a powerful control on fluid
migration around active faults in the crustal seismogenic
regime (Sibson, 1987, 1993, 2001). Transient fluid migra-
tion in response to pressure gradients due to deformation-
induced grain-scale dilatancy during regional deformation
has been discussed by Cox and Etheridge (1989) and
McCaig and Knipe (1990), and modeled by Ord and Oliver
(1997) and Oliver et al. (2001).
Driving pressure-gradients within the crust are also gen-
erated by development of suprahydrostatic-pressured fluid
reservoirs. For example, suprahydrostatic fluid pressuriza-
tion can be associated with emplacement of magmas into a
cooler, porous, fluid-saturated rock-mass. Transient driving
pressure-gradients are also associated with metamorphic
fluid-production and fluid-absorption reactions (Walther,
1990; Rumble, 1994), as well as by fluid expulsion associ-
ated with crystallization of hydrous silicate melts. Modeling
of two-dimensional advective flow regimes associated with
drainage of suprahydrostatic reservoirs has been conducted
by Matthai and Roberts (1997). In these flow regimes, spa-
tial variations in permeability (for example, owing to the
presence of active and permeable faults or shear zones)
establish hydraulic gradients that focus fluid flow and gov-
ern flow pathways (Fig. 1). Temporal and spatial variations
in permeability induced by episodic fault rupture particu-
larly influence the dynamics of fluid flow in pressure-driven
flow regimes in the seismogenic upper crust (Sibson et al.,
1988; Cox, 1999; Sibson, 2001).
Buoyancy drive for crustal fluid flow arises from vertical
variations in fluid density, either through effects of tempera-
ture gradients or variable concentrations of dissolved species
(e.g., salinity) in pore fluids. Decreasing density of hydro-
thermal fluid with increasing temperature and depth for
many pore fluid compositions leads to gravitational instabil-
ity and convection of fluid through porous media in near-
hydrostatic fluid pressure regimes. An excellent example of
 PRINCIPLES OF STRUCTURAL CONTROL IN HYDROTHERMAL SYSTEMS
a η is the kinematic viscosity of the pore fluid; and
b a rock, and is particularly sensitive to the minimum throat
FIG. 1. Numerical (finite element) models simulating steady state, pres-
sure-driven fluid flow patterns around permeable faults or shear zones
embedded in a less permeable medium. A vertical lithostatic fluid pressure
gradient is maintained in the medium away from the fault. Length of flow
vectors corresponds to flow velocity; flow vectors within faults not shown.
Contours indicate departures of fluid pressure from lithostatic values: light
areas are below and dark areas are above lithostatic pressure. a. Simple pla-
nar fault or shear zone with a permeability 103 times that of the surround-
ing host rock matrix. Note fluid focusing at the upstream (lower) part of
the structure, and fluid discharge around the downstream (upper) part of
the structure. b. Fluid flow patterns associated with the presence of a fault
stepover region. Permeability and imposed fluid pressure gradients are
the same as in (a).
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3
this is provided by thermally driven convection around hot
intrusive complexes, as modeled by Norton and Knight
(1977), Forster and Smith (1990), and Cathles et al (1997).
Flow in porous media
In addition to a driving force, crustal fluid flow also
requires a rock mass with pore spaces to contain fluid, as
well as connectivity between pore spaces. The pore spaces
can be intergranular pores or grain-scale to macroscopic
fractures. The one-dimensional macroscopic flux of a sin-
gle-phase fluid in a horizontal plane through an isotropic,
porous medium is described by a simplified form of Darcy’s
law, which states that
q = Q/At = k/η (dP/dx), (1)
where
q is the fluid flux (i.e., the volume Q of fluid traversing
cross-sectional area A perpendicular to the x axis, per
unit time t);
k is the permeability of the porous medium;
dP/dx is the horizontal fluid pressure gradient that drives
flow (Bear, 1972; Fig. 2).
The volume flux has dimensions of velocity, and is some-
times referred to as the Darcian velocity. Note, however,
that the Darcian velocity is not the actual velocity at which
the fluid moves through the pore space. Rather, it is a mea-
sure of the fluid volume per unit time moving through unit
cross-sectional area of the rock. It is related to the real aver-
age fluid velocity, v, by the relationship,
q = v·Q. (2)
Particularly in low-porosity rocks, the real fluid velocity at
the pore scale can be much larger than the Darcian veloc-
ity. Darcy’s law assumes laminar flow, and applies in porous
rocks at flow rates up to about 1 m/s. At higher flow rates,
turbulence and high inertial forces lead to breakdown of
Darcy’s law (Guéguen and Palciauskas, 1994).
Permeability has units m2 (1 darcy = 10–12 m2), and is an
intrinsic rock property quantifying the capacity of fluids to
pass through rock. Permeability is influenced by the con-
nectivity between intergranular pore spaces or fractures in
size between connecting pores. Natural rocks have perme-
abilities that range over more than ten orders of magnitude
(Brace, 1990; Manning and Ingebritsen, 1999). For exam-
ple, porous sandstone (porosity, φ > 15%) and poorly com-
pacted tuffs can have permeabilities as high as 10–12 m2,
whereas unfractured, “tight” metamorphic or igneous rocks
can have permeabilities less than 10–22 m2. Fluid fluxes and
the geometry of flow are, therefore, particularly dependent
on spatial and time variations in permeability within the
crust. We examine below the critical effect of deformation
processes in generating large, although commonly tran-
sient, changes in rock permeability.
 4 COX ET AL.
DARCY’S LAW
Q/At = k/ η (dP/dx)
fluid volume, Q
area, A
driving pressure
FLUID PRESSURE
gradient,dP/dx
P1
P2
DISTANCE, x
FIG. 2. Darcy’s law and control of horizontal fluid flow rate by driving
pressure gradient, rock permeability, and fluid viscosity.
The Darcy equation also illustrates how fluid flux is
inversely proportional to the kinematic viscosity of the pore
fluid. At temperatures between 100° and 800°C, and pres-
sures between 50 and 300 MPa, the viscosity of water ranges
over about one order of magnitude (40–400 µ Pa·s),
decreasing with increasing temperature and decreasing
pressure (Haar et al., 1984). Viscosity increases with increas-
ing salinity (Garven and Freeze, 1984). The extreme range
in permeability in rocks compared with the much smaller
range in viscosity in typical ore fluids, means that variations
in permeability usually have a greater impact on fluid flux
than variations in viscosity in simple water-dominated
hydrothermal systems. The dynamics of two-phase flow in
porous media can lead to complex effects that will not be
treated in this review (Sahimi, 1994).
For fluid flow with a vertical component of motion (z
axis), the driving force for flow is not the absolute fluid
pressure gradient, but the nonhydrostatic component of
the gradient. An expanded expression for Darcy’s law is
given by the relationship,
qi = (kij/η )·(∂ P/∂ xj – ρ g(∂ z/∂ xj)),
where
qi is the fluid flux in the coordinate direction i;
kij is the permeability tensor (allowing for anisotropy of per-
meability);
ρ is the fluid density; and
g is the gravitational acceleration (Forster and Smith,
1990);
∂ P/∂ xj represents the driving force due to gradients in fluid
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pressure, whereas the ρ g(∂ z/∂ xj) term accounts for gravity
and also buoyancy effects associated with spatial variations
in fluid density. This full Darcian relationship illustrates
that the driving force for fluid flow is the difference
between the fluid pressure gradient and the hydrostatic
component of the fluid pressure gradient. This result is
illustrated by considering fluid pressure variations in a ver-
tical column of fluid in a porous medium with fully con-
nected porosity. The depth dependence of fluid pressure Pf
in a column of fluid at rest is given by
Pf = ρ gz, (4)
where z is the depth below the surface.
In this case, the vertical fluid pressure gradient, ρ g,
owing to the weight of the fluid column does not drive flow,
and is known as the hydrostatic fluid pressure gradient.
Deviations in dP/dz from ρ g are required to drive vertical
flow. Accordingly, for vertical flow of a uniform density
fluid, Darcy’s law reduces to
q = (k/η )·(dP/dz – ρ g). (5)
Where dP/dz is greater than ρ g, upwards flow occurs,
whereas if dP/dz is less than ρ g, downwards flow occurs in a
fluid of uniform density. For general pressure-driven flow in
rocks with isotropic permeability, flow is parallel to the non-
hydrostatic component of the fluid pressure gradient. Per-
meability anisotropy may result in flow that is not parallel to
the driving pressure gradient.
Types of porosity
Porosity, φ , is the ratio of the volume of void space to the
bulk volume of a porous medium,
φ = Vpores/(Vpores + Vsolids). (6)
Permeability is not always simply related to porosity. It is
dependent on various factors, including pore diameters
and shapes, diameters of pore throats (which connect large
intergranular pores), and connectivities between pores.
From the standpoint of flow through a porous medium, the
interconnected pore volume is of interest.
Porosity usually comprises intergranular porosity and
fracture porosity. Intergranular porosity, such as primary
pore spaces in poorly cemented or weakly compacted clas-
tic sediments and pyroclastic materials, can control fluid
(3) flow in shallow, low-temperature hydrothermal systems.
Examples include some carbonate-hosted Pb-Zn systems
(Garven, 1985) and some parts of shallow, volcanic-related
geothermal systems. Intergranular porosity, although usu-
ally very low, may also be present in metamorphic regimes
(Holness, 1997). Reaction-enhanced porosity is associated
with volume changes during metamorphic reactions at ele-
vated temperatures and pressures (Rumble et al., 1982;
Zhang et al., 2000). This effect is particularly important in
controlling grain-scale fluid infiltration in skarn environ-
 PRINCIPLES OF STRUCTURAL CONTROL IN HYDROTHERMAL SYSTEMS 5

ments, and pervasive hydrothermal alteration associated

with fluid discharge from fracture-controlled hydrothermal a
systems into relatively low-permeability wall-rocks. Volume
change between the solid reactants and reaction products
tends to produce transient changes in intergranular poros-
ity and permeability in these regimes. Macroscopically duc-
tile deformation in shear zones can be associated with grain
translation and grain-scale cracking, which also enhances
intergranular porosity. Similarly, in low-temperature brittle
deformation regimes, cataclasis in active fault zones may
modify the intergranular porosity of the host rocks.
In rocks with low, or poorly connected intergranular
porosity, fluid transport is controlled by fracture porosity.
Fractures can be present at scales ranging from grain-scale
to macroscopic (> tens of meters long). Fracture formation backbone pores
is usually controlled by the stress and fluid pressure states
pore throats
during deformation of a rock mass (see “Principles of dangling pores
Macroscopic Fracture Formation” below), but may also be
influenced by thermal shocking. isolated pores

Porosity-permeability relationships
Low temperature regimes—Clastic rocks and fault rocks: In low-
temperature crustal regimes where primary intergranular
porosity can survive for geologically long periods, perme-
ability exhibits a simple relationship with porosity, espe- b 10-11

cially at high porosities. For porosity greater than about 6 to

10 percent, pores are generally fully interconnected and 10-12 k∝φ 3
porosity is related to permeability by a relationship of the
PERMEABILITY, m 2

form
10-13
k ∝ φ n, (7)

where n is approximately 3. In this regime, permeability 10-14

decrease with decreasing porosity is controlled by pore
shrinkage. At lower porosities, progressive loss of connectiv-
10-15
ity between pores occurs through closure of narrow throats
between the larger intergranular pores. Pores that form part
of a connected network that spans the sample/system com-
10-16
prise what is known as the backbone porosity (Fig. 3a). All percolation threshold
flow is localized along this backbone pore network; accord-
ingly, the backbone porosity controls the permeability. The 10-17
remaining porosity comprises two elements: (1) isolated 0 0.05 0.10 0.15 0.20 0.25
pores, which do not connect with the backbone porosity, TOTAL POROSITY
even though they may form localized clusters of pores that
are connected to each other; and (2) dangling, or dead-end FIG. 3. a. Schematic illustration of classes of intergranular pores. Flow
pores, which connect to the backbone porosity from one rate is controlled by the backbone porosity, rather than by total porosity or
side only. Although they are part of the interconnected total connected (i.e., backbone + dangling) porosity. b. Relationship
between total porosity and permeability in Fontainebleau sandstone (after
porosity and contain pore fluid, they do not contribute to Bourbié and Zinszner, 1985). The percolation threshold porosity and the
the flow. At low porosities, permeability changes are directly relationship k ∝ φ 3 are indicated.
related to progressive changes in the relative proportions of
backbone, dangling, and isolated pores, as well as the total
porosity of a rock. threshold. Where permeability is controlled by approxi-
The relationship, k ∝ φ 3, breaks down where the back- mately equant intergranular pores, the percolation thresh-
bone porosity becomes less than the total porosity. At lower old typically occurs at total porosities in the range 3 to 6
porosity, permeability typically becomes more sensitive to percent in many types of clastic rocks.
small changes in porosity (Fig. 3b). The porosity at which Above the percolation threshold, permeability associated
all pore connectivity is lost (i.e., φ backbone = 0, φ isolated = 1) with intergranular porosity is influenced only moderately
and permeability vanishes, is known as the percolation by confining pressure (David and Darot, 1989). Permeabil-

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 6 COX ET AL.
ity decreases with increasing confining pressure (Fig. 4) in
response to elastic and inelastic deformation, causing pore
shrinkage and collapse. Note that at constant confining
pressure, changes in pore fluid pressure (i.e., changes in
effective confining pressure) lead to relatively small
changes in permeability. Poroelastic effects on total inter-
granular pore volume, driven by changes in stress states
associated with fault rupture events and interseismic stress
recovery, may play a role in episodic fluid redistribution
around active fault zones (Muir-Wood and King, 1993; Sib-
son, 1993). Such effects are likely to be a small part of the
overall fluid budget in a high-flux hydrothermal system.
The relationships between porosity, permeability, and
effective stresses, found for clastic sedimentary rocks, will
apply also to granular damage products (gouge, cataclasite,
and breccia) produced in fault zones.
High temperature regimes—metamorphic rocks: In high-
temperature metamorphic regimes, atomic diffusion,
creep, grain boundary migration, and chemical reactions
are fast on geologic timescales. In this case, intergranular
porosity and pore connectivity in rock-fluid systems is con-
trolled principally by interfacial surface energy effects, pro-
vided that the polycrystalline aggregate is not deforming.
Where pore shapes are controlled by surface energy mini-
mization, there is a balance of surface tension forces along
the surfaces where two solid grains and a fluid phase meet,
and we can define a dihedral wetting angle, Θ , which is the
angle between the two solid–fluid interfaces (Fig. 5a). The
magnitude of the wetting angle is controlled by the balance
of interfacial forces expressed by the relation,
Θ = 2 arcos(γ s–s/2γ s–fl),
where γ s–s and γ s–fl are the solid–solid and solid–fluid sur-
face energies per unit area, respectively (Smith, 1964).
2 isolated (Fig. 5c). In contrast, at dihedral wetting angles less
PERMEABILITY, x 10 -15 m2
1.8
1.6
1.4
1.2
10 20 30 40 50
CONFINING PRESSURE, MPa
FIG. 4. Relationship between permeability and confining pressure, at
various pore fluid pressures, in Fontainebleau sandstone with porosity of
0.06 (after David and Darot, 1989).
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a grain B
fluid
Θ
fluid
grain A grain C grain A grain C
b c
FIG. 5. Schematic illustration of pore geometries in polycrystalline grain
aggregates at elevated temperatures where pore shapes are controlled by
surface energy minimization. a. Cross section through a grain-edge chan-
nel; dihedral wetting angle, Θ , is indicated. b. For dihedral wetting angles
≤ 60°, fluid forms isolated pockets on two-grain interfaces, and fluid chan-
nels along three-grain edges may connect fluid pockets at four-grain cor-
ners. c. For dihedral wetting angles >60°, fluid on two-grain interfaces,
three-grain edges, and four-grain corners occurs as isolated pockets (after
Watson and Brenan, 1987).
The three-dimensional connectivity of intergranular
(8) pores in isotropic mineral aggregates is dictated by interfa-
cial wetting angles and total porosity. We distinguish
between pores that form at two-grain interfaces, along
three-grain edges, and at grain corners (Fig. 5). For dihe-
dral wetting angles greater than 60°, pores at two grain
interfaces tend to form isolated pockets. At low porosity,
grain-edge channels pinch off to form discontinuous beads
along grain edges, and pores at grain corners tend to be
than or equal to 60°, connectivity between pores at grain
corners may be provided to low porosities by continuous
channels along grain edges (Fig. 5b). For Θ greater than 0°,
the equilibrium fluid distribution on two-grain interfaces is
disconnected bubbles. Only in the extreme case of Θ equal
to 0° can a continuous fluid film exist stably on two-grain
40 MPa interfaces. Experimental studies of interfacial wetting
30 MPa
20 MPa angles for common minerals and pore fluids indicate that
10 MPa for some common mineral–fluid systems, dihedral wetting
angles are greater than 60° (Holness, 1997). For example,
in the quartz-H2O-CO2 system at elevated pressures and
60 70 temperatures in the range 950° to 1,150°C, dihedral wet-
ting angles are typically greater than 60° unless high solute
concentrations are present in the pore fluid (Watson and
Brenan, 1987).
The evolution of permeability with decreasing porosity at
elevated temperatures, where surface energy effects control
 PRINCIPLES OF STRUCTURAL CONTROL IN HYDROTHERMAL SYSTEMS 7

pore geometry, is illustrated by high-temperature isostatic

compaction experiments on calcite aggregates (Zhang et
a 10-15

al., 1994a). The overall porosity-permeability relationship is 10-16

similar to that for clastic sedimentary rocks (Fig. 6a). For

PERMEABILITY, m 2
the calcite-argon system, the dihedral wetting angle is 10-17
greater than 60°, so the situation is analogous to many min-
eral–fluid systems at elevated temperatures. The porosity- 10-18
permeability relationship approximately follows the cube
law (i.e., n = 3 in equation 7) to porosities down to about 10-19
0.06, where full connectivity between pores starts to be lost
(Fig. 6b). Below this porosity, permeability is much more 10-20
strongly dependent on total porosity. The critical porosity,
φ c, at which pores completely lose connectivity (i.e., the per- 10-21
colation threshold) occurs at a porosity of 0.04. For min- 0 0.05 0.1 0.15 0.2
eral–fluid systems with wetting angles less than 60°, the per- TOTAL POROSITY
colation threshold will occur at porosities less than 0.04.
Near φ c, the permeability of the intergranular pore network
obeys the scaling law (Knackstedt and Cox, 1995),
b 0.16
experimentally measured
k ∝ (φ – φ 2
c) . (9)

For high-temperature, isostatically stressed (i.e., all prin-
cipal stresses equal) mineral–fluid systems, where pore
geometry is controlled by minimization of interfacial sur-
face energy, dihedral wetting angles have a profound effect
on fluid transport. For wetting angles greater than about
60°, pore connectivity is lost at porosities of several per-
cent. Accordingly, many metamorphic fluid–rock systems,
which have porosities less than one percent, will be below
the percolation threshold and effectively impermeable,
unless deformation processes actively generate fracture
networks.
Fracture-controlled fluid flow
In hydrothermal systems where compaction, pore sealing
processes, or diffusion-controlled surface energy effects
have driven intergranular porosity below the percolation
threshold, fluid migration is dependent on the generation
of fracture porosity.
Macroscopic to microscopic fractures at low temperatures: For
steady state, laminar, incompressible flow in an ideal, hori-
zontal, parallel-sided plane fracture, the volume flow rate
(m3/s) is given by the relationship,
Q = wb3/12η ·(dP/dx),
where
b is the fracture aperture;
w is the width of the fracture (measured in the fracture
plane); and
dP/dx is the fluid pressure gradient along the fracture
(Guéguen and Dienes, 1989).
By analogy with Darcy’s law, for a fracture with cross-
sectional area wb, the equivalent fracture permeability is
given by
k = b2/12.
ACCESSIBLE POROSITY
model backbone porosity
0.12
0.08
0.04
0
0 0.04 0.08 0.12 0.16
TOTAL POROSITY
FIG. 6. a. Porosity–permeability relationships for calcite grain aggre-
gates, isostatically hot-pressed at temperatures between 360° and 560°C.
Confining pressures ranged from 200 to 300 MPa and argon pore fluid
pressures ranged from 100 to 250 MPa (after Zhang et al., 1994a). b. Rela-
tionship between total porosity and connected (or accessible) porosity
experimentally determined during isostatic hot-pressing of calcite aggre-
gates. Also shown are numerically modeled values of the backbone poros-
ity. Modified after Zhang et al. (1994a) and Knackstedt and Cox (1995).
In reality, relationships between fracture apertures and
flow rates are more complicated owing to the effects of frac-
ture roughness leading to aperture changes and tortuous
(10) flow paths. Experimental studies provide clear evidence of
surface roughness causing departures from the cubic law in
natural rough fractures (Witherspoon et al., 1980; Tsang
and Witherspoon, 1981; Brown, 1987). Numerical model-
ing of flow through rough fractures also confirms that frac-
ture roughness and tortuosity lead to substantial departures
from the cubic law (Waite et al., 1999).
Because cracks have high aspect ratios, elastic opening or
closure of cracks in response to changes in effective stress
states has important effects on crack aperture and perme-
ability (Walsh, 1981). The dependence of fracture perme-
ability on effective confining pressure (i.e., confining pres-
(11) sure – fluid pressure), illustrated in Figure 7, shows that the

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 8 COX ET AL.
60
PERMEABILITY, x10 -14 m2
40
20
10
8 fluid-rock interaction in exhumed shear zones, indicate
6 with macroscopically ductile deformation. Experimental
4 studies indicate that macroscopically ductile deformation at
0 50 100 150
EFFECTIVE CONFINING PRESSURE, MPa
FIG. 7. Dependence of crack permeability on effective confining pres-
sure (after Guéguen and Palciauskas, 1994).
pressure dependence is substantially greater than for mate-
rials where permeability is controlled by approximately
equant intergranular pores (Fig. 4). Accordingly, low poro-
elastic and inelastic strains in cracked rocks will be more
effective than deformation of intergranular pores in chang-
ing permeability, and driving fluid redistribution in
response to stress changes (e.g., around active faults).
For a cracked rock with fracture porosity φ f, and where
penny-shaped cracks are fully interconnected and ran-
domly oriented, permeability k is given by
k = a2φ f/3,
where a is the average crack half-aperture. For an average
crack radius, r, and average crack spacing, l,
φ f = 2π r2a/l3,
and so (Guéguen and Palciauskas, 1994),
k = 2π r2a3/3l3.
This relationship holds true for fractured media where
fractures are developed at microscopic to macroscopic
scales. It illustrates how both fracture density and fracture
connectivity play a critical role in controlling permeability.
For randomly distributed fractures that are not fully con-
nected, permeability is given by
k = (4π /15)·fa3r2/l3,
where connectivity, f, is 0 ≤ f ≤ 1 (Guéguen and Dienes,
1989). As in the case for a single fracture, this relationship
illustrates how the permeability of a cracked medium is very
sensitive to average fracture aperture. The evolution of con-
nectivity among elements of networks of fractures, faults,
and shear zones, and its influence on flow architecture, is
an important aspect of the evolution of hydrothermal sys-
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tems, and is discussed below in “Evolution of Flow Pathways
during Deformation.”
In summary, for flow in fracture-controlled hydrothermal
systems, the highest flux will occur where and when (1)
fracture apertures are highest, (2) fracture density is high-
est, and (3) fracture connectivity is highest.
Permeability during macroscopically ductile deformation:
Experimental results, together with field observations of
that permeability enhancement is commonly associated
200 elevated temperatures and confining pressures is only asso-
ciated with permeability enhancement when a component
of strain (albeit small) is accommodated by microfractur-
ing, which generates grain-scale fluid pathways.
The evolution of permeability during deformation
involving both intragranular plastic deformation and grain-
scale crack growth is illustrated by experimental studies on
calcite rocks (Zhang et al., 1994b). This work demonstrates
that for low effective confining pressures, permeability
increase with increasing strain can be very rapid and large
(Fig. 8a, b). For example, at an effective confining pressure
of 30 MPa, permeability increases by two orders of magni-
tude with three percent shortening, and increases by a fur-
ther order of magnitude after ten percent shortening. Only
small increases in permeability occur with higher strains,
however.
Major increase in permeability, at strains as low as a few
percent, is associated with growth of microcracks and
(12) rapid development of connectivity in grain-scale crack net-
works (Fig. 9a). Such behavior persists well into the domi-
nantly crystal plastic deformation regime, provided that
fluid pressures are high enough to facilitate some defor-
mation by microcracking (Fischer and Paterson, 1992;
(13) Stormont and Daemen, 1992; Zhang et al., 1994b; Peach
and Spiers, 1996). As both temperature and effective con-
fining pressure increase, brittle/frictional processes are
impeded and intracrystalline plasticity is favored. So, crack
(14) growth rates reduce, and the critical strain required to
develop a well-connected, high-permeability crack network
increases.
The experimental studies demonstrate that where high
fluid pressures produce low effective confining pressures,
grain-scale crack growth significantly increases the perme-
ability of active shear zones relative to their host-rocks,
even though most displacement may occur by microscop-
ically ductile deformation mechanisms such as dislocation
(15) flow and dissolution-precipitation creep. A significant
aspect of the experimental work is that fracture networks
can develop high crack connectivity and high permeabil-
ity at very low strains. One implication of this result is that
low strain deformation, especially when localized in net-
works of faults, shear zones, and associated fracture arrays,
may have a big impact on the localization of fluid flow
(see “Evolution of Flow Pathways during Deformation”
below).
 PRINCIPLES OF STRUCTURAL CONTROL IN HYDROTHERMAL SYSTEMS 9

a 0.08
50 MPa
relationships in veins in shallow epithermal systems and
deeper mesothermal systems commonly indicate multiple
CONNECTED POROSITY

0.06
episodes of fracturing and vein sealing (Fig. 9c). Experi-
30 MPa
mental studies of fracture healing (Hickman and Evans,
1987; Brantley et al., 1990; Zhang et al., in press), also
0.04 demonstrate that, at temperatures greater than approxi-
100 MPa
mately 300°C, diffusional crack healing and associated loss
0.02 of crack connectivity in minerals such as quartz and calcite
can be fast, even on laboratory timescales.
Permeability evolution in faults in the seismogenic upper
0 crust can be influenced strongly by porosity changes associ-
ated with deformation during repeated, episodic slip events
-0.02 (over several seconds), or during aseismic creep. In rocks
0 5 10 15 20 with high initial intergranular porosity, fault slip is associated
STRAIN, % with reduction in porosity and permeability owing to the
production of fine-grained, compact, low-porosity gouges
b 10-16 (Knipe, 1998; Zhang et al., 1999). In this case, faults become
seals or aquitards in hydrothermal systems. However, in
30 MPa intrinsically low-porosity, tight rocks (e.g., metamorphic and
PERMEABILITY (m2)

10-17
50 MPa
10-18
10-19
100 MPa
10-20
10-21
0 5 10 15
STRAIN, %
FIG. 8. Relationship between (a) porosity and strain, and (b) perme-
ability and strain, as a function of effective confining pressure during
deformation of Carrara marble at room temperature and in the presence
of argon pore fluid. Relationships at effective confining pressures of 30,
50, and 100 MPa are illustrated. Confining pressure = 300 MPa; nominal
strain rate = 1.2 × 10–4 s–1 (after Zhang et al., 1994b).
Competition between deformation-induced permeability
enhancement and permeability reduction processes
At depth in the Earth’s crust, and especially at elevated
temperatures in active hydrothermal systems, porosity-
destruction processes such intergranular cementation,
compaction, and healing and sealing of fractures can cause
permeability to decrease on timescales that are short rela-
tive to the lifetimes of hydrothermal systems. Permeability
evolution is, therefore, controlled directly by competition
between deformation-induced porosity-creation processes
and various porosity-destruction processes.
The structure of veins in ore systems provide spectacular
evidence of repeated fracturing and fracture sealing in
hydrothermal systems. For example, crack-seal microstruc-
tures in veins (Ramsay, 1980; Cox, 1995) indicate that
macroscopic fractures in some deep hydrothermal regimes
can open and seal up to several thousand times in the life-
time of one active vein (Fig. 9b). Similarly, overprinting
igneous rocks), faulting leads to porosity and permeability
increase during slip, owing to fracture growth and cataclasis.
In contrast, porosity evolution during interseismic intervals is
governed by progressive porosity destruction by pore col-
lapse and hydrothermal sealing (Angevine et al., 1982; Cox
and Paterson 1991; Cox, 1995). Episodic slip and interseis-
mic sealing may result in large, time-dependent changes in
permeability in fault zones (Fig. 10). Particularly in fracture-
controlled hydrothermal systems, flow within permeable
faults and associated fracture arrays (Fig. 1) promotes rapid
20 pore sealing by mineral deposition. As soon as porosity drops
below the percolation threshold, fluid flow will shut off. An
important conclusion then, is that in the immediate post-
rupture phase, faults in low-permeability host rocks are
highly permeable structures that act as fluid conduits. How-
ever, with progressive interseismic sealing and loss of perme-
ability, faults can become aquitards until a later slip event.
Accordingly, in active hydrothermal regimes, permeability
is rapidly destroyed unless ongoing deformation regenerates
permeability. Additionally, for permeable fluid pathways to
develop, the rate of deformation-induced permeability
enhancement must be greater than the rate of permeability
reduction owing to closure and sealing of pores and fractures.
Episodic versus continuous flow
Competition between porosity-creation processes and
porosity-destruction processes in actively deforming rocks
results in a contrast between flow regimes in the upper
crustal seismogenic regime and the lower crustal aseismic
regime. At depths below the seismic–aseismic transition
(typically 10–20 km deep), where steady state creep
processes usually dominate, a balance between rates of
porosity destruction and porosity creation in creeping
shear zones is expected to generate quasi-steady state per-
meabilities that are higher than those of the surrounding,
less rapidly deforming rock mass. This leads to essentially
continuous fluid flow along actively creeping elements of
shear networks. Creeping faults and shear zones probably
play a key role in focusing the migration of deeply sourced

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 10 COX ET AL.

FIG. 9. a. Grain-scale crack networks produced in Carrara marble during macroscopically ductile deformation at room
temperature and an effective pressure of 100 MPa. The shortening direction is parallel to the micrograph long axis. Inci-
dent light micrograph. b. Quartz-rich extension vein with dark, crack-seal inclusion bands composed of tourmaline. This
texture indicates multiple episodes of extensional fracturing and fracture-sealing associated with gold mineralization,
Sigma Mine, Val d’Or, Quebec. Transmitted light micrograph. c. Laminated fault-fill veins indicating multiple episodes
of fault slip and dilation during gold mineralization. Revenge gold deposit, St Ives goldfield, Eastern Goldfields Province,
Western Australia.

fluids upwards to the base of the seismogenic regime. In
contrast, above the seismic–aseismic transition, potentially
large, cyclic changes in fault permeability cause episodic
fluid flow. Episodic flow is associated with fluid pressure
cycling and episodic fluid redistribution around active
faults, and has important implications for the dynamics of
flow and reaction in hydrothermal systems in the seismo-
genic regime (Cox, 1999; Sibson, 2001).
Principles of Macroscopic Fracture Formation
The development of faults, shear zones, and associated
fracture arrays plays a key role in controlling the local per-
meability distributions and the macroscopic architecture of
fluid pathways in hydrothermal systems. The geometry of
these structures is inherently influenced by the orientations
and relative magnitudes of stresses in hydrothermal systems.
The distribution of these structures is also controlled by fluid
pressure regimes. This section outlines the critical influence
of both fluid pressures and stress states in controlling macro-
scopic fracture growth and associated permeability genera-
tion in hydrothermal systems. Importantly, macroscopic frac-
ture systems can develop not only in the brittle upper crust,
but also in the more ductile deeper crust, provided fluid
pressures are high enough.
Types of fractures and orientation relationships
with stress fields
Three classes of macroscopic fractures may form during

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 PRINCIPLES OF STRUCTURAL CONTROL IN HYDROTHERMAL SYSTEMS
a entations of shear fractures (faults) and spatially associated
DISPLACEMENT
EQ EQ EQ EQ
TIME
b and 14a). High fracture densities and apertures can also
LOG PERMEABILITY
EQ EQ EQ EQ
TIME
FIG. 10. Schematic illustration of time-dependent changes in (a) poros-
ity and (b) permeability in fault rocks during the seismic cycle. Sudden
permeability enhancement is associated with episodic fault slip (EQ).
Interseismic pore sealing and compaction reduces permeability between
slip events. After Cox (1995).
brittle deformation: (1) pure extension fractures; (2) shear
fractures; and (3) hybrid extensional-shear fractures. Mineral
filling in each of these fracture types produces veins (Fig. 11).
Any stress field can be resolved into three mutually per-
pendicular components, which are known as the maximum
principal stress (σ 1), the intermediate principal stress (σ 2),
and the minimum principal stress (σ 3). Pure extension
fractures form perpendicular to σ 3 and open perpendicu-
lar to the fracture wall (Fig. 12a). In intact, isotropic rock,
shear fractures (i.e., faults) tend to form at angles typically
between 20° and 35° to the orientation of σ 1, such that the
fault plane contains the orientation of σ 2 (Fig. 12b). Two
conjugate sets of shear fractures can form, and where devel-
oped, their intersection is subparallel to σ 2. Hybrid exten-
sional-shear fractures have components of displacement
both parallel and perpendicular to the fracture plane. They
form at angles between 0° and approximately 25° to the σ 1
direction.
The orientations of the maximum principal stresses asso-
ciated with contractional, extensional, and wrench tectonic
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11
regimes during crustal deformation produce distinctive ori-
extension fractures (and veins; Fig. 13). The relative orien-
tations of faults and extension veins provide one of the
most powerful ways of determining shear sense on struc-
tures that were active during hydrothermal mineralization
(Robert and Poulsen, 2001).
Faults and associated fracture arrays exhibit heteroge-
neous distributions of fracture apertures and fracture den-
sities at mesoscopic to macroscopic scales. Areas with the
highest apertures and/or fracture densities produce the
highest permeability sites, which localize most fluid migra-
tion if they connect to fluid reservoirs. High fracture aper-
tures and densities are typically associated with dilatant
fault bends, stepover regions, or jogs that link approxi-
mately planar segments of faults and shear zones (Figs. 11d
develop in areas of competence contrast (Oliver et al.,
2001) and during dilation at fold hinges during flexural
slip folding (Cox et al., 1991). High fracture permeability
can also localize around fault termination zones, where
fault splays, wing cracks, or brecciated regions develop (Fig.
14b). Contractional jogs, as well as dilational jogs, can be
sites of high fracture density, which localize fluid flow and
ore deposition.
The orientation relationships between shear fractures,
jogs, and slip directions result in the long axis of jogs devel-
oping approximately parallel to the σ 2 orientation (Fig.
14c). This produces a permeability anisotropy favoring flow
parallel to the jog axis. For reverse and normal faulting
regimes, extensional and contractional jogs have subhori-
zontal plunges (Fig. 14d). This produces good horizontal
fracture connectivity within faults, and may cause ore shoots
to have gentle plunges. In contrast, strike-slip regimes pro-
duce jogs with good vertical connectivity that can control
the geometry of steeply plunging ore shoots (Fig. 14d).
Stress magnitudes and fracture formation
The types of fractures that control permeability in hydro-
thermal systems in the brittle regime are governed by the mag-
nitudes of stress differences (σ 1 – σ 3). The stress states in rocks,
and the relationships between stress magnitudes, stress differ-
ences, fracture type, and fracture orientation can be illustrated
by two-dimensional Mohr circle constructions.
The stresses acting on a plane inclined to σ 1 at an angle
α can be resolved into a normal stress (σ n) acting perpen-
dicular to the plane, and a shear stress (τ s) acting parallel to
the plane (Fig. 15a). The magnitudes of the normal stress
and shear stress are given by the relationships,
σ n = 1/2(σ 1 + σ 3) + 1/2(σ 1 – σ 3)·cos 2α (16)
and
τ s = 1/2(σ 1 – σ 3)·sin 2α . (17)
A Mohr diagram plots σ n against τ s, and has the geomet-
ric property that the normal and shear stresses acting on a
plane inclined at angle α to σ 1 are given by the coordinates
 12 COX ET AL.

FIG. 11. Examples of vein types classified according to fracture modes. a. Pure extension veins; opening direction is
perpendicular to the fracture walls. Mt Lyell, Tasmania. Coin is 2 cm in diameter. b. Hybrid extensional-shear vein, with
opening direction inclined to the fracture wall indicated by orientation of displacement-controlled crack-seal quartz
fibers. This vein is associated with smaller, subhorizontal extension veins. Mt Lyell, Tasmania. c. Gently left-dipping exten-
sion veins spatially associated with gently right-dipping fault-fill veins, within dilatant segments of two faults associated
with gold mineralization. The orientation relationship between the subhorizontal extension veins and the fault veins
indicates that mineralization formed during reverse faulting. Victory gold mine, St Ives goldfield, Western Australia.
Field of view is 6 m wide. d. Calcite-filled dilatant jogs developed on stepovers between small, steeply dipping, sinistral
wrench faults. Les Matelles, Languedoc, France.

of the point P on the perimeter of the circle having diame-
ter (σ1 – σ3) and center at (σ1 + σ3)/2 on the normal stress
axis (Fig. 15a). This circle is called the stress circle (or
Mohr circle). Note that P is on a radius inclined at 2α to the
normal stress axis.
Brittle shear failure: Under fluid-absent conditions, the
stress state that causes compressional brittle shear failure
(i.e., faulting) in an intact, isotropic medium is approxi-
mated by the relationship,
τ = C + µσn,
where
C is the cohesive strength of the medium; and
µ is the coefficient of friction.
This Coulomb shear failure criterion is indicated by the
line BC in Figure 15a. This line specifies the brittle shear
failure strength of the medium as a function of normal
stress. So, in dry, intact rock, brittle shear failure occurs
where and when the Mohr circle (describing the shear
stress and normal stress state in a rock) contacts the failure
envelope BC. Shear failure may, therefore, be induced by
decreasing σ3 and/or increasing the value of σ1 (stress cir-
cle A in Fig. 15b). Because the angle between the Mohr cir-
cle radius (AP) and the normal stress axis is 2α, the angle α
between the shear failure plane and the orientation of the
maximum principal stress is given by the relationship,
(18)
α = (90° – arctan µ)/2. (19)
For typical friction coefficients of approximately 0.75,
shear fractures are inclined at approximately 27° to σ1.
Shear fractures formed in intact rock and obeying rela-

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 PRINCIPLES OF STRUCTURAL CONTROL IN HYDROTHERMAL SYSTEMS 13

a EXTENSION FRACTURES a REVERSE FAULT

σ 3

σ 1 σ 1

σ 1

subhorizontal extension veins

σ 3

b SHEAR FRACTURES σ 2
b NORMAL FAULT

σ 1
subvertical extension
veins

σ 3

FIG. 12. Orientations of fracture types with respect to principal stress c WRENCH FAULT
directions, σ 1, σ 2, and σ 3. a. Pure extension fractures. b. Conjugate shear
fractures, with sense of shear indicated. σ 3
subvertical extension
veins
tionship (19) are termed “optimally oriented” faults (Sib-
son, 1985). Activation, or re-activation, of misoriented
structures may also be important in controlling fracture
permeability in hydrothermal systems. For example, mis- σ 1
oriented faults may develop by rotation away from optimal
orientations with respect to the stress field, due either to
rotation of stress fields and/or rock masses during pro-
gressive deformation. Additionally, preexisting faults, or
σ 3
other mechanical anisotropies such as bedding or folia-
tion, can also be (re-)activated. Shear (re-)activation
occurs when the shear stress on the misoriented plane sat- FIG. 13. Orientations of faults and associated extension veins relative to
isfies the Mohr-Coulomb failure criterion (Fig. 15c). Fig- the principal stress directions for contractional (a), extensional (b), and
ure 15c has been constructed with the cohesive strength, strike-slip (c) tectonic regimes.
C, of the preexisting fault or anisotropy less than that of
intact rock. Note, however, that rapid sealing or com- and shear stress state (Mohr circle) contacts the nonlinear
paction of gouge on fault slip patches in hydrothermal sys- part of the failure envelope at negative (i.e., tensile) nor-
tems may cause some faults to quickly regain cohesive mal stresses. Pure extension failure occurs where the nor-
strength (Kanagawa et al., 2000). mal stress equals the tensile strength (T) of the rock (stress
circle C in Fig. 15b). Note that the angle 2α is zero, as
Extension and hybrid extensional-shear failure: Extension fail- expected for extension failure along the σ 1-σ 2 plane, per-
ure and extensional shear failure occur if the normal stress pendicular to σ 3. Hybrid extensional shear failure occurs

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 14 COX ET AL.

a c long axis of dilatant site

dilational jog slip direction

jog

contractional jog σ 2

σ 1
σ 3

d normal fault
b wing cracks
reverse fault

contractional splays
wrench fault

FIG. 14. a. Geometry of contractional and dilatant jogs. b. Wing cracks and contractional splays developed around
fault terminations. c. Geometry of a dilatant jog relative to fault slip direction. d. Orientations of jogs in contractional,
extensional, and wrench tectonic regimes. High fracture density, aperture, and connectivity along jogs favors high fluid
flux along the jog axis.

where the stress circle contacts the failure envelope
between –T and C (stress circle B in Fig. 15b).
Pure extension failure only occurs at relatively small
stress differences, typically less than approximately 4T. For
4T < (σ 1 – σ 3) < 6T, failure occurs in extensional-shear
mode. Shear failure occurs at stress differences greater
than approximately 6T. Because rock tensile strengths are
typically less (sometimes substantially less) than about 10
MPa, the occurrence of pure extension veins in hydrother-
mal systems indicates stress differences less than 40 MPa
during vein opening (Etheridge, 1983).
The role of fluids
Fluid pressure modifies stress states at depth in the
Earth’s crust. The effect of pore fluid pressure (Pf) is to
reduce the effective normal stress (σ n′ ) according to the
relationship,
σ n′ =σ n – Pf.
In terms of the Mohr circle representation of stress
states, the role of fluid pressure is to move the stress circle
to the left (Fig. 16). Note that although fluid pressure mod-
ifies normal stress, it does not influence shear stress.
In hydrothermal regimes, changes in stresses and/or
fluid pressures can induce brittle failure. For example, at
low stress differences, pure extension failure is induced by
increase in fluid pressure (Fig. 16a), provided the effective
minimum principal stress becomes negative and equal in
magnitude to the tensile strength of the rock. This fluid-dri-
ven extension fracturing is known as hydraulic extension
fracture. The hydraulic fracture criterion is, thus,
Pf = σ 3 + T. (21)
The abundance of mineral-filled extension fractures in
many epigenetic ore deposits indicates that tensile effective
stress states, and, thus, fluid pressures greater than σ 3, are
(20) common in hydrothermal systems. Importantly, equation

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 PRINCIPLES OF STRUCTURAL CONTROL IN HYDROTHERMAL SYSTEMS 15

a a

SHEAR STRESS
SHEAR STRESS, τs
B
σ3
σn
+µ
σ3
C
τ=
σn σn
τ τ
α
σ1 σ1
θ
P
τ C
C Pf

2α σ 3′ σ1 ′ σ3 σ1
-T σ3 σn A σ1
EFFECTIVE NORMAL STRESS
NORMAL STRESS, σn

b b
SHEAR STRESS, τs

SHEAR STRESS
A

B Pf

C
2α 2α
2θ
-T
NORMAL STRESS, σn -T σ3′ σ3 σ1′ σ1
EFFECTIVE NORMAL STRESS
c K
SHEAR STRESS, τs

OC FIG. 16. Mohr circle constructions illustrating the effects of increasing

C TR
TA fluid pressure, by an amount Pf, on effective stress states and conditions
IN
B for failure in intact rock. a. Increasing fluid pressure at low stress differ-
ences results in extension failure. b. Increasing fluid pressure at high stress
differences induces shear failure.

(21) illustrates how the opening of hydraulic extension

A 2β
NORMAL STRESS, σn
FIG. 15. a. Mohr diagram and inset illustrating relationship between
principal stresses, shear stress, and normal stress. The normal stress (σn)
and shear stress (τs) on a plane inclined at angle α to the orientation of
the maximum principal stress are given by the coordinates of the point P
on a Mohr circle having diameter (σ1 – σ3) and center at (σ1 + σ3)/2 on
the normal stress axis. The curved line –TCB is a typical brittle failure
envelope (modified Griffith-Mohr-Coulomb failure criterion). T is the ten-
sile strength of the rock; the shear failure envelope (CB) is approximated
by the relationship τ = C + µσn, where τ is the shear strength, C is the cohe-
sive strength, µ is the coefficient of friction, and σn is the normal stress.
Note that shear strength is dependent on normal stress. Stress states to the
right of the failure envelope do not result in brittle failure. b. Mohr dia-
gram illustrating Mohr circles for (A) shear failure (faulting), (B) hybrid
extensional shear, and (C) pure extension failure of intact rock. c. Mohr
diagram illustrating stress conditions for reactivation of a nonoptimally
oriented, low cohesion, shear failure plane (e.g., preexisting fault, or foli-
ation/bedding anisotropy) inclined at angle β to the maximum principal
stress. Note that when the shear failure envelope (AB) for a preexisting
mechanical weakness lies below the failure envelope for intact rock, the
preexisting structure may be preferentially reactivated.
fractures limits the maximum fluid pressures that may
develop in hydrothermal systems.
An important aspect of the role of fluid pressure in frac-
ture processes is that brittle failure may be induced at any
depth, provided fluid pressures are high enough. Perme-
ability enhancement by fracture growth can occur in
response to changes in stress difference (i.e., through
changes to σ1 and/or σ3), and also by changes in fluid
pressure. This concept is illustrated in Figure 17, which
plots failure modes as a function of stress difference and
fluid pressure. Here, fluid pressure is expressed as the
pore fluid factor (λv), the ratio of fluid pressure to over-
burden stress (σv). The pore fluid factors and stress differ-
ences leading to failure in extensional, extensional-shear,
and shear modes are plotted for a strike-slip regime at a
depth of 3 km. From some ambient stress state, failure can
be induced either by increasing the pore fluid factor along
the trajectories such as Q and S (Fig. 17) without changing
the absolute stress state (an example of purely fluid-driven
failure), or by maintaining a constant pore fluid factor and
increasing the stress difference (e.g., trajectory P), or some

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 16
strike-slip faulting, depth = 3 km
1.5
PORE FLUID FACTOR, λ v
EXTENSION
EXTENSIONAL SHEAR
A deformation style, caused by changes in fluid pressure states,
1.0 lithostatic
Q S R For example, in the shear-hosted Revenge gold deposit in
P the St. Ives Goldfield (Eastern Goldfields Province, Yilgarn
0.5
hydrostatic
SHEAR
0 20 40 60 80
STRESS DIFFERENCE, MPa
FIG. 17. Failure mode diagram illustrating how changes in stress differ-
ence and fluid pressure (expressed as pore fluid factor; see text for expla-
nation) lead to brittle failure. Fields for pure extension, extensional-shear,
and shear failure are indicated for a strike-slip regime at a depth of 3 km.
A failure envelope (AB) is indicated for intact rock with cohesive strength
of 10 MPa. Failure occurs when the pore fluid factor and/or stress differ-
ence increase to touch the failure envelope AB. Trajectory P leads to shear
failure at constant fluid pressure with increasing shear stress. Trajectory R
leads to shear failure by increase in both fluid pressure and stress differ-
ence. Trajectories S and Q lead to shear failure and extension failure,
respectively, by pore fluid pressure increase alone.
combination of both stress and fluid pressure increase
(e.g., trajectory R).
Fluid-driven failure is extremely important in generating
fault/fracture networks in hydrothermal systems in both
the upper and lower crust, provided fluid pressures are
high enough (Sibson, 1996; Cox, 1999). A significant
aspect of fluid-driven fracturing is that, even without
changes in the stresses acting on a previously nondeform-
ing rock medium, infiltration of high-pressure fluids can
drive the spontaneous growth of fractures. The orientations
of these fractures are controlled by the orientation of the
principal stresses, magnitudes of the stress differences, and
geometry of any preexisting mechanical anisotropies in the
rock mass.
Effects of stress and fluid pressure on transitions
between failure modes
Particularly in hydrothermal systems formed at mid-
crustal depths (e.g., some mesothermal gold systems), fluid
flow, hydrothermal alteration, and mineralization are con-
trolled by faults and shear zones that exhibit mixed brit-
tle–plastic behavior. First order transitions between brittle
and plastic behavior in the crust are commonly ascribed to
the effects of increasing temperature and confining pres-
sure (with increasing depth) inhibiting brittle deformation
and promoting the operation of thermally activated defor-
mation processes such as dislocation creep and diffu-
sional/advective mass transfer processes. However, shear
zones in some mesothermal gold systems exhibit evidence
for repeated transitions between brittle and plastic behavior
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COX ET AL.
(Nguyen et al., 1998) that cannot be ascribed to repeated
fluctuations in temperature and depth. They are instead
related to fluctuations in shear stress and fluid pressure asso-
ciated with episodic fault slip and fault-valve behavior in
shear zones (Sibson et al., 1988; Sibson, 2001). Changes in
are a key factor influencing deformation style, the nature of
permeability, and pervasiveness of flow and alteration.
craton, Western Australia), Au-mineralized shear zones
B exhibit initial brittle shear failure, subsequent mixed brit-
tle–ductile behavior, and finally, fully brittle behavior during
progressive hydrothermal alteration (Nguyen et al., 1998).
100 Initial fluid flow was controlled by macroscopic shear frac-
ture at pore factors near one, that is, near-lithostatic fluid
pressures (Fig. 18a). Progressive potassic alteration of
metabasalt and metadolerite host-rocks produced weaker,
biotite-rich alteration assemblages. Reduced plastic shear
strength, due to reaction-weakening, induced a transition to
ductile deformation (Fig. 18b). In this deformation regime,
fluid flow was controlled by permeability enhancement asso-
ciated with grain-scale dilatancy and reaction-enhanced
porosity. Repeated brittle slip events occurred during ongo-
ing ductile deformation, and were associated with formation
of breccias and laminated fault-fill veins in dilatant bends
and jogs. Episodic fast seismic(?) slip events are interpreted
to have been driven by increasing pore fluid factors during
individual fault-valve cycles. Each brittle shear failure event
was preceded by an interval of interseismic ductile shear at
lower pore fluid factors (Fig. 18b). Sodic metasomatism late
in the hydrothermal history produced localized albite-rich
assemblages, which resulted in reaction-strengthening and a
late transition back to fully brittle behavior and macroscopic
fracture-controlled fluid flow (Fig. 18c).
Implications of stress and fluid pressure regimes for
localization of fracturing, fluid flow, and mineralization
Fluid pressure regimes in the crust are controlled to a
first order by permeability and fluid driving pressures. In
the upper few kilometers of the continental crust, where
fracture and pore connectivity is high, pore fluid pressures
are generally close to hydrostatic. At deeper levels, where
pore sealing and collapse are more rapid, loss of long-term
pore connectivity results in fluid pressures increasing
towards lithostatic levels. Deeper level fluid reservoirs are
accordingly suprahydrostatically pressured. Tapping of
these reservoirs by active and permeable faults, fractures,
and shear zones provides transient pathways for rapid
upwards migration of fluids under high driving pressure
gradients. Fluid discharge from the upper levels of these
structures can generate overpressured domains at these
sites (Fig. 1), especially if the fluid discharge zone is capped
by a low-permeability domain. Fluid-driven growth of
fault/fracture systems is more favored as pore fluid factors
progressively increase above hydrostatic levels (Fig. 19).
An example of localized fluid pressurization and associ-
ated mineralization is provided by the development of the
 PRINCIPLES OF STRUCTURAL CONTROL IN HYDROTHERMAL SYSTEMS 17

swarm of subhorizontal extension veins which hosts tung-

a P Q R sten mineralization at Panasqueira in Portugal (Foxford et
PORE FLUID FACTOR
1
• •• lithostatic Pf
al., 2000). The vein swarm in this deposit developed above a
brittle shear failure granitoid stock in a subhorizontal, lenticular domain which
B is less than 200 m thick. The veins are interpreted to have
grown where fluid migrating up from the stock became
0.9 •S trapped below a low permeability zone and developed a
supralithostatic-pressured domain of hydraulic fracturing
(i.e., Pf = σ 3 + T). Because extension veining at Panasqueira
A ductile shear failure is not associated with faulting, stress differences are inferred
0.8
0 50 100
•T 150
to have been low. The thickness of the veined domain is con-
trolled by the limited depth interval over which supralitho-
STRESS DIFFERENCE, MPa static fluid pressures developed above the stock.
The Bendigo goldfield in central Victoria, Australia, pro-
vides an example of where the structure of low permeabil-
b P Q ity stratigraphic units may have localized the distribution of
• • •R lithostatic Pf
PORE FLUID FACTOR

1 high pore fluid factor sites and associated vein gold

deposits. The Bendigo goldfield occurs in the regional cul-
•S mination zone of a series of doubly-plunging folds. Addi-
ductile shear failure tionally, most fault-related and vein-related gold deposits in
0.9 the area are located in and near saddle reefs in the hinges
B of anticlines. High pore fluid factors, associated hydraulic
fracturing, and veining at Bendigo are interpreted to have
A been controlled by fluid migration to the structurally high-
0.8
0 50
•T 100 150
est levels beneath folded, low-permeability stratigraphic
seals (Cox et al., 1991).
STRESS DIFFERENCE, MPa At the Porgera gold deposit in Papua New Guinea, early
hydrothermal alteration, fluid flow, and low-grade, dis-
persed mineralization was associated with pervasive grain-
c P Q scale and fracture-controlled flow around a mafic intrusive
• • •R lithostatic Pf
PORE FLUID FACTOR

1 complex (Munroe, 1995). Early in the development of the

0.9
0.8
0 50
STRESS DIFFERENCE, MPa
FIG. 18. Failure mode diagrams illustrating brittle and plastic failure
envelopes as a function of pore fluid factor and stress difference. The dia-
gram is constructed for optimally oriented reverse faulting at a depth of 12
km in rock with a cohesive strength of 10 MPa, tensile strength of 5 MPa,
and friction coefficient 0.75. Fluid pressure and stress changes associated
with fault-valve behavior may produce episodic transitions between no
deformation, ductile shear failure, brittle shear failure, and brittle exten-
sion failure at various phases of the seismic cycle. The failure envelope is
indicated by the curve PQRST. Ductile shear failure occurs for fluid pres-
sure and stress states in the interval ST; brittle shear failure occurs between
S and R; extensional-shear occurs between R and Q; and extensional fail-
ure occurs in the interval PQ. a. Brittle shear failure at point B induced by
increase in stress difference and fluid pressure. b. Reaction-weakening
decreases the ductile shear strength (ST), so that increase in stress differ-
ence and fluid pressure leads firstly to ductile shear failure (aseismic
creep) at point B, followed by brittle shear failure at point S, in response to
progressive increase in pore fluid factor. c. Late-stage reaction-hardening
increases ductile shear strength, so that failure occurs by brittle shear fail-
ure at high stress differences, or extension failure occurs at low stress dif-
ferences and high pore fluid factors.
hydrothermal system, stress differences were not high
enough to generate faults, but high pore fluid factors pro-
•S duced extension veins. Subsequent growth of a fault across
the active, intrusive-related hydrothermal system was asso-
ciated with a rotation of the stress field and increase in
stress difference (Cox and Munroe, 1999). The increase in
stress difference, together with high pore fluid factors,
100
•T 150
drove the growth of a fault and its associated high-perme-
ability damage zone, which tapped deeper level hydrother-
mal fluids. Localization of fluid flow within the fault and its
damage zone led to the formation of a very high grade gold
deposit around the fault. This contrasts with the early min-
eralization which is more dispersed and not spatially associ-
ated with faulting.
Competence contrasts within rock masses also control
localization of fracturing (see also Oliver et al., 2001). For
example, where strong rock masses occur within a weaker
matrix, with boundaries oriented at a high angle to the short-
ening direction, viscous or frictional drag along the contacts
reduces the minimum principal stress in the competent rock
unit. As fluid pressures build-up, hydraulic extension frac-
ture or shear failure (depending on stress difference) occurs
first in the zone of decreased minimum effective principal
stress in the competent rock unit. Examples include the
development of mesothermal Au-mineralized extension vein
arrays in dolerite in the Mt Charlotte orebodies at Kalgoorlie
(Clout et al., 1990); ladder vein systems in dikes, such as at

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 18 COX ET AL.

a b
surface FLUID PRESSURE
X

near-hydrostatic
fluid pressure high permeability
regime

low low permeability

permeability seal zone
domain

zone of
fluid discharge zone Pf ≥ σ 3 + T hydrofracture veining

DEPTH
and fluid-driven shear
failure
E
ON

focussed fluid
TZ

migration
UL
FA

Pf = σ 3 + T
overpressured hydrostatic Y
fluid reservoir (λ v ≈ 0.38)

FIG. 19. Localization of fluid-driven failure controlled by depth-dependence of stresses and fluid pressure. a. Upwards,
head-driven fluid flow in a fault, which taps an overpressured fluid reservoir. Fluid discharge at the downstream end of
the fault drives fluid pressure build-up beneath a low permeability leaky seal zone. Where stress differences are low,
hydraulic extension fracture arrays can form in the domain where Pf ≥ σ 3 + T. For higher stress differences, brittle shear
failure can occur where Pf < σ 3 + T. b. Schematic profile of fluid pressure as a function of depth (solid line XY) for the
fault-controlled flow system illustrated in (a). Depth dependence of fluid pressures equivalent to hydrostatic and (σ 3 +
T) levels shown for comparison. For low stress differences (σ 1 – σ 3 < 4T), hydraulic extension fracturing occurs where Pf
= σ 3 + T. At higher stress differences, shear failure may occur at lower fluid pressures.

Wood’s Reef, Victoria (Clappison, 1954; Edwards, 1954), and
at Lamaque, Quebec (Robert, 1990); and gold-bearing vein
systems hosted within dike-like, competent felsic intrusions
in the St Ives goldfield in Western Australia.
In the seismogenic regime, fluid pressure and shear
stress cycling associated with fault-valve behavior potentially
lead to complex, but cyclically repeated changes to pore
fluid factors and stresses (Sibson, 2001). Time and space
variations in pore factors, shear stress, and normal stress are
the main parameters influencing the timing and location of
episodic fracture, and distribution of high-permeability
zones within hydrothermal systems.
According to Coulomb failure criteria, brittle shear fail-
ure occurs where and when shear stress τ s is greater than
the rock shear strength; that is, where
τ s ≥ C + µ (σ n – Pf).
Proximity to shear failure can, thus, be described by a
time-dependent parameter, τ f, which is the difference
between the shear stress and the shear strength. Thus,
τ f = τ s – C – µ (σ n – Pf).
For τ f greater than or equal to 0, shear failure will occur;
for τ f less than 0, shear failure will not occur. This parame-
ter is the same as the Coulomb stress parameter used to
predict locations of aftershocks triggered by stress transfer
after major earthquakes (King et al., 1994; Stein, 1999).
Similarly, the growth of hydraulic extension fractures will
occur where and when
Pf ≥ σ 3 + T. (24)
That is, where and when fluid pressure is highest, σ 3 is
least, or tensile strength is least (Cox et al., 1987).
Understanding how stress and fluid pressure states vary in
a rock mass has important implications for predicting local-
ization of fluid flow and ore deposition in hydrothermal sys-
tems. The use of Coulomb failure criteria to predict where
(22) deformation-induced flow paths can form requires a knowl-
edge of the variation of shear stress, normal stress, fluid pres-
sure, friction coefficients, and cohesive strengths in rock
masses in three dimensions, over time. Numerical modeling
approaches such as that by Holyland and Ojala (1997) used
two-dimensional and three-dimensional linear elastic defor-
(23) mation modeling to predict where minimum mean stresses

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 PRINCIPLES OF STRUCTURAL CONTROL IN HYDROTHERMAL SYSTEMS
or effective minimum principal stresses occur. However,
equation (23) illustrates that these approaches are highly
simplified and might not adequately treat all the important
parameters controlling “proximity to failure.” In particular,
potential spatial variations in fluid pressures need to be mod-
eled. Modeling strategies, used to assist prediction of where
fluid flow and mineralization may be localized, need to treat
coupling between stress and fluid pressure, as well as poten-
tial time and space variations in stress states associated with
stress relief, stress transfer, and fluid pressure fluctuations
during the seismic cycle. This is a fertile field for further
development.
An example of potential feedbacks between deformation,
effective stress states, and permeability in controlling ore
localization is provided by the distribution of some
fault/shear-hosted mesothermal gold deposits around shear
systems. Archean mesothermal deposits are typically located
within low displacement faults, shear zones, and associated
fracture systems adjacent to larger, crustal-scale fault systems
(Robert et al., 1995; Cox, 1999). Timing, spatial, and kine-
matic relationships between low-displacement and high-dis-
placement structures indicate that many of the low-displace-
ment faults, shear zones, and fracture networks that host Au
deposits probably formed as aftershock structures in response
to slip events on major faults. Co-seismic stress transfer is a
major factor controlling the location of aftershock activity
(Stein, 1999). Accordingly, fluid invasion of slipped fault seg-
ments, the consequent decrease in effective stresses, and
fluid-driven failure after major slip events, may act together
with mainshock-related stress transfer in localizing growth of
low-displacement structures, high fluid flux, and mineraliza-
tion that produces mesothermal gold systems.
Evolution of Flow Pathways during Deformation
Localization of deformation and flow
The strain distribution associated with crustal deformation
is typically very heterogeneous, with higher strains and asso-
ciated permeability enhancement being localized along
structures such as faults and shear zones. The significance of
active fracture networks in controlling fluid migration is illus-
trated by analytical solutions and numerical modeling stud-
ies of two-dimensional flow patterns around high-permeabil-
ity zones in a less permeable matrix (Phillips, 1991; Matthai
and Roberts, 1997; Taylor et al., 1999). For permeable struc-
tures inclined at low angles to the regional gradient of
hydraulic head, fluid focusing occurs around the higher
pressure (upstream) levels of shear zones, whereas fluid dis-
charge occurs in the lower pressure (downstream) levels of
shear zones (Fig. 1). The dimensions of fluid charge regions
are comparable to the dimensions of the high-permeability
segments of faults and shear zones. Importantly, shears
inclined at high angles to the regional hydraulic head gradi-
ent are much less effective at focusing fluid flow.
Development of percolation networks in hydrothermal systems
Fracture/shear-controlled hydrothermal systems develop
where and when linked permeable structures develop suffi-
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19
cient connectivity to create networks that link fluid source
rocks and ore deposition sites. Percolation theory (Sahimi,
1994) provides useful insights about the evolution of
hydraulic connectivity and the partitioning of fluid flow
amongst elements of a network of relatively permeable
structures in an otherwise low-permeability medium
(Berkowitz, 1995; Cox and Knackstedt, 1999).
In the same way as for grain-scale pore networks, macro-
scopic percolation networks, comprising faults, fractures,
and shear zones, can be described in terms of three types of
elements: backbone, dangling, and isolated elements (Fig.
20a). Backbone elements provide a direct connection from
one side of the system to the other (e.g., metal source reser-
voir to ore deposit) and carry the bulk of the fluid flux. Dan-
gling elements, also known as dead-end elements, branch
from the flow backbone and act as fluid feeders to the back-
bone in the upstream part of the system, or as distributary or
discharge structures in the downstream part of the system.
Isolated elements are disconnected from both the backbone
and dangling elements in the network, and are, therefore,
low-flux structures not connected to fluid reservoirs.
At very low bulk crustal strains, most of the faults or shears
in a deforming domain will be short, isolated structures. With
increasing deformation, active faults and shears increase in
length and surface area; new structures also nucleate and
grow so that fault connectivity increases with strain. A critical
point, known as the percolation threshold (Sahimi, 1994), is
reached when enough elements connect to allow fluid flow
across the entire width of the network. Reaching the percola-
tion threshold corresponds to the sudden onset of flow. The
point at which the percolation threshold is reached is depen-
dent on several factors including strain accommodated by
growth of permeable faults, fractures, and shear zones, as well
as by fracture geometries and relative rates of fracture growth
and nucleation (Zhang and Sanderson, 1994; An and Sam-
mis, 1996; Roberts et al., 1998).
Partitioning of flow among elements of a fracture/shear
network is dependent on the relative proportions of back-
bone, dangling, and isolated elements (Cox and Knackst-
edt, 1999). Just above the percolation threshold, the flow
backbone is a very small fraction of the total network, but
most of the flow is localized along this part of the system
(Fig. 20b). At higher strains the proportion of elements
that are part of the backbone progressively increases, so
that flow becomes progressively more evenly distributed
across the system as more faults or shears become con-
nected to each other and to fluid reservoirs.
At low displacements, all fracture segments are isolated
from one another and the fluid reservoir. The percolation
threshold is reached when approximately 30 percent of the
sites are occupied. For the three-dimensional fault configu-
ration illustrated in Figure 20b, and using typical
length/displacement scaling relationships for faults
(Scholz, 1990), the percolation threshold is reached at bulk
strains of only a few percent. For three-dimensional perco-
lation, flow pathways can be very tortuous and produce
point-like distribution of high fluid flux sites along
restricted segments of faults and shear zones (Fig. 21). This
 20
a HYDRAULIC HEAD GRADIENT
backbone dangling
elements elements
b 1
FRACTION OF OCCUPIED
0.8
SITE TYPES
0.6 isolated
0.4
0.2
0
0 0.2 0.4
FRACTION OF TOTAL SITES
OCCUPIED
FIG. 20. a. Schematic two dimensional representation of a fault/fracture
network consisting of isolated elements, dangling elements, and the back-
bone structure. Most flow is localized along the flow backbone. Dangling
elements in the upstream (lower, in this case) part of the system feed fluid
to the backbone of the system, whereas dangling elements of the network
in the downstream (upper) part of the system act as fluid discharge sites. b.
Fraction of isolated, dangling, and backbone sites as a function of total
number of sites for the three-dimensional case of conjugate fractures or
faults inclined at 45° to the bulk flow direction (after Cox and Knackstedt,
1999).
factor will act together with variations in fracture densities
and apertures to control flow distribution.
Several points emerge directly from percolation model-
ing. Firstly, the result that the percolation threshold is
reached at bulk strains of only a few percent indicates that
fracture-controlled hydrothermal systems and associated
ore deposits can develop at very low strains. High-displace-
ment structures and large regional strains are not necessary
to facilitate high fluid fluxes. In this regard, small strains
during the initial stages of changes in plate kinematics may
be important in developing new fracture systems that tap
into previously inaccessible fluid reservoirs.
Secondly, for networks just above the percolation thresh-
old, where the backbone is a very small proportion of the
total fault population, flow is localized on relatively few struc-
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COX ET AL.
tures, which link fluid sources and sinks. This situation max-
imizes fluid/rock ratios in the fluid-accessible parts of perco-
lation networks, and therefore maximizes the potential for
generation of “giant” ore deposits. In contrast, for hydrother-
mal systems well above the percolation threshold, fluid flow
is distributed over a larger proportion of the fracture popu-
lation. This more dispersed flow is likely to produce more
distributed, potentially lower grade mineral deposits.
An example of this control could be provided by the typ-
ical distribution of major mesothermal gold deposits, or
clusters of deposits, along a small proportion of the total
population of kinematically related (and thereby broadly
isolated co-active) faults and shear zones (Cox, 1999). This distribu-
elements tion indicates that most fluid flow is localized along a small
number of active structures, and, therefore, that the
fault/shear networks that successfully generate major
mesothermal lode gold systems have operated near the per-
colation threshold during ore genesis. Some porphyry-type
systems, where flow occurs through dense and highly inter-
connected fracture networks (e.g., Haynes and Titley,
1980), may be deposit-scale examples of flow systems well
backbone
above the percolation threshold.
At any instant, hydraulic connectivity in a network is
dependent upon which parts of the system are actively frac-
turing (and hence permeable). For example, as deforma-
tion migrates through a shear system, not all parts of a geo-
dangling metrically connected and kinematically linked network of
faults and shear zones are active. So, the locus of fluid flow
will be transient and migrates with active deformation
0.6 0.8 1 through the system. In thrust systems, where new thrusts
commonly nucleate progressively deeper into the footwall
of previously active thrust sheets, the locus of fluid flow will
migrate towards the foreland with time.
Particularly in the middle to upper crustal seismogenic
regime, rapid changes in permeability in fault networks on
timescales of seismic slip recurrence can also lead to sud-
den changes in the location and architecture of flow back-
bones, unless most displacement is also localized on the
fluid flow backbone.
Self-organization of flow networks
It was noted earlier that the distribution of mesothermal
gold deposits along a small proportion of the total popula-
tion of kinematically related and co-active faults or shear
zones may indicate that these systems develop most effec-
tively in percolation networks that operated close to their
percolation threshold. This raises a question: do some
processes maintain fault/fracture/shear networks near the
percolation threshold? Such behavior is a manifestation of
“self-organized criticality,” a term used to describe processes
which hold complex or disordered systems near their critical
point (e.g., percolation threshold). Many natural processes
such as slope failure in sandpiles and earthquake rupturing
events exhibit self-organized behavior (Bak, 1997).
In the seismogenic regime, interseismic fault sealing can
repeatedly drive networks back below the percolation
threshold after rupture events, so that on the lifetime of the
hydrothermal system the network may oscillate about the
 PRINCIPLES OF STRUCTURAL CONTROL IN HYDROTHERMAL SYSTEMS 21

FLUID OUT

FLUID IN
FIG. 21. Three-dimensional flow paths associated with flow through part of a network of intersecting fractures or faults
just above the percolation threshold. Fluid enters the network at the bottom and follows a tortuous path (shown in
black) to higher structural levels. Three-dimensional flow near the percolation threshold produces a point-like distrib-
ution of high flux in map view.

percolation threshold. However, other factors may also lead
to self-organization in hydrothermal systems.
The network modeling described above assumed that,
although elements of a percolation network nucleate ran-
domly, all elements grow at the same rate. In cases where
fracture systems connect to an overpressured fluid reser-
voir, invasion of high-pressure fluids along fluid-accessing
elements of the network may preferentially weaken these
elements and dramatically enhance their growth rates rela-
tive to elements isolated from fluid reservoirs. This occurs
through the effects of high fluid pressures promoting fail-
ure and reaction-softening processes. Accordingly, con-
nected elements can slip and grow at much faster rates than
isolated elements. The fluid-driven growth, or “self-genera-
tion” (Sibson, 1996), of percolation networks in response
to invasion of overpressurized fluid, therefore, provides a
positive feedback between fluid access and fracture growth
rate. This may localize repeated slip and fluid flow on the
flow backbone that forms at the percolation threshold.
Fluid-driven network growth may well lead some hydrother-
mal systems to self-organize near the percolation threshold.
Such extreme fluid focusing generates high potential for
formation of giant ore deposits.
Ore deposition in percolation networks
In many cases, ore deposition is controlled by processes
such as (1) fluid mixing, (2) fluid-rock reaction, (3) phase
separation driven by sudden fluid pressure drop, and (4)
gradients in pressure and temperature (Skinner, 1997).
Ore deposition is dependent on structurally controlled
delivery of fluids to appropriate reaction sites. These
processes operate with different effectiveness in different
parts of percolation networks.
Isolated elements of percolation networks have the low-
est fluid flux and, therefore, have minimal ore potential in
hydrothermal systems. The ore potential of backbone and
dangling elements depends on the nature of the ore depo-
sition reactions, and whether the site is in the upstream or
downstream part of the system.
Most flow occurs along the network backbone. Even
though they are high-flux sites, flow backbones are unlikely
to be sites of substantial fluid-rock interaction or fluid mix-

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 22
ing away from their upstream or downstream terminations.
However, backbone sites do provide potential for ore depo-
sition in response to temperature and pressure gradients.
Backbone elements also have the potential for sudden fluid
pressure drops (and associated phase separation) caused by
co-seismic dilatancy associated with large slip on these struc-
tures in the seismogenic regime. The potential for ore
deposition involving fluid-rock reaction is dependent on
the grain-scale pervasiveness of flow. Especially during flow
along macroscopic fractures, fluid migrating along the flow
backbone has limited interaction with the fracture walls.
However, where flow is controlled by grain-scale dilatancy,
such as in cataclasite or ductile shear zone materials, fluid-
rock reaction can occur along the flow path.
High potential for fluid-rock reaction is provided in the
downstream parts of percolation networks, where fluids dis-
charge from active structures into the surrounding, perme-
able rock medium. Fluid discharge from the downstream
termination of the flow backbone (Fig. 1), or from down-
stream dangling members of the network, promotes fluid-
rock interaction. Similarly, this part of the flow network
generates potential for fluid mixing if deeply derived fluids
discharging from the network interact with shallow-level
fluid reservoirs already present in the discharge regime, as
may be the case for many types of porphyry-type and
epithermal systems.
Potential for ore deposition by fluid mixing reactions
also occurs in the upstream parts of networks. The
upstream regions of flow backbones are dominated by
focusing of fluids from dispersed reservoirs and host rocks,
into the permeable backbone network. Mixing of fluids
derived from different reservoirs will be particularly effec-
tive where dangling (fluid feeder) elements of networks
intersect the upstream segments of backbone structures.
Conclusions
Active deformation is necessary to generate and maintain
permeability, and to sustain large-scale fluid flow in many
hydrothermal systems. At upper crustal levels, and in rocks
with low intergranular porosity, flow is controlled by per-
meability associated with grain-scale cataclasis and macro-
scopic fracture growth. At deeper crustal levels, fluid flow in
active shear zones typically is controlled by deformation-
induced, grain-scale microcrack permeability. However,
macroscopic fracture permeability still develops in high
pore fluid factor regimes at elevated temperatures.
The distribution and geometry of fracture-controlled
fluid pathways is governed by fluid pressure and stress state.
High pore fluid factors are important in driving growth of
fracture permeability at all scales. High pore fluid factor
regimes tend to develop above leaking, suprahydrostatic-
pressured fluid reservoirs, and below low-permeability
domains. Faults and shear zones play a key role in tapping
fluids from deeper level fluid reservoirs.
The highest fluid flux in individual faults or shear zones
is localized in sites with the highest fracture apertures
and/or fracture density. Thus, both dilational and contrac-
tional bends and jogs on faults and shear zones, as well as
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COX ET AL.
fault termination zones (wing cracks and splays) and fault
intersections, form structural sites with high potential for
localizing fluid flow.
The macroscopic fluid pathways in fracture-controlled
hydrothermal systems are influenced by the evolving con-
nectivity among elements of fracture/fault/shear networks
during progressive deformation. The most extreme flow
localization and greatest potential for ore localization
occurs at the onset of system-wide fluid flow, when the sys-
tem reaches the percolation threshold. Percolation thresh-
olds may be reached at bulk strains as low as a few percent.
Systems well above the percolation threshold are associated
with more dispersed fluid flow, and may provide lower
potential for ore formation.
Acknowledgments
This work was funded partly by a grant from the Aus-
tralian Research Council, as well as by support from the
Research School of Earth Sciences and WMC Resources
Ltd. R. Henley, S. Munroe, P. Nguyen, K. Ruming, R. Sib-
son, W. Stone, J. Streit, and S. Zhang all provided valuable
discussion about ore systems and fluid flow in rock media.
K.A. Foxford is thanked for providing a preprint. The con-
structive review comments of M. Jébrak and S. Temperley,
as well as the editorial contributions of J. Richards, are also
greatly appreciated.
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