Geomechanical Behaviour of Fault Zones During Tunnel Excavation: Critically-Stressed Fault Analysis, In-Situ Stress Assessment, and the FZSEI Framework

Abstract

Fault zones represent the most challenging geological discontinuities encountered during road and railway tunnel construction. When tunnel excavation intersects active or reactivated faults, the in-situ stress state within the rock mass undergoes profound perturbations: the fault core and damage zone display sharply contrasting mechanical and hydraulic properties compared with intact host rock, preferential slip planes exist at critically stressed orientations, and elevated pore pressures may transiently destabilise the excavation face. Conventional tunnel design methods, which treat the rock mass as a homogeneous elastic medium, systematically underestimate the support requirements and the risk of sudden failure events — including face collapse, large-displacement squeezing, and rockburst — in these settings. This article presents a rigorous geomechanical analysis of fault zone behaviour during tunnel excavation, grounded in the critically-stressed fault theory of Zoback (2010) and in the extensive body of evidence from deep borehole studies, seismic reflection surveys, and fault zone hydraulics. The Mohr-circle framework for evaluating fault criticality, the Stress Criticality Index (SCI) quantifying the proximity of a fault to frictional reactivation, the fracture density powerlaw model governing damage zone architecture, and the permeability-stress coupling equations are all translated into tools applicable to the tunnel design workflow. On this basis, the article proposes a new predictive framework — the Fault Zone Stress-Excavation Interaction (FZSEI) framework — that integrates SCI computation, damage zone geometry characterisation, pore-pressure transient modelling, and adaptive support classification into a unified design methodology

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