Rock Mechanics and Rock Engineering
https://doi.org/10.1007/s00603-020-02114-2
TECHNICAL NOTE
An Analytical Investigation on the Estimation of Water Inflow
into a Circular Tunnel Based On‑site Data
Qian Liu1 · Zhiye Zhao1 · Wen Nie2 · Jianping Sun1 · Fei Xiao1
Received: 13 May 2019 / Accepted: 7 April 2020
© Springer-Verlag GmbH Austria, part of Springer Nature 2020
Keywords  Pre-excavation grouting · Water inflow · Analytical solution · Probe hole · Tunnel
1 Introduction
Pre-excavation grouting (PEG) was developed in early
1980s to reduce water inflow in hard rock tunnelling. Over
the years, positive experiences have been made with this
method, particularly during the construction of subsea tun-
nels and tunnelling in urban environments which are sensi-
tive to groundwater drawdown. The technical procedure of
PEG has also been improved in order to satisfy the increas-
ingly strict technical and environmental requirements.
A common criterion for PEG application is based on the
observational approach. The water inflow from probe holes
might be used to predict the potential water inflow into the
tunnel for the execution of grouting based on the predefined
measures in terms of grouting pressure and grout take. A
prerequisite for PEG application is the availability of a cal-
culation method to obtain a quick estimation of potential
water inflow into tunnels based on-site data. To meet this
prerequisite, several relevant problems have been involved,
such as the determinations of the limit of residual inflow,
* Wen Nie
wnie001@e.ntu.edu.sg
Qian Liu
liuq0025@e.ntu.edu.sg
Zhiye Zhao
czzhao@ntu.edu.sg
Jianping Sun
SUNJ0030@e.ntu.edu.sg
Fei Xiao
fxiao005@e.ntu.edu.sg
1
School of Civil and Environmental Engineering,
Nanyang Technological University, 50 Nanyang Ave,
Singapore 639798, Singapore
2
School of Civil and Transportation Engineering, Hebei
University of Technology, Tianjin 300401, China
the geological and hydrogeological conditions, the grout
mix and the grouting pressure, etc. (Stille 2012; Stille 2015;
Shi et al. 2016; Shang 2020; Fan et al. 2020). The limit of
residual inflow, Qlim, specifies the project requirements of
groundwater control during tunneling as shown in Table 1.
Qlim is one of the measures to assess the likely groundwater
inflow that may occur during tunnelling. For tunneling in an
environment which are sensitive to the groundwater draw-
down, systematic grouting is usually adopted. If the tunnel
is in a rural area without specific requirements on the inflow
rate, a PEG trigger value might be adopted for the determi-
nation of the execution of grouting. The PEG trigger value,
QA, is usually defined using the observation of water inflow
from the probe hole. Generally, a lower PEG trigger value
indicates a lower residual water inflow into tunnel, and the
PEG trigger values vary with rock conditions and the limit of
residual inflow. By empirical estimation, the range of upper
limits of targeted residual inflow for different projects and
situations can be in the range from 5 to 50 L/min per 100 m,
as shown in Table 2. The ratio of Qlim/QA is about 12.5–15,
except the case in Qingdao subsea tunnel.
The empirical relationships shown in Tables 1 and 2 are
case-specific and may not be applicable to tunnels under
other geological and hydrogeological conditions. This study
aims to establish the general relationships among the water
inflow rates observed or estimated from the probe holes,
the tunnel and the grouted tunnel, based on the analytical
solutions derived by Park et al. (2008) and Li et al. (2018).
2 Problem Description
2.1 A Simplified Procedure of Grouting
Garshol et al. (2012) simplified the grouting procedure into
several steps, as shown in Fig. 1. The probe holes are firstly
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 Q. Liu et al.

Table 1  Examples of the residual inflow limits for individual sections of the tunnel (modified after Grøv and Woldmo 2012)
Project related Country Limit of residual inflow, Qlim PEG requirements

Tunnelling in urban environments which are Norwegian 2–4 L/min per 100 m Systematic grouting
sensitive to groundwater drawdown Swedish 2–5 L/min per 100 m
Finland < 2 L/min per 100 m
Subsea tunnels and rural tunnels Norwegian 10–30 L/min per 100 m PEG initiates if the water inflow
Tunnels without specific requirements Norwegian > 30 L/min per 100 m is beyond the PEG trigger
value

Table 2  Some relationships Limit of residual inflow, Qlim Trigger value for single Trigger value
between the target residual hole, QA for all holes,
inflow limit and PEG trigger QA’
values (modified after Mao
et al. 2016) 15 L/min per 100 m tunnel 1 L/min 3 L/min
30 L/min per 100 m tunnel 2 L/min 6 L/min
50 L/min per 100 m tunnel 4 L/min 10 L/min
15 L/min per 100 m, Harbor area treatment scheme 1.0 L/min 3.0 L/min
27.8 L/min per 100 m, Qingdao Subsea tunnel 5 L/min 10 L/min

The probe holes are assumed to be over 20 m long; If the targeted residual inflow limits are not met, the
trigger values of measured inflow can be checked and modified subject to the ground response during tun-
nelling

Yes
Probe hole(s) qp > qA Add grout holes

No No
Check hole(s)
qck < qB or reach the
termination criteria

Yes

No grouting Stop grouting

Probe hole
Grout hole
Check hole
Fill holes Advance
NOTE:
Qp is the water inflow in probe hole, unit in L/min;
Qck is the water inflow in check hole, unit in L/min;
QA is the PEG trigger value to determine the needs of grouting, unit in L/min;
QB is the trigger value at check hole to determine the continuation of grouting, unit in L/min.

Fig. 1  Flowchart of simplified grouting procedure (modified after Garshol et al. 2012)

drilled to obtain the water inflow Qp which will be used to the grouting process. The check hole, Qck, is drilled later to
determine the execution of grouting based on its comparison measure the water inflow into it. In general, the check hole
with QA. If Qp ≥ QA, the grout holes may drill, and then all trigger values QB should be continuously reviewed and may
probe and grout holes are grouted with the monitoring of be modified according to the ground response and grouting

13
An Analytical Investigation on the Estimation of Water Inflow into a Circular Tunnel Based On‑site…
performance (Høien and Nilsen 2014; Holmøy and Nilsen
2014) and in some practical cases, we may set QA = QB. If
Qck ≥ QB, an additional round of grouting might be required.
2.2 Definition of the Problem
Researchers have presented closed-form solutions to cal-
culate steady-state inflow into a circular tunnel in homo-
geneous rock mass with isotropic permeability (Rat 1973;
Lei 1999; El Tani 2003, 2010; Kolymbas and Wagner
2007; Park et al. 2008; Coli and Pinzani 2014; Nikvar
Hassani et al. 2018). Rat (1973) has presented the exact
relation for the water inflow considering a constant poten-
tial and pointed out the importance of the pressure prob-
lem. Considering the problem as a simplification of a two-
dimensional problem where the ground surface serves as
the elevation reference datum, the steady seepage field can
have 3 boundary conditions (see Fig. 2): (1) total hydraulic
head at the ground surface is H  , (2) constant water pres-
sure pp might occur at the probe hole, and (3) constant
water pressure pg is assumed at the outer boundary of
grouted zone. Several other assumptions have been made
to derive the analytical solutions, including (El Tani 2003;
Park et al. 2008; Li et al. 2018): (1) the circular tunnel is in
a fully saturated, homogeneous, isotropic and semi-infinite
porous aquifer with a constantly horizontal water head;
(2) the surrounding ground has the isotropic permeability
and a steady-state groundwater flow, and (3) the grout-
ing material is homogeneous and isotropic and a full face
injection of grouting is extended beyond the excavation
Fig. 2  Schematic diagram of the steady water inflow into probe hole (a), circular tunnel (b), check hole (c) and grouted tunnel (d)
surface. The above assumptions make it possible to sim-
plify the 3D flow problem into a 2D flow problem. Tani
(1999a, b) has studied the influences of the tunnel shapes
on the water inflow into tunnels, and it was suggested that
the equivalent circular shape with an equal area could be
used to consider the different tunnel shapes. It also should
be noticed that the water flow into the grouted zone has
been simplified from a three-dimensional domain to a
two-dimensional model, and it is assumed that a full-face
injection of grouting create a grouted zone which is con-
centric with the circular tunnel as those used in previously
analytical analyses (Li et al. 2018; Pan et al. 2018; Yang
et al. 2016).
Based on the above assumptions, the solutions for the
water inflow rate per unit length of probe hole (qp), circu-
lar tunnel (qto), check hole (qck) and grouted tunnel (qtg)
could be calculated based on the following 4 cases which
are further listed in Table 3.
Case A: water inflow into a probe hole under constant
water pressure pp (Rat 1973; Park et al. 2008).
( )
p
2𝜋k H + hp − 𝛾 p
√
w
qp = ( ) (1)
h2p
hp
ln r + r2 − 1
p p
where qp is water inflow rate per unit length of probe hole; k
is isotropic permeability of the surrounding rock; γw is unit
weight of water; H is depth of ground surface from water
table; hp is probe hole depth from the probe hole center to
the ground surface, and rp is radius of probe hole.
13
 Q. Liu et al.

Table 3  Parameters and notations used in the four cases

Cases Targets Water pressure at hole/tunnel Total water head Radii
perimeter

A Probe hole pp H + hp −
pp
rp , radius of the probe hole
𝛾w
B Circular tunnel before grouting Atmospheric pressure H+A r, radius of the circular tunnel
C Check hole pck H + hck −
pck
rck , the radius of the control
hole, rg , external radius of
𝛾w

the grouted zone

D Grouted circular tunnel Atmospheric pressure H+h−
pg
r, radius of the circular tun-
𝛾w
nel,rg , external radius of the
grouted zone

H is the depth of ground surface from water table; h is the tunnel depth from the tunnel centre to the ground surface; hp is depth of the probe
hole (from the centre of probe hole to the ground surface); hck is depth of the check hole (from the centre of check hole to the ground surface);
pp is water pressure in the probe hole; pck is water pressure
√ in the control hole; pg is water pressure effective at the inner boundary of the grouted
tunnel, and A=h(1 − 𝛼 2 )∕(1 + 𝛼 2 ) in which 𝛼 = 1r (h − h2 − r2 )

As rp ≪ hp , Eq. (1) could be further simplified as shown Case D: water inflow rate per unit length of grouted cir-
by Tani (1999a, b). Thus, the permeability of surrounding cular tunnel qtg by assuming a constant pore pressure pg is
rock masses could be back-calculated as: effective at the tunnel perimeter (Li et al. 2018).
( 2h ) ( p
)
qp ln r p 2𝜋k h + H − 𝛾 g
( )
w
(2)
p
k= ( ) qtg = √( )
p (r ) 2 (5)
2𝜋 H + hp − 𝛾 p kr g h h
w
k
ln r
− ln r
− r
− 1
g t g g

According to Eq.  (2), the influence of the radius of

probe hole on the water inflow could be ignored as the In practice, after grouting works, the atmospheric pres-
variation of water inflow is only about 1% when the radius sure is effective at the premier of the tunnel, Eq. (5) can be
of probe hole rp increases from 48 to 60 mm. simplified as follows:
Case B: water inflow into a tunnel where atmospheric
2𝜋k(h + H)
pressure is effective inside the tunnel and at the tunnel qtg = ( √( ) )
(r )
perimeter (El Tani 2003; Park et al. 2008). kr g h h
2
(6)
k
ln r − ln r − r
−1
g t g g
2𝜋k(A + H)
qto = ( √ )
2 (3)
ln hr + hr2 − 1

3 Relationship Among Water Inflows

where q to is water inflow rate per unit length of cir- into Probe Holes, into Tunnels
cular tunnel; r is radius of the circular √ tunnel, and and into Grouted Tunnels
A = h(1 − 𝛼 2 )∕(1 + 𝛼 2 ) in which 𝛼 = 1r (h − h2 − r2 ).
Case C: water inflow into the check hole under constant 3.1 Relationship Between qp and qto
water pressure pck (Li et al. 2018).
( ) By submitting Eqs. (2) into (3), the water inflow into the
p
2𝜋k hck + H − 𝛾ck
tunnel qto could be estimated based on the water inflow into
√
w
qck = ( ) ( ) ( ) (4)
k r g h h2ck the probe hole qp as:
k
ln r
− ln r
ck
− r2
− 1 ( 2h )
g ck g g
(A + H)ln r p
qto
where kg is permeability of the grouted zone; rg is external
p
=( ) ( √ ) (7)
qp
radius of the grouted zone; rck is the radius of the check p 2
H + hp − 𝛾 p ln hr + hr2 − 1
hole; hck is depth of the check hole (depth from the hole w

centre to the ground surface), and pck is water pressure in

the check hole.

13
An Analytical Investigation on the Estimation of Water Inflow into a Circular Tunnel Based On‑site…

As shown in Eq. (7), the relationship between the water
inflow into the probe hole ( qp ) and the water inflow into tun-
nel ( qto ) is related to the depth of ground surface from water
table H  , the geometry of tunnel (depth h and radius r ), the
geometry of the probe hole (depth hp and radius rp ), and the
water pressure in the probe hole ( pp).
The change in qto ∕qp due to the depth of the probe hole
( hp ) is firstly examined in different depths of tunnels by
assuming the other parameters are constant (i.e., H = 50m
and pp ∕𝛾w = 20m ). As shown in Fig. 3a, the ratio of qto ∕qp
is sensitive to h p when the tunnel located at a shallow
depth ( h = 50m ) with a large cross-section (i.e. r ≥ 10m ).
For example, the ratio of qto ∕qp may increase from 4.47 to
5.25 when the probe hole depth is changed from mid-wall
(hp = h) to the crown ( hp = h − r ) for the tunnel with radius
r = 12m . However, the influence of the depth of the probe
hole on the ratio of qto ∕qp becomes less significant when
the tunnel is deeper (see Fig. 3b for the case of h = 100m ).
The difference in the ratio of qto ∕qp is within 6% when the
probe hole depth is changed from the crown ( hp = h − r  )
to the floor ( hp = h + r  ) for tunnel with radius r = 12m .
Considering the influence of both rp and hp on the water
inflow into the probe hole in Eq. (2) and into tunnel in
Eq. (7) and the fact that probe holes are usually drilled
in the central area of the excavated surface, it could be
concluded that the changes of the geometry of probe hole
(probe hole depth hp and probe hole radius rp ) might have
limited effects on the variations of qto ∕qp . In the following
discussions, the depth of the probe hole is assumed the
same as the depth of the tunnel, i.e. hp = h.
If it is assumed r∕rp = 200 and r << h , a simplified
solution for the ratio of qto ∕qp can be obtained, based on
Eq. (7), as follows:
( )
qto (H + h)ln 400h
r
=( ) ( ) (8)
qp pp
H + hp − 𝛾 ln 2hr
w
Figure 4a plots the lowest boundary of qto/qp by vary-
ing the ratio of h/r. It shows qto/qp may decrease with the
increase of h/r. Specifically, when h/r changes from 7 to
30, the ratio of q to/q p will be reduced from 3.0 to 2.3.
When h/r is larger than 30, the decrease gradient of qto/qp
with the increase of h/r becomes much lower. For a tunnel
with h∕r = 10 and r = 10m , the ratio of q to/qp increases
with the increase of pp ∕𝛾w under a constant depth from
the water table to ground surface ( H  ) as shown in Fig. 4b.
A smaller H will result in a larger increase of qto ∕qp ratio
with the increase of pp ∕𝛾w . It also shows the ratio of qto/qp
may not less than 2.77 under such conditions. Therefore,
it is important to measure the water pressure in the probe
hole ( pp ) to obtain a reasonable estimation of water inflow
using the ratio of qto ∕qp to assist the preliminary grouting
design.

6 6
r=5 r=5
qto / qp
qto / qp

r=10 r=10
5 5
r=12 r=12

4 4

3 3

2
2

Depth of probe hole, hp Depth of probe hole, hp

(a) (b)

Fig. 3  Effects of the depth of probe hole with tunnel depths h = 50 m (a) and h = 100 m (b)

13
 Q. Liu et al.

6 6

Lowest boundary of qto/qp

H = 50 m

qto / qp
H = 100 m
5
4 H = 200 m
2.77
2.77 -- 4

2
3 2.77

0 2
0 10 20 30 40 0 10 20 30 40 50
h/r pp/γw, m

(a) (b)

Fig. 4  Variations of the ratio of qto/qp its lowest boundary (a) and the changes with H at h/r = 10 (b)

As it can be observed from the above analytical solutions, Figure 5 plots the variation of ratio of qtg ∕qto with differ-
the relationship between water inflows into the probe hole ( qp ) ent sealing efficiencies, based on Eq. (10), which shows that
and that into the tunnel ( qto ) are affected by the groundwater the qtg ∕qto ratio are initially small and will increase with the
table, the depth and size of the tunnel, and the water pressure increase of sealing efficiency. When the sealing efficiency is
in the probe hole. To estimate the water inflow into the tun- increased from 90 to 100%, the ratio of qtg ∕qto is decreased
nel based on the probe hole data, we need to know the water by almost 36% for h∕r = 10 and rg ∕r = 1.8 . In the case of
inflow and the water pressure in the probe hole, as well as the a lower rg ∕r, for example rg ∕r = 1.2 , the ratio of qtg ∕qto is
requirement that the geological conditions are similar between decreased by 64.7%. This might be the reason that PEG
the tunnel and the probe hole. might not be practical if the sealing efficiency needs to be
higher than 90% (Stille 2015). The approximated solution
3.2 Relationship Between qto and qtg of qtg ∕qto could be used to estimate the grouting efficiency
during the preliminary design stage.
To investigate the grouting effect, Stille (2012) introduced
the sealing efficiency (1 − kg ∕kr ) to measure the relative
number of fractures that need to be sealed, followed by the 4 A Case Study
evaluation of the grouting difficulties. The sealing efficiency
is related to the water inflow into the tunnel after grouting A storage rock cavern project in Singapore is used for the
which could be related to the ratio between qto and qtg . By case study, which consists of 5 underground rock caverns
combining Eqs. (3) and (5), the relationship between qto and and associated tunnels, with the total excavated volume of
qtg can be written as: more than 2 million m3 (Shao et al. 2015; Zhou et al. 2017;
Fan et al. 2018). The operation tunnel A (OT-A) is located
⎧ � � � ⎫ at Level 1 about 100 m below the sea, which we considered
⎪ h
ln r + r2 − 1 h2 ⎪
⎪h+H ⎪ as a circular tunnel with an equivalent area in this case (see
qtg = ⎨ × � � � ⎬qto Fig. 6a). During deep investigation work, seepage water
⎪ A + H � k � � rg � h
� �2
h ⎪ encountered from investigation holes. Probe hole with a
⎪ ln − ln − −1 ⎪
⎩ kg r rg rg
⎭ radius rp = 54 mm and a length of 15 m was drilled to inves-
(9) tigate the water-bearing layers. Both the water inflow and
If r << h , Eq. (9) can be rewritten as: the pressure ( pp ) from the probe hole were recorded after
( ) drilling. The pre-grouting works were going to be performed
qtg ln 2h if the water ingress from the probe hole was larger than 6 L/
r
= ( √( ) ) min. A typical fan grouting pattern and its profile are shown
q ( ) ( ) (10)
to k rg h h
2 in Fig. 6b. In practice, the probe hole locations and grout-
ln − ln − −1
kg r rg rg ing patterns at each stage would be adjusted to suit local
geological and hydrogeological observations.

13
An Analytical Investigation on the Estimation of Water Inflow into a Circular Tunnel Based On‑site…

100%
h/r = 10, rg/r = 1.2
h/r = 30, rg/r = 1.4
qtg / qto
80% h/r = 20, rg/r = 1.4
h/r = 10, rg/r = 1.4
qtg / qto = 64.7%
h/r = 5, rg/r = 1.4
60%
h/r = 10, rg/r = 1.8

Sealing efficiency = 90%

40% qtg / qto = 36.2%

20%

0%
0% 20% 40% 60% 80% 100%
Sealing efficiency (1-kg/kr)

Fig. 5  Variations of qtg/qto with different sealing efficiency

Fig. 6  Schematic diagrams of the tunnel location (a) and typical grouting pattern (b)

The water inflow measured from the probe holes was
used to estimate the water inflow of the tunnel. The water
inflow into the tunnel was calculated as the sum of water
inflow from grout holes at the same excavated face, which
is used to calculate water inflow rate per unit length qp .
The observations of the water inflow into the tunnel dur-
ing the construction are presented in Fig. 7a, which shows
that the water inflow into the tunnel varies significantly
along the tunnel. By assuming H = 20m, h = 80m, r = m
and hp = 86m , the potential water inflow rate into the cav-
ern qto could be estimated using Eq. (7) by inputting the
relative pressure pp and water inflow rate qp of the probe
hole. The comparison of the real site observation inflow
data and the estimation of the water inflow is shown in
Fig. 7b, which indicates a reasonable level of accuracy.
However, the accuracy might be higher if we consider the
regions with the observed water inflow less than 120 L/
min ( qp = 8L∕min∕m  ) (see Fig.  7c). As the analytical

13
 Q. Liu et al.

500
Estimation
400 Observation
Water inflow, L/min

300

200

100

0
0 50 100 150 200 250
Along the operation tunnel (OT), m

(a)

400 125

100
300
Estimation, L/min
Estimation, L/min

75
200
50
y = 0.6959x y = 0.8266x
100 R² = 0.9312
R² = 0.6924 25

0 0
0 100 200 300 400 0 25 50 75 100 125
Observation, L/min Observation, L/min

(b) (c)

Fig. 7  Estimated water inflow along the operation tunnel (a) and the comparisons with all measured data (b) and the observed water ingress (c)
of the tunnel is less than 120 L/min

solutions for the water inflow into the tunnel in 15  m
length are based on the assumption that the hydrogeologi-
cal condition at the probe hole should be similar to the
hydrogeological condition at the tunnel, it implies that the
tunnel section under consideration should have fewer geo-
logical discontinuity features (faults/water-bearing zone,
etc.), which may explain the better estimation accuracy
for the section with small water inflow. However, when a
large geological discontinuity is encountered in the section
which may induce large water inflow into the tunnel, the
hydrogeological condition at the probe hole cannot repre-
sent the complex hydrogeological condition at the tunnel,
then the prediction may have a poor accuracy. For the rela-
tionship between the water inflow in the tunnel before and
after the grouting, there was lack of onsite data available.
More exploration study will be carried out in the future.

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An Analytical Investigation on the Estimation of Water Inflow into a Circular Tunnel Based On‑site…
5 Conclusions
In this study, the relationships among the water inflows into
probe holes, into the tunnel and into the grouted tunnel are
investigated using the analytical solutions derived by Park
et al. (2008) and Li et al. (2018). It can be observed that the
water inflow into the probe hole ( qp ) and into the tunnel ( qto )
are affected by the groundwater table, the depth and size of
the tunnel, and the water pressure in the probe hole. The
lowest boundary of the ratio of qto ∕qp might decrease with
the increase of h∕r . Specifically, when h∕r changes from 7
to 30, the ratio of qto ∕qp will be reduced from 3.0 to 2.3. The
relationship between the water inflows into the tunnel before
and after grouting ( qto ∕qtg ) illustrates the level of difficulty
to perform grouting for the case of sealing efficiency > 90%.
A case study of an operation tunnel in a rock cavern pro-
ject shows that the possible application of the analytical
solutions to predict the water inflow into a tunnel based on
the water inflow into probe holes. The case study shows a
reasonable agreement between the observation at the site
and the estimation using Eq. (7) for water inflow less than
120 L/min. As all the relationships presented in the paper
are derived based on a simplified geological condition, the
analytical solutions should be used under the condition that
the geological and the hydrogeological conditions at the
probe hole and for the tunnel should be similar without large
discontinuity features. In this work, the scenario that the
geological and hydrogeological conditions at the probe hole
and at the tunnel face are significantly different is not consid-
ered. It should be noted that conclusions from this study are
based on simplified models, so they should be used for the
preliminary design stage only. The relationship between the
water inflows from the tunnel before and after grouting was
not verified in this study due to the lack of check hole data.
In the future, data from check holes should be collected so
as to check the efficiency of grouting.
Acknowledgements  The authors thank NTU-JTC Industrial Infra-
structure Innovation Centre (I3C) and Nanyang Centre for Under-
ground Space for financial support. The third author also wants to
thank National Natural Science Foundation of China (Grant number
51908186).
Compliance with Ethical Standards  Rat M (1973) Ecoulement et répartition des pressions interstitielles
Conflict of interest  The authors declare that they have no conflict of
interest.
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