Tunnelling and Underground Space Technology 34 (2013) 1–12

Contents lists available at SciVerse ScienceDirect

Tunnelling and Underground Space Technology

journal homepage: www.elsevier.com/locate/tust

A new tunnel inflow classification (TIC) system through sedimentary rock masses
H.R. Zarei a, A. Uromeihy b, M. Sharifzadeh c,⇑
a
Dept. of Geology, Karaj Branch, Islamic Azad University, Karaj, Iran
b
Dept. of Engineering Geology, Tarbiat Modares University, Tehran, Iran
c
Dept. Mining and Metallurgical Engineering, Amirkabir University of Technology, Tehran, Iran

a r t i c l e i n f o a b s t r a c t

Article history: A new classification system with respect to the engineering geological characteristics of rock masses in
Received 7 April 2012 different geological conditions were presented based on the authors’ experiences and observations. Rock
Received in revised form 30 August 2012 mass composition (RMC), rock type (RT), clay-bearing content (CBC), unconfined compressive strength
Accepted 28 September 2012
(UCS) and tunnel depth (TD) were found as the major factors affecting the tunnel inflow. In order to min-
Available online 20 December 2012
imize judgmental bias and set up a basic database, data pertaining to these factors were compiled from
33 tunnels project with a total length of about 200 km thoroughly excavated in sedimentary rocks. The
Keywords:
classification factors were rated using a combination of the analytic hierarchy process (AHP) and statis-
Classification system
Groundwater inflow
tical methods. In order to cover all rock mass varieties and lessen the uncertainties, major factors were
Tunnel inflow divided into categories of varying quality. Two statistical criteria were introduced to calculate the weigh-
Rock mass composition ing of categories. The main advantage of this procedure is its capability of effectively predicting ground-
Tunnel depth water inflows in a vast variety of geological conditions especially from a single flow pathway such as a
brittle fault zone to low permeable rock masses. The proposed classification was applied to the actual
rock tunnels. It was revealed that the predicted values were in a good agreement with the actual field
measurements and could provide quantitative measures of tunnel inflow. The proposed method could
be more feasible for a reliable pre-assessment of groundwater inflows in the future tunnel construction
projects under heterogeneous geological conditions. Furthermore, the most important factors as well as
their combination are introduced for sedimentary rocks.
Ó 2012 Elsevier Ltd. All rights reserved.

1. Introduction Fernandez and Moon (2010), significant geological features and

Reliable estimates of groundwater inflow are required for de-
sign and construction of underground excavations in rock masses.
However, tunnel inflow is not always correctly assessed prior to
construction. This is effectively due to simplifications and inaccu-
rate estimation of hydraulic conductivity of rock masses. Investiga-
tions so far such as analytical and empirical solutions consider only
the homogeneous geological conditions. Whereas, rock mass as a
natural product, forms a complex geological structure with
strongly heterogeneous permeability distribution, whose hydraulic
behavior is affected by many factors. Indeed, the present ap-
proaches study the role of each of these factors individually, keep-
ing the others constant. Therefore, they cannot adequately
estimate the rate of tunnel inflow in rock mass.
Rock mass complexity (anisotropy and heterogeneity) is a main
factor, which is not taken into account in present approaches. Gat-
tinoni and Scesi (2010) pointed out that one of the factors, which
most influences drainage process, but has rarely been included in
a traditional approach, is the geo-structural setting. According to
⇑ Corresponding author. Tel.: +98 21 6454 2952; fax: +98 21 66405846.
E-mail address: sharifzadeh@aut.ac.ir (M. Sharifzadeh).
inadequate estimates of hydraulic conductivity from packer tests
are among the various factors that are not considered in analytical
solutions. As previously shown by Zarei et al. (2011), analytical and
empirical procedures are not suitable for estimation of high local
groundwater inflow from singular geological features such as
faults and open fractures.
According to Palmstrom and stille (2007), water inflow is one of
the main ground behaviors surrounding an underground excava-
tion. It is a quite complicated behavior of ground that is response
of many factors such as rock mass permeability and environmental
conditions. Various factors are of different degrees of significance.
Hence, they can fully describe inflow behavior should they be con-
sidered together. Empirical (classification) systems and observa-
tional methods are friendly design tools in rock engineering in
which all important factors can be considered simultaneously.
Since the first attempt by Terzaghi (1946) to describe the rock
mass characteristics, many classification systems have been devel-
oped for characterization of rock masses. Some of them such as
RMR and Q-system are quantitative methods but greatly are time
consuming and have geological constraints. Whereas, the GSI clas-
sification system introduced by Hoek (1994); provides a qualitative
system which is based upon the visual impression of the rock

0886-7798/$ - see front matter Ó 2012 Elsevier Ltd. All rights reserved.
http://dx.doi.org/10.1016/j.tust.2012.09.005
2 H.R. Zarei et al. / Tunnelling and Underground Space Technology 34 (2013) 1–12
masses. These systems were developed in order to provide tunnel
support requirements as well as estimation of rock mass mechan-
ical properties; however, do not specifically correspond to ground-
water inflow.
In this paper, a new classification system is presented to assess
the tunnel inflow in various geological conditions. It is based on a
quantitative and qualitative description allows the estimation of
the range of tunnel inflow which can occur during tunneling, from
dripping to severe water inrush. For this purpose, a database was
constructed from tunneling projects in sedimentary rocks. Table 1
presents a list of some of the given projects along with geological
condition and experienced water inflows. The location of these
projects and typical case of tunnel inflow are shown in Figs. 1
and 2, respectively. A brief overview of the projects has been pro-
vided in previous publications by the authors and is not repeated
here (Zarei, 2010; Zarei et al., 2011, 2012; Uromeihy et al., 2011).
The rock material property, tunnel depth together with visual
assessment of the mass it forms, is used as direct inputs to predict
the rock mass permeability and relevant tunnel inflow within sed-
imentary rocks. The parameters used for this system, are rock mass
composition (RMC), rock type (RT), clay-bearing content (CBC),
uniaxial compressive strength (UCS) and tunnel depth (TD).
The main objective is to produce a classification system, utilized
during pre-construction phase, and capable of reasonable estimat-
ing the expected inflow through various geological conditions. This
system is based upon the rating of the tunnel inflow influence fac-
tors. For assessing the classification ratings, a systemic procedure
by the analytic hierarchy process (Saaty, 1980) and statistical
methods is applied. The proposed system can be successfully ap-
plied to estimate the tunnel inflow for a wide variety of rock
masses and diverse ground conditions. The system is applied to se-
ven tunnels. It revealed that the predicted inflows are in good
agreement with the field measurements.
2. Background
A fundamental step in understanding and predicting the tunnel
inflow involves the identification and location of hydraulically sig-
nificant fractures (Sharifzadeh and Kargar, 2007). In principle, tun-
nel inflow is the response of rock mass permeability,
hydrogeological condition and tunnel characteristics. Hydraulic
conductivity or permeability is the most difficult and important
of all factors applied to estimate groundwater inflow into rock tun-
nels. It is a directional dependency and then, effects of anisotropy
should be considered in rock engineering analysis, especially for
tunnel inflows. However, an isotropic assumption is often applied
to analyze permeability tests, and used directly in the tunnel in-
flow analysis. In addition, borehole tests only yield local hydraulic
properties of the surrounding rock mass. Therefore, the field packer
test results may not adequately be representative of the rock mass
permeability governing to tunnel inflows.
Table 1
Summary of general geological condition and inflows issues of selected cases.
Project name Length (km) Rock types
Long Zagros 49 Marlstone, shale, limestone, dolomite
Ghomroud and access 35.8 Limestone, shale, limy sandstone
2.6
Kuhrang and access 23.5 Limestone, dolomite, marlstone
3.7
Gavoshan and access 20.1 Sandstone, shale, limestone
3.6
Langan 13.8 Sandstone, shale, limestone
Alborz 6.3 Sandstone, argillite, limestone
Semnan 3.2 Sandstone, shale, siltstone, limestone
Hashem 3.18 Sandstone, limestone
The permeability of fractured rock masses is strongly related to
the geometry of conductive fracture network and fractures proper-
ties such as aperture, presence of infilling and persistence (Lee and
Farmer, 1993; Hisham, 2007). It is very difficult for tunnel engi-
neering to directly determine these properties as they may fre-
quently change with depth and from rock mass to rock mass.
Nevertheless, it is possible to predict fracture properties at depth
through an understanding of the processes that form fractures
and the nature of the resulting fracture patterns. Accordingly, the
fracture properties are strongly controlled by geological conditions
such as depth, faulting, and rock material properties such as lithol-
ogy and mechanical characteristics. The main objective of this pa-
per is to provide a basis to correlate the hydrological properties of
rock mass major structures through geological knowledge.
In this paper, the rock mass permeability has conceptually been
considered by the sequential equations presented in Table 2. The
geometry of fracture network described by rock mass composition
and fracture properties is affected by intact rock properties and
in situ stress. With this framework, the principle process to assess
tunnel inflow is shown in Fig 3.
As illustrated in Fig. 3, rock mass composition related to the
geological conditions is the main factor controlling the permeabil-
ity. In addition, rock solution can widen fracture opening and, con-
sequently, increase rock mass permeability. Excavation method is
the main feature related to the project that may influence the per-
meability of the rock mass surrounding the tunnel. Rock mass per-
meability, related to the hydrogeological conditions, such as
hydraulic head as well as the size and rate of excavation determine
tunnel inflow.
3. Methodology
This research deals with the estimate of inflow rate in rock tun-
neling with an emphasis on evaluating the hydraulic behavior of
rock mass and presents a new scheme for a rational classification
system. In particular, the classification is proposed essentially
based on the combination of analytical hierarchy process (AHP)
and statistical analysis of experience data. Fig. 4 illustrates the flow
chart of the proposed procedure, consisting of 3 main steps, to de-
velop the tunnel inflow classification, beginning with determina-
tion of the rock mass composition type and ending with the
definition of tunnel inflow classes.
In order to find appropriate governing factors, a database was
compiled and constructed from 336 inflow zones along more than
200 km tunnel excavation in sedimentary rocks. It was performed
by a comprehensive site investigation and field measurement and
establishing geological maps with profiles showing the location
and description of rock mass composition together with environ-
mental condition. Therefore, the first step plans to define rock mass
composition and environmental condition as geological setting,
in situ stress situation, hydrogeological condition and project-re-
Excavation method Maximum overburden (m) Some experienced inflows (l/s)
D.S. TBM 500–1200 310, 260, 163, 90, 66, 49, 38, 22
D.S. TBM 300–650 740, 110, 80, 45, 30, 12, 8
Open TBM 1100–1350 1200, 250, 180, 95, 70, 50, 35
Open TBM 220–500 95, 80, 40, 25, 15, 10
Open TBM 900–1100 440, 135, 80, 60, 20
Open TBM 740–860 800, 500, 380, 200, 140, 55, 20
Drill and Blast 330–420 750-230-110, 72, 30, 18
Drill and Blast 300–400 130, 50, 30
 H.R. Zarei et al. / Tunnelling and Underground Space Technology 34 (2013) 1–12 3

Fig. 1. Location of the tunnels used to set up database.

(a) Alborz Tunnel, inflow 500 l/sec (b) Kuhrang Tunnel, inflow 1200 l/sec

(c) Semnan Tunnel, inflow 750 l/sec (d) Ghomroud Tunnel, inflow 80 l/sec

Fig. 2. Typical case of tunnel inflow during the construction.

Table 2
Rock mass permeability expressed by verbal equations.

Rock mass permeability = fracture network geometry + fracture properties Eq. (1)
Fracture network geometry = rock mass composition Eq. (2)
Fracture properties = rock material characteristics + in situ stress Eq. (3)

lated features. Accordingly, this paper includes a basic statistic of The second step is to determine the effect of governing factors
the data prepared for the analysis. on tunnel inflow, which is achieved through comparing measured
4 H.R. Zarei et al. / Tunnelling and Underground Space Technology 34 (2013) 1–12
Fig. 3. The principle steps for assessing groundwater inflow into rock tunnels.
inflow in different zones. Subsequently, governing factor weights
and ratings are calculated by a combination of AHP and the statis-
tical analysis of experience data measured during tunnel excava-
tions. To minimize uncertainties, two indices are introduced
based on statistical analysis of original data. Finally, a tunnel inflow
classification (TIC) system is proposed based on abovementioned
factors.
4. Determining influence factors
To obtain the classification factors and their influences on tun-
nel inflow, a comprehensive database was constructed. This pro-
cess was basically performed through a comprehensive site
investigation, field measurements and laboratory test, which final-
ly resulted in the preparation of realistic geological and hydrogeo-
logical models of interest tunnels. For this purpose, 33 Iranian long
tunnels constructed in sedimentary rocks were selected. The data-
base consists of reliable data of measured inflow rate, topography,
lithology and engineering characteristics of rock masses with detail
geological and hydrogeological setting of the tunnels.
Although engineering classification systems are the methods in
which the main important factors can be included, a system using
all factors is practically tedious and inconvenient. Hence, an impor-
tant task in a classification system is the selection of factors of the
greatest influence (Bieniawski, 1989).
The selection of the governing factors used in the present clas-
sification system was made considering their capability to credibly
represent the hydraulic behavior of rock masses, geo-structural
setting, and site specific conditions. The factors must be easily col-
lected in the site investigation phase and be available in all design
stages of the project without the need for implementing special
investigation techniques.
Given the above, and by the study of engineering geological
data obtained from the site investigation and construction of 33
tunnels, the most important factors affecting groundwater inflow
into rock tunnels are selected as follows:
 Rock mass composition.
 Rock type and/or lithology.
 Rock brittleness.
 Tunnel depth.
Some of these factors have already been proposed as indicators
of groundwater inflow and/or ground behavior in rock tunneling.
For example, rock mass composition- first introduced by Terzaghi
(1946) and then Stille and Palmstrom (2008) – has a main influ-
ence on ground behavior. As Zarei et al. (2011) noted, the geo-
structural setting can provide information about the hydraulic
behavior of rock masses and is directly linked to the amount of
tunnel inflow. It shows that fracture plane geometry is directly re-
lated to the brittleness of the rock materials involved (Nelson,
1985). In addition, the rock brittleness influences the degree of
fracturing and, hence, denotes the rock mass permeability sur-
rounding a tunnel. Masset and Loew (2010) found the dependency
of tunnel inflow rate on lithology. Rock type or lithology under cer-
tain geological conditions can indirectly represent the fracture
characteristics such as aperture and infilling and, thus, represent
the hydraulic behavior of the rock masses. Finally, Depth is an
important factor as it denotes the hydraulic conductivity of frac-
tured rocks and is almost used in tunnel inflow analysis (Coli
 H.R. Zarei et al. / Tunnelling and Underground Space Technology 34 (2013) 1–12
Fig. 4. Tunnel inflow prediction procedure.
et al., 2008; Masset and Loew, 2010). A numerical study conducted
by Wei and Hudson (1988) based on rock fracture simulation sug-
gested that the hydraulic conductivity decreases with depth and is
proportional to the depth cubed.
Due to the vast variety of the given factors, which are not
equally important for tunnel inflow, and in order to cover all rock
mass variety and lessen the uncertainties, governing factors should
be divided into certain categories with similar properties, i.e. factor
categories of varying quality. General categories of factors are illus-
trated in Fig. 5. This categorization is performed based on findings
of field investigations, literature review and assistant data col-
lected during construction of the given tunnels.
4.1. Rock mass composition
The composition or structure of rock masses surrounding a tun-
nel has a significant influence on inflow behavior of the ground.
The rock mass composition is a representative combination of dis-
continuities and rock materials that reflects the geo-structural set-
ting and geological history of the rock mass. In order to describe
the rock mass composition, three main groups has been found
(Fig. 6) with an emphasis on hydraulic behavior. In addition to
blocky rock masses and faulted zones described by Palmstrom
and Stille (2007), the solution or karstic rock mass compositions,
which may be regarded as a subgroup to the others, can signifi-
5
cantly influence or determine the inflow behavior in rock tunnels.
Consequently, there are the following main groups of rock mass
compositions:
Group I: General or overall rock mass composition.
Group II: Faulted rock mass composition.
Group III: Karstic or dissolution rock mass composition.
4.1.1. General rock mass composition
General rock mass composition is defined as structures occur-
ring between weakness zones and faults (Stille and Palmstrom,
2008). It is a general combination of rock materials and fractures
which can easily be defined through visual inspection. In fact, this
type of composition is a representative structure of rock mass
which determines the geological history without any special phe-
nomenon such as faulting and solution. In order to help identify
general rock mass compositions a simple classification system with
emphasis on hydraulic characteristics is presented in Table 3.
4.1.2. Faulted rock mass composition
Faults are complex zones of deformation, having different
hydraulic behaviors and the related tunnel inflows. The influence
of faults on groundwater flow and tunnel inflow has intensively
been studied during the two recent decades (Gudmundsson
et al., 2001; Ganerod et al., 2008; Wibberley and Shimamoto,
6 H.R. Zarei et al. / Tunnelling and Underground Space Technology 34 (2013) 1–12
Fig. 5. Tunnel inflow classification factors and categories.
Fig. 6. Main types of rock mass compositions with emphasis on tunnel inflow.
2003; Odling et al., 2004; Zarei, 2010; Zhao et al., 2007; Schubert
and Riedmüller, 2000). A typical fault zone consists of two major
hydromechanical units, a fault core where the biggest slip is
accommodated, and a fault damage zone. The damage zone is char-
acterized by complex fracture networks and minor faults, the
intensity of which is higher than that of the adjacent host rock
(Brogi, 2008; Gudmundsson et al., 2001). Tectonic regime, rock
type (lithology) and rock strength can affect the hydraulic behavior
of fault zones. As earlier shown by Zarei et al. (2011), Fault type
represents the stress regime during the last deformation, which
can determine the fracture characteristics in fault zone.
The structure of 46 fault zones was investigated in the given
tunnels. Fault type and characteristic of surrounding rocks are of
other influencing factors studied in this investigation. It has been
found preferable to describe the fault zones in groups with greater
emphasis on tunnel inflow (Fig. 7). Consequently, there are three
main groups of fault zones including normal, strike-slip and re-
verse fault zones.
4.1.3. Dissolution or karstic rock mass composition
In addition, a third group (III) which may be regarded as a sub-
group to the others, involving rock with special properties, such as
high solubility and high permeability, is introduced in this re-
search. It has a great influence on hydraulic behavior of rock
masses surrounded a tunnel and may occur in two other rock mass
compositions described earlier. The karstic rock mass is a particu-
lar or even unique hydrogeological composition with complex and
original characteristics (Casagrande et al., 2005), as it can create
unique ground conditions for tunnel construction (Zarei et al.,
2012; Xeidakis et al., 2004; Day, 2004; Marinos, 2001).
Resulting in a great variety of three-dimensional patterns in
rock masses, dissolution conduit systems are the most complex
networks among all groundwater flow networks (Ford and Wil-
liams, 2007). The pattern of these systems can develop, depending
on many factors such as the style of recharge, lithological and tec-
tonic conditions and can be controlled by fractures, bedding planes
and other pre-formed geological flow paths. Some of the special
dissolution conduit patterns are shown in Fig. 8.
 H.R. Zarei et al. / Tunnelling and Underground Space Technology 34 (2013) 1–12
Table 3
Description and characterization of general type of rock mass compositions.
Class Description
a Massive or thick bedded: Rock masses consisting of few or
very wide space fractures, where the properties of the rock
material dominate the hydraulic behavior of the rock mass.
The GSI value is over 50
b Fractured: This group consists of materials with slightly to
strongly fractures. Hydraulic behavior of the rock mass
essentially depends on the hydraulic property of the fractures
c Bedded or layered: Stratification is the main discontinuity
and flow path in the rock mass. Alternation in lithology may
basically affect the hydraulic property of the bedding plane.
Rock mass permeability depends on the thickness of
competent layers. The GSI value is 25–50
As previously shown by Zarei et al. (2012), karst water inrush in
tunnels is not frequent but very large in amount (>300 l/s). How-
ever, few studies have been presented to evaluate karst water in-
rushes in the world. Zhang and Chen (1988) presented the
damage caused by karst groundwater inrush in coal mines. They
presented quantitative evaluation of the karst related inrushes
based on experiences achieved from past excavations. In this pa-
per, karstic rocks are described in the third special group, which
may completely change the hydraulic behavior of the origin rock
mass composition.
4.2. Rock brittleness
Brittleness is one of the important mechanical properties of
rock which is closely related to fracture toughness (Kahraman
and Altindag, 2004; Tiryaki, 2005). Many investigators have re-
searched the process of brittle fracture (Bieniawski, 1967; Eber-
hardt et al., 1998), and relation between brittleness and rock
cutting specific energy (Altindag, 2003), cuttability (Singh, 1986)
7
Rock mass type (RMT) Graphical Example photo
description
I. Non-porous: They are generally
limestone or materials of chemical
origin
II. Porous: They are generally clastic
rocks like sandstone and/or shale
III. Slighty fractured: They are generally
made up of low compressive strength
material
IV. Strongly fractured: These largely are
rock masses with competent and brittle
material
V. Parallel bedding: They are generally
consisting of materials, basically with
different and/or similar lithology
VI. Tightly folded: They are generally
made up of materials with harmonic
folding at the scale of the tunnel
and borability (Kahraman, 2002). However, no clear studies have
been conducted concerning the relation between fracture proper-
ties and rock brittleness. Nevertheless, it may be stated that with
higher brittleness, there is more tendency toward fracture failure
and rock fragmentation. Accordingly, rock brittleness was analyzed
with regard to tunnel inflow, so as to provide a basis for fracture
properties and classification system.
Brittleness is more difficult to measure than standard mechan-
ical and mineralogical rock properties. In civil engineering projects,
rock strength and mineralogical composition are the properties of
rock material that determine brittleness (Nelson, 2003; Hajiabdol-
majid and Kaiser, 2003). Uniaxial compressive strength (UCS) is the
basic property in rock mechanics to evaluate brittleness. In con-
trast to quartz and feldspars, clay minerals are more ductile as clay
bearing content can decrease rock brittleness.
4.2.1. Uniaxial compressive strength
Rock material strength is one of the most important engineering
properties of rocks, which determines rock brittleness and defor-
8 H.R. Zarei et al. / Tunnelling and Underground Space Technology 34 (2013) 1–12

Fig. 7. Main groups of faulted rock mass composition.

Fig. 8. Some special dissolution rock mass composition in rock messes.

mation behavior. Compressive strength has a reliable capability to
describe rock behavior during the deformation. Under the same
stress condition, strong rocks with high UCS will generally show
a more brittle behavior than week rocks and tend to fracture soon-
er. In fact, the UCS can easily be measured in the field using
Schmidt hammer and point load test. Hence, the UCS was as an evi-
dent factor in the TIC system.
Since typical range of the compressive strength of sedimentary
rocks is generally less than 100 MPa, the three classes of ISRM clas-
sification as stated in Fig. 5 was used in the TIC system.
4.2.2. Mineral composition
Mineral composition can greatly affect the rock behavior. Some
minerals, like quartz, olivine, and feldspars are very brittle whearas
others like clay minerals, micas, and calcite is more ductile. This is
due to the chemical bond types which hold them together. There-
fore, the mineral composition of the rock will be a factor in deter-
mining the deformational behavior of the rock (Nelson, 2003) and
also fracture properties such as aperture, surface roughness and in
fillings. The presence of clay in host rock could affect hydraulic
behavior of fractures in several ways. First, the mechanical defor-
mability of fractures may be increased. Second, under some chem-
ical conditions, the clays will migrate and plug pore throats. This
phenomenon has been demonstrated in porous media (Khilar
and Folger, 1984) and could occur in fractures. Third, some clay
minerals are susceptible to swelling in the presence of water.
According to Zhang (2010), fractures in argillaceous rocks have a
self-sealing potential related to clay expansion into the interstices,
as depending on the intensity of fractures, their permeability val-
ues may drop down three to five orders of magnitude. Moreover,
 H.R. Zarei et al. / Tunnelling and Underground Space Technology 34 (2013) 1–12
clay smearing in faulted rocks is a realized responsible for decreas-
ing permeability.
Clay-rich rocks can exhibit elasto-plastic behavior with self-
sealing of any fractures at depth. Hence, clay-bearing content
(CBC) of rock material can be a simple relevant factor in controlling
rock fracture properties. In TIC system, clay bearing classification
of pattons for carbonate rocks was used for classifying rocks (see
Fig. 5).
4.3. Rock type and lithology
The engineering properties of rock are governed by the physical
properties of the materials of which it is composed and the manner
in which they are bonded to each other (Zhang, 2007). Although
geological classifications of intact rocks usually have a genetic ba-
sis, they can provide relevant information relating to engineering
behavior of the rocks. Lithological characteristics, texture and
porosity are of important parameters that affect engineering prop-
erties of intact rock. Dense and crystalline rocks are more suitable
for fracture generation. Rocks with extremely high primary poros-
ity usually have poorly developed fracture rocks. Lithology and
rock solubility are also important to produce karst; pure and coar-
sely fractured rocks develop the best karst (Ford and Williams,
2007).
Rock properties play an important role in the formation of frac-
tures and in the structure of fracture zones. There are marked dif-
ferences in the internal structures of fractures and fracture zones in
different lithologic units. Rock type and lithology also influence
fault zone formation and its hydraulic properties. In highly porous
sandstones the permeability of a fault zone can be several orders of
magnitude less than that of the surrounding sandstone (Antonel-
lini and Aydin, 1994). In contrast, in low porosity rocks the perme-
ability of a fault zone tends to exceed the permeability of the host
rock (Peng and Zhang, 2007).
Rock type and/or lithology are suitable factors of all mentioned
properties of rock materials. Considering the importance of rock
type in controlling engineering properties of rock material and re-
lated fracture properties, it is used as a relevant and influence fac-
tor in TIC system.
The sedimentary rocks can be divided into two principle
groups; the clastic rocks, which consist of detrital material, and
chemical types such as crystalline carbonate rocks. As shown in
Fig. 5, in this research, a third rock group consists of clastic and
chemical alternation was introduced.
4.4. Tunnel depth
Tunnel depth or overburden thickness has always been the
most common parameter in the analysis of tunnel inflow. Depth,
as a function of present in situ stress and rock mass condition sur-
rounding the tunnels, control the hydraulic property of fractures
such as its aperture. The effect of depth on tunnel inflow has been
studied earlier by many researches such as Zhang and Franklin
(1993) and Goodman et al. (1965). In situ stress increases with
depth while fracture aperture and permeability of rock masses de-
crease. Consequently, tunnel inflow must generally decrease with
depth. As tunnel depth increases, the pore water pressure (hydrau-
lic head) will increase, by contrast.
5. Determining the weight of factors and their categories
In order to rate the five given factors, the total rate of rock mass
considered to be 100 at most, which represents highest tunnel in-
flow. In TIC system, the most weights were rated for the worst con-
dition (high inflow). For eliminating doubts, due to subjective
9
judgments, the rating for different factors has been given a range
in preference to a single value. According to the Hoek and Brown
(1997), a classification system must be non-linear to classify poor
rock mass realistically. Therefore, in TIC system, very low, low,
medium, high, very high and extremely high classes with 10, 25,
40, 60, 80 and 100 rates were attributed respectively. Where, the
lowest rate (10) indicates very low inflow and highest rate (100)
indicates extremely high inflow.
On the basis of measured inflow rate and its distribution, tunnel
inflow was classified in six classes namely extremely high (80–
100), very high (60–80), high (40–60), moderate (25–40), low
(10–25) and very low (<10). They are shown in Table 4.
The method employed to evaluate the relative importance of
the factors and their categories is based on AHP approach and sta-
tistical methods. Based on the relative priority of the factors, the
relative and absolute weight of influence factors was determined.
The major steps to determine the weights and ratings of influ-
ence factors and related categories proposed in an orderly manner
are presented as follows:
1. The rock mass composition was considered as a basis of classi-
fication. Hence, all data has been divided into three groups
belonging to general rock mass composition, faulted rock mass
composition and dissolution rock mass composition.
2. Maximum rating for different rock mass compositions was con-
sidered based on related maximum inflows measured in the
field (Table 5). Therefore, maximum rating (100) belongs to
the dissolution rock mass composition with higher inflow
(1200 l/s), and comparatively 85 and 40 were calculated for
faulted and overall rock mass compositions with maximum
inflow of 650 l/s and 100 l/s respectively.
3. In order to collect the inputs for a pair-wise comparison of main
influence factors, twenty professors with a high degree of expe-
rience were invited to evaluate classification ratings according
to the hierarchy process. For this purpose, a questionnaire
was prepared and sends for decision makers and was received
14 complete answers. In order to consider opinions, the deci-
sion makers were aggregated into different grouped based on
their expert and experiences. Then, the arithmetic means of
these values are used to calculate the final pair-wise
compassion.
4. A pair-wise comparison matrix was developed to determine
factor weights and ratings (Table 6) using the relative scale
measurement which is the same as Saaty’s scale (1980).
5. To determine the weight of categories a set of pair-wise com-
parison matrices are constructed for each influence factor. In
this process, the comparison has been done on the basis of
inflow rate measured through the related category. On the basis
of the data obtained from the field measurements and engineer-
ing geological surveys of interest tunnels, construct a set of
pair-wise comparison matrices for each category. To eliminate
personal error in pair-wise comparisons, two indices were
defined. a) Iij1: Maximum inflow rate and b) Iij2: Average inflow
rate per each measurement (w2i and j), inflow rate per tunnel
length (w3i and j) and number of inflows per tunnel length (w4i
and j).
Iij1 ¼ 1 þ C  ðqi  qj Þ for : qi > qj
1
Iij1 ¼ for : qi < qj
1 þ C  ðjqi  qj jÞ
where, Iij1 is the first importance (index) of ith factor with respect to
jth factor, qi and qj are the inflow rates measured in the ith and jth
factor respectively. C is a constant which was calculated 0.15 for
10 H.R. Zarei et al. / Tunnelling and Underground Space Technology 34 (2013) 1–12

Table 4
Tunnel inflow classification (TIC), rating and correspondence inflow.

Tunnel class number I II III IV V VI

Tunnel rating <10 11–25 26–40 41–60 61–80 81–100
Tunnel inflow description Very low Low Moderate High Very high Extreme high
Tunnel inflow rate (l/s) <10 11–60 61–120 121–300 301–800 >800

Table 5 3. Determine general rock mass composition based on Table 3 for

Influence factor ratings. rock masses likely to be surrounded a fault zone.
Rock mass Influence RMC RT CBC UCS TD 4. Find rock type(s) and related rating(s) in rock masses.
composition factors 5. Find the UCS, clay-bearing content as well as related rating(s) of
Weights 0.29 0.18 0.22 0.13 0.18 rock materials.
Overall Ratings (40) 12 7 9 5 7 6. Find the tunnel depth and related rating.
Faulted Ratings (85) 25 15 19 11 15 7. Sum up the ratings determined during in Steps 3–6 mentioned
above.
8. Find the tunnel class number and related tunnel inflow rate
Table 6 based on the total rating and the values mentioned in Table 4.
Pair-wise comparison of main influence factors.

Influence factors RMC RT CBC UCS TD 7. Case study

RMC 1 1.63 1.3 2.18 1.57
RT 0.61 1 0.79 1.32 0.95 In this paper, Long Zagros water conveyance tunnel (lot 1-b)
CBC 0.77 1.27 1 1.67 1.2 were selected as an example to make a tunnel inflow evaluation
UCS 0.46 0.75 0.6 1 0.72 by the proposed TIC through a major fault zone, named Gorigor
TD 0.64 1.04 0.83 1.39 1
Fault zone. The geological condition of the tunnel is shown in
Fig. 9. The geological condition surrounding the selected fault zone
consists of layered sedimentary rocks of limestone and shale. The
general rock mass composition and 0.013 for faulted rock mass. The uniaxial compressive strength changes from 10 MPa to 50 MPa
second importance (index) Iij2 was calculated by: for shale and limestone, respectively. Maximum overburden is
P about 1200 m above the tunnel section in fault zone.
ðw2i þ w3i þ w4i Þ
Iij2 ¼ P Based on the above data, the tunnel inflow ratings for this fault
ðw2j þ w3j þ w4j Þ zone are computed and presented in Table 9. The magnitude of
where tunnel inflow which is evaluated by the TIC system (61–120 l/s)
is in good agreement with water inflow measured in the field
Qi Qi Ni (83 l/s).
w2i ¼ ; w3i ¼ and w4i ¼
Ni Li Li
where, Qi, Ni and Li are the rate of inflow, number of inflow mea- 8. Discussion
surement and tunnel length, respectively.
6. Factor weights were calculated for each influence factor and The approaches used so far to estimate tunnel inflow in rock
their categories along the investigated tunnels. masses generally assume homogeneous media with an equivalent
7. Finally, rock mass rating was calculated for each rock mass permeability in which calculated inflow shows much difference
compositions proposed in this research (Tables 7 and 8). from the measured one. In complex geological conditions such as
fractured and/or faulted rock masses, recent analytical, empirical
6. TIC Steps and numerical solutions are insufficient to predict groundwater in-
flow. One of the greatest defects of these approaches is their inad-
The following steps are taken to classify and estimate water in- equate and impossible exploration in subsurface exploratory
flow into rock tunnels will be constructed in sedimentary rocks. drilling. This paper discusses these issues and provides a simple
classification system to estimate water inflow at different geologi-
1. Determine the rock mass composition, based in Fig. 6. cal conditions.
2. Use Tables 7 and 8 to find the ratings of different categories Rock mass permeability is the most important factor recently
related to each factor for general/faulted rock mass composi- used to estimate water inflow in present approaches. Packer test
tions respectively. is a common method to measure rock mass permeability. However,

Table 7
Influence factor ratings for general rock mass compositions.

Influence factors Factor categories

Rock mass composition (RMC) Class I Class II Class III Class IV Class V Class VI
Ratings 2 3.9 11.5 11.5 2 2
Rock type (RT) Chemical Chemical-clastic Clastic
Ratings 7.1 1.1 2.9
Clay bearing content (CBC) <5% 5–35% >35%
Ratings 6.5 8.8 1
Strength of intact rock (UCS) >50 MPa 25–50 MPa <20 MPa
Ratings 5.3 2.8 0.6
Tunnel depth (TD) m >500 m 200–500 m <200 m
Ratings 3.2 7.3 4.1
 H.R. Zarei et al. / Tunnelling and Underground Space Technology 34 (2013) 1–12 11

Table 8
Influence factor ratings for faulted rock mass compositions.

Influence factors Factor categories

General Class I Class II Class III Class IV Class V Class VI
Ratings 8.9 6 14.5 24 3.5 3.1
Rock type (RT) Chemical Chemical-clastic Clastic
Ratings 15 3.4 3.8
Clay bearing content (CBC) <5% 5–35% >35%
Ratings 16.3 15 1.5
Strength of intact rock (UCS) >50 MPa 25–50 MPa <25 MPa
Ratings 11 5.2 1.1
Tunnel depth (TD) >500 m 200–500 m <200 m
Ratings 11.7 13.7 5.6

Fig. 9. Longitudinal geological section along the tunnel (Mahab Ghodss Consultant Engineers, 2008).

Table 9 rock characteristics’’ the tunnel inflow is estimated by applying

Ratings of the influence factors along the Zagros tunnel (lot 1-b) for Gorigor Fault influence factors in proposed TIC system.
zone. Karst features are particular or even unique hydrogeological
Influence Value Rating phenomena, making it very difficult to make a reliable estimate
factor on their location and characteristics. The largest but the most infre-
1 RMC Parallel bedding (Class V) 3.5 quent water inflow which has been measured during the construc-
2 RT (Chemical-Clastic) Limestone (90%) and Shale 3.4 tion of investigated tunnels was through the karstic or dissolution
(10%) rock mass compositions. Due to the lake of data in this composi-
3 CBC <5% >35% 13.6
tion, they were excluded from the scope of the proposed TIC sys-
4 UCS 25–50 MPa <25 MPa 4.8
5 TD >500 m 11.7 tem. However, the research revealed that tunnel inflow in
Tunnel rating 26–40 dissolution rock mass composition is equal to or aboutwice as
Tunnel class number III much as the faulted rock mass compositions.
Tunnel inflow rate (l/s) 61–
Proposed tunnel inflow classification (TIC) system considers a
120
few factors affecting the hydraulic behavior of rock masses and
groundwater flow into rock tunnels, and assigns quantitative val-
ues. The TIC provides a simple procedure to estimate tunnel inflow
it is very difficult to measure a reliable permeability for heteroge-
rate through complex geological conditions, which are more diffi-
neous rock messes especially at depth with traditional packer tests.
cult to assess by present approaches. In the proposed Tunnel In-
It is one of the main reasons resulting in inaccurate estimation of
flow Classification (TIC) system, three following criteria were
tunnel inflow in complex geological conditions. In this research,
considered: (a) factors should be small in number (b) factors
the permeability is evaluated by applying effective factors such
should be categorized into certain groups, and (3) the classification
as rock type, rock strength and depth. These factors are used in
system should be applicable to the field.
the proposed tunnel inflow classification (TIC) system instead of
applying direct permeability value.
Fault zones have different hydraulic behaviors and are almost 9. Conclusion
the main sources of tunnel inflow and consequent problems. The
main difficulty to estimate tunnel inflow through fault zones using There are many factors such as rock mass composition, in situ
the present approaches, is their characterization by normal explor- stress and method of excavation, which can affect tunnel inflow
atory boring and packer test. Based on the fact that ‘‘hydraulic rate. Any change in water inflow is the result of the comprehensive
behavior of fault zone is related to fault zone architecture and host effect of all the factors. There is no single factor that can fully and
12 H.R. Zarei et al. / Tunnelling and Underground Space Technology 34 (2013) 1–12
quantitatively describe the rock mass permeability and tunnel in-
flow consequences. Hence, it is of paramount importance to devel-
op a method considering all the factors at once. Moreover,
determining hydraulic characteristics of complex geological fea-
tures such as fault zone and dissolution cavities are much more dif-
ficult in tunneling design.
Engineering classification systems are effective methods to esti-
mate groundwater inflow into rock tunnels. The geological and
hydrogeological uncertainties can be tackled effectively using a
proper classification. In addition, the proposed TIC system can be
successfully applied to estimate groundwater inflow for a wide
range of geological conditions from homogeneous to heteroge-
neous grounds. The TIC system was validated by use of indepen-
dent data measured during the construction of 4 discrete tunnel
projects.TIC conclusions were found out to be in a good agreement
with the measured values. The proposed classification system
should be more feasible for estimation of high tunnel inflows prior
to construction.
Tunnel depth has a dual conflicting effect on water inflow. The
rock mass permeability decreases over depth in general rock mass
composition and, consequently, tunnel inflow will decrease drasti-
cally. This is observed along most of the investigated tunnels con-
structed below over a 500 m overburden. However, the largest
inflow rates were experienced where the tunnel encountered the
fault zones and karstic features at a depth of over 500 m.
References
Altindag, R., 2003. Correlation of specific energy with rock brittleness concepts on
rock cutting. J. S. Afr. Inst. Min. Metall. 103, 163–171.
Antonellini, M., Aydin, A., 1994. Effect of Faulting on Fluid Flow in Porous
Sandstones: Petrophysical Properties. American Association of Petroleum
Geologists Bulletin, vol. 78.
Bieniawski, Z.T., 1967. Mechanism of brittle fracture of rock. Part I: Theory of the
fracture process. Int. J. Rock Mech. Min. Sci. 4, 395–406.
Bieniawski, Z.T., 1989. Engineering Rock Mass Classifications. Wiley, New York, p.
251.
Brogi, A., 2008. Fault zone architecture and permeability features in siliceous
sedimentary rocks: insights from the Rapolano geothermal area (Northern
Apennines, Italy). J. Struct. Geol. 30, 237–256.
Casagrande, G., Cucchi, F., Zini, L., 2005. Hazard connected to railway tunnel
construction in karstic area: applied geomorphological and hydrogeological
surveys. Nat. Hazards Earth Syst. Sci. 5, 243–250.
Coli, N., Pranzini, G., Alfi, A., Boerio, V., 2008. Evaluation of rock-mass permeability
tensor and prediction of tunnel inflows by means of geostructural surveys and
finite element seepage analysis. Eng. Geol. 101, 174–184.
Day, M.J., 2004. Karstic problems in the construction of Milwaukee’s Deep Tunnels.
Environ. Geol. 45, 859–863.
Eberhardt, E., Stead, D., Stimpson, B., Read, R.S., 1998. Identifying crack initiation
and propagation thresholds in brittle rock. Can. Geotech. J. 35 (2), 222–233.
Fernandez, G., Moon, J., 2010. Excavation-induced hydraulic conductivity reduction
around a tunnel. Part 1: Guideline for estimate of ground water inflow rate.
Tunn. Undergr. Space Technol. 25 (5), 560–566.
Ford, D., Williams, P., 2007. Karst Hydrogeology and Geomorphology. John Wiley &
Sons, England, p. 562.
Ganerod, G.V., Braathen, A., Willemoes-Wissing, B., 2008. Predictive permeability
model of extensional faults in crystalline and metamorphic rocks; verification
by pre-grouting in two sub-sea tunnels, Norway. J. Struct. Geol. 30, 993–1004.
Gattinoni, P., Scesi, L., 2010. An analytical equation for tunnel inflow assessment:
application to sedimentary rock masses. Hydrogeol. J. 15, 201–211.
Goodman, R.F., Moye, D.G., Van Schaikwyk, A., Javandel, I., 1965. Ground water
inflows during tunnel driving. Bull. Int. Assoc. Eng. Geol. 2 (1), 39–56.
Gudmundsson, A., Berg, S.S., Lyslo, K.B., Skurtveit, E., 2001. Fracture networks and
fluid transport in active fault zones. J. Struct. Geol. 23, 343–353.
Hajiabdolmajid, V., Kaiser, P.K., 2003. Brittleness of rock and stability assessment in
hard rock tunneling. Tunn. Undergr. Space Technol. 18 (1), 35–48.
Hisham, T.E., 2007. A technique for estimating permeability of a randomly fractured
rock mass. Acta Geotech. 2, 97–102.
Hoek, E., 1994. Strength of rock and rock masses. News J. ISRM 2 (2), 4–16.
Hoek, E., Brown, E.T., 1997. Practical estimates of rock mass strength. Int. J. Rock
Mech. Min. Sci. 34 (8), 1165–1186.
Kahraman, S., 2002. Correlation of TBM and drilling machine performances with
rock brittleness. Eng. Geol. 65, 269–283.
Kahraman, S., Altindag, R., 2004. A brittleness index to estimate fracture toughness.
Int. J. Rock Mech. Min. Sci. 41, 343–348.
Khilar, K.L., Folger, H.S., 1984. The existence of a critical salt concentration for
particle release. J. Colloid Interface Sci. 101 (1), 214–224.
Lee, C.H., Farmer, I., 1993. Fluid Flow in Discontinues Rocks. Chapman and Hall,
London.
Mahab Ghodss Consultant Engineers, 2008. Zagros Water Conveyance Tunnel (lot 1-
b) Reports, Tehran.
Marinos, P.G., 2001. Tunneling and mining in karstic terrane; an engineering
challenge. In: Beck, B.F., Herring, J.G. (Eds.), Geotechnical and Environmental
Applications of Karst Geology and Hydrology. Balkema, Lisse, pp. 3–16.
Masset, O., Loew, S., 2010. Hydraulic conductivity distributions derived from
inflows to 136 km of tunnels and galleries in crystalline rocks (Central Alps,
Switzerland). Hydrogeol. J. 18, 863–891.
Nelson, S.A., 2003. Lecture Note on Deformation of Rock. In Physical Geology Course.
Tulane University, p. 12.
Nelson, R.A., 1985. Geologic Analysis of Naturally Fractured Reservoirs. Gulf
Publishing Company, Houston, Texas.
Odling, N.E., Harris, S.D., Knipe, R.J., 2004. Permeability scaling properties of fault
damage zones in silisiclastic rocks. J. Struct. Geol. 26, 1727–1747.
Palmstrom, A., Stille, H., 2007. Ground behaviour and rock engineering tools for
underground excavations. Tunn. Undergr. Space Technol. 22 (7), 363–376.
Peng, S., Zhang, J., 2007. Engineering Geology for Underground Rocks. Springer, p.
319.
Saaty, T.L., 1980. The Analytic Hierarchy Process. McGraw-Hill International Book
Company, New York.
Schubert, W., Riedmüller, G., 2000. Tunnelling in Fault Zones – State of the Art in
Investigation and Construction. Felsbau 18/2, VGE, pp. 7–15.
Sharifzadeh, M., Kargar, S., 2007. Hydromechanical analysis of the effect of fracture
properties on tunnel inflow. In: 1st Canada–U.S., Rock Mechanics Symposium,
May 27–31, Vancouver-Canada, pp. 441–445.
Singh, S.P., 1986. Brittleness and the mechanical winning of coal. Min. Sci. Technol.
3, 173–180.
Stille, H., Palmstrom, A., 2008. Ground behavior and rock mass composition in
underground excavations. Tunn. Undergr. Space Technol. 23, 46–64.
Terzaghi, K., 1946. Rock Defects and Loads on Tunnel Supports. In: Proctor, R.V.,
White, T.L. (Eds.), Rock Tunneling with Steel Supports, vol. 1, pp. 17–99
(Commercial Shearing and Stamping Company, Youngstown, OH, pp. 5–153).
Tiryaki, B., 2005. Evaluation of the indirect measures of rock brittleness and fracture
toughness in rock cutting. J. S. Afr. Inst. Min. Metall. 106, 407–423.
Uromeihy, A., Mozafari, A., Sharifzadeh, M., Zarei, H.R., 2011. Engineering geological
challenges of rock tunneling in Iran. In: The first Asian and 9th Iranian
Tunneling Symposium, October 31 – November 3, Tehran, Iran pp. 25–38.
Wei, Z.Q., Hudson, J.A., 1988. Permeability of Jointed Rock Masses. In: Proc. ISRM
Symp. Rock Mech. And power plants, Balkema, Rotterdam, Madrid, pp. 613–
625.
Wibberley, C.A.J., Shimamoto, T., 2003. Internal structure and permeability of major
strike-slip fault zones: the Median Tectonic Line in Mie Perfecture, Southwest
Japan. J. Struct. Geol. 25, 59–79.
Xeidakis, G.S., Torok, A., Skias, S., Kleb, B., 2004. Engineering geological problems
associated with karst terrains: their investigation, monitoring, and mitigation
and design of engineering structures on karst terrains. In: Bulletin of the
Geological Society of Greece, vol. XXXVI, Proceedings of the 10th International
Congress, Thessaloniki, April.
Zarei, H.R., 2010. Investigation of some engineering geological characteristics of
rock masses surrounding tunnels for zonation of groundwater inflow hazard.
University of Tarbiat Modares, PhD thesis, p. 136.
Zarei, H.R., Uromeihy, A., Sharifzadeh, M., 2011. Evaluation of high local
groundwater inflow to a rock tunnel by characterization of geological
features. Tunn. Undergr. Space Technol. 26, 364–373.
Zarei, H.R., Uromeihy, A., Sharifzadeh, M., 2012. Groundwater inflow hazards
related to tunneling in carbonate karstic rocks, Zagros-Iran. Arab. J. Geosci. 5 (3),
457–464.
Zhang, C.H., 2010. Experimental Evidence for Self-sealing of Fractures in Argillites.
Clay in Nature & Engineered Barriers for Radioactive Waste Confinement, 4th
International Meeting. Nants, France, pp. 205–206.
Zhang, L., 2007. Engineering Properties of Rocks. Elsevier, p. 290.
Zhang, J., Chen, G., 1988. Some new ideas on the prediction of tunnel inflow in Karst
area by water balance method. In: IAH 21th Congress on Karst Hydrogeology
and Karst Environment Protection, 10–15 October, China.
Zhang, L., Franklin, J.A., 1993. Prediction of water flow into rock tunnels: an
analytical solution assuming a hydraulic conductivity gradient. Int. J. Rock
Mech. Min. Sci. 30 (1), 37–46.
Zhao, J., Gong, Q.M., Eisensten, Z., 2007. Tunnelling through a frequently changing
and mixed ground: A case history in Singapore. Tunn. Undergr. Space Technol.
22, 388–400.