CIEM 5760 Engineering Geology

and Rock Mechanics

Lecture 10: Rock Mass Classification

Prof. Gang Wang

Hong Kong University of Science and Technology

Rock strength Point Load Strength Test

The (uncorrected) point load strength is

P
Uniaxial Compression Test Is  2
D
Sample size: 400 mm (diam) × 3000 mm (height) where P is the load at rupture, and D is the distance between
Max Axial Load: 5000 kN
the point loads. Tests are done on pieces of drill core at least
Manufacturer: Amsler
Image source: Will Darlington 1.4 times as long as the diameter.
 Table 1. Classification of Rock Material Strength (geoguide 3)
Rock strength Descriptive
Uniaxial
compressi
Approximate
IS(50) for granitic
Field identification tests
term ve strength & volcanic rocks
Correction for sample size effect (MPa) (MPa)
0.45 Extremely Easy crumbled by hand; indented
D weak
<0.5 deeply by thumbnail
I s (50)  Is   Crumbled with difficulty by hand;
 50  Very weak 0.5 – 1.25 scratched easily by thumbnail;
Generally peeled easily by pocket knife
6 not may be broken by hand into pieces,
scratched by thumbnail, peeled by
applicable pocket knife; deep indentations up to
5 Weak 1.25 – 5 5 mm made with point of geological
pick; hand-held specimen easily
4 broken by single light blow of
geological hammer.
Is / Is(50)

May be broken with difficulty in two

3
hands; scratched with difficulty by
thumbnail; difficult to peel but easily
2 Moderately scratched by pocket knife; shallow
5 – 12.5 0.2 – 0.5 indentations easily made with point
weak
1 of geological pick; hand-held
specimen usually broken by single
light blow of geological hammer.
0 Scratched by pocket knife; shallow
0 20 40 60 80 100
indentations made by firm blow with
D (mm) Moderately
12.5 – 50 0.5 – 2 point of geological pick; hand-held
strong specimen usually broken by single
firm blow of geological hammer.
Firm blows with point of geological
pick cause only superficial surface
Correlation with unconfined Strong 50 – 100 2 –4 damage; hand-held specimen
compression strength requires more than one firm blow to
break with geological hammer.
qu  24 I s (50) Very strong 100 – 200 4 –8
Many blows of geological hammer
required to break specimen.

where qu is the unconfined compressive strength of Extremely Specimen can only be chipped by
>200 >8 blows of geological hammer.
cylinders with a length to diameter ratio of 2:1 strong
Note: the very weak and extremely weak classes are applicable to soils derived from in-situ
weathering of rocks
Terzaghi (1946)’s Rock Classes
I. Hard and intact
The rock is unweathered. It contains neither joints nor hair cracks. If fractured, it breaks across intact rock. After excavation
the rock may have some popping and spalling failures from the roof. At high stresses spontaneous and violent spalling of rock
slabs may occur from the sides or the roof. The unconfined compressive strength is equal to or more than 100 MPa.
II. Hard stratified and schistose
The rock is hard and layered. The layers are usually widely separated. The rock may or may not have planes of
weakness. In this type of rock, spalling is quite common.
III. Massive moderately jointed
A jointed rock. The joints are widely spaced. The joints may or may not be cemented. It may also contain hair cracks, but the
huge blocks between the joints are intimately interlocked so that vertical walls do not require lateral support. Spalling may
occur.
IV. Moderately blocky and seamy
Joints are less spaced. Blocks are about 1 m in size. The rock may or may not be hard. The joints may or may not be healed,
but the interlocking is so intimate that no side pressure is exerted or expected.
V. Very blocky and seamy
Closely spaced joints. Block size is less than 1 m. It consists of almost chemically intact rock fragments that are entirely
separated from each other and imperfectly interlocked. Some side pressure of low magnitude is expected. Vertical walls may
require supports.
VI. Completely crushed but chemically intact
Comprises chemically intact rock having the character of a crusher-run aggregate. There is no interlocking. Considerable side
pressure is expected on tunnel supports. The block size could be a few centimeters to 30 cm.
VII. Squeezing rock— moderate depth
Squeezing is a mechanical process in which the rock advances into the tunnel opening without perceptible increase in volume.
Moderate depth is a relative term and could be 150 to 1000 m.
VIII. Squeezing rock— great depth
The depth may be more than 150 m. The maximum recommended tunnel depth is 1000 m.
IX. Swelling rock
Swelling is associated with volume change and is due to chemical change of the rock usually in the presence of moisture or
water. Some shales absorb moisture from air and swell. Rocks containing swelling minerals such as montmorillonite, illite,
kaolinite, etc., can swell and exert heavy pressure on rock supports.
Terzaghi (1946)’s Rock Classes

Rock burst/spalling

Rock swelling

Heave of the Pressure on the

tunnel floor tunnel lining
Terzaghi’s Rock Load Classification

Terzaghi’s (1946) rock load Table 2. Rock Load in Tunnels within Various Rock Classes
concept in tunnels.

Vertical support pressure is:

Rock Mass Classification
Quality of rock masses depends on six
(1) Rock Mass Rating (RMR) parameters (representing causative factors):
 Uniaxial compressive strength of the intact
rock
 Drilled core quality (Rock Quality
Designation, RQD)
 Joint and fracture spacing
 Joint condition
 Ground water condition
 Joint orientation

RMR=RMRI (strength)
+ RMRI (RQD) + RMRI (joint Spacing)
+ RMRI (joint condition)
+ RMRI (ground water condition)

RMR = 0  100
Very poor rock very good rock
i) Compressive Strength of Rock (Table 3)

Point Load Unconfined Rating

Index Compressive
(MPa) OR Strength (MPa)
>10 > 250 15
4-10 100-250 12
2-4 50-100 7
1-2 25-50 4
Don’t use 10-25 2
Don’t use 3-10 1
Don’t use <3 0

ii) Drilled Core Quality (RQD)

 i
RQD  i
 100%

where  i  4" (or 100 mm)
ii) Drilled Core Quality (RQD)

• Core segment lengths should be measured

along the centerline or axis of the core;
Why centerline?

• Mechanical breaks (breaks caused by

drilling action or handling) should be
disregarded when calculating RQD;

• Pieces of core that do not meet the

subjective “soundness” test should not be
counted. Unsound rock is analogous to
“highly weathered” rock, which is
characterized by weathering extending
throughout the rock mass.
(Table 4)

Rock mass RQD (%) Rating

quality
Excellent 90-100 20
Good 75-90 17
Fair 50-75 13
Poor 25-50 8 Procedure for measurement and calculation of rock quality
Very Poor <25 3 designation (RQD). (From Deere, 1989)
 ii) Drilled Core Quality (RQD)
Estimate of RQD from scan line

Field photo Joint network RQD along scan line

Drill hole measurements

Examples of RQD for various joint densities along drill cores (from Palmstrom, 2001).
ii) Drilled Core Quality (RQD)

RQD (%) (Priest and Hudson 1976)

Average number of discontinuities per metre, λ

ii) Drilled Core Quality (RQD)

Estimate of RQD from volumetric joint count

RQD is a directionally dependent If no core is available but discontinuity
parameter and its value may change traces are visible in the surface exposures
significantly
RQD=110-2.5 Jv (for Jv = 4 ~ 44)
(from Palmstrom 2005)

Jv volumetric joint count -- sum of rock

Regular jointing with 3 joint sets and a few random
joints per unit length (total number of joints. The minimum and maximum block size in a
rock mass volume of 2x2x2m (from Palmstrom, 2001)
joints per 1 m3 volume).
ii) Drilled Core Quality (RQD)

Estimate of RQD from volumetric joint count

where Si is the average joint

spacing in meters for the ith joint
set, and J is the total number of
joint sets except the random joint
set.
Nr is the number of random joints
in the actual location and A is the
area in m2.
iii) RMR Increments for Spacing of Joints
of Most Influential Set

(Table 5)
Joint Spacing (m) Rating
> 2.0 20
0.6-2.0 15
0.2-0.6 10
0.06-0.2 8
< 0.06 5

(iv) RMR Increments for Joint Condition (Table 6)

This parameter includes roughness of
Description Rating discontinuity surfaces, their separation,
Very rough surfaces of limited extent; length of continuity, weathering of the
30
hard wall rock wall rock or the planes of weakness,
Slightly rough surfaces; aperture less and infilling (gouge) material.
25
than 1 mm; hard wall rock
Slightly rough surfaces; aperture less The description of
20
than 1 mm; soft wall rock joint surface
Smooth surfaces, OR gouge filling 1-5 roughness and
mm thick, OR aperture of 1-5 mm; joints 10 coating material
extend more than several meters should be weighted
toward the
Open joints filled with more than 5 mm of
smoothest and
gouge, OR open more than 5 mm; joints 0
weakest joint set
extend more than several meters
(iv) RMR Increments for Joint Condition

Table 7: Detailed Guidelines for Classification of Discontinuity Conditions

V) Ground water condition (Table 8)
 Assessment of Rating
V) Adjustment in RMR for joint orientation Rating Increment
Influence of Orientation Increment
for Tunnels
(Table 9) on the Work for Foundations
Very favorable 0 0
Favorable -2 -2
Fair -5 -7
Unfavorable - 10 - 15
Very unfavorable - 12 - 25
Table 10. Design Parameters and Engineering Properties of Rock
Mass based on RMR

During earthquake loading, the above values of allowable bearing pressure may be increased by 50% in view of
rheological behavior of rock masses.
*These values are applicable to slopes only in saturated and weathered rock mass. Source: Bieniawski, 1993.
 Correlation of rock mass deformation
modulus and RMR

Stand-up time versus unsupported

span for various rock mass classes
according to RMR. (Bieniawski 1984)

Do not unnecessarily delay

supporting the roof in a rock mass
with high stand-up time as this
may lead to deterioration in the rock
mass, which ultimately reduces the
stand-up time.
Tunnel excavation and support
Table 12. Guidelines for excavation and support of 10 m span rock tunnels in accordance with the
RMR system (After Bieniawski 1989)
Rock bolts
Rock mass
Excavation (20 mm diameter, fully Shotcrete Steel sets
Class
grouted)

I - Very good rock

Full face, 3 m advance.
RMR: 81-100 Generally no support required except spot bolting.

Locally, bolts in crown 3

Full face, 1-1.5 m advance. 50 mm in
II - Good rock m long, spaced 2.5 m
Complete crown where None.
RMR: 61-80 with occasional wire
support 20 m from face. required.
mesh.
Top heading and bench
1.5-3 m advance in top
Systematic bolts 4 m 50-100 mm
heading.
III - Fair rock long, spaced 1.5 - 2 m in crown and
Commence support after each None.
RMR: 41-60 in crown and walls with 30 mm in
blast.
wire mesh in crown. sides.
Complete support 10 m from
face.

Top heading and bench 1.0-1.5 Systematic bolts 4-5 m 100-150 mm in

Light to medium ribs
IV - Poor rock m advance in top heading. long, spaced 1-1.5 m in crown and 100
spaced 1.5 m where
RMR: 21-40 Install support concurrently with crown and walls with mm in
required.
excavation, 10 m from face. wire mesh. sides.

Multiple drifts 0.5-1.5 m Medium to heavy ribs

Systematic bolts 5-6 m 150-200 mm
advance in top heading. Install spaced 0.75 m with
V – Very poor rock long, spaced 1-1.5 m in in crown, 150 mm
support concurrently with steel lagging and
RMR: < 20 crown and walls with in sides, and 50
excavation. Shotcrete as soon forepoling if required.
wire mesh. Bolt invert. mm on face.
as possible after blasting. Close invert.
Example 1 (from Singh and Goel 2011)
Example 2 (from Hoek, Practical Rock Engineering)

A tunnel is to be driven through slightly weathered granite with a dominant joint set
dipping at 60o against the direction of the drive. Index testing and logging of diamond
drilled core give typical Point-load strength index values of 8 MPa and average RQD
values of 70%. The slightly rough and slightly weathered joints with a separation of < 1
mm, are spaced at 300 mm. Tunneling conditions are anticipated to be wet.

Calculate RMR:

Note 1. For slightly rough and altered discontinuity surfaces with a separation of < 1 mm, Table 6 gives a rating of 25. When more
detailed information is available, “Table 7, Detailed guidelines for classification of discontinuity conditions” can be used to obtain
a more refined rating. Hence, in this case, the rating is the sum of: 4 (1-3 m discontinuity length), 4 (separation 0.1-1.0 mm), 3
(slightly rough), 6 (no infilling) and 5 (slightly weathered) = 22.
Note 2. Table 9A gives a description of ‘Fair’ for the conditions assumed where the tunnel is to be driven against the dip of a set of joints
dipping at 60o. Using this description for ‘Tunnels” in Table 9 gives an adjustment rating of -5.
Example 2 (from Hoek, Practical Rock Engineering)

For RMR = 59, Table 12 suggest that a tunnel could be

excavated by top heading and bench, with a 1.5 to 3 m

advance in the top heading
support should be installed after each blast and the
support should be placed at a maximum distance of
10m from the face
systematic rock bolting, using 4m long 20mm diameter
fully grouted bolted spaced at 1.5 to 2 m in the crown
and 30mm of shotcrete for the wall
Rock Mass Classification
(2) Rock Tunneling Quality (Q) System
 Barton et. al (1974) of the
Norwegian Geotechnical
Institute (NGI) proposed a
Tunneling Quality Index
(Q) for the determination of
rock mass characteristics
and tunnel support
requirements.

 Updated in 1993, 2013

based on 1260 case records.

 Multiplicative of six
parameters

 Q value ranges from 0.001

to 1000.

Element of Q system, after Hutchinson and Diederichs

Rock Mass Classification
(2) Rock Tunneling Quality (Q) System

 RQD   Jr   Jw 
Q       
 Jn   a
J  SRF 
Jointed Inter-block Important
block size shear environmental
strength condition (active
stress)

where
RQD = Rock Quality Designation
Jn = Joint Set Number, relates to the number of joint set (9 for 3 sts, 4 for 2 sets etc.);
Jr = Joint Roughness Number, relates to the roughness of the most important (least
favourable) joints;
Ja = Joint Alternation Number, relates to the wall rock condition and/or filling material
(of the least favourable joint);
Jw = Joint Water Reduction Factor, relates to the water flow characteristics of the rock;
SRF = Stress Reduction Factor; relates to looseness and stress condition (for
strength/stress ratio/spalling in hard rock, for squeezing or swelling in soft rock)
(2) Rock Tunneling Quality (Q) System

 RQD   Jr   Jw 
Q       
 Jn   a
J  SRF 
1. Values of the rock mass quality (Q)
should be obtained separately for the
roof, the floor, and two walls,
particularly when the geological
description of the rock mass is not
uniform around the periphery of an
underground opening.
(2) Rock Tunneling Quality (Q) System

Joint Set Number Jn

One joint set Two joint sets Three joint sets Three joint sets
Jn=2 Jn=4 Jn=9 plus random joints
Jn=12

 RQD 
  Jointed
 J n  block size
(2) Rock Tunneling Quality (Q) System

Joint Set Number Jn

(2) Rock Tunneling Quality (Q) System Example of joint wall surfaces with different Jr values

Joint Roughness Number Jr

擦痕面

擦痕面
Slickensided: polished by friction

1.0
(2) Rock Tunneling Quality (Q) System
Joint Alternation Number Ja
The parameters Jr and Ja should be obtained
for the weakest critical joint set or clay-filled
discontinuity in a given zone. If the joint set or
the discontinuity with the minimum value of
(Jr/Ja) is favorably oriented for stability, then a
second less favorably oriented joint set or
discontinuity may be of greater significance,
and its value (Jr/Ja) should be used when
evaluating Q. Refer to Tables 9A, 9B for the
critical orientation of the joint sets.
(2) Rock Tunneling Quality (Q) System

 J r  Inter-block
  shear Why?
 J a  strength

It has been found that tan-1 (Jr/Ja)

is a fair approximation of the
actual peak sliding angle of friction
along the clay-coated joints.
(2) Rock Tunneling Quality (Q) System
Joint Water Reduction Factor Jw

The parameter Jw is a
measure of water pressure,
which has an adverse
effect on the shear strength
of joints. This is due to
reduction in the effective
normal stress across joints.
Adding water may cause
softening and possible
wash-out in the case of
clay-filled joints. The
value of Jw should
correspond to the future
groundwater condition
where seepage erosion or
leaching of chemicals can
alter permeability of rock
mass significantly. For a
water-carrying tunnel
excavated through a dry
rock mass, select class B
for the Jw rating.
(2) Rock Tunneling Quality (Q) System
Joint Water Reduction Factor Jw
(2) Rock Tunneling Quality (Q) System
Stress Reduction Factor SRF

The stress reduction factor

(SRF) parameter is a measure
of (1) loosening pressure
during an excavation through
shear zones and clay-bearing
rock masses, (2) rock stress
qc/σ1 in a competent rock
mass where qc is the uniaxial
compressive strength (UCS)
of rock material and σ1 is the
major principal stress before
excavation, and (3) squeezing
or swelling pressures in
incompetent rock masses.

SRF can also be regarded as

a total stress parameter.

SRF-values related to single and multiple weakness zones

(2) Rock Tunneling Quality (Q) System
Stress Reduction Factor SRF
 Two widely used rock mass
classification are Bieniawski’s
RMR and Barton et al’s Q-
values
 Both methods incorporate
geological, geometric and
design/engineering parameters
 RMR uses compressive
strength directly while Q only
considers strength as it relates
to in-situ stress
 Both consider groundwater and
include some component of
rock material strength
 Greatest difference is the lack
of stress parameter in RMR

RMR = 9 lnQ + 4
Emass  10( RMR10) / 40
Emass  10Qc1/ 3

Qc  Q c
100
c = uniaxial compressive strength in MPa
Tunnel Support Recommendations based on Q-Values

Equivalent Dimension De of the excavation:

Excavation span, diameter or height (m)
De 
Excavation Support Ratio, ESR
Tunnel Support Recommendations based on Q-Values

Equivalent Dimension De of the excavation:

Excavation span, diameter or height (m)
De 
Excavation Support Ratio, ESR
ESR (Excavation Support Ratio)
Excavation category ESR

A Temporary mine openings 3-5

Permanent mine openings, water tunnels for hydro power

B (excluding high pressure penstocks), pilot tunnels, drifts and 1.6
headings for large excavations

Storage rooms, water treatment plants, minor road and railway

C 1.3
tunnels, surge chambers, access tunnels

Power stations, major road and railway tunnels, civil defense

D 1.0
chambers, portal intersections
Underground nuclear power stations, railway stations, sports and
E 0.8
public facilities, factories

ESR should be increased by 1.5 times, Q by 5, and Qwall by 5, for temporary supports
Tunnel Support Recommendations based on Q-Values
Values of the rock mass quality (Q) should be obtained separately for the roof,
the floor, and two walls, particularly when the geological description of the rock
mass is not uniform around the periphery of an underground opening.

Ultimate roof/wall support

pressure in Mpa (Barton 1974)
𝑃𝑟𝑜𝑜𝑓 = 0.2/𝐽𝑟 𝑄−1/3
𝑃𝑤𝑎𝑙𝑙 = 0.2/𝐽𝑟 𝑄𝑤𝑎𝑙𝑙 −1/3

Grimstad and Barton (1993)

1

3
2 Jn Q
Proof 
3J r
Tunnel Support Recommendations based on Q-Values

Permanent roof support pressure in MPa

1

3
2 Jn Q
Proof 
3J r

The length of rockbolts:

0.15B
L  2
ESR

The maximum unsupported span:

S  2 ESR Q 0.4
 Tunnel Support Recommendations based on Q-Values

• Example
A road tunnel will from its use have stricter requirements to permanent safety
than a water tunnel. The ESR=1.0 for 10m wide road tunnel, ESR=1.6 for a
water tunnel with the same size.

Variation in roof support in a road tunnel and a water tunnel, both with 10m span for three
different Q values (from Palmstrom et al. 2002)
 Tunnel Support Recommendations based on Q-Values

• Example
A road tunnel will from its use have stricter requirements to permanent safety
than a water tunnel. The ESR=1.0 for 10m wide road tunnel, ESR=1.6 for a
water tunnel with the same size.

Variation in roof support in a road tunnel and a water tunnel, both with 10m span for three
different Q values (from Palmstrom et al. 2002)