1

Lecture 6
Rock Mass Classification
2
Terzaghi's rock mass classification (1946)
Rock loads (gravity being driving force), carried by steel sets, are estimated on the
basis of a descriptive classification.
Intact rock contains neither joints nor hair cracks. Hence, if it breaks, it breaks across sound
rock. On account of the injury to the rock due to blasting, spalls may drop off the roof
several hours or days after blasting. This is known as a spalling condition.
Hard, intact rock may also be encountered in the popping condition involving the
spontaneous and violent detachment of rock slabs from the sides or roof.
Stratified rock consists of individual strata with little or no resistance against separation
along the boundaries between the strata. The strata may or may not be weakened by
transverse joints. In such rock the spalling condition is quite common.
Moderately jointed rock contains joints and hair cracks, but the blocks between joints are
locally grown together or so intimately interlocked that vertical walls do not require lateral
support. In rocks of this type, both spalling and popping conditions may be encountered.
Blocky and seamy rock consists of chemically intact or almost intact rock fragments which
are entirely separated from each other and imperfectly interlocked. In such rock, vertical
walls may require lateral support.
Crushed but chemically intact rock has the character of crusher run. If most or all of the
fragments are as small as fine sand grains and no recementation has taken place, crushed
rock below the water table exhibits the properties of a water-bearing sand.
Squeezing rock slowly advances into the tunnel without perceptible volume increase. A
prerequisite for squeeze is a high percentage of microscopic and sub-microscopic particles
of micaceous minerals or clay minerals with a low swelling capacity.
Swelling rock advances into the tunnel chiefly on account of expansion. The capacity to
swell seems to be limited to those rocks that contain clay minerals such as montmorillonite,
with a high swelling capacity.
3
4
5
6
Concept of Stand-up Time
7
Rock quality designation index (RQD) (Deere et al 1967)
RQD is defined as the percentage of intact core pieces longer than 100 mm (4 inches) in the
total length of core. The core should be at least NW size (54.7 mm or 2.15 inches in diameter)
and should be drilled with a double-tube core barrel.
8
RQD = 115 3.3 Jv
Palmstrm (1982), when no core is available
Jv is the sum of the number of joints per unit length for all
joint (discontinuity) sets known as the volumetric joint count.
9
10
11
Rock Structure Rating (RSR) Wickham et al (1972)
RSR = A + B + C.
1. Parameter A, Geology: General appraisal of geological structure on the basis
of:
a. Rock type origin (igneous, metamorphic, sedimentary).
b. Rock hardness (hard, medium, soft, decomposed).
c. Geologic structure (massive, slightly faulted/folded, moderately
faulted/folded, intensely faulted/folded).
2. Parameter B, Geometry: Effect of discontinuity pattern with respect to the
direction of the tunnel drive on the basis of:
a. Joint spacing.
b. Joint orientation (strike and dip).
c. Direction of tunnel drive.
3. Parameter C: Effect of groundwater inflow and joint condition on the basis of:
a. Overall rock mass quality on the basis of A and B combined.
b. Joint condition (good, fair, poor).
c. Amount of water inflow (in gallons per minute per 1000 feet of tunnel).
Favorable
Unfavorable
12
Rock Structure Rating (RSR) Wickham et al (1972)
13
Rock Structure Rating (RSR) Wickham et al (1972)
14
Rock Structure Rating (RSR) Wickham et al (1972)
15
Geomechanics Classification or the Rock Mass Rating (RMR) system. Bieniawski (1976)
Also known as the South African Council for Science and Industrial Research (CSIR) system
Six parameters are used to classify a rock mass using the RMR
system:
1. Uniaxial compressive strength of rock material.
2. Rock Quality Designation (RQD).
3. Spacing of discontinuities.
4. Condition of discontinuities.
5. Groundwater conditions.
6. Orientation of discontinuities.
Ratings are summed to give a value of RMR.
16
Geomechanics Classification or the Rock Mass Rating (RMR) system. Bieniawski (1976)
17
Geomechanics Classification or the Rock Mass Rating (RMR) system. Bieniawski (1976)
18
Geomechanics Classification or the Rock Mass Rating (RMR) system. Bieniawski (1976)
Bieniawski (1989) published a set of guidelines for the selection of support in tunnels
Guidelines have been published for a 10 m span horseshoe shaped tunnel, constructed using drill and blast methods, in a
rock mass subjected to a vertical stress < 25 MPa (equivalent to a depth below surface of <900 m).
19
Geomechanics Classification or the Rock Mass Rating (RMR) system. Bieniawski (1976)
Estimate of the support load (kN) =
B
100
RMR 100
P

= Unal (1983)
B = tunnel width (m)
= rock density (kg/m
3
)
50) 2(RMR E =
Bieniawski (1978)
E = modulus of deformation of rock mass
20
21
Rock Tunnelling Quality Index, Q, Barton et al (1974) of the NGI
Q varies on a logarithmic scale from 0.001 to a maximum of 1,000 and is defined by:
SRF
J
x
J
J
x
J
RQD
Q
w
a
r
n
=
where,
RQD Rock Quality Designation
J
n
Joint Set Number
J
r
Joint Roughness Number
J
a
Joint Alternation Number
J
w
Joint Water Reduction Factor
SRF Stress Reduction Factor
22
Rock Tunnelling Quality Index, Q, Barton et al (1974) of the NGI
The first quotient (RQD/J
n
) represents the structure of the rock mass or a
measure of the rock block size.
The second quotient (J
r
/J
a
) represents the roughness and frictional
characteristics of the joint walls and filling materials.
The third quotient (J
w
/SRF) represents the total stress state of the rock mass
which is affected by the presence of weaknesses and water inflow in the joints.
23
Rock Tunnelling Quality Index, Q, Barton et al (1974) of the NGI
24
Rock Tunnelling Quality Index, Q, Barton et al (1974) of the NGI
25
Rock Tunnelling Quality Index, Q, Barton et al (1974) of the NGI
26
Rock Tunnelling Quality Index, Q, Barton et al (1974) of the NGI
27
Rock Tunnelling Quality Index, Q, Barton et al (1974) of the NGI
28
Rock Tunnelling Quality Index, Q, Barton et al (1974) of the NGI
Barton et al (1974) defined an additional parameter called the
Equivalent Dimension, De, of the excavation. This dimension is
obtained by dividing the span, diameter or wall height of the
excavation by a quantity called the Excavation Support Ratio, ESR.
29
Rock Tunnelling Quality Index, Q, Barton et al (1974) of the NGI
30
Barton (1989)
31
Grimstad and Barton (1993) - use of steel fibre reinforced shotcrete in underground excavation support.
32
Rock Tunnelling Quality Index, Q, Barton et al (1974) of the NGI
Barton et al (1980) provide additional information on rockbolt length, maximum unsupported spans and roof
support pressures to supplement the support recommendations
The length L of rockbolts can be estimated from the excavation width B and the Excavation Support
Ratio ESR:
The maximum unsupported span can be estimated from:
Grimstad and Barton (1993) suggest that the relationship between the value of Q and the permanent roof
support pressure P
roof
is estimated from:
Correlation between Q and RMR systems:
44 Q 9l RMR
n
+ =
33
34
The use of at least two rock mass
classification schemes is advisable.
35
Estimation of TBM Advance Rate and Penetration Rate based on modified Q
index (Q
TBM
) by Barton (1999)
Penetration Rate (PR) : Rate of cutting and breaking the rock into fragment by
the cutter head of TBM (m/hr)
Advance Rate (AR) : Rate of advancing the TBM that include changing cutter
head, gripper advance, support installed and much removal etc. (m/hr)
Extremely weak rock (squeezing rock, clay, fault zone etc. where Q=0.001)
require extensive support and slow down TBM advance
Extremely sound rock (unjointed hard massive rock where Q=1000) require
frequent cutter head changes, also unfavorable to TBM advance
Barton (1999), based on case records, back calculate and modify the Q
index (call Q
TBM
) for predicting the PR and AR taking into account of:
Average cutter force
Rock mass strength
Orientation of fabric or joint structure in the direction of tunnel
Compressive and point load strength index of the rock
Cutter life index
Rock stress level
36 Barton (1999)
37
5

x
20
q
x
CLI
20
x
/20 F
SIGMA
x
SRF
J
x
J
J
x
J
RQD
Q

9 10
w
a
r
n
0
TBM
=
RQD
0
= RQD in the tunnelling direction
J
n
, J
r
, J
a
, J
w
and SRF same as those used in the Q index
F = average cutter load (ton force)
SIGMA = rock mass strength (MPa)
take the lesser of SIGMA
CM
(compression) or SIGMA
TM
(tension) where,

c
= uniaxial compressive strength
= density (gm/cm
3
)
I
50
= point load strength index
CLI = cutter life index (e.g. 4 for quartzite, 90 for limestone)
q = quartz content in percentage terms

= induced biaxial stress on tunnel face (MPa)

3
1
50
3
1
t TM
3
1
c
3
1
c CM
4
I
5 Q 5 SIGMA
100

Q 5 Q 5 SIGMA

= =

= =

38
Based on 145 Tunnels (total length more than 1000 km) in hard
rock, soft rock, faulted rock etc., the following relationship is
empirically established:
0.25 m e, performanc excep.poor
0.21 m e, performanc poor
0.19 m e, performanc fair
0.17 m e, performanc good
0.17 to 0.13 m e, performanc best
hour in time T
T x PR AR
m
=
=
=
=
=
=
=
m is further correlated to cutter wear (cutter life index CLI, abrasiveness of rock),
quartz content (q), porosity (n) of rock, tunnel diameter (D), support needed
0.05 0.10 0.15 0.20
1
2
n
20
q
CLI
20
5
D
m m

-0.21 -0.19 -0.17 -0.22 -0.5 -0.7 -0.9 m

1
1000 100 10 1 0.1 0.01 0.001 Q
where, m
1
is given below
Approximate values of m in relation to Q
39
Finally use with caution the following prediction:
( )
( )
m
PR
L
T
+

1
1
m
0.2
TBM
0.2
TBM
L length with tunnel penetrate to T Time
T Q 5 AR
Q 5 PR
40
Engineering Rock Mass Classification in China
(China Planning Publication No. GB 50218-94)
Basic Quality (BQ) of a Rock Mass
BQ = 90 +3R
c
+250K
v
where,
R
c
= Uniaxial compressive strength of intact rock (in MPa)
2
pr
pm
V
V

K
v
= Intactness index of a rock mass =
V
pm
= Velocity of longitudinal elastic wave in rock mass (km/s)
V
pr
= Velocity of longitudinal elastic wave in intact rock (km/s)
41
Engineering Rock Mass Classification in China
Table 1 Strength Description of a Rock Mass based on Uniaxial Compresssive Strength R
c
R
c
(MPa) > 60 60 30 30 15 15 5 < 5
Strength
Description
Hard
Rock
Relatively
Hard Rock
Relatively
Weak Rock
Weak
Rock
Extremely
Weak Rock
42
Engineering Rock Mass Classification in China
Table 2 Empirical Relationship between Intactness Index K
v
and Volumetric Joint Count J
v
J
v
(Number of
Joints per m
3
)
< 3 3 10 10 20 20 35 > 35
K
v
> 0.75 0.75
0.55
0.55
0.35
0.35
0.15
< 0.15
K
v
=
where,
V
pm
= velocity of longitudinal elastic wave in rock mass (km/s)
V
pr
= velocity of longitudinal elastic wave in intact rock (km/s)
43
Engineering Rock Mass Classification in China
44
Engineering Rock Mass Classification in China
Basic Quality (BQ) of a Rock Mass (Amended so as to consider stress conditions,
groundwater and joint orientation
[BQ] = BQ - 100 (K
1
+ K
2
+ K
3
)
BQ = Basic Quality from Equation above
K
1
= Correction Factor for Groundwater Conditions
K
2
= Correction Factor for Joint Plane Orientation
K
3
= Correction Factor for In-situ Stress Conditions
[BQ] = Amended Basic Quality Value
45
Engineering Rock Mass Classification in China
46
Recommended rock strength parameters
> 0.35 < 1.3 < 0.2 < 27 < 22.5 V
0.3 ~ 0.35 6 ~ 1.3 0.7 ~ 0.2 39 ~ 27 24.5 ~ 22.5 IV
0.25 ~ 0.3 20 ~ 6 1.5 ~ 0.7 50 ~ 39 26.5 ~ 24.5 III
0.2 ~ 0.25 33 ~ 20 2.1 ~ 1.5 60 ~ 50 II
< 0.2 > 33 > 2.1 > 60
> 26.5
I
Poisson
ratio
Deformation
module E (GPa)
Cohesion c
(MPa)
Friction angle
(
o
)
Unit Weight
(kN/m
3
)
Class
47
Host Rock Rating (HRR) for Underground Excavation Projects in China
A national standard that has been specifically designed for underground excavation related to
water resources and hydropower projects in China (Ministry of Water Resources and Ministry of
Electric Power )
HRR = A + B + C + D + E
where,
A = Rating Factor related to Rock Strength (provided in Table 5)
B = Rating Factor related to Rock Intactness (provided in Table 6)
C = Rating Factor related to Joint Conditions (provided in Table 7)
D = Rating Factor related to Groundwater Conditions (provided in Table 8)
E = Rating Factor related to Joint Plane Orientation (provided in Table 9)
48
Host Rock Rating (HRR) for Underground Excavation Projects in China
Table 5 Rating Factor A related to Rock Strength
Description of Rock Strength
Hard Rock Moderately Hard
Rock
Relatively Weak
Rock
Weak Rock
Uniaxial
Compressive
Strength of
Saturated Rock
(MPa)
100 60 60 30 30 15 15 5
Rating Factor A 30 20 20 10 10 5 5 0
For Uniaxial Compressive Strength R
c
> 100 MPa, Rating Factor A is 30
49
Host Rock Rating (HRR) for Underground Excavation Projects in China
Table 6 Rating Factor B related to Rock Intactness
Description of Intactness
Intact Relatively
Intact
Poor
Intactness
Relatively
Fractured
Fractured
Intactness
Factor K
v
1.0 0.75 0.75 0.55 0.55
0.35
0.35 0.15 < 0.15
Rating
Factor
B
Hard
Rock
40 30 30 22 22 14 14 6 < 6
Weak
Rock
25 19 19 14 14 9 9 4 < 4
50
Host Rock Rating (HRR) for Underground Excavation Projects in China
51
Host Rock Rating (HRR) for Underground Excavation Projects in China
Table 8 Rating Factor D related to Groundwater Conditions
Sum of Rating
Factors
(A + B + C)
State Wet, Dripping Small inflow Large Inflow
Flow Rate
(l/min/m)
or
Water Head (m)
< 25
or
< 10
25 125
or
10 - 100
> 125
or
> 100
100 - 85 Rating Factor (D) 0 0 -2 to -6
85 - 65 0 to -2 0 to -2 -6 to -10
65 - 45 -2 to -6 -2 to -6 -10 to -14
45 - 25 -6 to -10 -10 to -14 -14 to -18
< 25 -10 to -14 -14 to -18 -18 to -20
52
Host Rock Rating (HRR) for Underground Excavation Projects in China
53
54
Design Applications of HRR
E(x 10
4
MPa) C (MPa) f
0.2 - 0.02 0.3 - 0.05 0.55 - 0.40 < 25 Very unstable, could not stand
up; severe deformation/failure
V
Bolts and shotcrete,
with re-bar mesh
and concrete lining
0.5 - 0.2 0.7 - 0.3 0.8 - 0.55 Downgrade
to V for S <
1
45 - 25 Unstable; very short standup
time; relatively large
deformation/failure may occur
IV
Bolts and shotcrete,
with wire mesh;
concrete lining for
tunnel span of 20 -
25 m
1.0 - 0.5 1.5 - 0.7 1.2 - 0.8 Downgrade
to IV for S <
2
65 - 45 Poor stability; localized
plastic deformation, cave-in if
unsupported; temporarily
stable in intact, relatively soft
rock
III
2.0 - 1.0 2.0 - 1.5 1.4 - 1.2 Downgrade
to III for S <
4
85 - 65 Essentially stable, with
overall stability; no plastic
deformation; localized
rockfall
II
Unsupported or
localized
bolts/shotcrete or
thin shotcrete; add
wire mesh for
tunnels with large
span
> 2.0 2.5 - 2.0 1.6 - 1.4 100 - 85 Stable, with long-term
stability; no unstable blocks in
general
I
Support
Requirements
Rock Properties Strength vs
Stress Ratio
(S)
Host
Rock
Rating
(HRR)
Rock Mass Stability Rock
Type
55
Required shotcrete thickness and rock bolt length for different support span width
56
Comparison of Rock Mass Classification Systems
57
Examples of Hydropower Projects in China using the BQ and HRR Systems
58
59
60
61
62
63
64
65
66
67
1 2
A
2
B
3 4 5 6 7 8
4m long, 2.4m c/c
50mm shotcrete
68
69
70
71
72
73
74
75