Rock Mass Classification-I Dr.

Gopal Dhawan

Rock Mass Classification- I

Rock Mass Classification Parameters & Early Classification Systems
Dr. Gopal Dhawan
Founder and Chairman, DDAG

1. INTRODUCTION

Rock mass classification is basically about identifying the quality of a rock mass that is to be dealt
with for construction of an engineering project. Rock mass possesses unlimited possibilities of
problems, however, with the help of a geologist, this rock mass can be understood beforehand
and the problems anticipated, so that execution of a project becomes relatively easier. Rock mass
classification is based on this philosophy, whereby, one tries to put the rock mass in a particular
category by studying its properties and assigning a quantitative number to it. The number
represents the quality of that rock mass and gives idea to an engineer about what type of rock he
is dealing with. In other words this is an attempt to express geological description of rock mass
into numbers and correlate them with engineering properties of rock mass. This may be easily
appreciated by engineers and output derived from application of rock mass classification
techniques will be more useful for engineering constructions.
Several attempts have been made by engineers and geologists to bring about a rock mass
classification system that can be used universally. In subsequent paragraphs we will know about
these earlier attempts of classifications. Before moving on to the classifications, it is important to
first understand the difference between rock and rock mass and definition of basic parameters of
rock mass required for application of any rock mass classification system.

2. WHAT IS A ROCK MASS ?

The rock material along with all the weak planes intersecting it, i.e. discontinuities, shear zones,
faults, etc. is called a rock mass (Fig.1). An intact rock is the smallest unit of rock mass which is
devoid of any discontinuities, whereas, rock mass contains number of discontinuities. Presence of
these discontinuities affect the behaviour of rock mass drastically. Geologists often describe a
specimen of rock which is intact. However, for engineering purpose, rock mass in its entirety has
to be studied.

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Fig.1: Intact Rock + Discontinuities = Rock Mass

3. INPUT PARAMETERS REQUIRED FOR ROCK MASS CLASSIFICATION

Knowledge of the rock mass is important for construction of any tunnelling project. The rock mass
is described by the properties of the rock and joints intersecting it. The properties of rock mass
which impact its behavior are:
 The rock material
 The degree of jointing and joint characteristics for each set
 Rock stresses
 Groundwater
These properties are quantified using various methods described by ISRM and Indian Standards
(The complete ISRM suggested methods for Rock Characterization, Testing and Monitoring, 1974-
2006; IS 11315 (Parts - 2, 3, 4, 6, 9 & 10), 1987; IS 13365 (Part-1): 1998) for application of various
rock mass classifications. Based on my experience with application of various rock mass
classification systems I have prepared a comprehensive list of parameters required for application
of different classification systems in vogue at present. Some of these parameters were used for
early classification systems. However, it may be noted that all parameters are not used in all rock
mass classification systems. These parameters are listed below and their general description is
given in following paragraphs.

3.1. JOINT DESCRIPTION

Joints are natural discontinuities found in a rock. They may have originated at the time of
formation of the rock, or developed later due to stresses experienced by the rock in its lifetime.
Joints greatly influence behaviour of a rock mass. Therefore, their properties must be studied
thoroughly for understanding the rock mass.
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Discontinuity is a general term for any mechanical discontinuity (including joints) in a rock mass
along which the rock mass has zero or low tensile strength. It is the collective term for most types
of joints, weak bedding planes, weak schistosity planes, weakness zones, shear zones and faults.
Discontinuities are surveyed during field geological mapping and described for various parameters,
as listed below.
 Orientation
 Length and Direction
 Type of Termination
 Persistence
 Spacing
 Aperture
 Roughness
 Alteration
 Type of Filling
 Number of Joint sets (Degree of Jointing)

3.2. ROCK MASS DESCRIPTION

As described earlier, for understanding the rock mass, its properties need to be studied in detail.
These properties cumulatively decide the behaviour of the rock mass under given conditions.
These are listed below:
 Rock Type
 Strength
 No. of Joint Sets
 Degree of Weathering
 Geological Structure
 Water Inflow
 Stress Reduction Factor (SRF)
 Block Description
 Block Dimension
 No. of Joints m3

4. PROPERTIES OF JOINTS / DISCONTINUITIES

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In following paragraphs, the methods of describing properties of joints / discontinuities are

explained.

4.1. ORIENTATION OF DISCONTINUITIES

Orientation of discontinuities means dip and strike of joint plane. Strike is recorded with reference
to magnetic north pole of earth. Dip angle is the angle between the horizontal and the
discontinuity plane taken in a direction in which the plane dips. The value of dip and strike is
recorded for all visible joint planes of all joint sets. Study of orientation of joints is very important
for determining their suitability with respect to the tunnel orientation.
Example – If a joint plane is considered to have the orientation as N180°/ 60°, it means that the
joint plane dips towards the direction making an angle of 180 from magnetic north of earth (i.e.
opposite of magnetic north, i.e. towards magnetic south) at 60° from horizontal. The strike
direction of this plane will be reported as N90 – N270 (perpendicular to dip direction). The strike
of a plane may extend in both directions.

4.2. PERSISTENCE OF DISCONTINUITIES AND THEIR LENGTH AND DIRECTION

Persistence is the spatial extent or size of a discontinuity within a plane. It is roughly quantified by
observing the discontinuity trace length on the faces of outcrops. The joints of one particular set
tend to be more continuous than other sets. The minor sets will, therefore, tend to terminate
against the primary features or they may terminate in solid rock. In case of rock slopes (for
example, portal developments) it is important to assess the persistence of those joints which are
unfavorably oriented for stability. Persistence determines the degree to which “down stopping”
would have to occur between adjacent discontinuities for a failure surface to develop.
The trace lengths can be described as -
Very Low =< 1 m
Low = 1-3 m
Medium = 3-10 m
High = 10-20 m
Very High = >20 m

Abbreviations used for indicating length and direction of discontinuities

L/DD: L = discontinuity length along dip direction
L/SD: L = discontinuity length along strike direction
Normally, discontinuities exposed along their strike may be more persistent than exposed length.

4.3. TYPE OF TERMINATION

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While observing the joint plane, one can follow its trace and see where does it terminate. Whether
it continues beyond the observation area or if it terminates at another more prominent joint or
whether it terminates on its own within the rock mass.
For recording the type of termination, following scheme may be used.
x: Discontinuities which extend outside the exposure
r: Visibly terminate in rock exposure
d: Terminate against other discontinuities in exposure
It is important to specify dimension of the exposure on which measurements are made.
Termination data should be recorded for each discontinuity set along with persistence length.

4.4. SPACING
Spacing of an individual joint set is recorded as the perpendicular distance between its
representative members. However, if different members of a set show differences in spacing, then
average of spacing is considered. The spacing of adjacent discontinuities largely controls the size of
individual blocks of intact rock. Several closely spaced sets tend to give conditions of low mass
cohesion whereas those that are widely spaced are much more likely to yield interlocking
conditions. The importance of spacing increases when other conditions for deformation are
present, i.e. low shear strength and a sufficient number of discontinuities or joint sets for slip to
occur. The spacing of individual discontinuities and associated sets has a strong influence on the
mass permeability and seepage characteristics. Following table as per IS 11315 Part -2 is followed
for categorizing spacing of joints.
Very closely spaced = < 6 cm
Closely Spaced = 6 cm – 20 cm
Mod. Spaced = 20-60 cm
Widely Spaced = 60-200 cm
Very widely spaced = >200 cm
Spacing may also be represented as the inverse, that is, the number of joints per meter. This is
termed as frequency.

4.5. APERTURE
Aperture is the perpendicular distance separating the adjacent rock walls of an open discontinuity
(Fig.2). The intervening space may be open or filled. Large aperture can result from shear
displacement of discontinuities having appreciable roughness and waviness, from tensile opening,
from outwash and from solution. Steep or vertical discontinuities that have opened in tension as a
result of a valley erosion or glacial retreat may have very large apertures. In most subsurface rock
masses, apertures are very small compared to those at the surface.
< 0.25 mm Tight “Closed” Feature
0.25-0.5 mm Partly open
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0.5-2.5mm Open “Gapped” feature

2.5 – 10 mm Moderately wide
> 10 mm Wide
1-10 cm Very wide “Open” feature
10-100 cm Extremely wide
>1m Cavernous

Fig.2: Suggested definitions of aperture

4.6. ROUGHNESS
The wall roughness of a discontinuity surface is a potentially important component of its shear
strength, especially in the case of undisplaced and interlocked features. The importance of
roughness decreases as aperture, or filling thickness, or degree of any previous displacement
increases.
Accurate measurement of roughness is possible by linear profiling, compass, and clinometer or
photogrammetric methods. But, in the preliminary stage of data collection, estimation of
roughness by a simplified joint profilometer is adequate. Joints can be classified into following
categories based on their surface geometry (Fig.3)-

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 Rough (or irregular), stepped

 Smooth, stepped.
 Slickensided stepped
 Rough (or irregular) planar
 Smooth undulating
 Slickensided, undulating
 Rough (or irregular) planar
 Smooth, planar

Fig.3: Roughness profile and corresponding range of JRC values (Barton, 1977)

4.7. JOINT ALTERATION NUMBER

Rock wall contact
B1. Tightly healed, hard non-softening impermeable filling.
B2. Unaltered joint, walls surface staining only.
B3. Slightly altered joint walls. Non- softening mineral coatings, sandy particles, clay free
disintegrated rock, etc.
B4. Silty or sandy clay coatings, small clay fraction (non-softening).
B5. Softening or low friction clay mineral coatings, i.e. kaolinite, mica. Also chlorite, talc, gypsum
and graphite, etc. and small quantities of swelling clays. (Discontinuous coatings 1-2 mm or less in
thickness.)
Rock wall contact before 10 cm shear
B6. Sandy particles, clay free disintegrated, rock etc.
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B7. Strongly over consolidated, Non-softening clay mineral in thickness.

B8. Medium or low over consolidation, softening, clay mineral filling. (continuous < 5 mm in
thickness)
B9. Swelling clay fillings; i.e. montmorillonite. (Continuous < 5 mm in thickness) percent of
swellings, clay size particles, and access to water.

No rock wall contact when sheared

B10. Zones or bands of disintegrated or crushed rock and clay. See B7, B8 & B9 clay description
under rock wall contact before 10 cm shear.
B11. Zones or bands of Silty or sandy clay, small clay fraction (non-softening)
B12. Thick, continuous zones or bands of clay. See B7, B8 and B9 description under rock wall
contact 10 cm shear.

4.8. TYPE OF FILLING

Filling is the term for material separating the adjacent rock walls of joints, e.g. calcite, chlorite,
clay, gauge, breccia, etc. Filled discontinuities display a wide range of physical behaviour and affect
the behaviour of parent rock. Minerals such as chlorite, mica and clay usually result in weak
bindings between the joint walls. Whereas, minerals like epidote, feldspar and quartz do not
necessarily mean weakening of the rock mass.
The wide range of physical behaviour depends on many factors such as – mineralogy of filling
material, grading or particle size, over consolidation ratio, water content and permeability,
previous shear displacement, wall roughness, width and fracturing and crushing of wall rock. Filled
discontinuities that have originated as a result of preferential weathering along discontinuities
may have fillings composed of decomposed rock (rock weathered to soil, original material fabric
intact, but some or all mineral grains are decomposed), or disintegrated rock (rock weathered to
soil, original material fabric intact, rock friable, but mineral grains not decomposed).
For all types of filled discontinuities the finest fraction of filled material, which is usually the
weakest, is of most interest because it usually governs the long-term shear strength. Its
mineralogical composition should be determined especially in case of swelling clays or active clays.
SC - Swelling clay
IC - Inactive Clay
C - Chlorite
T - Talc
G – Graphite
CR - Crushed rock fragments of sand-like gouge
PFC - Porous of flaky calcite, gypsum

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4.9. NUMBER OF JOINT SETS (DEGREE OF JOINTING)

The mechanical behavior of rock mass is mainly governed by various sets of discontinuities, their
geometry, and spatial distribution. A large number of sets having close spacing may alter the
potential mode of rock failure. All the sets intersecting the rock mass must be observed and their
orientations noted. Number of sets in a rock mass can be classified as -
Massive, occasional random joints
One joint set
One joint set plus random
Two Joint sets
Two Joint sets plus random
Three joint sets
Three joint sets plus random
Four or more joint sets, random
Crushed rock, earth like

5. PROPERTIES OF ROCK MASS

5.1. IDENTIFICATION OF ROCK TYPE

The rock type is identified in the field during geological mapping by observing a sample. Study of
regional geology in the preliminary study provide information about main types of rocks found in
the terrain. This helps a geologist in identification of rock type. It is further confirmed through
petrography of rock sample.

5.2. STRENGTH
The strength of the intact rock is determined by testing a specimen of desired rock type.

Grade Description Field Identification App. UCS

(MPa)

R0 Extremely weak Indented by thumb nail. 0.25-1.0

rock

R1 Very Weak rock Crumbles under firm blow with point of geological 1-5
hammer, can be pealed by pocketknife.

R2 Weak Rock Can be pealed by a pocketknife with difficulty. Shallow 5-25

indentation made by firm blow with point of
geological hammer.

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R3 Medium strong Cannot be scraped or pealed with a pocketknife, 25-50

rock specimen can be fractured with single firm blow of
geological hammer.
(Average)
R4 Strong Rock Specimen requires more than one blow of geological 50-100
hammer to fracture it.
R5 Very Strong Specimen requires many blows of geological 100-250
Rock hammer to fracture it.

R6 Extremely Specimen can only be chipped with geological >250

Strong Rock hammer.

5.3. DEGREE OF WEATHERING

Weathering is a natural process by which various physical agents such as temperature, wind,
flowing water, ground water act on the rocks and deteriorate them. Weathering leads to decrease
in the strength of the rock mass by developing additional discontinuities or enhancing the inherent
weak planes in the rock mass. The grade of weathering in a rock mass should be observed and
noted as per following table.

S Sound or No visible signs of weathering. Rock is fresh, crystals bright. Few

unweathered discontinuities may show slight staining.
rock

SW Slightly Penetrative weathering developed in open discontinuity surface but

weathered rock only slight weathering of rock material. Discontinuities are
discolored and discoloration can extend into rock up to 10mm from
discontinuity surface.

M Moderately rock Slight discoloration extends through the greater part of the rock
W mass. The rock material is not friable (except in cases of poorly
cemented sedimentary rock.) Discontinuities are stained and/or
contain a filling comprising altered material.

HW Highly Weathering extends throughout the rock mass and the rock material
weathered rock is partly friable. Rock has no luster. All material except quartz is
discolored. Rock can be excavated with a geologist’s pick.

CW Completely Rock is totally discolored and decomposed and in a friable condition

weathered with only fragments of the rock texture and structure preserved. The
external appearance is that of a soil.
Rock.

5.4. GEOLOGICAL STRUCTURE

Geological structures such as joints, faults and folds have great effect on the nature and behaviour
of rock mass. A certain rock mass, originally very strong, if subjected to stresses, may develop
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above mentioned geological structures, and become weaker. Such geological structures are
observed during field work and their orientation and likely occurrence in a tunnel should be
analyzed based on projections. Based on the presence of these structures, the rock mass can be
described as –

M Massive

SJ Slightly jointed

Moderately
MJ
jointed

IJ Intensely jointed

SFA Slightly faulted

Moderately
MFA
faulted

IFA Intensely faulted

SFO Slightly folded

Moderately
MFO
folded

IFO Intensely folded

5.5. WATER INFLOW

Water may cause softening and possible outwash of filling material, hence, it has an adverse effect
on the shear strength of joints. A simplified classification of water inflow is given below.

CD Completely Dry- Inflow

Nil

DP Damp - < 10 l/min

W Wet - 10-25 l/min

DR Dripping - 25-125 l/min

F Flowing - > 125 l/min

5.6. STRESS REDUCTION FACTOR (SRF):

SRF is used in Q system as one of the basic parameters for estimation of Q. It is based on following
characteristics of ground.
• Depth of excavation

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• Weakness zones intersecting excavation which may cause loosening of rock mass when
tunnel is excavated.
• Strength of rock mass
• In-situ stresses acting on the rock mass
• Swelling activity in rock mass depending on presence of water
Estimation of SRF is normally done based on procedure defined by Barton (2015). This will be
explained in subsequent lectures on rock mass classification.

5.7. BLOCK DESCRIPTION

M Massive Few joints or very wide spacing

B Blocky Approximately equidimensional
T Tabular One dimension considerably smaller than the other two
CO Columnar One dimension considerably larger than the other two
I Irregular Wide variations of block size and shape
Cr. Crushed Heavily jointed or “Sugar cube”

5.8. BLOCK DIMENSION/ BLOCK SIZE

Description Jv (Joints /m3)

Very large blocks <1.0
Large blocks 1-3
Medium sized 3-10
Small blocks 10-30
Very small block >30

6. ROCK MASS CLASSIFICATION SYSTEMS

Purely geological classification of rocks does not consider their strength, hardness, deformability,
jointing and weathering characteristics. For engineering purposes, it was required to assign
quantitative geotechnical value to the rock mass for understanding its nature and suitability for
the proposed structure. This is based on various properties of the rock mass, called parameters.
In any rock mass classification, these parameters are observed, and assigned a number. Together
they provide assessment of the health of the rock mass.
Classification helps to derive quantitative data and guidelines for engineering design and design of
support. A standard classification helps to reduce communication gap between geologists and
engineers while assessing the rock mass. Several attempts have been done by engineers/
geologists for establishing the standard procedure for classification. Some of these are listed
below and discussed in following paragraphs.

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6.1. EARLY CLASSIFICATION SYSTEMS

 Terzaghi’s Rock load classification (1946)
 Lauffer Stand Up Time Classification (1958)
 Deere’s Rock Quality Designation (1964)

6.2. MODERN CLASSIFICATION SYSTEMS

 Bieniawski’s Rock Mass Rating (1973, 1989, 2014)
 Barton’s Q-system (1974, 2002, 2015)
 Austrian method (2010)
 I-System: Index of Ground - Structure (2019, 2020)

7. TERZAGHI’S ROCK LOAD CLASSIFICATION (1946)

Karl Tarzaghi, introduced the first rational and practical classification system for the design of
tunnel support way back in 1946. He classified the rock mass into nine categories. For each
category, he proposed expressions in terms of tunnel width and height of rock above crown for
estimating rock load.
Terzaghi computed rock load factors (Hp) in terms of tunnel width (B) and tunnel height (Ht) of the
loosened rock mass above the tunnel crown (Figure), which loads the steel arches.

Fig.4: Rock load factor

7.1. ROCK LOAD FACTORS

Rock Condition Rock Load HP in Remarks

feet

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1. Hard and intact 0 Light lining required only if spalling or popping

occurs.
2. Hard stratified 0 to 0.5 B Light support, mainly for protection against spalls.
or schistose
3. Massive, 0 to 0.25 B Load may change erratically from point to point
moderately
4. Moderately 0.25B to 0.35 No side pressure
blocky and seamy (B+Ht)
5. Very blocky 0.35 to 1.10 (B+Ht) Little or no side pressure
and seamy
6. Completely 1.10 (B+Ht) Considerable side pressure. Softening effects of
crushed but seepage towards bottom of tunnel requires either
chemically intact continuous support for lower ends of ribs or circular
7. Squeezing rock, (1.10 to 2.10) Heavy side pressure, invert struts required. Circular
moderate depth (B+Ht) ribs are recommended
8. Squeezing rock, (2.10 to 4.50)
great depth (B+Ht)
9. Swelling rock Up to 250 feet, Circular ribs are required. In extreme cases use
irrespective of the yielding support.

8. STAND UP TIME CLASSIFICATION – LAUFFER (1958)

Lauffer (1958) correlated stand– up time and unsupported span for tunnel in different classes of
rock mass which is very important for determining the type and amount of tunnel support.
Increase in the span of the tunnel leads to a significant reduction in the time available for the
installation of support. A small pilot tunnel may be successfully constructed with minimal support,
but a larger tunnel in the same rock may not be constructed without proper support. The concept
is used both in RMR & Q Classifications.

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Fig.: Active Span vs Stand Up Time

9. ROCK QUALITY DESIGNATION (RQD) – DEERE (1964)

The RQD was developed by Deere D.U. as an index of assessing rock quality quantitatively (i.e. the
degree of jointing) through logging of drill cores. It is more sensitive as an index of the core quality
than the core recovery. It is defined as 'the percentage of intact core pieces longer than 100 mm in
the total length of core’. The RQD is an easy and quick measurement, as only certain core pieces
(longer than 10 cm) are included. It is, therefore, frequently used in core logging for measuring the
degree of jointing along the core drill hole. RQD is found to be a practical parameter for core
logging, but it is not sufficient on its own to provide an adequate description of rock mass
(Bieniawski, 1984).
length of core in pieces >10cm
RQD = 100 X---------------------------------------------
length of drill run
Normally determined on a core of at least 50mm dia (~NX size) drilled with double tube diamond
core drilling equipment. For lower dia cores, length =2×dia to be considered.

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Based on RQD, rock quality is described as:

RQD Rock Quality
<25% Very Poor
25-50% Poor
50-75% Fair
75-90% Good
90-100% Very Good

9.1. LIMITATIONS OF APPLICATION OF RQD

• As suggested by Deere and Deere (1988), a low RQD value should be considered a “red
flag” for further action.
• Low RQD values may indicate poor rock condition as follows
 Thinly bedded or closely jointed zone, or
 Zone of poor rock conditions with shearing, weathering, and so forth

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• If these conditions were found to exist, additional borings or other types of explorations
might be required to assess the orientation and characteristics of the weak zone and its
potential effect on the engineering structure to be built.
• Before coming to above conclusion, following mechanical reasons for low RQD values must
be ruled out
 Poor drilling techniques,
 Core breakage upon handling,
 Stress-relief or air staking,
In such cases where authentic RQD is not obtained because of mechanical reasons, RQD may be
calculated based on Jv.

9.2. CALCULATION OF RQD FROM JV

Palmstrom (1982) suggested that when drill cores are unavailable in surface and underground
mapping, the RQD may be estimated by the no. of discontinuities (joints) per unit volume of rock
mass. Numerical value of volumetric count of joints is known as Jv (Palmstrom, 1982)
Following empirical relationships are available for calculating RQD from J v (Palmstrom, 1982)
Equation-1: RQD= 115-3.3 Jv (Palmstrom, 1982)
Equation-2: RQD= 110-2.5Jv (Palmstrom, 2005)
The above equations give value of RQD in percentage.
The new correlation (Eq.2) probably gives a more appropriate average correlation than the earlier
one which may be representative for the long or flat blocks, while latter equation is better used for
blocks of a cubical (bar) shape (Palmstrom, 2005)

Example - Estimation of Jv at open outcrops or tunnel sections

12 No. of S1 Joints per sqm - 12

13 No. of S2 Joints per sqm – 8
Jv =20/cum
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Calculation of RQD from Jv:

Equation-2: RQD = 110-2.5Jv
{Boundary conditions for application of Equation-2: 4 ≤ Jv ≤ 44}
RQD = 110-2.5 x 20 = 60%

References:
• Barton, N., Lien, R., & Lunde, J. (1974). Engineering classification of rock masses for the
design of tunnel support (NGI Publication No. 106, p. 48). Oslo: Norwegian Geotechnical
Institute.
• Barton, N & Choubey V (1977). Shear strength of rock joints in theory and practice. Rock
Mechanics 10, 1-54.
• Deere, D. U., & Deere, D. W. (1988). The rock quality designation (RQD) index in practice—
Rock classification systems for engineering practice. In L. Kirkaldie (Ed.). (pp. 91–101).
ASTM STP 984. Philadelphia: American Society for Testing and Materials.
• “Engineering Rock Mass Classification” by Bhawani Singh and R.K. Goel, 2011
• Hoek, E., & Brown, E. T. (1980). Underground excavations in rocks. Institution of Mining and
Metallurgy , London: Maney Publishing.
• Palmström A. (2017): Classification systems and use of geological data. “Tunnelling and
Climate Change” 27-29 Nov. 2017
• IS 11315 (Parts - 2, 3, 4, 6, 9 & 10), 1987, Methods for quantitative description of
discontinuities in rock masses.
• IS 13365 (Part-1): 1998: Quantitative classification systems of rock mass – guidelines. Part
1 - Rock Mass Rating (RMR) for predicting engineering properties
• ISRM Journal 1981
• The complete ISRM suggested methods for Rock Characterization, Testing and Monitoring,
1974-2006
• Terzaghi, K. (1946). Introduction to tunnel geology. In R. V. Proctor & T. L. White (Eds.),
Rock tunnelling with steel supports (p. 271). Youngstown, OH: Commercial Shearing &
Stamping Co.

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