ASTM D5878-00
(Guide)Standard Guide for Using Rock Mass Classification Systems for Engineering Purposes
Standard Guide for Using Rock Mass Classification Systems for Engineering Purposes
SCOPE
1.1 This guide covers the selection of a suitable system of classification of rock mass for specific engineering purposes, such as tunneling and shaft-sinking, excavation of rock chambers, ground support, modification and stabilization of rock slopes, and preparation of foundations and abutements. These classification systems may also be of use in work on rippability of rock, quality of construction materials, and erosion resistance. Although widely used classification systems are treated in this guide, systems not included here may be more appropriate in some situations, and may be added to subsequent editions of this standard.
1.2 The valid, effective use of this guide is contingent upon the prior complete definition of the engineering purposes to be served and on the complete and competent definition of the geology and hydrology of the engineering site. Further, the person or persons using this guide must have had field experience in studying rock-mass behavior. An appropriate reference for geological mapping in the underground is provided by Guide D 4879.
1.3 This guide identifies the essential characteristics of each of the five included classification systems. It does not include detailed guidance for application to all engineering purposes for which a particular system might be validly used. Detailed descriptions of the five systems are presented in STP 984 with abundant references to source literature.
1.4 The range of applications of each of the systems has grown since its inception. This guide summarizes the major fields of application up to this time of each of the five classification systems.
1.5 This standard does not purport to address all of the safety concerns, if any, associated with its use. It is the responsibility of the user of this standard to establish appropriate safety and health practices and determine the applicability of regulatory limitations prior to use.
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Designation: D 5878 – 00
Standard Guide for
Using Rock-Mass Classification Systems for Engineering
Purposes
This standard is issued under the fixed designation D 5878; the number immediately following the designation indicates the year of
original adoption or, in the case of revision, the year of last revision. A number in parentheses indicates the year of last reapproval. A
superscript epsilon (e) indicates an editorial change since the last revision or reapproval.
1. Scope* responsibility of the user of this standard to establish appro-
priate safety and health practices and determine the applica-
1.1 This guide covers the selection of a suitable system of
bility of regulatory limitations prior to use.
classification of rock mass for specific engineering purposes,
1.6 This guide offers an organized collection of information
such as tunneling and shaft-sinking, excavation of rock cham-
or a series of options and does not recommend a specific
bers, ground support, modification and stabilization of rock
course of action. This document cannot replace education ore
slopes, and preparation of foundations and abutments. These
experienceandshouldbeusedinconjunctionwithprofessional
classification systems may also be of use in work on rippability
judgement. Not all aspects of this guide may be applicable in
of rock, quality of construction materials, and erosion resis-
all circumstances. This ASTM standard is not intended to
tance. Although widely used classification systems are treated
represent or replace the standard of care by which the
in this guide, systems not included here may be more appro-
adequacy of a given professional service must be judged, nor
priate in some situations, and may be added to subsequent
should this document be applied without consideration of a
editions of this standard.
project’s many unique aspects. The word “Standard” in the
1.2 The valid, effective use of this guide is contingent upon
title of this document means only that the document has been
the prior complete definition of the engineering purposes to be
approved through the ASTM consensus process.
served and on the complete and competent definition of the
geology and hydrology of the engineering site. Further, the
2. Referenced Documents
person or persons using this guide must have had field
2.1 ASTM Standards:
experience in studying rock-mass behavior. An appropriate
D 653 Terminology Relating to Soil, Rock, and Contained
reference for geological mapping in the underground is pro-
Fluids
vided by Guide D 4879.
D 2938 Test Method for Unconfined Compressive Strength
1.3 This guide identifies the essential characteristics of
of Intact Rock Core Specimens
seven classification systems. It does not include detailed
D 4879 Guide for Geotechnical Mapping of Large Under-
guidance for application to all engineering purposes for which
ground Openings in Rock
aparticularsystemmightbevalidlyused.Detaileddescriptions
of the first five systems are presented in STP 984 (1), with
3. Terminology
abundant references to source literature. Details of two other
3.1 Definitions:
classification systems and a listing of seven Japanese systems
3.1.1 classification, n—a systematic arrangement or divi-
are also presented.
sion of materials, products, systems, or services into groups
1.4 The range of applications of each of the systems has
based on similar characteristics such as origin, composition,
grown since its inception. This guide summarizes the major
properties, or use (Regulations Governing ASTM Technical
fields of application up to this time of each of the seven
Committees).
classification systems.
3.1.2 rock mass (in situ rock), n—rock as it occurs in situ,
1.5 This standard does not purport to address all of the
including both the rock material and its structural discontinui-
safety concerns, if any, associated with its use. It is the
ties (Modified after Terminology D 653 [ISRM]).
3.1.2.1 Discussion—Rock mass also includes at least some
of the earth materials in mixed-ground and soft-ground condi-
This test method is under the jurisdiction of ASTM Committee D-18 on Soil
tions.
and Rock and is the direct responsibility of Subcommittee D18.12 on Rock
Mechanics.
Current edition approved April 10, 2000. Published June 2000. Originally
e1
published as D 5878 – 95. Last previous edition D 5878 – 95 .
Annual Book of ASTM Standards, Vol 04.08.
2 4
The boldface numbers given in parentheses refer to a list of references at the Available from ASTM Headquarters, 100 Barr Harbor Drive, West Consho-
end of the text. hocken, PA 19428.
*A Summary of Changes section appears at the end of this standard.
Copyright © ASTM International, 100 Barr Harbor Drive, PO Box C700, West Conshohocken, PA 19428-2959, United States.
D5878–00
3.1.3 rock material (intact rock, rock substance, rock ele- to their structural competence as influenced by discontinuities
ment), n—rock without structural discontinuities; rock on in the rock mass. The basic building blocks of CMRR are unit
which standardized laboratory property tests are run. ratings. The units are rock intervals defined by their geotech-
3.1.4 structural discontinuity (discontinuity), n—an inter- nical properties, and are at least 0.15 m (6 in.) thick. The unit
ruption or abrupt change in a rock’s structural properties, such
ratings are combined into roof ratings, using additional geo-
as strength, stiffness, or density, usually occurring across technical characteristics (8).
internal surfaces or zones, such as bedding, parting, cracks,
4.1.8 Japanese Rock Mass Classification Systems—The
joints, faults, or cleavage.
Japanese Society of Engineering Geology has recognized
seven major classification systems in use in Japan (9). These
NOTE 1—To some extent, 3.1.1, 3.1.2, and 3.1.4 are scale-related. A
are summarized in 4.1.8.1-4.1.8.7, without additional details in
rock’s microfractures might be structural discontinuities to a petrologist,
buttoafieldgeologistthesamerockcouldbeconsideredintact.Similarly,
this guide.
the localized occurrence of jointed rock (rock mass) could be inconse-
4.1.8.1 Rock-Mass Classification for Railway Tunnels by
quential in regional analysis.
Railway Technical Research Institute—Rock-masses are clas-
3.1.5 For the definition of other terms that appear in this
sified based on the values of P-wave velocity, unconfined
guide, refer to STP 984, Guide D 4879, and Terminology
compressive strength and unit weight. Support patterns for
D 653.
tunnels, such as shotcreting and rock bolting, is recommended
3.2 Definitions of Terms Specific to This Standard:
depending upon the rock-mass classification obtained.
3.2.1 classification system, n—a group or hierarchy of
4.1.8.2 Rock-Mass Classification for Tunnels and Slopes by
classifications used in combination for a designated purpose,
Japan Highway Public Corporation—This system classifies
suchasevaluatingorratingapropertyorothercharacteristicof
the rock-mass using RQD, P-wave velocity, unconfined com-
a rock mass.
pressive strength and unit weight.
4.1.8.3 Rock-Mass Classification for Dam Foundations by
4. Significance and Use
Public Works Research Institute, Ministry of Construction—In
4.1 The classification systems included in this guide and
this system, the rock-masses are classified by observing spac-
their respective applications are as follows:
ing of joints, conditions of joints and strength of rock pieces.
4.1.1 Rock Mass Rating System (RMR) or Geomechanics
4.1.8.4 Rock-Mass Classification for Water Tunnel Design
Classification—This system has been applied to tunneling,
by The Ministry of Agriculture, Forestry and Fisheries—The
hard-rock mining, coal mining, stability of rock slopes, rock
rock-mass is classified into four categories based on values of
foundations,borability,rippability,dredgability,weatherability,
P-wave velocity, compressive strength and Poisson ratio as
and rock bolting.
well as rock type.
4.1.2 RockStructureRatingSystem(RSR)—Thissystemhas
4.1.8.5 Rock-Mass Classification by Central Research Insti-
beenusedintunnelsupportandexcavationandinotherground
tute of Electric Power Industry—This system classifies rock-
support work in mining and construction.
mass based on rock type and weathering characteristics.
4.1.3 The Q System or Norwegian Geotechnical Institute
System (NGI)—This system has been applied to work on
4.1.8.6 Rock-Mass Classification by Electric-Power Devel-
tunnels and chambers, rippability, excavatability, hydraulic
opment Company—This system is somewhat similar to the
erodibility, and seismic stability of roof-rock.
system developed by the Central Research Institute of Electric
4.1.4 The Unified Rock Classification System (URCS)—
Power Industry (see 4.1.8.5). The three factors used for
This system has been applied to work on foundations, methods
classifying rock-mass are weathering, hardness and joint spac-
of excavation, slope stability, uses of earth materials, blasting
ing.
characteristics of earth materials, and transmission of ground
4.1.8.7 Rock-Mass Classification for Weathered Granite for
water.
Bridge Foundation by Honshu-Shikoku Bridge Authority—
4.1.5 The Rock Material Field Classification Procedure
This system uses results of visual observations of rock-mass in
(RMFC)—This system has been used mainly for applications
situ, geophysical logging, laboratory tests on rock samples,
involving shallow excavation, particularly with regard to
pressuremeter tests or other forms of in-situ tests or a combi-
resistance to erosion, excavatability, construction quality of
nation thereof, to estimate strength and stiffness.
rock, fluid transmission, and rock-mass stability.
4.2 Otherclassificationsystemsaredescribedindetailinthe
4.1.6 The New Austrian Tunneling Method (NATM)—This
general references listed in the appendix.
system is used for both conventional (cyclical, such as drill-
4.3 Using this guide, the classifier should be able to decide
and-blast) and continuous (tunnel-boring machine or TBM)
which system appears to be most appropriate for the specified
tunneling. This is a tunneling procedure in which design is
engineering purpose at hand. The next step should be the study
extended into the construction phase by continued monitoring
ofthesourceliteratureontheselectedclassificationsystemand
of rock displacement. Support requirements are revised to
on case histories documenting the application of that system to
achieve stability.
real-world situations and the degree of success of each such
NOTE 2—TheAustrian code (7) specifies methods of payment based on
application. Appropriate but by no means exhaustive refer-
coding of excavation volume and means of support.
ences for this purpose are provided in the appendix and in STP
4.1.7 The Coal Mine Roof Rating (CMRR)—This system 984 (1). The classifier should realize that taking the step of
applies to bedded coal-measure rocks, in particular with regard consulting the source literature might lead to abandonment of
D5878–00
the initially selected classification system and selection of 3.Rolling/running
another system, to be followed again by study of the appropri- C:1.Rock bursting
ate source literature. 2.Squeezing
3.Heavily squeezing
5. Bases for Classification
4.Flowing
5.1 The parameters used in each classification system fol-
5.Swelling
low. In general, the terminology used by the respective author
5.1.7 Coal Mine Roof Rating (CMRR)
or authors of each system is listed, to facilitate reference to
Unit Ratings
STP 984 (1) or source documents.
Shear strength of discontinuities
5.1.1 Rock Mass Rating System (RMR) or Geomechanics
Cohesion
Classification
Roughness
Uniaxial compressive strength (see Test Method
Intensity of discontinuities
D 2938)
Spacing
Rock quality designation (RQD)
Persistence
Spacing of discontinuities
Number of discontinuity sets
Condition of discontinuities
Compressive strength
Ground water conditions
Moisture sensitivity
Orientation of discontinuities
Roof Ratings
5.1.2 Rock Structure Rating System (RSR)
Strong bed adjustment
Rock type plus rock strength
Unit contact adjustment
Geologic structure
Groundwater adjustment
Spacing of joints
Surcharge adjustment
Orientation of joints
5.2 Comparison of parameters among these systems indi-
Weathering of joints
cates some strong similarities. It is not surprising, therefore,
Ground water inflow
that paired correlations have been established between RMR,
5.1.3 Q-System or Norwegian Geotechnical Institute (NGI)
RSR, and Q (2). Some of the references in the appendix also
System
present procedures for estimating some in situ engineering
Rock quality designation (RQD)
properties from one or more of these indexes (2, 3, 4, and 5).
Number of joint sets
NOTE 3—Reference(2)presentsstep-by-stepproceduresforcalculating
Joint roughness
and applying RSR, RMR, and Q values. Applications of the first five
Joint alteration
systems are discussed in STP 984 (1), as is a detailed treatment of RQD.
Joint water-reduction factor
Stress-reduction factor
6. Procedures for Determining Parameters
5.1.4 Unified Rock Classification System (URCS)
6.1 The annex of this guide contains tabled and other
Degree of weathering
material for determining the parameters needed to apply each
Uniaxial compressive strength (see Test Method
of the classification systems.These materials should be used in
D2938)
conjunction with detailed, instructive references such as STP
Discontinuities
984 (1) and Ref (2). The annexed materials are as follows:
Unit weight
6.1.1 RMR System
5.1.5 Rock Material Field Classification Procedure
Classification parameters (five) and their ratings
(RMFC)
(Sum ratings)
Discrete rock-particle size
Rating adjustment for discontinuity orientations (Parameter
Uniaxial compressive strength (see Test Method
No. 6) (RMR = adjusted sum)
D 2938)
Effect of discontinuity strike and dip in tunneling
Joint orientation
Adjustments for mining applications
Joint-aperture width
Input data
Geologic structure
6.1.2 RSR System
Rock-unit thickness
Schematic of the six parameters
Seismic velocity
Rock type plus strength, geologic structure (“A”)
URCS rating
Joint spacing and orientation (“B”)
Rock quality designation (RQD)
Weathering of joints and ground water inflow (“C”)
Mineralogy
~RSR 5 A 1 B 1 C! (1)
Porosity and voids
Hydraulic conductivity and transmissivity
5.1.6 New Austrian Tunneling Method (NATM) 6.1.3 Q-System:
RQD
A:1.Stable
2.Overbreaking Joint set number, J
n
B:1.Friable Joint roughness number, J
r
2.Very friable Joint alteration number, J
a
D5878–00
NOTE 4—Standup time is the length of time following excavation that
Joint water reduction factor, J
W
an active span in an underground opening will stand without artificial
Stress reduction factor SRF
suppor
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