Bull Eng Geol Environ (2010) 69:1327

DOI 10.1007/s10064-009-0235-9

ORIGINAL PAPER

Excavatability assessment of rock masses using the Geological

Strength Index (GSI)
G. Tsiambaos H. Saroglou

Received: 30 June 2009 / Accepted: 20 July 2009 / Published online: 14 August 2009
Springer-Verlag 2009

Abstract In the present study a new classification method

for the assessment of ease of excavation of rock masses is
proposed, based on the Geological Strength Index and the
point load strength of the intact rock. The data originate
from excavation sites in Greece in sedimentary and metamorphic rock masses. A wide variety of rock structures
were considered, ranging from blocky to disintegrated, and
different excavation methods have been used (blasting,
hydraulic breaking, ripping and digging). The proposed
method cannot be applied to heterogeneous rock masses
and soft rocks/hard soils.

exist, (b) ripping, for moderate to difficult excavation

conditions, and (c) blasting for very difficult excavation
conditions. The knowledge of the physical and mechanical
characteristics as well as the behavior of the geo-materials
to be excavated is vital for the selection of the most
effective method of excavation.

Keywords GSI
Excavatability
Rockmass

Rippability
Rock strength

All the methods used for the assessment of excavatability

or rippability of rock take into account the uniaxial compressive strength, weathering degree and spacing of discontinuities. Some of them also include seismic velocity, as
well as the continuity, aperture, orientation and roughness
of joints. A detailed review of the principal excavation
methods is given in MacGregor et al. (1994) and Basarir
and Karpuz (2004).
Duncan (1969) states that the assessments to determine
the ease or difficulty with which a rock mass may be
excavated are based upon the consideration of:

Introduction
Predicting the ease of excavation of rock and rock masses
is very significant in earthworks for highway construction
or other civil engineering works, in surface mines and also
for foundations. In order to describe the excavation of
rocks, different terms have been used, related to the principle of excavation and the mechanics of fracture. These
include cuttability, rippability, excavatability, diggability
and drillability. In the present work, the term excavatability
is used as a broad term that refers to the ease of excavation
of rock and rock masses and includes the methods of
(a) digging, when easy/very easy excavation conditions

G. Tsiambaos (&)
H. Saroglou

Geotechnical Engineering Department, School of Civil
Engineering, National Technical University of Athens,
9 Iroon Polytechniou str., 157 80 Athens, Greece
e-mail: gktsiamb@central.ntua.gr

Previous research
Assessment of rock excavatability

(a)

the rock material forming the rock blocks within the

in situ rock massbecause excavation entails fragmentation and rupture of the rock materials when the
block volume is large,
(b) the nature, extent and orientation of the fractures, and
(c) the geological structure with respect to folding and
faulting.
Initially, Franklin et al. (1971) proposed a method to
assess the excavation of rock based on the point load
strength of intact rock, Is50, and on the fracture spacing
index, If, which is the mean spacing of joints along a

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scanline. Atkinson (1971) suggested that the ease of

excavation can be predicted using the velocity of longitudinal waves in the rock mass for different rock types.
Scoble and Muftuoglu (1984) proposed a classification
of rock excavatability based on the rock mass weathering
degree, the intact rock strength, the joint spacing and the
spacing of bedding planes in a layered rock mass. Pettifer
and Fookes (1994) stated that the excavatability of rocks
depends on their individual properties, on the excavation
equipment and on the method of working. They also stated
that, apart from the strength of rock expressed by point
load index, the discontinuity characteristics define the
individual size of rock blocks, which constitutes one of the
most important parameters for rock rippability. They presented a detailed chart, which is similar to that proposed by
Franklin et al. (1971) but with a more detailed categorization of excavation methods. McLean and Gribble (1985)
estimated relationships between uniaxial compressive
strength and Schmidt hammer hardness (rebound number)
of intact rock and the rocks rippability. Karpuz (1990) and
Basarir and Karpuz (2004) proposed a rippability classification system for Coal Measures and marls for use in lignite mines. This is based on the seismic P-wave velocity,
the point load index or uniaxial compressive strength, the
average discontinuity spacing and the Schmidt hammer
hardness. Singh et al. (1987) have also proposed a rippability index for Coal Measures. Ripper performance charts
have also been proposed for a wide variety of rocks based
on their P-wave seismic velocity (Church 1981; Caterpillar
2001).
Although a number of methods are available to predict
excavatability, no particular method is universally accepted
for several reasons, e.g., lack of awareness of previous case
studies or difficulties in determining input parameters and
limitations of applicability to a specific geological environment. A successful classification system should be easy
to use (quantifiable data, easy to determine, user friendly)
and should also give information about currently available
equipment.

G. Tsiambaos, H. Saroglou

parameters based on Barton et al. (1974) Q system. Fowell

and Johnson (1982), Smith (1986), MacGregor et al. (1994)
and Hadjigeorgiou and Poulin (1998) have also developed

Fig. 1 Layered marble corresponding to the blocky rock mass type

Rock mass classification for estimation

of excavatability
Rock mass classification systems have also been used for
the assessment of excavatability. Weavers (1975) classification was based on the RMR system (Bieniawski 1974).
Kirsten (1982) proposed a system for the excavatability
assessment in terms of rock mass characteristics, such as
mass strength, block size, relative orientation of geological
structure and joint walls strength. His classification system
is based on engineering properties for the weakest soil to
the hardest rock. Kirsten (1982) formulated the excavatability index (N), which is determined by the use of several

123

Fig. 2 a Sandstone and b limestone, both corresponding to the very

blocky rock mass type

Excavatability assessment of rock masses using GSI

15

Fig. 4 Heavily fractured limestone corresponding to the disintegrated

rock mass type

Fig. 3 Folded (a) thinly bedded limestone (b) schist, both corresponding to the blocky/disturbed/seamy rock masses

grading classification systems for the assessment of rock

rippability.
Additionally, Abdullatif and Cruden (1983) presented an
assessment of ease of excavation and productivity in relation to rock mass quality using the RMR system. Recently,
Hoek and Karzulovic (2000) used the data from Abdullatif
and Cruden (1983) to estimate the Geological Strength
Index, GSI and strength of these rock masses and suggested
a range of GSI for different excavation methods. They
proposed that rock masses can be dug up to GSI values of
about 40 and rock mass strength values of about 1 MPa,
while ripping can be used up to GSI values of about 60 and
rock mass strength values of about 10 MPa. Blasting was
the only effective excavation method for rocks exhibiting
GSI values greater than 60 and rock mass strengths of more
than 15 MPa.

Fig. 5 Studied rocks superimposed on the Franklin chart

In the present study the Geological Strength Index

(GSI), as proposed by Marinos and Hoek (2000) was used
in order to describe the rock masses and correlate each rock
mass type with the applicability of the available excavation
methods. In this approach, the intact rock strength was
taken into account and the properties of the discontinuity
sets and fracture spacing (controlling the size of rock
blocks) were carefully evaluated. The advantage of the
proposed classification is that it is a qualitative tool for easy
and quick assessment of excavatability.

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16

G. Tsiambaos, H. Saroglou

Table 1 Range of point load strength and rock mass classification for different geological formations
Rock mass
type

GSI

Rock
structure

Discontinuity
surface

Is50 (MPa)
average

Is50 (MPa)
range

If (cm)
average

If (cm)
range

Gneiss

3560

S2, S3

D2, D3, D4

2.30

1.304.80

65

30150

Weathered gneiss

35

S3

D4

0.6

Schist

1570

S2, S3, S4, S6

D2, D3, D4

2.20

0.804.60

49

25
23160a

Limestone

2065

S2, S3, S5

D2, D3, D4

2.45

0.704.00

45

2080b

Sandstone

3060

S2, S3, S4

D1, D2, D3, D4

2.30

0.704.80

40

20100

Marble

6575

S2

D1, D2

2.80

1.804.20

50

4070

Siltstone

2530

S4, S5

D3, D4

0.50

Fracture spacing in schists is meaningful only in rock masses with blocky, very blocky and disturbed/seamy structure. Fracture spacing due to
schistosity planes (acting as discontinuity planes) in laminated/sheared rock masses is not applicable

Fracture spacing in disintegrated limestones affected by fault activity is not applicable

Geological Strength Index

The Geological Strength Index (GSI) was introduced by
Hoek et al. (1992), Hoek (1994) and Hoek et al. (1995).
This index was subsequently extended for weak rock
masses in a series of papers by Hoek et al. (1998) and
Marinos and Hoek (2000). Later, Marinos and Hoek (2001)
proposed a chart of the Geological Strength Index for
heterogeneous rock masses, such as flysch, which is frequently composed of tectonically disturbed alternations of
strong and weak rocks (sandstone and siltstone, respectively). This chart was modified by Marinos et al. (2007).
The GSI relates the properties of the intact rock elements/blocks to those of the overall rock mass. It is based
on an assessment of the lithology, structure and condition
of discontinuity surfaces in the rock mass and is estimated
from visual examination of the rock mass exposed in outcrops, surface excavations such as road cuts, tunnel faces
and borehole cores. It utilizes two fundamental parameters
of the geological process (blockiness of the mass and
condition of discontinuities), hence takes into account the
main geological constraints that govern a formation. In
addition, the index is simple to assess in the field.

therefore built on the linkage between descriptive geological terms and measurable field parameters such as joint
spacing and roughness.
The rock mass type is a controlling factor in the
assessment of the excavation method, as it is closely
related to the number of discontinuity sets and reflects the
rock mass structure. The Geological Strength Index, in its
original form, was not scale dependant, thus the rock block
size is not directly related to the rock mass type. Nevertheless, each rock type has a broad correlation to the rock
block size, i.e., a blocky rock mass has larger blocks than a
very blocky rock mass or a disintegrated rock mass which
is made up of very small rock fragments. This correlation is
only informative, however, and is not applicable to certain
rock mass types, e.g., sheared schist rock masses, as the
spacing of the schistosity planes equates to the discontinuity planes and hence the concept of block volume is not
applicable. For this reason, the present classification for the
assessment of excavatability is based on the original GSI
charts (2000 version), but specific reference to the block
volume is made.

Characteristics of investigated rock masses

Quantification of GSI classificationblock volume
of the rock mass

Field investigationmethodology

According to Palmstrom (2000), block size and discontinuity spacing can be measured by means of the Volumetric
Joint Count Jv, or the mean block volume, Vb. Sonmez and
Ulusay (1999) quantified block size in the GSI chart by the
Structure Rating coefficient (SR) that is related to the Jv
coefficient. Cai et al. (2004) presented a quantified GSI
chart and suggested that the block size is quantified by the
mean discontinuity spacing S or by the mean block volume
Vb. The structure was quantified by joint spacing in order to
calculate the block volume, and the joint surface condition
was quantified by a joint condition factor. The GSI is

The field investigation was carried out at highway construction sites in Greece. In general, the rocks involved
were sedimentary (limestone, sandstone and siltstone) and
metamorphic (gneiss, schist and marble). The most predominant rock types were sandstone and limestone.
The field investigation in sixty-one (61) selected locations included the determination of rock mass properties,
the excavation method and its performance in terms of
production against time. In order to describe and classify
the rock masses the following parameters were recorded
(following ISRM 1981):

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Excavatability assessment of rock masses using GSI

17

Fig. 6 Studied rocks

superimposed on the
PettiferFookes chart

(a)
(b)
(c)
(d)
(e)
(f)

rock type,
joint set number,
joint spacing,
joint orientation,
joint surface condition,
degree of weathering.

Laboratory testing of the block samples from each site

included determination of unit weight and point load
strength in accordance with the methods suggested by
ISRM (1985). All the rock masses examined were rated
according to the Geological Strength Index.

Rock mass classification

The rock masses studied generally have a blocky (18 sites)
and very blocky structure (29 sites). The discontinuity
conditions of the blocky rock masses are fair, good and
very good. For the very blocky rock masses, the discontinuities are poor, fair and good. Some rock masses (7 sites)
have a blocky/disturbed/seamy structure and good to fair
discontinuity surface conditions. Finally, a few disintegrated (5 sites) and laminated/sheared rock masses (2 sites)
were found with fair to poor joint surface conditions.

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18

The sandstone, limestone, gneiss, marble and schist

(amphibolitic and micaceous) rock masses have a blocky
structure, as shown in Fig. 1. Gneiss, limestone and sandstone rock masses were also found to have a very blocky
structure (Fig. 2a, b). Blocky/disturbed/seamy rock masses
were found in folded thinly bedded limestone (Fig. 3a) and
in folded schist environments (Fig. 3b). Finally, some
heavily fractured limestones affected by tectonic activity
appear totally disintegrated and broken (as shown in
Fig. 4). The laminated/sheared structure was encountered
only in the schists.
The point load index (Is50) of the different rocks ranges between 0.5 and 5.0 MPa. The lower values originate
from weathered rocks. The range of point load strength,
Is50, and fracture spacing, If, of discontinuities as well as
the rock classification of the different geological formations are given in Table 1. The fracture spacing (If) had a
relatively wide range. The average fracture spacing is
higher for the gneiss and marble rock masses with a
blocky and very blocky structure. The limestone, schist
and sandstone rock masses with a blocky/disturbed/seamy
and disintegrated structure have lower average fracture
spacings.
It should be emphasized that a realistic determination
of fracture spacing is often difficult. The three-dimensional development of discontinuities should not be
underestimated when calculating the fracture spacing.
Moreover, fracture spacing in laminated/sheared schist
rock masses expressed by the schistosity planes (acting
as the predominant discontinuity) and in disintegrated limestones, which are brecciated by faults, is not
meaningful.

Fig. 7 Relationship between point load strength and excavation

method

123

G. Tsiambaos, H. Saroglou

Assessment of excavatability using existing methods

Franklin et al. (1971) method
The oldest graphical indirect rippability assessment method
is that of Franklin et al. (1971). It considers two parameters: the fracture spacing, If, and strength values of intact
rock. Franklins method has been re-evaluated and modified by many researchers; the most well known being
Pettifer and Fookes (1994). Although this graph allows
excavatability to be assessed rapidly, the subdivisions have
become outdated as more powerful, more efficient equipment has become available.
The Franklin et al. (1971) chart shows that most of the
rock masses encountered in the selected sites would have to
be excavated with blasting to loosen the rock mass and
some (9 of the 61) with ripping. However, as shown in
Fig. 5, most of the rock masses (29) were excavated using
rippers, indicating that the chart is quite conservative and
predicts more difficult excavation conditions than is actually the case with modern machinery.
PettiferFookes (1994) classification method
Pettifer and Fookes (1994) emphasized the value of a threedimensional discontinuity spacing index as this provides a
more realistic assessment of the average block size.
With Pettifer and Fookes chart (Fig. 6), the evaluation
of excavatability is simple and hence the chart is still
commonly used (Kentli and Topal 2004; Gurocak et al.
2008). However, the rock mass data from the present study
indicate that it underestimates the difficulty of excavation.

Fig. 8 Plot of point load strength versus GSI for different excavation
methods

Excavatability assessment of rock masses using GSI

For material falling in the region of the chart where D6 and

D7 rippers are proposed, in four sites D8 rippers were
required and in six sites D9 rippers were used. In only three
sites were the D7 rippers appropriate. In ten sites the predicted D8 equipment was used, but in six sites heavier (D9)
rippers were necessary. In eight sites where D8 or D9
rippers were predicted, hydraulic breaking, or rippers and
hydraulic hammers were used.
This deviation from the predicted conditions could be
attributed to the accuracy of measuring the fracture index
of the predominant joint sets, which is somewhat

19

subjective, and also to the fact that in many sites other

construction matters may have been involved in the decision to use heavier equipment.
Prediction using the RMR and Q rock mass
classification systems
Abdullatif and Cruden (1983) proposed that a rock mass
can be dug up to Rock Mass Rating (RMR) values of 30
and ripped up to RMR values of 60 while a rock mass rated
as good or higher would require blasting. They also state

Fig. 9 GSI classification for

tested rocks with intact rock
strength (Is50 \ 3 MPa)

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G. Tsiambaos, H. Saroglou

Table 2 Detailed rock mass data and excavation methods used on study sites (point load strength of intact rock Is50 \ 3 MPa)
Excavation
method

2.6

Blasting

Rock
type

Structure/
discontinuity

GSI

B5

Schist

S2D3

60

B6

Limestone Sparitic

S2D2

65

40

1.7

Blasting

B7

Marble

S2D1

75

40

2.5

Blasting

B8

Marble

S2D1

70

40

1.8

Blasting

B9

Marble

S2D1

65

50

2.7

Blasting

B10

Sandstone

S2D2

60

100

2.7

Blasting

H4
H5

Amphibolitic Schist
Amphibolitic Schist

S2D2
S2-3D3

7075
5055

36
26

1.8
1.2

Hammer
Hammer

H6

Mica schist

S2D2

65

70

1.3

Hammer

H7

Mica schist

S2D3

55

72

1.3

Hammer

H8

Amphibolitic Schist

S3D2

5560

30

1.4

Hammer

H9

Limestone micritic

S2D3

55

80

2.9

Hammer

H10

Gneiss

S3D2

60

150

2.2

Hammer

R11

Sandstone

S2D2

5055

50

1.7

Ripper D8

R12

Sandstone

S2D3

50

80

Ripper D8

R13

Sandstone

S2D2

50

40

2.3

Ripper D8

R14

Sandstone

S4D2

45

1.3

Ripper D8

R15

Sandstone quartzitic

S2D2

5055

50

1.7

Ripper D8

R16

Sandstone quartzitic

S4D3

40

20

2.8

Ripper D8

R17

Sandstone quartzitic

S4D3

35

30

Ripper D8

R18

Sandstone quartzitic

S3D3

4045

30

0.9

Ripper D8

R19
R20

Sandstone silty
Mica Gneiss

S3D3
S3D4

40
35

30
30

2.2
1.3

Ripper D8
Ripper D8

R21

Gneiss

S2D3

50

100

Ripper D8

R22

Gneiss

S2-3D3

45

100

1.7

Ripper D8

R23

Limestone micritic

S3D3

45

30

0.7

Ripper D9

R24

Mica Gneiss

S3D4

35

30

0.6

Ripper D9

R25

Mica Gneiss

S3D4

3540

30

1.4

Ripper D9

R26

Granitic Gneiss

S3D3

4045

30

1.7

Ripper D9

R27

Sandstone

S3D1-2

5560

50

1.9

Ripper D9

R28

Sandstone

S3D2

5560

0.8

Ripper D9

R29

Sandstone

S3D2

55

2.0

Ripper D9

R30

Schist

S4D2

4045

23

2.2

Ripper D10

R31

Sandstone

S3D3

4045

20

0.7

Ripper D7-Digger

R32

Sandstone

S3D4

30

2.9

Ripper D7-Digger

R33

SandstoneSiltstone

S3D4

3035

0.9

Ripper D7-Digger

R34

Sandstone

S3D3

4045

30

1.1

Ripper D7-Digger

D3
D4

Siltstone
Mylonitic limestone

S4D4
S5D4

30
25

0.5

Digger
Digger

D5

Schist

S6D4

15

0.8

Digger

D6

Limestone

S5D4

20

0.7

Digger

D7

Calcareous schist

S6D4

15

0.9

Digger

that rocks with a Q value up to 0.14 can be dug but those

with Q values above 1.05 require ripping. However, they
pointed out that the use of Q as a guide to excavation
methods presents problems, as there is an overlap where

123

Fracture
spacing If (cm)

Is50
(MPa)

Site
number

80

rocks with Q values between 3.2 and 5.2 can be ripped and/
or require blasting.
The present study found Abdullatif and Crudens (1983)
ranges for digging, ripping and blasting are in good

Excavatability assessment of rock masses using GSI

agreement with the methods actually used at the investigated sites but the use of the Q system was less consistent
with field practice.

Guidelines concerning If and Is50

From the evaluation of the data from this study using the
classification methods of Franklin et al. (1971) and Pettifer
and Fookes (1994), the following conclusions can be drawn
concerning fracture spacing and point load strength of
intact rock.

21

(a)

Rock masses that have a joint spacing, If, greater than

0.30.5 m and a point load strength of intact rock
greater than 1 MPa have to be excavated using either
hydraulic breaking or blasting.
(b) Rock masses with fracture spacing of less than about
100 mm (close to very close spacing according to
ISRM 1981) can be excavated by rippers or diggers
irrespective of the point load strength of the intact
rock.
(c) Rock masses exhibiting a point load index for intact
rock of less than about 0.5 MPa can be excavated
easily by ripping or digging, irrespective of fracture

Fig. 10 GSI classification for

tested rocks with intact rock
strength (Is50 C 3 MPa)

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G. Tsiambaos, H. Saroglou

spacing (If). No data from rock masses with intact

rock strength lower than 0.5 MPa were available.
A point load strength value equal to Is50 = 3.0 MPa and
fracture spacing of If = 0.3 m proved to be threshold values
below which ripping was performed in the majority of the sites.
The intact rock strengths obtained were analyzed for the
different excavation methods and the results are presented
in the bar chart in Fig. 7. In summary,
(a)

Rock masses excavated with blasting had an intact

point load strength of between 2 and 5 MPa, with a
mean value of 3 MPa.
(b) Rock masses excavated using a hydraulic hammer in
conjunction with ripping are characterized by point
load strengths between 1.2 and 3 MPa (mean strength
2.3 MPa).
(c) Rock masses excavated using rippers have point load
strengths in the range of 0.55 MPa with a mean
value of 2 MPa.

Proposed classification
General
An assessment of the excavatability of the rock masses
encountered on the selected sites, based on the most

commonly used prediction methods, proved that the

selection of the excavation method depends on the
parameters which are taken into account. In the RMR and
Q classification systems, ground water and joint orientation
will influence the total ranking, while in both the Franklin
and PettiferFookes classification charts, the correct
assessment of the fracture spacing is significant.
The study has shown that the GSI classification in conjunction with the intact rock strength can produce a qualitative categorization of excavation methods for rock masses. In
this procedure, the rock structure and the joint surface conditions are important. For example, if the joints in a rock mass
are tight or very tight (separation of discontinuity surfaces
less than 0.5 mm) it is most probable that the rock blocks
cannot be detached and thus the rock mass will not be rippable, although, a joint spacing in the range of 0.10.5 m
would allow ripping in most circumstances. If the joints are
open (separation is between 2.5 and 10 mm) or very wide
(between 10 and 25 mm), either empty or filled with soft
material, and their spacing is between 0.5 and 1.0 m, rippers
are commonly used as the rock blocks are separated relatively
easily. However, the strength of the intact rock in the individual rock blocks is also important as excavation with rippers entails fragmentation and rupture of the rock itself.
Sedimentary rocks which are well-bedded and jointed or
closely interbedded strong and weak rocks can be excavated
by ripping or digging.

Table 3 Detailed rock mass data and excavation methods used on study sites (point load strength of intact rock Is50 C 3 MPa)
Is50
(MPa)

Excavation
method

90

3.9

Blasting

160

4.2

Blasting

4.2

Blasting

Site
number

Rock
type

Structure/
discontinuity

GSI

Fracture
spacing If (cm)

B1

Schist

S2D3

60

B2

Schist

S2D2

70

B3

Marble

S2D2

65

70

B4

Sandstone

S3D2

5560

H1

Schist

S2D3

50

H2

Crystalline limestone

S3D2

55

H3
R1

Crystalline limestone
Limestone

S3D2
S3D3

5560
45

R2

Limestone

S3D3

R3

Limestone

S3D4

R4

Mica Gneiss

R5

Sandstone

R6

4.8

Blasting

35

4.6

Hammer

50

3.1

Hammer

10

3.1
3.7

Hammer
Ripper D9

4045

20

4.0

Ripper D9

35

30

3.4

Ripper D9

S3D3

40

54

4.7

Ripper D9

S3D4

40

4.8

Ripper D8

Sandstone

S4D4

30

20

4.1

Ripper D8

R7

Sandstone

S4D3

35

20

3.9

Ripper D8

R8

Mica Gneiss

S3D4

35

30

3.1

Ripper D8

R9

Gneiss

S3D2

50

100

4.8

Ripper D8

R10

Mylonitic limestone

S5D3

30

Ripper D7

D1

Mylonitic limestone

S5D4

20

Digger

D2

Siltstone

S5D3

25

Digger

123

Excavatability assessment of rock masses using GSI

23

Fig. 11 Proposed GSI chart for

the assessment of excavatability
of rock masses (Is50 \ 3 MPa)

A first assessment of the excavation methods in the

study sites based on a GSI classification of the excavated
rock mass and the point load strength of the intact rock is
presented in Fig. 8. It is evident that three distinct regions
exist in the GSI-Is50 chart, which correspond to the different excavation methods (blasting and/or use of hydraulic
hammer, ripping and digging). For a given strength of rock,
the ease of excavation increases as the rock mass quality
decreases (lower GSI values), thus blasting can be substituted by ripping or even digging.
The study also indicated the threshold value of strength
of an intact rock, beyond which the rock mass requires
blasting, is equal to 3 MPa. This value is similar to the

threshold values proposed in the literature; most researchers suggesting a UCS of 70 MPa, equivalent to a point load
strength of 3 MPa (Bell 2004; McLean and Gribble 1985;
Bieniawski 1975).
Two classification charts are proposed for the assessment of excavation method based on GSI:
(a)

For rock masses with a point load strength (Is50)

between 0.5 and 3 MPa;
(b) For rock masses with a point load strength (Is50) equal
to or above 3 MPa.
In order to correlate the excavatability method with GSI
classification, categories of rock mass types were

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G. Tsiambaos, H. Saroglou

Table 4 Excavation method for different rock mass types (Is50 \ 3 MPa)

S5D4

S5D5

S5D4

S5D5

S5D3

S5D3

S5D2

S5D1

S4D5

S4D4

S4D3

S4D2

S4D1

S3D4

S3D5

S3D3

S3D2

S3D1

S2D5

S2D4

S2D3

Drill & Blast

Rock mass type based on GSI (Structure-Discontinuity condition)

S2D2

excavation
S2D1

Method of

strength

S1

Intact rock

or hammer
Is 50 <3 MPa

Ripper (D8,

D9)
Ripper (D7)

Digging

Underlined symbols represent areas of application that are suggested (with no records from the study sites)
Symbols in bold represent marginal conditions for application of the proposed excavation method

Table 5 Excavation method for different rock mass types (Is50 C 3 MPa)

S5D2

S4D5

S5D1

S4D4

S4D3

S4D2

S4D1

S3D5

S3D4

S3D3

S3D2

S2D5

S2D4

S3D1

Drill & Blast

S2D3

Rock mass type based on GSI (Structure-Discontinuity condition)

S2D2

excavation

S2D1

Method of

strength

S1

Intact rock

or hammer
Is 50 3 MPa

Ripper (D8,

D9)
X

Ripper (D7)
Digging

Underlined symbols represent areas of application that are suggested (with no records from the study sites)
Symbols in bold represent marginal conditions for application of the proposed excavation method

determined based on the structure of the rock mass and the

surface conditions of discontinuities. Each rock mass type
is given a code in the form of S (number) for rock mass
structure and D (number) for discontinuity condition. For
example, the intact/massive structure is defined as S1 and
the laminated/sheared rock mass as S6, while discontinuities with a very good condition are defined as D1 and those
with a very poor condition D6. Thus, a rock mass that has a
very blocky structure and good condition of discontinuities
would be described with S3 and D2 (S3D2).
Excavatability assessment using GSI
Samples with a rock strength lower than 3 MPa are classified in the GSI chart shown in Fig. 9; the detailed data
concerning the rock mass characteristics and excavation
method are presented in Table 2.
It is evident that blasting was required in blocky rock
masses with a fair to very good discontinuity condition
(S2D1 to S2D3). Hydraulic breaking was used in similar
rock conditions and in some cases in very blocky rock
masses. Most of the rock masses excavated with rippers
(D8, D9 and D10) have a very blocky structure with poor to

123

good joint surface conditions (S3D2 to S3D4), while some

have a blocky/disturbed/seamy structure (S4D2 to S4D3).
To some extent ripping was also successful in blocky rock
masses with fair joint surface conditions (S2D3). Easy ripping conditions (D7 rippers) were encountered in very
blocky rock masses with poor joint conditions (S3D4) while
rocks with a seamy, disintegrated and laminated/sheared
structure and poor joint (or schistosity) surface conditions
(S4D4 to S6D4) were excavated with digging equipment.
The GSI classification for rock masses with strengths
above 3 MPa is shown in Fig. 10 and their relevant rock
mass characteristics and the excavation method used are
summarized in Table 3. Blasting was used for rock masses
with a blocky structure and fair to good joint surface
conditions (S2D2 to S2D3) and for rocks with a very
blocky structure with good joint conditions (S3D2).
Hydraulic breaking was used in some very blocky rock
masses while heavy ripping equipment (D8, D9) was used
to excavate the very blocky and blocky/disturbed/seamy
rock masses with poor to fair joint surface conditions
(S3D3 to S3D4 and S4D3 to S4D4). Diggers were only
used in the disintegrated limestone rock masses (S5D3 to
S5D4).

Excavatability assessment of rock masses using GSI

25

Fig. 12 Proposed GSI chart for the assessment of excavatability of rock masses (Is50 C 3 MPa)

Proposed excavatability charts using GSI

Based on the GSI classification of the rock masses, the
following excavation charts are proposed:
GSI excavation chart with Is50 \ 3 MPa
The proposed excavation method categories in the GSI
chart for rock masses with intact rock strength less than
about 70 MPa (Is50 \ 3 MPa) are shown in Fig. 11.
Blasting is necessary for rock masses with GSI [ 65 and

blocky or very blocky rock structures. Hydraulic breaking

is required for the loosening of rock masses with GSI
between 55 and 65 while ripping is successful in rock
masses with GSI \ 55. The lower margin for ripping
depends on the rock structure, thus for very blocky rock
masses it is around 25 but in blocky/disturbed/seamy and
disintegrated material it is 35. Rock masses with GSI up to
25 (or 35) can be dug, obviously with increasing difficulty.
The applied excavation method in relation to rock mass
type for material with Is50 \ 3 MPa is presented in
Table 4.

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26

G. Tsiambaos, H. Saroglou

Fig. 13 Overall assessment of

excavatability of rock masses

GSI excavation chart with Is50 C 3 MPa

Figure 12 shows the proposed excavation method categories in the GSI chart, for rock masses with intact rock
strengths greater 70 MPa (Is50 C 3 MPa). It can be seen
that blasting is required when GSI [ 60 (the rock structure
is blocky or very blocky). The transitional zone where
hydraulic breakers should be used to loosen the rock mass
is applicable to rock masses with a blocky, very blocky or
seamy structure and GSI between 45 and 60, although in
some cases blasting might be necessary in this zone of the
chart.
Although the rock material itself is not rippable due to
its high strength, the fractured rock mass indicates a low
block volume which would allow ripping. Heavy rippers
(D8 and heavier) can be used up to GSI of between 20 and
45 for very blocky rock masses and 30 for seamy and
disintegrated rock masses. It can be seen from the chart,
however, that for rock masses with a disintegrated and
laminated/sheared structure, digging is only applicable for
GSI \ 30.
The applied excavation method in relation to rock mass
type for intact rock strength higher than 3 MPa is presented
in Table 5.
Heterogeneous rock masses (flysch and molasses)
and soft rocks
The proposed classification cannot be used for the assessment of the excavation method/ease of excavation in heterogeneous rock masses, as the flysch or molasse formation
(alternations mainly of siltstone or clay shales and stronger
sandstone layers) and in bimrocks (blocks in matrix rocks)
such as ophiolitic complexes with strong blocks in weak
surrounding material, as well as volcanic formations, i.e.,
agglomerate tuffs. However, the proposed method of

123

excavatability assessment is appropriate in the case of

flysch formations with thick beds of sandstones.
It is also not applicable to hard soils/soft rocks,
especially those characterized as very weak to moderately
weak rocks (Hawkins 2000) with intact rock strengths
between 1.25 and 10 MPa. In this case, the discontinuities
have a secondary and minor role in the behavior of the rock
mass (i.e., marly formations). Excavation in these formations should always be undertaken using conventional
methods, e.g., shovels and bulldozers.
An overall assessment of excavatability of rock masses
is presented in the decision chart in Fig. 13.

Conclusions
The Geological Strength Index (GSI) was used to assess the
ease of excavation of rock masses. The 61 sites investigated included sedimentary (limestone, sandstone and
siltstone) and metamorphic (gneiss, schist and marble) rock
masses with a variety of rock structures and discontinuity
surface conditions. The majority of the rocks exhibited a
blocky to very blocky structure with a significant number
of blocky/disturbed/seamy and disintegrated rock masses.
The proposed classification method takes into account
the point load strength of the intact rock and the rock mass
structure. Two GSI classification charts are proposed:
(a) for rock masses with Is50 \3 MPa, and (b) for rock
masses with Is50 C 3 MPa.
It was found that blasting is required when GSI values
are greater than 65 when Is50 C 3 MPa and 60 when
Is50 \ 3 MPa, hence blasting is usually required in massive, blocky and very blocky rock masses or when joints
are tight.
Successful ripping is generally achieved for rock masses
with GSI values between 20 and 45. However, as the

Excavatability assessment of rock masses using GSI

strength affects the ripping, the GSI range is between 20

and 45 for rock masses with point load strength of intact
rock Is50 C 3 MPa and between 25 and 55 for those with
Is50 \ 3 MPa.
In the transitional zone between the ripping and blasting
areas of the GSI charts, excavation with hydraulic breakers
is necessary.
It is emphasized that the proposed classification is
applicable only for rock masses where discontinuities
control the excavation, thus is should not be used for the
assessment of excavation in heterogeneous rock masses
(i.e., sheared flysch, bimrocks and soft rocks).
Acknowledgments The contribution of Athanasiou J., Makrinikas
A. and Zalachoris G., graduate students of the Geotechnical
Engineering Department, NTUA in the fieldwork is gratefully
acknowledged.

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