GeoScienceWorld

Lithosphere
Volume 2021, Article ID 1683781, 10 pages
https://doi.org/10.2113/2021/1683781

Research Article
In Situ Needle Penetration Test and Its Application in a Sericite
Schist Railway Tunnel, Southwest of China

Jiaxing Dong ,1 Runxue Yang ,1 Chenggang Guo,2 Meiqian Wang,3 Yonghong Wu ,3

Yongfa Guo ,4 Yiran Zhao,1 and Gan Li 5
1
Faculty of Electric Power Engineering, Kunming University of Science and Technology, Kunming, Yunnan 650500, China
2
China Railway 17 Bureau Group No. 2 Engineering Co., Ltd., Xian, Shaanxi 710024, China
3
Faculty of Civil Engineering and Mechanics, Kunming University of Science and Technology, Kunming, Yunnan 650500, China
4
Kunming Survey, Design and Research Institute Co., Ltd. of CREEC, Kunming, Yunnan 650200, China
5
Ningbo University, Ningbo, Zhejiang 315000, China

Correspondence should be addressed to Yonghong Wu; [email protected], Yongfa Guo; [email protected],

and Gan Li; [email protected]

Received 7 September 2021; Accepted 13 November 2021; Published 8 December 2021

Academic Editor: Hao Xiong

Copyright © 2021 Jiaxing Dong et al. Exclusive Licensee GeoScienceWorld. Distributed under a Creative Commons Attribution
License (CC BY 4.0).

The sericite schist is a typical metamorphic soft rock. Large deformation of surrounding rock often occurs in the construction of a
tunnel in this stratum. Due to the broken rock mass structure and poor mechanical strength in Baishitou tunnel project of Dalin
line of Southwest railway, it is impossible to prepare standard samples for a traditional rock mechanical test. Therefore, we chose
penetrometer (SH-70) for an in situ test. Firstly, we monitored the deformation of typical sections and analyzed the characteristics
of large deformation of soft rock in the tunnel. Secondly, we tested the needle penetration index of fresh excavation face and side
wall. Then, we estimated some mechanical parameters of sericite schist by a needle penetrometer and Hoek-brown criterion and
discussed the acquisition of mechanical parameters of soft rock. The results show the following: (1) the characteristics of extrusion
rock tunnel are summarized as large deformation, fast deformation rate, and obvious construction disturbance. (2) The reference
value of penetration index of sericite schist (the vertical joint direction) is 3.90~7.77 N/mm, and the parallel joint direction is
1.27~2.99 N/mm. (3) The uniaxial compressive strength estimated by a penetrometer is 0.78~8.53 MPa, and the strength of the
surrounding rock is negatively correlated with the amount of deformation. Therefore, it can be considered that the insufficient
strength of surrounding rock is the fundamental reason for large deformation. (4) The reference value of cohesion of sericite
schist estimated by a penetrometer is 0.203 MPa, and the reference value of internal friction angle is 18.224°. Compared with
the common estimation methods, the penetrometer is more convenient and economical, which can provide a new idea for
obtaining the mechanical parameters of sericite schist soft rock tunnel.

1. Introduction consuming and laborious. It is convenient and fast to obtain

the mechanical parameters of soft rock and put forward rea-
Large deformation of weak surrounding rock is a common sonable and effective large deformation control measures as
phenomenon in underground engineering construction. In soon as possible, which can reduce the risk of tunnel con-
the construction of a railway tunnel in Southwest China, struction to a certain extent.
large deformation often leads to steel arch deformation, con- In the field acquisition of rock mechanical parameters,
crete cracking, and lining failure. point load test and Hoek-Brown criterion are commonly
Sericite schist is a typical metamorphic soft rock. The used methods. For example, Zhang et al. [1] used the com-
research on the engineering mechanical properties of the parison results of point load instrument and indoor rock
rock is relatively mature in the industry, but the indoor test compressive strength testing research in the rock engineer-
and research on its mechanical parameters are often time- ing geological exploration of open-pit coal mine and gave

Downloaded from http://pubs.geoscienceworld.org/gsa/lithosphere/article-pdf/doi/10.2113/2021/1683781/5487185/1683781.pdf

by guest
 2 Lithosphere

the relationship between point load strength of soft rock and some geo-materials, including compacted soils, chemically
compressive strength of rock through radial and axial point stabilized soils, soft tufa facies, and pumice. Rahimi et al.
load strength testing of rock. Wang [2] analyzed the relative [14] estimate the UCS of gypsum rock specimens based on
error between the uniaxial compressive strength converted samples obtained from various locations in Iran, using the
by the point load test and indoor standard rock samples NP test. The conversion factors for dry and saturated gyp-
and then discussed the practical value of the point load test sum rocks were 0.49 and 0.56.
of irregular rock blocks. Wang [3] believed that the point The fundamental reason for the large deformation of
load strength test was an efficient and effective means of rock tunnel is the weakness of surrounding rock. But sericite
testing. Hu et al. [4] introduced joint volume number of rock schist in the study area is impossible to make a sample to test
mass, joint condition, and quantitative geological strength in laboratory because of its thin layer, rapid weathering, and
index to establish the surrounding rock classification system. rapid decline of water strength. In this paper, we analyze the
Hoek-Brown strength criterion was used to estimate the characteristics of large deformation of Baishitou tunnel, take
mechanical parameters of rock mass and combined it with the in situ test, obtain the NPI index of sericite schist, esti-
specific engineering to estimate the mechanical parameters mate the basic mechanical parameters of sericite schist,
of the rock mass to verify the application effect. Li et al. [5] and discuss some methods of soft rock strength test.
calculated the main mechanical parameters of engineering
rock mass through rock mechanics test data and field geo- 2. Geological Environmental Conditions
logical survey results, according to Hoek-Brown failure crite-
rion and equal area principle. The calculated result is also 2.1. Project Overview. The location of Baishitou tunnel is in
applicable in rock mass classification of underground engi- Dalin Railway (Dali-Lincang) between Yunxian station and
neering. Xia et al. [6] established estimation formulas of geo- Toudaoshui waiting station, with a length of 9375 m. The
logical strength index and rock mass disturbance parameter, Baishitou tunnel has undulating landforms, and the buried
according to rock mass wave velocity. Then, they used the depth is between 8 m and 310 m. The tunnel is constructed
Hoek-Brown criterion to estimate rock mass mechanical according to the principle of New Austrian Tunnelling
parameters of the Lancang River transdomain engineering Method: advance small conduit grouting, excavation of
slope of the China-Myanmar oil and gas pipeline. Jiang reserved core soil at three steps, combined support of shotcrete
et al. [7] took a lead-zinc ore body as an example and pro- anchor steel arch frame, and one-time pouring of inverted
posed an improved geological strength index value quantifi- arch secondary lining [15, 16]. During the construction of
cation and correction method. According to the above the Baishitou tunnel, the most intuitive manifestation of large
method and Hoek-Brown strength criterion, they deter- deformation is the invasion of surrounding rock, large defor-
mined the physical parameters of ore and rock. Then, com- mation, and failure of the steel arch frame. The deformation
pared with the field deformation test, the accuracy and photos of typical tunnel sections are shown in Figure 1.
feasibility of this method are verified.
The above method has some limitations for soft rock 2.2. Formation Lithology. According to the geological report,
with very low strength. Therefore, a needle penetrometer is the Baishitou tunnel is mainly distributed in the lower Paleo-
a good choice. Ngan et al. [8, 9] used the needle penetrome- zoic Lancang Group (Pz1ln) sericite schist, sericite-quartz
ter test successfully to qualitatively distinguish carbonate schist carbonaceous sericite schist, and chlorite schist. Most
sands from very weak and weak calcarenites in borehole of them are thin-bedded, and under the influence of struc-
cores recovered for cut-and-cover tunnel projects in ture, folds commonly developed. According to the photos
Maastricht. Aydan [10] correlations between the NPI are exposed by site excavation (Figure 2), there are weak inter-
explored, and several empirical relations are presented to layers such as thin carbonaceous sericite schist and chlorite
infer various geomechanical properties, such as water schist in the strata, which soften quickly after being exposed
content, elastic modulus, uniaxial compressive strength, to water and have insufficient strength.
Brazilian tensile strength, elastic wave velocity, friction Affected by the tectonic movements of Honghe fault
angle, and cohesion. Li et al. [11] calculated the uniaxial zone, Weishan fault zone, Lancang River fault zone, Pu’er
compressive strength of different soft rocks by in situ and fault zone, and Nanting River fault zone, the rock mass
laboratory tests with a needle penetrometer; then, they com- joints and fissures in the tunnel site are developed, which
pared the results of the needle penetration test and point reveals that the rock core is developed with high angle joints
load test of rock samples. The results show little difference and fissures, and the rock mass is relatively broken.
between the two methods, indicating that it is reasonable According to the formation lithology, address structure,
and feasible to test the strength of soft rocks with a needle and the surrounding rock exposed on site, the fundamental
penetrometer, which has a good popularization value in soft reason for the large deformation of tunnel is the weakness
rock engineering. Kahraman [12] used point load and needle of the surrounding rock.
penetration index tests and carried out the conversion factor
for the UCS-NPI ratio of coal. Dipova [13] established a new 3. Deformation Monitoring and Analysis of
database based on new laboratory test results, and an empir- Typical Tunnel Sections
ical relationship was developed to estimate the UCS from
NPR stabilized soils and soft rocks. Attempts were made to The vault subsidence and horizontal displacement are the
contribute literature on the application of the NP test in most intuitive responses to tunnel deformation. We adopt

Downloaded from http://pubs.geoscienceworld.org/gsa/lithosphere/article-pdf/doi/10.2113/2021/1683781/5487185/1683781.pdf

by guest
 Lithosphere 3

The steel arch was twisted and broken Tilt limit of surrounding rock on the left

(a) (b)

Figure 1: Large deformation of the tunnel. (a) The steel arch was twisted and broken. (b) Tilt limit of surrounding rock on the left.

Sericite schist (Pz11n) Sericite schist interblended with quartz

45 cm 10 cm

(a) (b)

Figure 2: Field surrounding rock conditions. (a) Sericite schist (Pz11n). (b) Sericite schist interblended with quartz.

Vault

Left arch foot Right arch foot

Central line

Left wall Right wall

Figure 3: Layout of deformation monitoring points.

Downloaded from http://pubs.geoscienceworld.org/gsa/lithosphere/article-pdf/doi/10.2113/2021/1683781/5487185/1683781.pdf

by guest
 4 Lithosphere

Time history curve of surrounding rock deformation The cumulative deformation of the left sidewall is 359 mm,
and the maximum deformation rate is 118 mm/d. The
700
cumulative deformation of the right sidewall is 140 mm,

Initial support closing

Lower bench excavation
and the maximum deformation rate is 37 mm/d.
Middle bench excavation
Accumulated deformation (mm)

Upper bench excavation

600
The vault settlement and arch foot horizontal displace-
500 ment gradually tend to be stable when the initial support is
closing, the deformation rate is large when the upper bench
400 excavation to the lower bench excavation then gradually
tends to zero when the initial support is closing. Therefore,
300 the characteristic extrusion of Baishitou tunnel can be sum-
marized as follows: large deformation, large deformation
200 rate, and obvious construction disturbance.
100
4. In Situ Test of Needle Penetration
0 4.1. Introduction of a Needle Penetrometer. The instrument
0 2 4 6 8 10 12 14 16 used in this experiment is the SH-70 needle penetrometer
Time (d)
manufactured by Maruto Company in Japan (Figure 5).
(a)
A needle penetrometer is a device for obtaining the nee-
Deformation rate curve of surrounding rock dle penetration index (N/mm) in the field. The advantages of
120
the penetrometer are as follows: it is easy to carry and use;
there is no need to prepare standard samples, and it can be
Lower bench excavation
Middle bench excavation
Upper bench excavation

used for nondestructive testing of in site and indoor rocks;

Initial support closing

100
and many researchers show that the instrument used in soft
Deformation rate (mm/d)

80
rock strength testing has a good effect. However, the disad-
vantages of the penetrometer are as follows: the penetrating
60
needle can only be inserted into the rock surface to a depth
of about 10 mm, which cannot fully represent the physical
40
properties of the rock as a whole; and due to the differences
between types or regions, the results estimated by this device
20
may be different.
It can quickly convert the uniaxial compressive strength.
0
The needle penetration index and the uniaxial compressive
strength calculation formulas are as follows:
0 2 4 6 8 10 12 14 16
Time (d) F
(b) D = 10 mm, F ≤ 100 N : NPI = ,
10
Vault settlement F = 100 N, D ≤ 10 mm : NPI = , ð1Þ
Horizontal deflection of left arch
Horizontal deflection of right arch logUCS = 0:978logNPI + 2:621,
Horizontal deflection of left sidewall
Horizontal deflection of right sidewall
where D is the penetration volume (mm) and F is the pene-
Figure 4: Deformation monitoring diagram of the typical section. tration force (N).
(a) Time history curve of surrounding rock deformation. (b)
Deformation rate curve of surrounding rock. 4.2. In Situ Test of the Fresh Surrounding Rock. A total of
1057 groups of in situ tests of surrounding rock at small
mileage DK163 + 066 ~ 076, large mileage DK164 + 84:6 ~
the method shown in Figure 3 to arrange monitoring points 106, and DK164 + 138 ~ 147 are completed using the needle
to monitor the settlement of the crown and the horizontal penetrometer. The test sites are in the freshly excavated tun-
displacement around. The deformation time history diagram nel face, side walls, with 726 groups of vertical joint faces
and deformation rate diagram of typical section DK163-70 and 331 groups of horizontal joint faces. The field test
are shown in Figure 4. photos are shown in Figure 6, and the results of needle pen-
From the 15-day deformation time history and deforma- etration test are shown in Table 1.
tion rate diagram of DK163-70, the cumulative deformation As seen from Table 1, the average needle penetration
of the vault is 355 mm, and the maximum deformation rate index in the vertical joint direction of surrounding rock is
is 42 mm/d. The cumulative deformation of the left arch is 3.90~7.77 N/mm. The average needle penetration index of
670 mm, and the maximum deformation rate is 78 mm/d. the parallel joint direction is 1.27~2.99 N/mm. During the
The cumulative deformation of the right arch is 337 mm, test, it is found that the needle in the parallel direction can
and the maximum deformation rate per day is 35 mm/d. easily penetrate into the rock, resulting in the needle

Downloaded from http://pubs.geoscienceworld.org/gsa/lithosphere/article-pdf/doi/10.2113/2021/1683781/5487185/1683781.pdf

by guest
 Lithosphere 5

1. Penetration needle;
2. Chuck;
7
1 2 3 4 5 6 8 3.Penetration scale;
4. Penetration force scale;
5. Indicating ring;
6. Needle penetration ratio and UCS;
7. Compressor;
8. Back cover

Figure 5: Needle penetrometer.

In-situ test of tunnel face In-situ test of sidewall

(a) (b)

Figure 6: Photos of in situ field testing. (a) In situ test of tunnel face. (b) In situ test of sidewall.

Table 1: Results of the needle penetration test.

The average of the NPI

Test sections
Vertical joint direction (group) Value (N/mm) Parallel joint direction (group) Value (N/mm)
DK163 + 066 ~ 076 256 4.67 51 1.27
DK164 + 84:6 ~ 106 253 3.90 63 2.15
DK164 + 138 ~ 147 217 7.77 217 2.99

penetration index in parallel direction which is much The deformation of the left wall is significantly greater
smaller than that in the vertical direction. Due to the anisot- than that of the right wall, based on the Table 2, the uniaxial
ropy of the rock, the needle penetration index in the vertical compressive strength of the surrounding rock of the left wall
direction is about 1.81~3.6 times than that in the parallel of section DK163 76~66 is 2.05 MPa, and the uniaxial com-
direction. pressive strength of the right wall is 2.55 MPa. It is proved
The uniaxial compressive strength of the tunnel face and that the parts with low relative strength of surrounding rock
sidewall from each test section obtained by the needle pene- are more likely to have large deformation, and the unbal-
trometer are shown in Table 2. In DK163 + 076 ~ 066, anced stress of steel arch frame will lead to serious deforma-
UCS⊥a is 1.89 MPa, and UCS∥ a is 0.53 MPa; the UCS⊥a tion and failure.
on the left and right sides are close, slightly larger than the The uniaxial compressive strength was obtained by the
UCS⊥a on the tunnel face; in DK164 + 084:6 ~ 106, UCS⊥a needle penetrometer with other literature as shown in
is 1.58 MPa, and UCS∥ a is 0.88 MPa. UCS⊥a of the left wall Figure 7. The empirical functions are shown in Table 3.
is larger than that of the right wall, while the opposite is true As can be seen from Figure 5, most of the other data are
in the parallel direction. UCS⊥a of the left side of the tunnel located near the 1 : 1 straight line. When it is less than 5 MPa,
face is slightly larger than that of the right and middle sides; the dispersion is small, and the empirical models show high
in DK164+138~147, UCS⊥ a is 3.13 MPa, UCS∥ a is similarity. It shows that the needle penetrometer is feasible
1.22 MPa, and UCS⊥a in the middle of the tunnel face is in predicting the strength of general soft rocks. Especially
much larger than UCS⊥ a on the left and right sides. for sericite schist, which is difficult to sample and has very

Downloaded from http://pubs.geoscienceworld.org/gsa/lithosphere/article-pdf/doi/10.2113/2021/1683781/5487185/1683781.pdf

by guest
 6 Lithosphere

Table 2: Statistical table of UCS of tunnel face and sidewall.

DK163 + 076 ~ 066 DK164 + 084:6 ~ 106 DK164 + 138 ~ 147

Section position UCS⊥ a UCS∥ a UCS⊥ a UCS∥ a UCS⊥ a UCS∥ a
Groups Groups Groups
(MPa) (MPa) (MPa) (MPa) (MPa) (MPa)
Left wall 86 2.05 / 43 2.29 0.75 100 1.61 1.24
Left 42 1.43 0.95 56 2.03 0.93 86 1.58 1.20
Tunnel face Middle 42 1.48 0.47 67 1.17 0.30 72 7.24 1.29
Right 95 1.93 1.81 66 1.09 0.70 80 3.85 1.15
Right wall 42 2.55 1.72 84 1.31 1.72 96 1.63 1.24
Vertical joint direction 256 1.89 / 253 1.58 / 217 3.13 /
Parallel joint direction 51 / 0.53 63 / 0.88 217 / 1.22
∗
The UCS⊥ a is the average value of uniaxial compressive strength in the vertical joint direction. The UCS∥ a is the average value of uniaxial compressive
strength in the parallel joint direction.


GSI − 100
12 mb = mi exp ,
28 − 14D
UCS calculated by other empirical model (Mpa)

1:2
11 1:1


10 GSI − 100
9 s = exp ,
9 − 3D
8
7
1 1  GSI/15 −20/3 
6 a= + e −e , ð2Þ
5 2:1
2 6
4
where σ1 is the maximum effective principal stress of rock
3
mass failure, σ3 is the minimum effective principal stress of
2
rock mass failure, σci is the uniaxial compressive strength
1
of intact rock, mb and s are the material parameters of rock
0
0 1 2 3 4 5 6 7 8 9 10 11 12 mass, a is the constant representing jointed rock mass, mi is
UCS calculated by needle penetrometer (Mpa) the material parameter of rock mass, GSI is the geomechani-
cal strength index, and D is the disturbance coefficient of
This study Ulusay and Erguler (2012) [20]
Okada et al. (1985) [17] Aydan (2012) [21]
rock mass.
Takahashi et al. (1988) [18] Aydan and Ulusay (2013) [22] Some parameters in the Mohr-Coulomb strength crite-
Yamaguchi et al. (1997) Kahraman et al. (2017) [12] rion can be expressed equivalently by the Hoek-Brown crite-
Uchida et al. (2004) Rahimi et al. (2020) [14] rion. The expressions of cohesion c, internal friction angle φ,
Erguler and Ulusay (2007, 2009) [19] and elastic modulus em are shown in the following formulas:
Figure 7: Comparison of UCS calculated by various empirical
models. σ3 max
σ3n = ,
σci
low strength, the performance of the needle penetrometer is
−0:94
better. σ3 max σ
= 0:47 cm tunnel,
σcm γH
5. Estimation of Mechanical Parameters of
Sericite Schist ½mb + 4s − aðmb − 8sÞðmb /4 + sÞa−1
σcm = σci ⋅ ,
2ð1 + aÞð2 + aÞ
5.1. Estimation of Parameters (c, φ, Em ) Based on Hoek-
Brown Criterion σci ½ð1 + 2aÞs + ð1 − aÞmb ⋅ σ3n ðs + mb ⋅ σ3n Þa−1
c= ffi ,
qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi

5.1.1. Theoretical Analysis. Due to the particularity of tunnel ð1 + aÞð2 + aÞ 1 + 6a ⋅ mb ðs + mb ⋅ σ3n Þa−1 /ð1 + aÞð2 + aÞ
soft surrounding rock, we consider the influence of rock
" #
mass structure characteristics on the mechanical parameters 6a ⋅ mb ðs + mb ⋅ σ3n Þa−1
−1
such as c and φ of sericite schist. Then, use the generalized φ = sin ,
Hoek-Brown criterion [26] as the estimation basis. The for- 2ð1 + aÞð2 + aÞ + 6a ⋅ mb ðs + mb ⋅ σ3n Þa−1
mulas are as follows:
rffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
D σci

a Em = 1 − ⋅ 10ðGSI−10Þ/40 σci ≤ 100 MPa,
σ 2 100
σ1 = σ3 + σci mb 3 + s ,
σci ð3Þ

Downloaded from http://pubs.geoscienceworld.org/gsa/lithosphere/article-pdf/doi/10.2113/2021/1683781/5487185/1683781.pdf

by guest
 Lithosphere 7

Table 3: Equations related to UCS and NPI found in previous studies [8–10, 14, 17–25].

Authors Function Rock types

Okada et al. (1985) [17] log UCS = 0:978 log NPI + 1:599 Rocks and soilcrete
Takahashi et al. (1988) [18] UCS = 1:5395 log0:9896 Sandstone, mudstone, conglomerate, greywacke, and tuff samples
Yoshikazu et al. (1997) [19] log UCS = 0:982 log NPI − 0:209 Pyroclastic rocks
Uchida et al. (2004) [20] UCS = 27:3NPI + 132 Sandstone
Erguler and Ulusay. (2007, 2009)
UCS = 0:51NPI0:8575 Marble, siltstone, shale, and tuff
[21]
Ulusay and Erguler. (2012) [22] UCS = 0:402NPI0:929 Marl, tuff, mudstone, siltstone, sandstone, tough clay, and greywacke

UCS = 0:2NPI Tuff, sandstone, pumice, marl, limestone, lignite, mudstone, siltstone,
Aydan. (2012) [23]
and loam
Aydan and Ulusay. (2013) [24] UCS = 0:3NPI Turkish tuffs
Kahraman et al. (2017) [12] UCS = 0:35NPI Cayirham coal
Rahimi et al. (2020) [14] UCS = 0:49NPI Dry gypsum rocks

Left Middle Right

(a) (b) (c)

Figure 8: The photos of tunnel face. (a) Left. (b) Middle. (c) Right.

Table 4: Sericite schist c, φ, Em estimation results. 5.2. Needle Penetrometer Estimation. Use the formula in the
ISRM-recommended method [29] to estimate
Section c (MPa) φ (°) Em (GPa)
DK163 + 066 ~ 076 0.044~0.115 10.880~21.865 0.088~0.292 c = 0:04NPI,
DK164 + 84:6 ~ 106 0.062~0.152 14.667~24.106 0.106~0.187


NPI
DK164 + 138 ~ 147 φ = 54:9 1 − exp − , ð4Þ
0.122~0.251 14.394~19.439 0.146~0.212 10
Ei = 0:05NPI,
where σ3max is the upper limit of the minimum principal
stress of rock mass, σcm is the uniaxial compressive strength where c is the cohesion force (MPa), NPI is the needle pen-
of rock mass, γ is the bulk density of rock mass, and H is the etrating index (N/mm), φ is the friction angle (°) of vertical
buried depth of the tunnel. foliation, and Ei is Young’s modulus (GPa). The above three
formulas date from the empirical formulas of many engi-
5.1.2. Estimation Results. Using the methods and experience neering practices, and the suitable rock types are tuff, sand-
tables in references [27, 28], we determine the parameters stone, soapstone, pumice, limestone, lignite layer, and
such as mb , s, and GSI of the excavated surrounding rock lignite, mudstone, siltstone, marl, and loam.
(as shown in Figure 8). The estimated results are shown in The estimation results between the penetrometer and
Table 4. Hoek Brown criterion are shown in Figure 9.
As can be seen from Table 3, the c value estimated by According to Figure 7, in the estimation of the needle
Hoek-Brown criterion in the test section is between 0.044 penetrometer, the average of c is 0.203 MPa, φ is 18.224°,
and 0.251 MPa, the φ value is between 10.88 and 24.11°, Ei is 0.206 GPa. In general, the mechanical parameters of
and the Em is between 0.088 and 0.292GPa. rock mass estimated based on Hoek-Brown criterion and

Downloaded from http://pubs.geoscienceworld.org/gsa/lithosphere/article-pdf/doi/10.2113/2021/1683781/5487185/1683781.pdf

by guest
 8 Lithosphere

Estimated results of c
0.50

0.45

0.40

0.35

0.30
c (Mpa)

0.25
0.203
0.20

0.15
0.12
0.10

0.05
0 2 4 6 8 10 12 14 16 18 20 22 24 26 28 30
Test points
(a)

Estimated results of 𝜑
30
28

26

24

22

20 19.586
𝜑 (°)

18.224
18

16

14

12

10

0 2 4 6 8 10 12 14 16 18 20 22 24 26 28 30
Test points
(b)

Estimated results of Em/Ei

0.45

0.40

0.35
Em/Ei (Gpa)

0.30

0.25
0.206
0.20

0.15
0.126
0.10

0.05
0 2 4 6 8 10 12 14 16 18 20 22 24 26 28 30
Test points
(c)

Estimation results of Hoek-Brown criterion

Estimation results of needle penetrator
Average line

Figure 9: Estimating results of needle penetration apparatus and Hoek-Brown criterion. (a) Estimated results of c. (b) Estimated results of φ.
(c) Estimated results of Em /Ei .

Downloaded from http://pubs.geoscienceworld.org/gsa/lithosphere/article-pdf/doi/10.2113/2021/1683781/5487185/1683781.pdf

by guest
 Lithosphere 9

NPI can be used as a reference. However, in order to quickly [2] C. Wang, “The value of compressive strength of irregular rock
obtain the mechanical parameters of sericite schist in the block point load test,” Engineering Investigation, vol. 43, no. 3,
field, the needle penetrometer test is a fast and economic pp. 19–22, 2015.
means. [3] F. Wang, “Application of point load strength test in hydro-
power engineering,” Engineering and Testing, vol. 60, no. 1,
pp. 68–71, 2020.
6. Conclusions [4] S. Hu and X. Hu, “Estimation of rock mass mechanical param-
eters based on quantified GSI system and Hoek-Brown crite-
In this paper, we analyze the characteristics of large rion,” Rock and Soil Mechanics, vol. 32, no. 3, pp. 861–866,
deformation of Baishitou tunnel, take an in situ test, 2011.
obtain the NPI index of sericite schist, estimate the basic [5] Y. Li, L. Feng, and L. Luo, “The application of rock mass clas-
mechanical parameters of Sericite schist, and discuss some sification method based on Hoek-Brown criterion in under-
methods of soft rock strength test. We can draw the fol- ground engineering,” Rock and Soil Mechanics, vol. 33,
lowing conclusions: no. S2, pp. 201–204, 2012.
[6] K. Xia, C. Chen, X. Liu, Y. Zheng, and Y. Zhou, “The method
(1) The characteristics of extrusion rock tunnel are sum- of predicting rock mass mechanical parameters based on the
marized as large deformation, fast deformation rate, Hoek-Brown criterion of rock mass wave velocity and its engi-
and obvious construction disturbance neering application,” Chinese Journal of Rock Mechanics and
Engineering, vol. 32, pp. 1458–1466, 2013.
(2) The reference value of penetration index of sericite
[7] G. Jiang, N. Hu, G. Hong et al., “Determination of rock mass
schist (the vertical joint direction) is 3.90~7.77 N/mm,
mechanical parameters based on GSI value quantification
and the parallel joint direction is 1.27~2.99 N/mm and correction method,” Rock and Soil Mechanics, vol. 39,
(3) The uniaxial compressive strength estimated by a no. 6, pp. 2211–2218, 2018.
penetrometer is 0.78~8.53 MPa, and the strength of [8] D. J. M. Ngan-Tillard, W. Verwaal, A. Mulder, H. K. Engin,
surrounding rock is negatively correlated with the and R. Ulusay, “Application of the needle penetration test to
amount of deformation. It can be considered that a calcarenite, Maastricht, the Netherlands,” Engineering Geol-
the insufficient strength of surrounding rock is the ogy, vol. 123, no. 3, pp. 214–224, 2011.
fundamental reason for large deformation [9] D. J. M. Ngan-Tillard, H. K. Engin, W. Verwaal, A. Mulder,
R. Ulusay, and Z. A. Erguler, “Evaluation of micro-structural
(4) The accuracy of the penetrometer in the estimation damage caused by needle penetration testing,” Bulletin of Engi-
of mechanical parameters such as c and f ai of sericite neering Geology and the Environment, vol. 71, no. 3, pp. 487–
schist needs to be further improved. In addition, in 498, 2012.
order to quickly obtain the mechanical parameters [10] M. Aydan, A. Sato, and M. Yagi, “The inference of geo-
of soft rocks in the field, the needle penetrometer test mechanical properties of soft rocks and their degradation from
is a fast and economic means needle penetration tests,” Rock Mechanics & Rock Engineering,
vol. 47, no. 5, pp. 1867–1890, 2014.
[11] Z. Li, G. Xu, J. Yuan et al., “Application of needle penetrator in
Data Availability soft rock strength test,” Rock and Soil Mechanics, vol. 37,
no. S1, pp. 651–658, 2016.
The data that support the conclusions of this study are avail- [12] S. Kahraman, “The needle penetration test for predicting coal
able from the text and the corresponding author upon rea- strength,” Journal of the Southern African Institute of Mining
sonable request. and Metallurgy, vol. 117, no. 6, pp. 587–591, 2017.
[13] N. Dipova, “Nondestructive testing of stabilized soils and soft
Conflicts of Interest rocks via needle penetration,” Periodica Polytechnica Civil
Engineering, vol. 62, no. 2, pp. 539–544, 2018.
There are no conflicts of interest with respect to the results [14] M. R. Rahimi, S. D. Mohammadi, M. Heidari, and S. H. Jalali,
of this paper. “Evaluation of the needle penetration test to estimate the uni-
axial compressive strength of gypsum rocks,” Arabian Journal
of Geosciences, vol. 13, no. 1, p. 14, 2020.
Acknowledgments [15] S. Zhang, Study on large deformation prediction and construc-
tion control technology of Sericite schist tunnel in western Yun-
This study is sponsored by the National Natural Science nan, Kunming University of Technology, 2020.
Foundation of China (No. 42162026). This study is spon- [16] W. Zhou, Study on large deformation mechanism and support
sored also by Major Science and Technology Project of Yun- control of Sericite schist tunnel in western Yunnan, Kunning
nan Province (202002AF080003). University of Technology, 2020.
[17] S. Okada, Y. Izumiya, Y. Iizuka, and S. Horiuchi, “The estima-
References tion of soft rock strength around a tunnel by needle penetra-
tion test,” The Japanese Society of Soil Mechanics and
[1] X. Zhang, Q. Huang, and Y. Chen, “Research on testing soft Foundation Engineering, vol. 33, no. 2, pp. 35–38, 1985.
rock mechanical properties with point load instrument,” [18] K. Takahashi, K. Noto, and I. Yokokawa, “Strength character-
Open-Pit Mining Technology, no. 2, pp. 26–28, 2005. istics of Kobe Formation in Akashi-Strata (No. 1),” in

Downloaded from http://pubs.geoscienceworld.org/gsa/lithosphere/article-pdf/doi/10.2113/2021/1683781/5487185/1683781.pdf

by guest
 10 Lithosphere

Proceedings of 10th Japan National Conference on Geotechnical

Engineering, pp. 1231-1232, 1998.
[19] Y. Yoshikazu, O. Naoki, K. Masaki, and N. Akira, “Evaluation
of seepage failure resistance potential of dam foundation with
simplified tests,” Journal of the Japan Society of Engineering
Geology, vol. 38, no. 3, pp. 130–144, 1997.
[20] N. Uchida, Y. Etoh, H. Ono, and N. Miura, “Strength evalua-
tion of deep mixing soil-cement by needle penetration test,”
Journal of the Japanese Society of Soil Mechanics and Founda-
tion Engineering, vol. 52, no. 7, pp. 23–25, 2004.
[21] Z. A. Erguler and R. Ulusay, “Estimation of uniaxial compres-
sive strength of clay-bearing weak rocks using needle penetra-
tion resistance,” in 11th ISRM Congress, Lisbon, Portugal,
2007.
[22] R. Ulusay and Z. A. Erguler, “Needle penetration test: evalua-
tion of its performance and possible uses in predicting strength
of weak and soft rocks,” Engineering Geology, vol. 149-150,
pp. 47–56, 2012.
[23] Ö. Aydan, “The inference of physico-mechanical properties of
soft rocks and the evaluation of the effect of water content and
weathering on their mechanical properties from needle pene-
tration tests,” Journal of the Agricultural Chemical Society of
Japan, vol. 29, no. 5, pp. 707–711, 2012.
[24] Ö. Aydan and R. Ulusay, “Geomechanical evaluation of derin-
kuyu antique underground city and its implications in geoen-
gineering,” Rock Mechanics and Rock Engineering, vol. 46,
no. 4, pp. 731–754, 2013.
[25] S. A. Kahraman, A. S. B. Aloglu, B. A. Aydin et al.,The needle
penetration test for predicting coal strength, a Mining Engineer-
ing Department, Hacettepe University, b CINER Group,
Ankara, Turkey, 2017.
[26] E. Hoek and P. Marinos, “A brief history of the development of
the Hoek-Brown failure criterion,” Soils and Rocks, no. 2, 2007.
[27] J. Peng, G. Rong, and X. Wang, “An empirical model for deter-
mination of mi in Hoek-Brown failure criterion for intact
rocks,” Journal of Central South University Science and Tech-
nology, vol. 44, no. 11, pp. 4617–4623, 2013.
[28] X. Wang, H. U. Bin, and J. Wang, “Quantitative study of hoek-
brown strength criterion based on gsi,” Chinese Journal of Rock
Mechanics and Engineering, vol. 34, no. S2, pp. 3805–3812,
2015.
[29] R. Ulusay, Ö. Aydan, Z. A. Erguler et al., “ISRM suggested
method for the needle penetration test,” Rock Mechanics &
Rock Engineering, vol. 47, no. 3, pp. 1073–1085, 2014.

Downloaded from http://pubs.geoscienceworld.org/gsa/lithosphere/article-pdf/doi/10.2113/2021/1683781/5487185/1683781.pdf

by guest