Construction Technology of Open

Caisson for Oversize Surge Shaft in

Drift Gravel Stratum
Qiang Yao
Ph. D. student
State Key Laboratory of Hydraulics and Mountain River Engineering,
Sichuan University, Chengdu, Sichuan, 610065, China
College of Water Resource and Hydropower, Sichuan University,
Chengdu, Sichuan 610065, China
e-mail: qyao_scuedu@163.com

Xing-guo Yang
State Key Laboratory of Hydraulics and Mountain River Engineering,
Sichuan University, Chengdu, Sichuan, 610065, China
College of Water Resource and Hydropower, Sichuan University,
Chengdu, Sichuan 610065, China
e-mail: 89022251@163.com

Hong-tao Li*
State Key Laboratory of Hydraulics and Mountain River Engineering,
Sichuan University, Chengdu, Sichuan, 610065, China
College of Water Resource and Hydropower, Sichuan University,
Chengdu, Sichuan 610065, China
*Corresponding author: e-mail: htl@scu.edu.cn

ABSTRACT
Economically affordable, open caissons are a popular choice for various geotechnical engineering
applications. Theyre also frequently used because of their reinforcement and demolition capacities, as
well as for providing a large opening construction that provides safety for neighboring buildings in a
complex construction field. The large cylindrical surge shaft of Xiergou Hydropower Station is located
in drift gravel stratum. The upper 65 m of this surge shaft adopts an open caisson form with an internal
diameter of 22 m and external diameter of 25 m. The open caisson construction can face challenges
such as deviation, tilt, cracking, sink-suspension, and sudden sinking. This study analyzes the sinking
stability of an open caisson by using theoretical calculations to determine sudden sinking,
sink-suspension, and other risks. These calculations make use of open caisson structure optimization
and auxiliary sinking methods, such as shock blasting. Moreover, using finite element numerical
simulation, this study calculated the stress variations during the sinking of the open caisson. The
calculations were used to optimize the construction program of an open caisson to avoid cracking and
the failure of the open caisson concrete. Using a field sinking test and deformation monitoring, this
study determined a set of systematic methods for the construction of a large open caisson on drift
gravel stratum, which yielded a new method for open caisson construction under complicated
geological conditions.

KEYWORDS:

surge shaft; open caisson structure; construction; excavation; drift gravel stratum

INTRODUCTION
The principle of the open caisson suggests that the earth surfaces open caisson structure
occurs gradually, in advance of the sinking to the designed elevation under the containment of the
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Vol. 19 [2014], Bund. T

5726

open caisson wall. Since the first application in the France Saloney Coal Field in 1893, the open
caisson construction method has been widely applied, to more than 1,500 underground
constructions in Europe. The open caisson construction method is predominantly self-sinking.
However, this method is only applicable for soft strata and shallow sinking depths and lacks of
related control measures. In the 1990s, construction methods based on the loaded -sinking, space
system caisson (SS), and super open caisson system (SOCS) were gradually adopted. During the
construction of an open caisson, the sudden sink, sink-suspension, derivation, tilt, and wall failure
should be controlled. Furthermore, more dangerous construction conditions may be encountered
in the sinking process compared to the completion stage of the open caisson. Therefore, its vital
to pay close attention to the safety requirements for the open caisson structure [1-3]. Today,
research on the open caisson construction period has primarily been concentrated on sinking
stability [4-5], subgrade reaction [6-10], side friction resistance [11-13], strength, and deformation
[14-15]. Certain researchers [16] have calculated stipulations for the construction process of small
and medium-sized open caissons while ignoring the particularity of the large open caisson.
Although researchers around the world have accumulated information regarding open caisson
construction [17], few have investigated the construction of a large open caisson on a complicated
drift gravel stratum.
Xiergou Hydropower Station is a diversion hydropower station located in Zhouqu County in
Gansu Province, China. Its open-top impedance surge shaft is located on the hill slope on the back
of the plant, with the upper end connected to the diversion tunnel and the lower end connected to
the pressure pipeline (Figure 1). The surge shaft is 102 m deep and lies in the 97m overlying
stratum. The upper part of this stratum is filled with silty soil or gravelly soil and is 33.4 m thick.
The low part is a 63.6 m thick pluvial drift gravel stratum with boulders that are a general
diameter of 0.4~0.6 m with a maximum diameter of 1.5 m, which accounts for about 5%~8%. The
stratum in the elevation range of 1537.5~1524 m is a compact conglomerate layer. The upper 65
m of the surge shaft adopts an open caisson form with an internal diameter of 22 m and external
diameter of 25 m (Figure 2). The open caisson construction method can effectively prevent well
wall collapse and thus reduce safety risks caused by the combination of temporary support
measures with a permanent wellbore structure. However, the traditional loading-sinking, SS and
SOCS based methods fail to solve the problems that arise during the construction process of drift
gravel stratum. These problems include deviation, tilt, the cracking and failure of the open caisson
wall, sinking-suspension, and sudden sinking. Through theoretical calculation analysis, numerical
simulation, field testing, and monitoring this study analyzed the construction plans to demonstrate
the sinking methods, reliability, and structure safety of the open caissons in different strata.
Moreover, it investigated the sinking coefficient, construction method, sinking-blocking
processing method, and sinking-slagging method of an open caisson, which provided references
for the open caisson design and construction under complicated geological conditions.
Surge shaft

Hydropower house

Figure 1: Xiergou Hydropower House project

Figure 2: Structure and geological

section of surge shaft

Vol. 19 [2014], Bund. T

5727

SINKING STABILITY ANALYSIS AND STRUCTURAL

OPTIMIZATION
The sinking coefficient K refers to the ratio of the sum of the open caisson weight with the
frictional resistance of the open caisson wall to soil to the counter-force of the stratum on the foot
blade. It is an index for evaluating the success or failure of the sinking of the open caisson.
Generally, the frictional resistance between the open caisson wall and the soil layer is calculated
with the assumption that frictional resistance increases with soil depth and maximizes at 5 m,
while maintaining a normal value below the 5 m, as shown in Figure 3.

Figure 3: Calculation diagram of friction resistance

The sinking coefficient is calculated by:

QB
T R

where K is the sinking coefficient; Q is the weight and additional load of the open caisson; B is
the water discharge. In the instance of the drainage sinking method, B=0; T is the frictional
resistance between an open caisson wall with soil and can be obtained by Eq. (2); R is the
counter-force of the foot blade and can be got by Eq. (3).
The frictional resistance T between an open caisson wall with the soil layer can be obtained
by:

T D( H 2.5) f

where D is the external diameter of the open caisson ; H is the total height of the open caisson ; f
is the coefficient of frictional resistance between the open caisson wall with the soil layer
The counter force of the foot blade R is calculated by:

R D0 (c n / 2)Rd

where D0 is the average perimeter of the open caisson; c is the tread width of the foot blade; n is
the horizontal projection width of the foot blade slope with the internal contact surface between

Vol. 19 [2014], Bund. T

5728

the terrain and open caisson; Rd is the limit carrying ability of subsoil. In the instance of the soil
excavation in the tread and slope of foot blade, R=0.
The reinforced concrete of the open caisson had a volume-weight of 25 KN/m3. The
excavation section was located above the underground water line. In the calculation, we set B=0.
The drift gravel stratum foundation has a higher bearing capacity. The Rd is valued as 0.6 MPa.
The open caisson in the drift gravel stratum sinks intermittently and significantly by extremely
short small time intervals instead of being synchronously attributed to the fluctuations of the
frictional resistance coefficient around the open caisson. Analysis on the sensitivity of the sinking
coefficient of the open caisson suggested that the sinking coefficient was sensitive to the frictional
resistance coefficient (Figure 4). When there was no excavating conducted on the soil in the tread
and slope of the foot blade and open caisson wall thickness of 1.5 m (Figure 4 (a)), the sinking
coefficient under the depth of 35 m is higher than 1.0. The high sinking coefficient of the open
caisson suggests the possibility of sudden sinking. To stabilize the sinking, the friction resistance
increase should be equivalent to the weight increase of open caisson. Thus the wall thickness of
the open caisson should be reduced to 1.14 m under a depth of 35 m. For construction
convenience, the wall thickness of the open caisson was set at 1.2 m. After the weight of the open
caisson was reduced, the open caisson satisfied the stable sinking condition after the soils on the
slope were excavated according to the calculation results of the subsequent excavating soil area.
In the case of excavating the soils in the tread and slope of the foot blade and wall thickness
of 1.5 m (Figure 4 (b)), the sinking coefficient rapidly reduces as the frictional resistance
coefficient increasing from 10 kPa to 35 kPa. As the open caisson sinks below a depth of 10 m,
the sinking coefficient shows little variations with the depth increase. The fluctuations of the
frictional resistance coefficient in the construction caused the sinking coefficient to drop below
1.0. In these conditions, theres a tendency of sinking. In the case of the sinking being blocked,
the surrounding rocks can be lubricated by means of flushing water along the open caisson wall to
reduce the frictional resistance coefficient. Also, the sinking process can be furthered by shock
blasting the open caisson via a small amount of explosives (generally a bundle of 4 32 cartridges,
800 g) that are hung along the middle part of the open caisson with cranes. This method can
induce a brief vibration of the wall of the open caisson and thus promote the successful sinking of
the open caisson.
During the sinking process of the open caisson, the soils around the open caisson are hard to
stabilize due to in the lack of a capacity to press the backfill on the external side of the open
caisson. Therefore, during the first 35 m of sinking, the open caisson thickness is set to 1.5 m to
reduce the backfill. After 35 m, the open caisson wall thickness is reduced to 1.2 m to avoid the
high open caisson weight. To ensure the safety of the open caisson during the sinking process, the
external wall of the steel foot blade adopts a vertical structure and the tread is increased from 20
cm to 30 cm. According to the conditions of the field construction, this study increased the height
of the steel plate on the inner side of the foot blade from 100 cm to 150 cm, and the installation
height of the stiffening rib from 30 cm to 50 cm, all of which helped prevent the foot blade
concrete failure induced by the excavation and blasting of open caisson, as well as the frictional
failure of the foundation in the sinking process (Figure 5).

Vol. 19 [2014], Bund. T

f=10kPa
f=20kPa
f=30kPa

f=15kPa
f=25kPa
f=35kPa
Sinking coefficient

Sinking coefficient

2.5

5729

1.5
1
0.5
0
0

20

40

60

Sinking depth/m

f=10kPa
f=20kPa
f=30kPa

7
6
5
4
3
2
1
0
0

20

40

f=15kPa
f=25kPa
f=35kPa

60

Sinking depth/m

a: Without excavating the soils in the tread and b: Excavating the soils in the tread and slope of
slope of foot blade
foot blade
Figure 4: Sinking coefficient sensitivity curve

CONSTRUCTION METHODS OF THE OPEN CAISSON IN

DIFFERENT STRATA
The excavating and sinking method in drift gravel stratum
According to the sinking coefficient analysis and open caisson structure optimization results,
it is required that the soil beneath the foot blade be uniformly excavated during the sinking at
different depths to ensure the successful sinking of the open caisson. Moreover, to guarantee the
stable sinking of the open caisson, the excavation height on each stratum should be controlled. A
small backhole of 0.2 m3 was used to excavate the bottom at a thickness of 0.5~1.0 m. Along the
foot blade an earth dike more than 2.0 m wide was retained. At this point, the soil layer was
skived along the open caisson wall successively, comprehensively, uniformly, and symmetrically
(Figure 6). The open caisson construction technology integrates the temporal support of the shaft
and permanent lining into the open caisson wall. More specifically, this technology can be used to
improve the conventional shaft construction process, namely, excavation support excavation
support permanent lining, into open caisson wall production excavation open caisson
sinking open caisson wall production open caisson sinking in place.

Figure 5: Structure optimization of cutting

edge of open caisson

Figure 6: Evenly bowl-shape excavation

during open caisson sinking

Numerical simulation and construction method of the open

caisson in soft and hard alternated layered strata
The safety monitoring results for large caissons suggests that excavation has a large influence
on the stress and strain of an open caisson [10, 15]. The open caisson employed in this study had a

Vol. 19 [2014], Bund. T

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large diameter and complex geological conditions. During the construction, a large amount of
boulders emerged in the open caisson as the open caisson sunk more than 10 m. In addition,
stresses were concentrated on the open caisson wall and thus resulted in the cracking and failure
of the concrete. Therefore, it is important to select the optimal construction method and plan by
simulating various cases, studying the stress on the open caisson wall and foot blade, and
analyzing the potential locations and forms of the failure on the open caisson wall and foot blade.
The finite element software ANSYS was used to calculate 6 materials, including C2 reinforced
concrete, Q235 steel, soil, drift gravel, weakly weathered bedrock, and slightly weathered bedrock.
The open caisson wall, bedrock, and foot blade were simulated using a linear elastic model, while
overburden was simulated using ideal elastic perfectly elastic and plastic Drucker-Prager model.
Table 1 shows the physical and mechanical parameters of the two models. The compressive
strength and tensile strength of concrete were set as 12.5 MPa and 1.3 Mpa, respectively.
The contacts of the open caisson wall and overburdened foot blade were simulated using
surface-surface contact elements. The surfaces in the contacting state were impenetrable to each
other and capable of transmitting normal pressure and tangential friction force instead of normal
tension. Therefore, the contact problem is freely decomposable. This effectively simulates the
interactions between the open caisson wall and the surrounding soils. In the calculation, the
element Targe170 was used to simulate the 3-D target surface; and Conta174 was used to
simulate the contact surface. Figure 7 shows the finite element calculation model of the surge
shaft.
To determine a reasonable construction method while avoiding the disadvantageous
mechanical deformation brought on by unreasonable constructions, this study selected the
following cases:
Case 1: symmetrical geological condition.
Case 2: asymmetrical case. First, excavating the weak overburden on the tread side of the foot
blade and supporting the other foot blade side through rocks.
Case 3: asymmetrical case. First, excavating the rocks on the tread side of the foot blade and
supporting the other foot blade side through weak overburdens.

Figure 7: The finite element calculation model of the open caisson

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Table 1: Physical and mechanical parameters of the open caisson

Material
IV class surrounding
rock
III class surrounding
rock
Soil
Drift gravel
Open caisson wall
Cutting edge

Elastic
modulus
GPa

Deformation
modulus
GPa

2.78

6.5

4.00

0.30

2.80

9.0

7.00

0.40
0.40
0.167
0.25

1.55
2.24
2.50
7.55

Poisson
ratio

Density

0.34

g/cm

0.05
0.06

kPa

0.48 25.4 25
0.53 27.6 0

28.0
206

According to the results of the numerical simulation, the maximum tensile and compressive
stresses on the open caisson wall in the sinking process are achievable (Figure 8). In case 1, with
an increase of the sinking depth of the open caisson, the maximum tensile and compressive
stresses grow gradually and reach to 1.14 MPa and 3.03 Mpa, respectively. In case 2, the
maximum stress on the open caisson wall is seen on the foot blade supported by the hard base.
Stresses are concentrated and increase gradually with the sinking of the open caisson. The
maximum tensile and compressive stresses calculated reach to 2.48 MPa and 4.50 Mpa,
respectively. Both exceed the concretes designated tensile strength. In case 3, the open caisson
wall does not present an obvious stress concentration. The maximum tensile and compressive
stresses are 1.16 MPa and 3.11 Mpa, respectively. The maximum tensile stresses on each part of
the open caisson are all lower than the designed tensile strength of the concrete. During the
construction process under a symmetrical geological condition, the open caisson sinks layer by
layer and the stress satisfies the requirements; under the asymmetrical case, the hard rock sections
should be executed first followed by the weak rock sections. In this way, the open caisson absorbs
a lower stress and thus will not be damaged.

Case 1

Case 1 (unit: Pa)

Case 2

Case 2 (unit: Pa)

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Case 3

5732

Case 3 (unit: Pa)

Figure 8: The calculation results of stress of open caisson wall

The results of the numerical calculation show that the hard and soft alternated strata caused
the open caisson cracks. Under the support of the locally hard strata, stresses are concentrated and
thus induce the local tensile failure and the overall tilt of the open caisson. Therefore, this study
proposes the following targeted treatment methods:
(1) Before the sinking of the open caisson, the interspaces on the external side of the open
caisson were filled and the fillings were compacted to increase the frictional stress of the open
caisson wall and control the sinking speed.
(2) Before processing the boulders on the stressing points of the foot blade, the distributions
of the stressing points should be analyzed. Then, the boulders should be processed by a principle
of small explosive amount, weak blasting, low height, and repeated observation, step by step,
point by point, and layer by layer. The boulder processing height of a single time should be
controlled between 0.2 m and 0.3 m. Moreover, before the borehole blasting, the drill detection
holes must determine the diameter of the boulder and guide blasting borehole depth, so as to
improve the quality of the blasting. The processing depth should exceed the external wall of the
foot blade by 0.15 m~0.20 m, so as to eliminate the friction and damage of boulder processing on
the foot blade of the open caisson (Figure 9(a)).
(3) Our observations show that the internal concrete on the deformation position of the local
foot blade was fractured. When the open caisson sunk steadily and the tread of the foot blade as
fully stressed, the deformed steel plate of the foot blade was cut and the internal fractured
concrete was removed. Subsequently, the steel plate of the foot blade is re-welded and reinforced.
The C40 concrete is refilled from the preset hole (0.3 m0.3 m) on the steel plate of the foot blade
and agitated using the 60 plug-in vibrator through a pre-buried grout pipe. The foot blade is
processed using a steel strip 20 mm thick and 0.20 m wide (Figure 9(b)).

a: Open caisson excavation at boulder

b: Deformation and cracks of cutting
concentration zones
edge
Figure 9: The construction procedure and method of open caisson

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Sinking method and technological in cementing conglomerate

and broken phyllite sections
The cementing conglomerate can bear a high load. Moreover, its frictional resistance
coefficient with the open caisson wall is significantly higher than that of the upper drift gravel
layer. Therefore, the open caisson suspends and ceases sinking while the soil under the tread of
the foot blade is excavated during construction. As for the dense conglomerate stratum, it is
ineffective to solve the sinking-suspension of the open caisson using the frictional resistance
reduction measures above; namely, by using water lubrication or shock blasts with a small amount
of explosives. To reduce the contact area and fictional coefficient between the open caisson wall
with a cementing conglomerate, this study extended the excavation range of the soil beneath the
foot blade for 30 m to reduce the friction between the open caisson wall with soils through a field
test and in reference with the principle of SS method (Figure 10). The specific measure is such
that, for the sinking process in the dense conglomerate stratum, the soils around the foot blade are
retained by a 2 m width. With a hydraulic hammer, buttresses are reserved along intervals
according to the sections. The external excavation range of the foot blade is extended externally
for 30 cm; since the bottom of the open caisson is composed of granite belt and broken phyllite
sections, the open caisson-termination can be solved effectively through the decomposition and
stripping by shallow borehole blasting.

Figure 10: Excavation of the compact conglomerate layer under open caisson cutting
edge

PROCESSING METHOD OF OPEN CAISSON DEVIATION

AND CRACKS
According to the analysis of the origin of the open caisson cracks and excavation methods, the
excavation of the open caisson should follow a principle of middle part priority and then the
reserved, hard base priority and then the soft base; other positions priority and then supporting
points. This will ensure the symmetry and uniformity of the excavation and the sinking of the
open caisson. A single process of the boulder should be controlled in an approximate range
between 0.20 m and 0.30 m. Before the boulder is processed, the soft soil layer or sand-gravel
materials beneath the foot blade should not be excavated. Table 2 shows the possible problems
encountered during the sinking process of the open caisson, along with corresponding
countermeasures.

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5734

Table 2: Problems possibly encountered in the sinking process and corresponding

countermeasures
Problems and
phenomena

Causes

Countermeasures

The sinking difficulty of

the open caisson
(sinking-suspension or
extremely slow sinking)

1) The friction resistance

between the open caisson wall
with the soil wall is too large.
2) The weight and sinking
coefficient of the open caisson
are not high enough.
3) There are obstacles such as
boulders and large pebbles.

Continuously pouring concrete to increase the

weight; applying a load on the open caisson
roof; removing the soil below the foot blade;
initiating the second bowl-shaped excavation
in the open caisson; pouring thixotropic slurry
in the space between the open caisson wall
and soil, to reduce the friction.
Removing the smaller boulders encountered
during soil excavation; removing the large
boulders or stone blocks by hole-drilling and
blasting using a hand drill. During the drilling,
the following protocol should be observed:
The distance from the hole to the foot blade
should not be larger than 50 cm; the direction
of the hole should be parallel to the slope of
the foot blade; the explosives should not be
larger than 200 g; protection measures are
necessary.

Rapid sinking of the

open caisson (an
abnormal phenomenon
caused by that sinking
speed of the open caisson
exceeds the excavation
speed)

The open caisson encounters

the soft soil layer during the
sinking process. Due to the
low compression strength of
the soil, the sinking speed
exceeds the excavating speed.

Supporting the designed support points using

a brick pier or by backfilling sandy gravels;
readjusting the excavation; stopping the
excavation or partial excavation under the foot
blade.

Sudden sinking (the

sudden sinking
phenomenon caused by a
lack of control over the
sinking of the caisson)

As
the
bowl-shaped
excavation goes too deep, the
open caisson is temporally
held in a reasonably stable
condition by the external wall
frictional resistance and foot
blade. By continuing the
excavation, the frictional
resistance reaches to the limit
and the open caisson wall
resistance suddenly reduces
due to the thixotropy of soil.
Sudden sinking is thereby
induced.

Appropriately
increasing
the
sinking
coefficient; pouring water along the open
caisson wall to reduce the friction between the
open caisson wall and soil.
Controlling the excavation (the bowl bottom
should not be too deep); do not hollow the
foot blade; determine the foundation condition
in advance.

Open caisson tilt (the

perpendicular deflection
of the open caisson from
the allowed limit )

1) The hardness of the soils

beneath the open caisson is
uneven.
2) The excavation is not
uniform and the soil surfaces
in the open caisson show a
large height difference.
3) The foot blade is
over-hollowed. The open
caisson suddenly sinks and
was tilted easily.
4) One side of the foot blade
is held by obstacles, and not

Strengthening the observation and data

analysis in the open caisson sinking process
during construction; correcting the tilt in a
timely manner.
Backfilling the sandy gravels for compacting
in time.
Enhancing the soil removal on the higher side
of the foot blade; stopping or reducing the
excavation on the lower side of the foot blade;
uniformly removing the soil layer by layer
after the tilt is corrected.
Appropriately filling sandy stones or stone
blocks on the lower side of the foot blade to

Vol. 19 [2014], Bund. T

Open caisson deviation

(the displacement caused
by the misalignment of
the open caisson axis
with the designed axis)

5735

found in time.
5) The bias pressure on the
open caisson wall is induced
because of the removal of
soils or objects from the open
caisson;
the
uneven
distribution of the load on the
open caisson.
6) Sand boils on one side of
the open caisson.

reduce the sinking speed; in case of the

perpendicularity of the open caisson tilting
beyond the limit, excavating the soils on the
reverse tilt side out of the open caisson and
backfilling these soils into the tilt side to
increase the frictional resistance of the tilt
surface.

1) This phenomenon is most

commonly induced by the tilt.
When the tilt occurs and is
corrected, the open caisson
applies a high pressure on the
lower part of the tilted side,
along
with
a
certain
displacement of the open
caisson. The displacement
size is determined by the soil
quality and the tilting times
on the tilted side.
2) Measuring and positioning
the errors.

Preventing the open caisson from tilting

toward the deviation direction.
Deliberately tilting the open caisson toward
the reverse direction of the deviation; after
several tilt corrections, the open caisson can
recover to the correct position.
Deliberately tilting the open caisson toward
the reverse direction of the deviation; then
sinking the open caisson along the tilted
direction until the centerline of the foot blade
is identical to or approaches near the designed
center line; finally, correcting the tilt.
Strengthening the inspection and review of the
measurement.

SLAGGING METHODS FOR THE OPEN CAISSON

CONSTRUCTION
The excavation of the drift gravel in the open caisson of the surge shaft is about 29475 m3.
Considering the large excavation and the depth of the sinking, the upper drift gravel was dug and
loaded using a 0.2 m3 small backhoe, while the slag was removed using a tower crane and 2 m3
cableway bucket (Figure 11(a)). The 33 m thick bedrocks on the lower part was dug using a 1 m3
small backhoe, while the slag was cleared using a pilot shaft 2.0 m in diameter. After the concrete
construction on the fore shaft of the pilot shaft, artificial excavation was used (Figure 11(b)). The
lower part of the super-deep open caisson was applied with a slagging method of pilot shaft. This
method reduces the slagging difficulty and improves the slagging efficiency. Meanwhile, it
determines the geological condition of the surge shaft and ensures the safety of the engineering.

a: Slagging using the tower crane at the

b: Slagging method of pilot shaft at the
upper part
lower part
Figure 11: Open caisson excavation slagging

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MEASUREMENT AND OBSERVATION OF THE OPEN

CAISSON
During the construction of the large-diameter and large-depth open caisson, the vertical and
horizontal cross centerlines and benchmarks should be set on the external earth surface and wall
of the open caisson. Moreover, it is required to control the perpendicularity by marking the
normal axis and align the supporting wires to the scale plate below, one by one, in the open
caisson to trace the perpendicular position and elevation of the open caisson. In addition, the
horizontal lines used to observe the sinking depth can be set on the construction platform of the
open caisson to maintain a balance with the monitoring chalk line scale on the open caisson wall.
This allow for the monitoring of the open caisson pose in real time while ensuring the steady
sinking of the open caisson. Table 3 shows the monitoring results. According to the monitoring
results, the open caisson shows a central derivation of 46.3 cm and tilting angle of 002518 after
reaching the designed elevation, which is in agreement with the design requirements.

Table 3: Monitoring results during open caisson sinking

Serial
number

Sinking
height
(m)

off-centering
(cm)

Angle of
inclination
()

Serial
number

Sinking
height
(m)

off-centering
(cm)

Angle of
inclination
()

2.3

3.0

0.7473

13

41.3

37.0

0.5133

5.3

5.5

0.5946

14

43.7

38.0

0.4982

8.3

9.6

0.6627

15

46.8

38.5

0.4713

10.3

13.5

0.7509

16

48.9

39.1

0.4581

12.7

17.0

0.7669

17

50.8

39.8

0.4489

16.5

16.2

0.5625

18

52.8

40.2

0.4362

20.5

18.0

0.5030

19

56.8

41.5

0.4186

23.0

19.5

0.4858

20

58.69

42.5

0.4149

27.0

24.0

0.5093

21

64.32

45.8

0.4080

10

33.0

28.5

0.4948

22

63.42

46.2

0.4174

11

36.0

31.5

0.5013

23

62.92

46.3

0.4216

12

38.0

34.7

0.5232

CONCLUSIONS
(1) The results of this study show that the open caisson construction method is applicable for
drift gravel stratum and other complicated geologies. This method was conducive to environment
protection since it greatly reduced the excavation amount on the overburden and saved the
stacking area of the waste slag. The well wall stabilizing using open caisson increased the safety
of the excavation in the well and made it possible of transferring the temporary support and
permanent lining to the ground. The working environment was improved and the construction
risks were reduced as a result. This creative open caisson construction method yielded significant
social and economic benefits.
(2) According to the sinking frictional resistance analysis and structure calculation, a
reasonable open caisson structure reduces open caisson failure risk during construction.
(3) Based on the numerical analysis results and sinking test, this study proposes the following

Vol. 19 [2014], Bund. T

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suggestions: implementing a uniform bowl-shaped excavation on the drift gravel strata; for the
hard and soft alternated strata, following the principle of hard rock priority and then soft rocks;
for the gravel strata, breaking the rocks into sections using a hydraulic hammer; in regard to the
strata with a sinking difficulty, assisting the sinking by shock blasts using a small amount of
explosives, or, by extending the excavation to realize the stable and successful sinking of the open
caisson.
(4) This study (1) analyzed the causes for the sinking-termination, sudden-sinking, tilt, and
derivation of the open caisson and (2) put forward corresponding countermeasures. Moreover, it
investigated the tower crane transporting above the surge shaft and the pilot shaft sliding method
on the lower part of the open caisson, which reduced the slagging difficulty and improved the
slagging efficiency.

ACKNOWLEDGMENTS
This study was supported by the National Natural Science Foundation of China
(No.51009104).

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