7934 February, 1971 SM 2

;'.
,
Journal of the
SOIL MECHANICS AND FOUNDATIONS DIVISION
Proceedings of the American Society of Civil Engineers

CAISSON CONSTRUCTION PROBLEMS AND

CORRECTION IN CHICAGO a

By Clyde N. Baker, Jr.l and Fazlur Khan,2 Members, ASCE

INTRODUCTION

History.-In the Chicago area the most commonly used foundation for the
support of high- rise structures and other heavy structural loads is the caisson,
or drilled pier foundation. A caisson foundation consists of a concrete shaft
extending from the column or wall load application level to the bearing stratum.
Depending on the Circumstances, the shaft may be enlarged to reduce the bearing
stress and increase the load bearing capacity of the foundation.
The method of installation of the caisson has an interesting history. Near
the end of the last century it was observed that the taller buildings, that had
been supported on footing foundations on the tough clay crust that overlies a
40-ft to 50-ft deposit of soft clay in the Chicago Loop area, were settling ex-
cessive amounts, and beyond the amounts predicted at the time. Prediction
methods at the time were based on running small scale load tests at founda-
tion level. It then beclUIle apparent that methods for transferring structural
loads through the soft Chicago clay to the firmer bearing stratum would have
to be developed. The Chicago method was developed which consisted of hand
dug circular holes with the excavation wall braced with sets of wood lagging
and semicircular steel rings. The standard procedure was to extend these
hand dug holes to the first firm bearing stratum which usually was a hard clay
or hardpan encountered at approximate El. - 60 (Chicago City Datum) in the
Chicago Loop area, or about 75 ft below street level. To increase the carrying
capacity of the caissons the bearing area was often enlarged to form what is
called a belled caisson (see Fig. 1).
Note.-Discussion open until July 1, 1971. To extend the closing date one month, a
written request must be filed with the Executive Director, ASCE. This paper is part of
the copyrighted Journal of the Soil Mechanics and Foundations Division, Proceedings of
the American SOCiety of Civil Engineers, Vol. 97, No. SM2, February, 1971. Manuscript
was submitted for review for possible publication on March 24, 1970.
a Presented at the October 13-17, 1969, ASCE Annual and Environmental Meeting,
held at Chicago, Ill.
1 Vice Pres., Soil Testing Services, Inc., Northbrook, Ill.
2Assoc. Partner, Skidmore, Owings & Merrill, Chicago, Ill.

417
418 February, 1971 SM 2 SM 2 CAISSON CONSTRUCTION 419
Early design bearing pressures on the hard clay or hardpan were usually
cutting wing which extends out from the sides of the bucket. This type of bucket
very conservative and generally were only about 8,000 psf net pressure. During has been replaced by one in which the cutting wing is pushed out from the bot-
the ear ly part of the 20th Century, typical design bearing pressures in the hard tom under pressure from the tor sion bar, generally known as the Ke lly bar.
clay or hardpan stratum were increased to 12,000 psi. Use of the higher bear- The auger rig uses a Kelly bar stem with an auger several feet in length.
ing pressure was justified by a large full scale test load at the Union Station
The auger is turned into the soil and the soil works up into the auger. The au-
project, in 1921 and reported on in detail in February, 1924 in Ref. 2.
ger is then removed and is spun around to discharge the soil into the spoil pile
In the event that loads were too large to be carried by reasonably sized (see Fig. 2).
caissons on hard clay or hardpan, or in the event the hardpan layer was miSSing,
the hand dug caissons were extended to rock using the same ring and lagging
procedures. Bearing pressures were typically limited by the strength of the

Structural column

Fill material
or sand

Shalt

Soft clay

Very tough clay

Bell

\ 60 CCO
-1 It min

Very hard clay-hardpan

FIG. I.-TYPICAL BELLED CAISSON

concrete to on the order of 50 tsf. Inspection procedures consisted of visually

observing and picking the rock bearing surface.
With the development of large scale earth drilling equipment immediately
prior to and following World War II, methods were developed for constructing
FIG. 2.-CAISSON AI'GER DHILL lUG
the caissons faster and generally at less cost than was possible with the hand
dug method. There have been two main types of drilling machines developed
Another method that has been used to overcome difficult water bearing soil
which are referred to as bucket type or auger rig type. The bucket rig involves conditions is the Benoto method in which, instead of making an oversized au-
turning a cylindrical bucket which has cutting vanes on the bottom which cut ger hole for the caisson, a steel shell is cut into the soil stratum by turning
on an angle as the bucket turns and forces soil up into the bucket. The bucket the shell back and forth and removing the soil (even broken rock) with a grabber
is periodically withdrawn from the hole and the soil discharged. On reaching tool. If need be, boulders or other obstructions can be broken up with a heavy
the bearing level the drilling bucket is replaced with a belling bucket with a rock buster similar to the heavy ball used to demolish buildings. When the she II
 February, 1971 .
420
is sealed into the bearing stratum and the inside materials removed, the shell
is filled with concrete. This method is normally competitive only in extreme
situations where the soil stratum is unstable and open augering may cause ex-
cessive loss of ground resulting in settlement of adjacent structures or where
deposits above the bearing stratum cannot be drilled with an auger because of
excessive boulders or broken rock.
Another method used in difficult soil situations (water and broken rock over
the bearing stratum), is the drilled in caisson method wherein a heavy steel
shell is driven to the bearing stratum with pile driving equipment and the soil
and broken rock inside is removed either by compressed air ejection, cable-
tool drill and bailing tools or an auger drill depending on the material. A sock-
et is normally drilled into the rock, a steel 1- or H-beam core inserted and the
shell filled with concrete.
Corrugated liner
Annular space to be ililed Oversize casing removed after
With sand or grout ) inner space back filled
-fi
Sand
Clay
Hardpan
FIG. 3.-CAISSON WITH CORRUGATED TOP LINER
With both the auger and bucket types of drilling equipment the method for
maintaining the sides of the excavation is to install steel casing as required.
Where necessary, holes can be started oversize and casing can be telescoped.
Because of the high cost of the steel casing, where possible, the procedure often
used consists of pouring concrete up into the casing to a sufficient height and
then withdrawing the casing before the concrete has undergone initial set. The
rest of the pour is finished after the full length casing is withdrawn. Where an
oversize surface casing is used to prevent cave-ins, an inner thin wall corru-
gated shell of the design shaft diameter is often installed to minimize the
amount of concrete required. The annular space between the inner shell and
the oversize casing is filled with sand or grout, and the outer oversize casing
is withdrawn (Fig. 3).
SM 2 SM 2 CAISSON CONSTRUCTION 421
In the case of caissons supported on hardpan, a bell would normally be cut
with the belling bucket. Depending on the size of the bell required, and de-
pending upon the power of the equipment, it is sometimes necessary to cut part
of the bell by hand. Maximum size machine cut bells are now about 21 ft in
diameter.
With regard to the use of casing, in some cases where the excavation walls
appear stable, common practice is not to install caSing except as necessary
for the protection of the workmen and to pour directly into the hole, allowing the
concrete to push directly against the soil. It has also been a common practice
to allow free fall of concrete as long as it can be directed vertically so that it
does not hit the sides of the shaft during the free fall.
With the advent of modern day soil mechanics and related bearing capacity
and settlement theories, along with continued experience on performance of
caisson foundations in the Chicago area, the design bearing pressures for hard-
pan have gradually been raised from the 8,000 psf to 12,000 psf used in the early
days to values of 20,000 psf to 30,000 psf in recent year s depending upon the
properties of the hardpan at the particular site.
Inspection and testing procedures have varied with machine dug caissons.
In the early years, caissons were sometimes installed without independent in-
spection and testing. In recent years, common engineering practice has re-
quired independent inspection of the bearing stratum, measurement of bell and
shaft size, plumbness and eccentricity, and a representative test of the strength
of the bearing stratum along with some probes below design level. The test
most often used to check the quality of the bearing stratum has been an uncon-
fined compression test because, typically, the unconfined compressive strength
for this type of hard clay can be directly used to predict the safe bearing ca-
pacity as follows:
Safe net bearing capacity 4.5 x unconfined strength
Desired factor of safety'
9 x cohesion
Desired factor oCsafety . . . . . . . . . . . . . . . . . . . . . . . . . . . (1)
Where bearing stratum is granular and contains less clay content, triaxial
tests may be performed.
Where rock caissons are installed by machine methods, caSing is normally
required all the way tothe rock. Typically, water bearing sand and gravel are
encountered over the rock so that the casing must be cut into the rock in order
to effect a reasonably watertight seal.
Present allowable bearing pressures for caissons on sound limestone in
Chicago are 100 tsf with a 20 % allowable increase in bearing pressure for each
foot of penetration into the rock.
In many existing codes for caisson design, no allowance is made for a per-
manent shell. Although for concrete filled steel pipe piles, concrete stress up
to 45 % of the 28-day strength is allowed for designing the piles, in caissons
Ie
only 25 % has been allowed. In view of recent experience, it is now consid-
ered safer to leave in place permanent steel casings for caissons to rock. A
rational design approach for such caissons should be to consider the strength
of the steel caSing in conjunction with the strength of the concrete caisson for
calculating the total load capacity. However, in order to achieve the same end
 422 February, 1971 SM 2
results, the city of Chicago is now considering a code revision which permits
.1
increased concrete stress for encased caissons. The increased allowable con-
crete stress depends on the percentage of steel in the casing and is allowed to
a maximum of 40 % of concrete strength by the following empirical formula:
Pall = Ac (0.3 fe + 1.5 t ~fy) :s Ac x 0.4 fC .............. (2)
in which: Ac = cross-sectional area of concrete; fe = concrete compressive
strength; t 1 = steel shell thickness; fy = yield stress of steel; and D = shell
diameter.
Inspection procedures for rock caissons at the present time generally con-
sist of probing the rock a distance equal to the shaft diameter with an air drill.
Usually, one probe hole is drilled for each caisson. However, when there is
any doubt that there might be seams of clay or other soft material within the
depth of the probe hole, additional probe holes are made to verify extent and
thickness before any decision is made to remove the rock down through the un-
acceptable seams.
Over the years, with increasing use of caisson foundations in the Chicago
area, a high degree of confidence has been developed in the inherent soundness
of the caisson foundation. This is probably because it is possible to inspect
the bearing surface, watch the concrete pour, and readily develop the feeling
that little can go wrong with this type of caisson construction. In addition, there
is no anticipated long term corrosion or decay that might occur with some other
types of extended foundations. This confidence has probably been based in large
part on the fact that no known major structure has collapsed due to caisson
foundation failure. There has been recognition of some adverse effects on ad-
jacent structures from excessive pumping of water and fines or from soft ground
movement, but few instances of known faults in the caissons themselves. (Re-
cently this confidence in the caisson foundation has been partially shaken due
to discoveries of major faults in some caissons.)
Conditions That May Lead to Defective Caissons.-The types of conditions
that can lead to faulty caissons are numerous, but can be listed as follows:
1. Excess water at cold joints resulting in weak concrete.
2. Migration of water and washing out of cement segregation resulting in
weak concrete at the top of the caisson shaft.
3. Side cave-in of soil resulting in contaminated concrete.
4. Surface cave-in of soil resulting in contaminated concrete.
5. Development of voids in caisson shaft.
6. Casing collapse.
7. Improperly poured tremie concrete.
8. Concrete poured into surface water.
9. Inadequate bell sizes.
10. Inadequate bearing material.
11. Caisson shaft squeeze in.
12. Poor concrete delivered to site.
Purpose and Scope of Paper.-The possible causes for defective caissons
encountered, outline methods of exploration of defective caissons will be ex-
SM 2 CAISSON CONSTRUCTION 423
amined herein. Ways to avoid the problems that lead to defective caissons, and
methods for repair and correction when defects are found will be presented.
CAUSES OF FAULTY CAISSONS
Excess Water.
At Caisson Bottom at Time of Pour. -Excess water encountered at various
times during the caisson construction is a prime cause of defective caissons.
Water may accumulate in the bottom of a caisson just prior to pouring of con-
crete. Such water accumulation can occur suddenly if there is a delay from the
time of inspection and cleanup to pouring, or it may occur in a hole in which
water seepage has been rapid and a pump has been used to keep the hole de-
watered. Common practice has been to pull the pump just prior to pouring of
the concrete, and in the brief span of time that it takes to pull the pump and
start the concrete pour, excessive water seepage may occur. If the seepage
rate is excessive, it may continue to occur even during the concrete pour un-
til the concrete head is sufficient to balance the seepage pressure.
In determining the amount of concrete head required to balance the water
head, it is necessary to know whether the concrete behaves as a viscous fluid
with a weight of 150 pcf, or as a two-phase material composed of solid particles
(with a submerged unit weight).of water. Recent experimentation in 1968 by
Soil Testing Services, In-House Research indicates that with aproperly designed
concrete mix, water breakthrough does not occur until the waterhead equals
the head of concrete computed on the basis of total weight. This assumes a rel-
atively short-term condition, and refers to a blow up or boiling of water through
the concrete. However, up until the time that the concrete sets, water migra-
tion may occur depending on the permeability of the fluid concrete, the denser
and better graded the concrete mix, the less water migration.
Experience has indicated that if water accumulation in the bottom of the
caisson exceeds 1 in. to 2 in. at the time of pouring, a layer of sand and gravel
can be developed at the bottom of the caisson due to washing out of cement. On
one project, as reported in 1967 bySoil Testing Services Inc., Job No. 10330-C,
Northside Chicago High Rise Project, in which the inspector reported the con-
tractor poured in 2 ft of water, subsequent coring of the caisson revealed 8 ft
of sand and gravel in the bottom of the caisson [Fig. 4(a)].
Theoretically, based on volume of water and water-cement ratios for mea-
surable concrete strength, 1 ft of water could ruin 10 ft of concrete. In actual
practice, the effect is normally not quite that dramatic because some of the
water is displaced by concrete rather than mixing with the concrete and washing
out the cement.
At a Cold Joint at Time of Continuing Pour.-Another location for adverse
water effect is at the cold joint in a multipour operation. Water seepage may
occur on top of recently poured concrete. This seepage may come over the top
of the existing casing through a break in the casing seal. If this water seepage
goes undetected, the same problems can occur as presented for water in the
bottom of the caisson. .,'r
Ineffective Tremie.-When water problems at the bottom of a caisson are
too serious to handle by pumping, tremie concrete can be used. This entails
letting water reach equilibrium in the hole (after cleaning bottom as well as
practical) and then pouring concrete in such a manner as to always be pouring
 February, 1971 SM 2
424
concrete into concrete, and not concrete into water. This requires that the dis-
charge end of the tremie tube is always located in the fluid concrete (embedded)
as the concrete is being poured. If the discharge end is ever out of the fluid
concrete, the result is the same as if the concrete were poured into water. The
biggest problems with tremie concrete often occur when trying to make high
strength low slump concrete (6,000 psi or better) and often occur in the initial
pipeful of concrete because of water in the tremie pipe at the time of filling the
pipe with concrete. A ball at the end of the tremie pipe is often used to keep
out water but may leak if the fit is poor. Design slump of tremie concrete should
be between 6 in. and 7 in.
Water Migration and Segregation. -It has been customary not to vibrate cais-
son concrete. While lack of vibration in the lower part of the caisson produces
no problem because of the densification effect of the falling and impacting con-
(a) (b) (,)
FIG.4.-(a) EXAMPLE OF CONCRETE POURED INTO WATER; (b) DEVELOPMENT
OF VOID AS CASING IS PULLED; (e) EXAMPLE OF SHAFT SQUEEZE IN
crete, the lack of vibration in the upper few feet of the shaft, together with wa-
ter migration from the densifying deeper zones, can create a considerably
weaker concrete for the first few inches near the top of the shaft.
Soil Inclusion.
On several recent projects where problems have developed with the caisson
construction, soil inclusions were discovered in the concrete of the caisson.
Such soil inclusions have occurred by one of three methods: (1) Soil cave-in
when pouring in uncased holes; (2) surface soil cave-in over top of casing; and
(3) side soil cave-in as caSing is pulled and concrete poured.
In the first case, the problem normally develops when either there is no in-
spection and the contractor is pouring concrete in an uncased hole in soil of
questionable stability, or, if there is inspection, when an error in judgment is
made regarding the"stability of the side walls. With close inspection, a cave-in
SM 2 CAISSON CONSTRUCTION 425
during pouring of concrete can be detected (except during the winter when there
is an excess of vapor from the warm concrete) and the caisson cleaned out,
cased, and repoured. However, it is alsopossible for sucha soil cave-in to go
undetected and, for this reason, pouring in uncased holes should be avoided
except in soils of assured stability (cohesive soil of adequate strength).
With regard to the second case where soil caves in and spills over the top
of the casing intended to maintain the side wall stability, this can occur only
when the casing does not protrude sufficiently above-ground surface and when
there is a spill pile too close to the caisson location.
The third category of soil inclusion occurring from cave-in as the cas-
ing is pulled, results either from inadequate head of concrete in the casing at
the time of pulling to balance the forces tending to cause soil cave- in, or, it
can occur if concrete becomes hung up in the casing either through arching or
through a fast set. The suction created as the casing and concrete are pulled
tends to cause an influx of soil and water beneath the casing.
Voids.
Voids may be created in concrete caissons by one of two means. The first
way is by concrete temporarily arching or hanging up in casing as the caSing
is pulled, and then not completely filling the underlying void when the concrete
eventually breaks loose from the casing. The under lying void will be filled by
either soil and water influx, or by the concrete, or a void will be developed
[Fig.4(b)].
The second way the voids can occur in concrete is through inadequate vibra-
tion and densification of the concrete. The concrete arches and small voids and
air pockets develop in the concrete.
Change in Caisson Dimensions.
Bell Omission.-Before the practice of complete inspection by independent
agencies, there were several caisson foundation cases where severe settle-
ment of caissons occurred because of changed caisson dimensions. The main
problem in this area is the undersized bell or, in some cases, the miSSing bell.
As the area of the bell is commonly about 9 times the area of the shaft, an over-
stress of 800 % is possible if a bell is left off a planned belled caisson.
Shaft Squeeze-in.-Several cases have been reported wherein shafts have
been constructed through very soft clay or low strength organiC soils and the
shaft necked in, or squeezed in, greatly reducing and, in some cases, even
eliminating the concrete cross sectional area [Fig. 4(c)]. In one case when a
shaft was excavated down alongside a caisson that had settled 1 ft, it was ob-
served that the concrete shaft over some length had completely disappeared in
the soft organic soil through which it was placed.
CaSing Collapse. - Water and soil pressure can collapse casing, as shown in
Fig. 5, particularly in large shafts as the critical buckling stress decreases
with the cube of the diameter. Possibility of collapse can be greatly increased
by small eccentricities in the roundness of the casing or concentrated localized
stresses induced during the installation process. Fortunately, casing collapse
can normally be detected and corrected before pouring concrete. The most
critical time normally occurs when the casing is pumped or bailed out and there
is maximum water pressure outside the casing.
Inadequate Bearing.
The writers know of no cases where the cause of a defective caisson has been
I'; February, 1971 SM 2 SM 2 CAISSON CONSTRUCTION 427
J
426
1,\
blamed on inadequate bearing when prior borings have been performed at the either in the proportion of the cement, sand, gravel, and water, or in adding the
site and when independent caisson inspection was provided. wrong additives. Another potential cause of bad concrete delivered to the site
However, there has been at least one case of bearing capacity failure with is the addition of water to concrete in the truck. Water is sometimes added by
caisson foundations described by the Soil Testing Services, Inc. Job No. 5852, the truck driver in order to facilitate and speed up getting the concrete out of
Plant Site, Clinton, Iowa, 1960, where a minimum boring investigation com- the truck. The drier mixes, and particularly the higher strength drier mixes,
bined with inadequate caisson inspection resulted in the caisson being stopped are difficult to get out of the truck, as reported in the Skidmore, Owings and
Merrill Job Files.
The normal quality control procedure of taking one set of cylinders for every
, + - - - - ( - 1 6 ft 7 in.) hundred yards of concrete delivered on site has proved inadequate for caisson
construction. In aboveground construction and particularly in floor construc-
~

~
tion where concrete becomes visible after removal of form, testing of one set
of cylinders from one out of ten trucks provides fair quality control. However,
+ - Collapse begins here because every truck of concrete means about a 4-ft to 60-ft segment of a cais-
son, depending on shaft size, a single truck of bad concrete will jeopardize
, II the load carrying capacity of the caisson. On the basis of recent discovery in
I I Skidmore, Owings, and Merrill Job Files, of such low strength concrete seg-
, I ments in caissons, the writers strongly recommend that one cylinder from every
, I .E
truck of concrete should be taken to guarantee minimal quality control.
~
\ I ~
CAISSON SHOWING COLLAPSE
(Oiam 7 It 3 in.)
I t '" N
METHODS OF EXPLORATION TO FIND CAISSON DEFECTS
I I I 1 It 8t
2 It 4 in.
Coring.-The most commonly used method for checking the soundness of a
.5 II In.

caisson is to make a core hole through the entire depth of the caisson. On a
en
~ II recent project reported in Skidmore, Owings, and Merrill Job File where de-
~
II t"-APprox. middle of collapse fective caissons were suspected, each caisson was cored several times to check
II for bad concrete, voids, and soil inclusions. Core sizes have varied from NX
to 6-in. diam. In concrete with 1-1/2-in. aggregate, experience has indicated
.£
II

t
~
~ that the larger the diameter of the core, the better the recovery, other things
II "'~
~
being equal. Also, tests of samples cut from the larger diameter cores are
I more relevant and can be compared more easily with the design strength and
I' I Collapse is most severe at the test cylinders made at the time of construction.
I -thispoint(-79ft4in.) ~.3ft8in. Only the very best drillers should be used in coring concrete caissons since
,I 10 in. 6 In. the caliber of the driller has much to do with the quality of the core recovered.
t \ 9 ft 2 in"-+-----7
An inexperienced driller can grind up a lot of concrete during the coring oper-
1\; ation and get an indication of a large zone of bad concrete when, in actuality,
\ ~ it may only have been a very thin seam or weak spot sufficient to permit an

! \~~""".~ .."... (-'' ' .. ;".)

2ft
FIG. 5.-TYPICAL COLLAPSED CASING
on unsuitable material and bearing capacity failure occurred under appreciably
less than the design load.
Poor Concrete Delivered to Site.
One cause of defective caissons is bad concrete delivered to the site. The
cause of bad concrete may be a mixup in design mixes, i.e., a low strength de-
sign mix substituted accidentally for a required high strength design mix. The
cause may also be an error at the batch plant in mixing that particular batch
aggregate in the concrete to loosen during the coring operation. Once this hap-
pens, considerable grinding away of the concrete can occur.
When testing core samples with a diameter less than 3 x the maximum ag-
gregate size, some adjustment in the test strength should made to correlate
correctly with the probable strength of a larger diameter sample.
The main problem with coring concrete caissons to find defects is deciding
on the number of cores per caisson. This takes considerable judgment and it
is also somewhat dependent on the extent to which a defective caisson is sus-
pected and the degree of risk which can be tolerated. When suspicion is low
and tolerance high (small load caissons), a single core should suffice if the
core reveals good concrete. On large diameter caissons carrying extremely
heavy loads (up to 10 ft diam caissons), as many as 11 cores have been taken
out of a single caisson.
Caliper Logging.-Calipers to record automatically the core hole diameter
 428 February, 1971 SM 2 SM 2 CAISSON CONSTRUCTION 429

from top to bottom have been developed by Seismograph Service Corporation.
The automatic recording caliper measures and records the diameter of the core
hole shown in Fig. 6. Any slight increase in diameter possibly representing
cold joints, areaof weak concrete, seams, or voids, can signal the need for fur-
ther investigation. In conjunction with some other special tools, the automatic
recording caliper has been a great help in some recent investigational work.
Inclinometer Reading.-Inclinometers can provide an accurate vertical
alignment profile of the entire core hole. When defects are indicated by other
methods of exploration, such as the automatic caliper, the inclinometer readings
isting caisson and on the side where questionable material was encountered in
the cores. Visual inspection from such a pit or new caisson hole will help in
detecting a large local void or soil inclusion (Fig. 7).
Seismic Wave and Velocity Measurement.-Some experience has been ob-
tained recently using seismic methods to check for defects in concrete caissons.
Two types of procedures have been used. In one method, a shock wave is ini-
tiated at the surface of the concrete caisson and then the time required for the
first reflection wave is noted. A reflection wave is reflected off any large void
that might be encountered in the caisson or off a loose gravel layer at the base

6 INCH CORE HOLE DATUM-TOP OF CAP

cs

~;'~OD-~'""""
20
I
I
I
I
I
I
'" I ll~
i,
I !;"I
I
I
I Inspection and
~access shaft
r
\,"j

I (min diam 4 It)

I
I
Contaminated
I
concrete ~i~1
I
I
I
I
60
I
L____J
I
HOLE OIAME TER I INCHES

FIG. 6.-TYPICAL CALIPER LOG

provide necessary information as to the exact location of the defective area in
the shaft cross section. If the inclinometer readings indicate deviation of the
core hole from the true vertical, it is easier to interpret the direct results of
other exploratory instruments lowered down into the core hole.
Side Test Pits.-If borings in a caisson indicate uncertain materials or con-
tamination in a portion of the caisson shaft, the most positive method of exam-
ining such possible defects in a caisson (in lieu of a full and long-term load
test), is to excavate a pit or new caisson hole immediately adjacent to the ex-
FIG. 7.-USE OF ACCESS SHAFT TO FIND CONTAMINATED CONCRETE FROM SOIL
CAVE-IN
of the caisson separating sound concrete from the underlying rock. However,
results were not conclusive in the cases referred to herein.
The second type of seismic velocity measurement procedure involved set-
ting off a shock wave in the under lying rock and measuring the time for the shock
wave to reach the recording geophone attached to the top of the caissons in
question. The speed of transmission of the shock wave through the concrete is
 i;
,. 430 February, 1971 SM 2 SM 2 CAISSON CONSTRUCTION 431

I.
, '
dependent on the quality of the concrete and, therefore, can be used as a mea-
surement of the soundness of the concrete. Results of this procedure also were
[
I, Velocity logging tool not conclusive in the cases tried. .
-----------,---, • r-----------------------------
3-D Logging.-One of the standard measurements made for the oil industry
in their core holes is the velocity with which the adjacent rock will transmit

-----r-
~
L I 'V Idealized first
sonic signals. The same technique, with some modification, can be and has
been used to evaluate caisson concrete (1). The velocity logging procedure
Bumper ~a
I tl ~rri\lal at recorder which requires that the hole be filled with liquid is schematically shown in Fig.
Transmiller ~I
8. It consists basically of a transmitter and a receiver separated by an acoustic
isolator. The transmitter is a magnet device which is pulsed at about 15 times per
second. The receiver is a crystal device. The pulsation generated in the trans-
mitter travels to the receiver in three different manners, viz., compressional,
Acoustic isolator .1 t I = travel time from shear and boundary wave modes. By continually moving a film across the face
transmitter to receiver
~ compressional of an oscilloscope, the signal in the intensity modulated mode creates a log such
wave travel path as that shown in Fig. 9. The horizontal scale shows time increasing from left
to right, depth from top to bottom, with aheavy horizontal line showing at 10-ft
intervals. As shown in this figure, the first arrival of the compressional, then
shear, then boundary events are equally discernable. This type of display de-
Receiver ===] ~I
veloped by the Birdwell Division of the Seismograph Service Corporation of
Tulsa, Oklahoma, is known as a 3-D velocity log. Fig. 10 shows a section of
the log from one caisson which had an obvious defect. Both the compressional
and shear wave velocity drop off very markedly. This log was made by using
a spacing of 6 ft between the transmitter and the receiver. The effect of using
Drilling fluid •
a shorter spacing between the transmitter and the receiver would be to squeeze
the vertical scale correspondingly. Examination of Fig. 12 will indicate that
FIG. 8.-3-0 VELOCITY LOGGING APPARATUS
there is a drastic change in material properties at an El. - 85 to approximately
- 95. In order to evaluate the concrete quality across the entire caisson, 3-D
logs were made by inserting the transmitter in one core hole and the receiver
TI ••
-1ft M'aro •• oonch
in another core hole in the same caisson and lowering them simultaneously,
thereby reading the velocity of signal travels between the two core holes as
shown in Fig. 11. As a point of interest, the 3-D logs between two core holes
on the same caisson indicated 3-D logs very similar to that shown in Fig. 10,
indicating that the entire cross section of the caisson was in question. Actual
inspection of the caisson shaft at this elevation through an access shaft con-
firmed the findings of the 3-D logs. The entire section of the caisson between
elevation 80 and 100 required replacing the contaminated concrete with good
quality fresh concrete. The 3-D log method offers considerable information
purely by visual examination. Examination of 3-D logs, as shown in Fig. 12,
indicated defects of only a very limited vertical extension. Examination of the
automatic caliper reading also indicated a thin separation of about 3/4 in. This
particular caisson was successfully repaired by pressure grouting and subse-
quent coring indicated a separation of about 3/4 in. filled up with a fresh grout
material. As this particular type of sonic method provides information con-
cerning the compression velocity, the shear velocity and the boundary velocity,
reliable prediction of the modulus of elasticity and strength of concrete may
be obtained.
T.ent.UI •• I. fI.c ..... 5,11.:1 ••
It has been the experience of the writers from actual case histories that the
proper investigation of any caisson in question should include not one but a
FIG. 9.-3-0 VELOCITY LOG FIG.lO.-EXAMPLE LOG FROM CAISSON number of types of checks, such as the caliper logging the inclinometer and
WITH OBVIOUS DEFECT
the 3-D logging, both vertical and horizontal, in order to make a definite con-
clUSion regarding the nature and extent of defects.
 432 February, 1971 SM 2 SM 2 CAISSON CONSTRUCTION 433

Gamma Ray Logging.-Insertion of a gamma ray logger down a previously

made core hole through the concrete caisson yielded interpretable results. The
gamma ray logger would measure the density of the concrete around the core

8 ~~,..
w~ ZONE OF HOAZL, 3',0
CHECK --.
hole. A pronounced difference was observed in zones of defective concrete so
that the gamma ray logging could be correlated with the core hole results and
provide a check on whether the best coring procedures had been used. In apar-
ticular core run of 10 ft, where only 9-1/2 ft of core was recovered, the gamma
ray logging could help determine whether the difference could be explained by
;1 I a poor concrete zone or whether it could be explained by inadequate coring
:.
procedure.
Probing for Bells.-With belled caissons, a common cause for a defective
caisson is omission of the designed bell. Such omission can occur deliberately,
or it can occur after inspection as a result of collapse of the bell roof. To
check for this, it is possible to make a boring adjacent to the shaft of the cais-
son, being certain to make the hole sufficiently plumb to encounter the bell, if
(=-~~~T!_ER V/AIWb~~/:.7:~'.JIV//.l RECEIIJER-
there is a bell. Where the bells are supposed to be large so that the probe hole
can be out of plumb by 1 % and still encounter the bell, probing for the beU by
normal boring eqUipment is reasonably satisfactory. However, with the possi-
bility of drift of the bottom of the bore hole during the boring operation, it is
difficult to be certain of the exact location of the bottom of the probe bole. If
the hole is not too deep, it is usually possible to check the plumbness and bot-
tom location by means of a strong flashlight and plumb line. However, with
deep holes (100 ft or more), it is very difficult to maintain the hole sufficiently
plumb so that the bottom location can be accurately determined with merely a
flashlight and plumb line. For such deep holes, an inclinometer or inc1o-meter
should be used.
One danger with attempting to probe for bells with normal boring equipment
is the cutting bit may tend to slide down the slope of the bell thereby pushing
FIG.l1.-S0NIC 3-D LOGGER IN OPERATION
the bottom of the probe hole further out of plumb. Also, if the bell is located
DEPTH DEPTH DEPTH in fair ly firm material, glancing off .the side of the slope of the bell may not be
~ ~ ~ detected. Probing for bells as just described has met with varying degrees of
FEET

!800 600 400

FEET -TIME IN MICROSECONDS FEET
-T,IME IN MICROSECONDS +600
20 -
400 200 -TIME IN MICROSECONDS
'mttu1,.!-
! 400 200
success in investigations by Soil Testing Services, Inc., Job No. 11536, Detroit,
Mich., 1967.

~~~:\\\I" \.\11\~.,If 'UlitH.r. I,",:":

~_ ~ _ . i~ ! .. ~

~,- ~"" . METHODS OF CORRECTION AND REPAIR

I "
40 140 ..~ Grouting Voids and Sand and Gravel Zones .-Ifthe method ofinvestigation of
the caisson has included bore holes throughout the length of the caissons, it is

150
"

sOmetimes possible to repair the bad zone by means of grouting. Grouting un-
so HUill1oi50 } der high pressure with a packer arrangement can be used to fill the voids in
~ the concrete and to cement any porous sand and gravel layers. Penetration of
60 the grout into any sand and gravel layers depends on the fines content of the

J:ijmmm:
c

t sand and gravel and also on whether there is more than one core hole (with at
70 ; j least two core holes required) intercepting the zone being grouted so that there

~\
~ is a way for air and water to be displaced.
80 \1 II ,c;~ In actual practice, an effort to repair local defects by grouting has failed
more times than it has succeeded. In the writers' experience, grouting type of
FIG. 12.-EXAMPLE LOG FROM 3 CORE HOLES repair work has succeeded where there is a clear fracture or void which is
not filled up with clay or other materials and where enough pressure could be
developed between twogrout holes through the fractured areas. However, care
i

434 February, 1971 SM 2 SM 2 CAISSON CONSTRUCTION 435

f must be exercised to avoid splitting the caisson further.

Addition of Steel in Core Holes. -Concrete caissons with defective zones can
be strengthened by putting heavy steel rods in the core holes and grouting in
the remaining space between the steel rod and the concrete core wall. This
procedure has been used successfully on some recent caissons. Even when
requiring several core holes to get sufficient steel into the concrete, this meth- Access shaft
od can prove to be considerably cheaper than digging down alongside the cais- repair work
son to find defective concrete and then having to chop out and replace the defective
concrete (Fig. 13).

Removal line--t-----....

No. 18 reinforcin~6 in. <l> core holes

rod grouted
1----===+--5Ieel shoring
Contaminated concrele - + - -

.,..,.-Ground level
T
I I I
I I I
I I I
I I I
I I I FIG. 14.-PARTIAL CONCRETE REMOVAL AND REPLACEMENT SCHEME
I I I
II I I
II I I
Ii
I I I I I
~f(~~~~
iilI ~ ~ ~
Weak zone

l
~ ~
'~4 ~
W~
f'{}.l
I I I I I I
I I I I I I
p!
Grouted rods to
compensate weakness

I I I I I I
I I I I I I
LI L I
I nc" transfer
~ girder

~
~ W~ Original caisson
FIG. I3.-GROUT IN REBARS TO STRENGTHEN CAISSON

Side Excavation and Partial Removal andReplacement. -As previously men-

tioned, excavation of a test pit alongside the caisson under consideration to lo-
cate voids, soil inclusions, or poor quality concrete, followed by removal and
replacement of the defective zone is another reliable method for repairing a New caisson ~ New caisson
defective caisson (Fig. 14).
The main problem with this approach is the high cost and the potential
stability problem if there is significant load on the caisson at the time of the
repair work. In this case, it may be necessary to carry the column load tem- FIG.15.-USE OF NEW CAISSONS AND TRANSFER GIRDERS TO REPLACE
porarily by meanS of special shoring. DEFECTIVE CAISSON
 436 February, 1971 SM 2 SM 2 CAISSON CONSTRUCTION 437

Complete Removal and Replacement.-If the defective zone of the caisson
covers a large part of the volume of the caisson, and if the defective zone is
near the surface, the most inexpensive procedure may be the complete removal
and replacement of the caisson. This is the approach most often used when de-
fective concrete occurs in the upper portions of a caisson.
Additional Caissons with Transfer Girders. -An alternate approach to re-
pairing or replacing the defective parts of an existing caisson is to construct
two new caissons adjacent to the existing caisson and to transfer the load from
the existing column to the new caissons by means of a transfer girder (Fig. 15).
This approach is only possible when there is access room to construct the new
caissons and transfer girder. The main disadvantage to this approach is the
high cost.
If itis decided that providing additional caissons with transfer girders will
be more economical than to make extensive repair of the existing caisson, care
cent development, by the Soil Testing Service in 1970, to permit actual optical
examination of the voids and seams encountered in the probe holes is the bore
scope. The criteria for determining the permissible size and location of cracks
and clay seams depend on the tolerable settlement. Bearing capacity is nor-
mally not aproblem in rock caissons in the Chicago area as the limestone does
not have large voids or solution cavities, and the limestone is typically con-
fined under a thick layer of dense soils.
While the inspection of the bearing surface and caisson dimensions is im-
portant, proper inspection of the caisson construction procedure is equally
Proj.ct Name :
Arch.t.ct- EAllln .. r
Contractor 1

Inspecllon Firm
must then be taken that all vertical loads supported by the existing caisson are
transferred to the new caisson by prejacking. If prejacking is not done, settle- DeSign, ElL 4(11,101 A. D IDgrom 0' COlSton
ment of the new caisson will occur as soon as the load is transferred onto such Quolll)' or Measurement I or ..-,lIowed Recorded (Fill In applicable bjon~ I ,

Elu'ollon 01 bollom
a caisson, resulting in possible further structural problems in the super-

ill
Pen.lrollon Inlo roc"
structure. cop. cl.
5011 bUlfllHjj COpOClt)' -(00)
Top .1.
BUllng probe I),u-no)

B,II dlo .... '.,

RECOMMENDED PROCEDURE TO INSURE SOUND CAISSONS Sholl dlameler

Sho" vauohan from plumb ~

Adequate InspectiDn.-Many problems that lead to faulty caissons can be AI";Inmlnl

avoided by adequate inspection. (A typical caisson inspection form is shown in

Fig. 16.) This applies particularly to making certain that the caisson is sup-
ported on the proper bearing material and that the dimensions of the caisson
Elevotlol'l 01 lop of shof!
Tolal deplh o. COISSOI'I

E le¥ohol'l 01 lop of cop

8oolom el.
Xfl,
rL+-r--J-_J
I I :
•

are as deSigned. With hardpan caissons, a simple unconfined compression test Ve,hcol ,ell'lfOrCl1'I9 lleel 1
,
1
1
Do.ell 1"'91J~" 1 I
with a confirming water content test should be sufficient to verify the adequacy of ROd< oJ.
I . I
the bearing stratum provided that there has been a sufficiently extensive prior Steel ties
Concrele ,1"1'I9th
aoUamel. L1-- J

boring and testing program so that the inspection and testing can be correlated Rock el
Be II

with the boring logs. In cohesive hardpan or hard clay, a net design pressure
up to 1-1/2 times the unconfined compressive strength is considered accept- .5011 Tullng Melhod Ou· TSF t Qull: TSF;
lell
OIl ; Ull~o,..f,"e.d 'omprc:;'~Ion
able with a factor of safety of at least three. Qull: Ullimale blofll'lQ capac .. y
Additional probing in caissons in hardpan or hard clay in the Chicago area 00 : Oull/loctor of sohty
Remork' ________________________________________________________
should be done with caution since water bearing silt and sand layers often exist
at variable depths into or below hardpan or hard clay. If punctured by a probe II'I,pected by _____________
hole intended to verify the extent of the bearing layer, serious construction Approved by _____________
problems can result from water infiltration. Probe holes are recommended
in the Chicago area only where soft layers are suspected underneath the bear-
ing layer of hardpan or hard clay, or when it is felt necessary to supplement
the original boring investigation. FIG. I6.-TYPICAL CAISSON INSPECTION FORM
With rock caissons, probe holes are definitely recommended in order to
determine if clay seams or seams of other soft materials exist in the rock important. Particular note should be made of water removal and cleanout pro-
close enough to the bearing level to affect the design of the caisson. From one cedures. No more than 1 in. to 2 in. of water should ever be permitted in the
to three probe holes are recommended depending upon the size of the caisson, bottom of the ciassons at the time of the concrete pouring. If the caisson has
the design bearing pressure, and the anticipated quality of the rock. The probe a pilot hole of dimension somewhat smaller than the shaft diameter (pilot hole
holes can be drilled with an air drill and should extend a minimum depth into penetration typically less than 12 in. below the overall bearing surface), the
the rock equal to the caisson shaft diameter. The rate of speed of air drilling amount of water at the time of pouring should not exceed that required to fill
should be noted by the inspector and the sides of the drill hole checked with a the pilot hole plus an additional 1/2 in. into the general bell area.
feeler rod to determine the location and size of cracks and clay seams. A re- The amount of soft material permitted in the hardpan caisson bell area af-
I~

i
I
438 February, 1971 SM 2 SM 2 CAISSON CONSTRUCTION 439
I
I ter cleanout should be very limited (a good cleanout should be required). A With both the use of temporary casing and permanent casing, it is essential
recommended requirement is that the leftover spoil should not cover more to select a casing thickness that will be safe from collapse due to soil and water
than 5 % of the bearing area. pressure. Because the critical buckling stress decreases with the cube of the
Inspection of construction procedures should include close inspection of the radius, it can be seen that the required shell thickness goes up rapidly with
method of casing withdrawal where casing is used and it is planned to recover increasing shaft diameters.
the casing. Prior to pulling the casing, sufficient concrete should be poured so Sound construction procedures call for adequate and proper dewatering of
that the head in the casing equals or exceeds the water pressure head. In ad- the caissons. However, care must be taken to avoid dewatering in such a way
dition, during the initial pulling stages of the casing, particular note should be as to wash out fines from the surrounding soil, thereby creating ground sub-
made of the level of concrete in the casing to be certain that the concrete does sidence at a later date. The inspector should check the water discharge from
not ride up with the casing as the casing is pulled. Casings must not be pulled the pumps periodically to determine the percentage of fines carried in the water.
after initial set of concrete. Sediment tanks with overflow weirs can be used for this purpose.
The caisson inspector should measure the plumbness of each caisson hole For those situations where volume of water is excessive and there is danger
and the alignment location and eccentricity. Plumbness can be checked with a of pumping too much fines out of the soil, and it is not possible to adequately
plumb line noting the deviation of the bottom with respect to the top (direction seal off the water, the use of tremie concrete can be considered. However, it
and magnitude). is essential that the caisson be filled with water to static level prior to com-
The alignment can be checked by determining the design center of the cais- mencing tremie concrete operations. Also, the end of the tremie concrete tube
son using string stretched tight from offset stakes. The eccentricity of the top should always be kept embedded in the fluid concrete and only withdrawn grad-
can then be measured and the location of the bottom with respect to the top ually as the concrete rises in the caisson.
checked with the plumb line.
The inspector should also check for proper safety precautions such as the
proper use of gas detection equipment, the use of hard hats in the caisson, and CONCLUSIONS
the availability of compressed air for blowing out a hole in the event gas de-
A general study of the problems of caisson constructed to hardpan and rock
velops where the possibility of such gas is expected.
in the Chicago area has been presented. Methods of exploration and investiga-
The inspector should maintain a check on the concrete quality by visually
tion of defective caissons have been outlined and correction measures have
checking each truck load of concrete deposited (preferably taking at least one
been suggested. The conclusions of this paper are summarized as follows:
cylinder from each truck load and one set of three from each caisson). The
inspector should watch the pouring operation to make certain that there is no
1. Despite the significant competitive success of the caisson foundation in
soil cave-in during the pouring operation and to make certain that no excess the Chicago area, there are inherent possible problems in construction of deep
water is added to the concrete merely to facilitate discharge of the concrete
caissons to hardpan and rock which can be avoided only by proper design and
from the trucks.
construction planning.
In order to make certain that there are no major voids in the caisson shaft,
2. Coring a caisson from the top to the bottom by a minimum 2 in. diameter
the quantity of concrete required to fill a caisson should be computed and com-
NX coredrill still remains the most economical and satisfactory means of in-
pared with the actual quantity required.
vestigating a caisson in place.
As a final check on the concrete, it is recommended that provisions be made
3. Complete investigation of a caisson can be done only by ajudicious com-
for spot-check coring as deemed necessary by the inspector. The most sus-
bination of more than one of the investigational methods outlined herein.
picious caisson should be selected for coring and if it proves sound, then good
4. Caisson defects that are found after construction can be satisfactorily
assurance is available that the concrete in the other caissons is also sound.
corrected, depending on the nature of the defect, by one of several methods,
Construction Procedure.-In order to insure a sound caisson, appropriate
including partial removal and replacement, added steel bars in grouted core
construction procedures must be followed with regard to the use of temporary
holes, and additional caissons with transfer girders.
casing, permanent casing, dewatering limitations, and the use of tremie con-
5. Adequate initial subsurface investigation, combined with rigid indepen-
crete. Temporary casing may be used whenever soil and water conditions are
dent inspection and testing during construction is the best possible way to en-
such that it is felt the caSing can be safely withdrawn without endangering the
sure sound caisson construction.
concrete through soil and water influx. Thus, the best location for temporary
casing procedures are in clay soils with little water movement.
Permanent casing should be used whenever there is question with regard to
the feasibility of removing the casing without contaminating the concrete from
soil and water influx. Permanent casing is recommended when there are sig- APPENDIX.-REFERENCES
nificant water bearing permeable layers with high water head. The new pro-
posed Chicago Building Code now permits incorporation of the steel caSing into
the structural design of the caisson and also permits using a higher allowable
stress in the concrete when it is protected with a permanent steel shell. I. Baltosser, R. W., and L~wrence, H. W., "Engineering Problems and Downhole Geological Solu-
 440 February, 1971 SM 2

tions," Fourth Annual Idea Conference, New Mexico Institute of Mining and Technology,
Socorro, New Mexico, May 3, 1968.
2. D'Esposito, J., "Foundation Tests by Chicago Union Station Co.," Western Society of Engi-
neers, Chicago, Illinois, March 6, 1922.

I'