Excavation Supervision Coursepack

EXCAVATION SUPERVISION
PROGRAMME
LEVEL 3
TABLE OF CONTENTS
1. HOW TO USE THIS GUIDE 3

2. ICONS 3
3. HOW YOU WILL LEARN 4
4. OVERVIEW OF THE MODULE 4
5. MODULE GRADING 4
SESSION 1: LEGAL RESPONSIBILITIES IN EXCAVATIONS 5

INTRODUCTION 6
EMPLOYER AND EMPLOYEE RESPONSIBILITIES IN EXCAVATION 7
WORKS
EMPLOYER SAFETY IN PROVISIONS LEGISLATIONS 10
CONSEQUENCES ON NOT ADHERING TO LEGISLATION 12
MANAGEMENT AND LEADERSHIP
SESSION 2: LEGAL RESPONSIBILITIES IN EXCAVATIONS 13

INTRODUCTION 14
EXCAVATION HAZARDS AND CONTROL MEASURES 15
EMERGENCY PROCEDURE IN EXCAVATION RELATED INCIDENT 25
POST –ACCIDENT PROCEDURES 27
SESSION 3: METHODS OF ACHIEVING HEALTH AND 27

IDINTIFING AREA REQUIRING SUPPORT 29
ALTANATIVE METHODS OF SUPPORTING EXCAVATION 35
METHODS OF PREVENTING OBSTRUCTLES FROM FALLING INTO 37
EXCAVATIONS
SESSION 4: ROLES AND RESPONSIBILITIES IN EXCAVATION HEALTH 38

AND SAFETY
INTRODUCTION 39
INSTALLING AND USING GUARD RAILS 40
STABILISING THE GROUND DURING EXCAVATION 40

PERSONAL PROTECTIVE CLOTHING IN EXCAVATIONS 42
DEMARCATING UNSAFE WORK AREAS 43
CONSEQUENCES OF UNSAFE WORK PRACTICES 44
REGULATING PEOPLE MOVEMENT AND ACCOUNTING FOR PEOPLE OF 45
AN EXCAVATION SITE
SESSION 5: CONDUCT SAFE WORK PRACTICES 46

INTRODUCTION 47
ERECTING SIGNS, BOARDS AND SCREENS 48
MONITORING AIR QUALITY 49
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Excavation Supervision Programme (2021)
1. HOW TO USE THIS GUIDE
This workbook belongs to you. It is designed to serve as a guide for the duration of your
training programme and as a resource for after the time. It contains readings, activities,
and application aids that will assist you in developing the knowledge and skills stipulated in
the specific outcomes and assessment criteria. Follow along in the guide as the facilitator
takes you through the material, and feel free to make notes and diagrams that will help you
to clarify or retain information. Jot down things that work well or ideas that come from the
group. Also, note any points you would like to explore further. Participate actively in the skill
practice activities, as they will give you an opportunity to gain insights from other people’s
experiences and to practice the skills. Do not forget to share your own experiences so that
others can learn from you too.
2. ICONS
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3. HOW YOU WILL LEARN
The programme methodology includes facilitator presentations, readings, individual
activities, group discussions, and skill application exercises.
4. OVERVIEW OF THE MODULE
This comprehensive module has been developed for students who desire to be effective
team leaders in their organisation. Inorder to equip this targeted group, this module was
designed in such a way that it begins from the basics of management (theory) until
application to practice.
5. MODULE GRADING
ASSESSMENT TOTAL MARKS WEIGHTING

Class Test 50 20%
Individual Assignment 60 20%
Summative assessment 100 60%
TOTAL 100%
Requirements for the Successful Completion of the Programme:

Learners must obtain a sub minimum of 40% for each of the above components.
To successfully complete this module, learners must achieve a final mark of 50%.
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SESSION 1: LEGAL RESPONSIBILITIES IN EXCAVATIONS
On completion of this section you will be able to explain the

legal responsibilities for Health and Safety when working in or
alongside excavations.
• Employee and employer obligations are described in terms

of statutory requirements. (SO 1, AC 1)
• The safety provisions of relevant legislation are explained
according to employment regulations. (SO 1, AC 2)
• The consequences of not adhering to legislation are
explained in terms of potential danger to workers, loss of
revenue and accountability (SO 1, AC 3)
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1.1. INTRODUCTION
Digging foundations and trenches for drains is one of the first jobs carried out on a
construction site, and unhappily for some it is the last that they carry out. Workers
with many years’ experience of excavation work are often deceived by the
appearance of ground which they are convinced will stand with little or no support,
for as long as they have to work in it. There is almost no ground which can be relied
upon to stand unsupported in all circumstances. Every year too many construction
workers are killed and maimed when part of inadequately supported excavations, in
which they are working, collapse. The risk is self-evident when you consider that one
cubic metre of soil can weigh as much as one tonne, and it is quite common for that
volume of soil to collapse into an unsupported excavation.
WORKING IN AND AROUND EXCAVATIONS

Work in and around any excavation is hazardous. Excavation and groundwork has a
poor accident record with an annual average of seven fatal accidents.
Many ground types are self-supporting to some extent, but a collapse can occur
without warning, resulting in a person being buried, trapped, crushed, or struck by a
heavy mass of soil or rock. Never underestimate the risks involved in working in
excavations. Over the years, many deaths have occurred in both shallow and deep
excavations.
Other factors connected with excavation work which have resulted in injuries and
deaths include:
• people being struck by material from the trench sides, spoil or stored
materials falling into excavations;
• site vehicles toppling or sliding into excavations, resulting in injury either to
excavation workers or vehicle operators;
• Unfenced excavations into which people have fallen;
• Contact with underground services, especially gas and electricity collapse of
structures which have been undermined by poorly supported excavation work.
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1.2. EMPLOYER AND EMPLOYEE RESPONSIBILITIES IN
EXCAVATION WORKS
The employer and the employee have certain responsibilities that they must adhere to when
working in or alongside excavations;
A. ROLES AND RESPONSIBILITIES OF THE EMPLOYER

The employer is usually regarded as the contractor. In terms of the construction regulations,
(1) A contractor shall ensure that all excavation work is carried out under the supervision of
a competent person who has been appointed in writing.
(2) A contractor shall evaluate, as far as is reasonably practicable, the stability of the ground
before excavation work begins.
(3) Every contractor who performs excavation work shall -
a) take suitable and sufficient steps in order to prevent, as far as is reasonably
practicable, any person from being buried or trapped by a fall or dislodgement of
material in an excavation;
b) not require or permit any person to work in an excavation which has not been
adequately shored or braced: ensure that no load, material, plant or equipment is
placed or moved near
c) the edge of any excavation where it is likely to cause its collapse and thereby
endangering the safety of, any person, unless precautions such as the provision of
sufficient and suitable shoring or bracing are taken to prevent the sides from
collapsing;
d) ensure that where the stability of an adjoining building, structure or road is likely to be
affected by the making of an excavation, the steps are taken that may be necessary
to ensure the stability of such building, structure or road and the safety of persons;
e) ascertain as far as is reasonably practicable the location and nature of electricity,
water, gas or other similar services which may in any way be affected by the work to
be performed, and shall before the commencement of excavation work that may
affect any such service, take the steps that may be necessary to render the
circumstances safe for all persons involved;
f) cause every excavation, including all bracing and shoring, to be inspected -
I. daily, prior to each shift;
II. after every blasting operation;
III. after an unexpected fall of ground;
IV. after substantial damage to supports; and
V. after rain,
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g) cause every excavation which is accessible to the public or which is adjacent to
public roads or thoroughfares, or whereby the safety of persons may be endangered,
to be -
i. adequately protected by a barrier or fence of at least one metre in height and
as close to the excavation as is practicable; and
ii. provided with warning illuminants or any other clearly visible boundary
indicators at night or when visibility is poor;
h) Ensure that all precautionary measures as stipulated for confined spaces as
determined in the General Safety Regulations promulgated by Government Notice
No. R.1031 of 30 May 1986, as amended, are complied with when entering any
excavation;
i) ensure that, where the excavation work involves the use of explosives, a method
statement is developed in accordance with the applicable explosives legislation, by
an appointed person who is competent in the use of explosives for excavation work
and that the procedures therein are followed; and
j) Cause warning signs to be positioned next to an excavation within which persons are
working or carrying out inspections or tests.
B. Responsibilities of employees
Employees Have the Responsibility to:

• Understand their assigned tasks relating to excavation safety.
• Apply the proper training and equipment to safely work in excavations and trenches.
• Assist with the assessment and the identification of excavation hazards.
• Comply with the directives of this policy
GENERAL DUTIES OF THE WORKER AS PER THE OHSA

It is the duty of the worker to:
• Take care of his or her own health and safety, as well as that of other persons who
may be affected by his or her actions or negligence to act. This includes playing at
work. Many people have been injured and even killed owing to horseplay in the
workplace, and that is considered a serious contravention
• where the Act imposes a duty or requirements on the worker to cooperate with the
employer
• give information to an inspector from the Department of Labour if he or she should
require it
• carry out any lawful instruction which the employer or authorised person prescribes
with regard to health and safety
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• comply with the rules and procedures that the employer gives him/her
• wear the prescribed safety clothing or use the prescribed safety equipment where it
is required
• report unsafe or unhealthy conditions to the employer or health and safety
representative as soon as possible
• If he or she is involved in an incident that may influence his or her health or cause
an injury, report that incident to the employer, and authorised person or the health
and safety representative as soon as possible, but no later than by the end of the
shift.
Section 14(a) of the act states that every employee will take responsibility for his own, and
the persons around him, health and safety. He will obey the health and safety rule laid down
by the employer. If any situation which is unsafe or unhealthy comes to his attention, he will
as soon as practicable possible, report such situation to his employer or to the health and
safety representative for his workplace, who shall report it to the employer;
Whenever an employee does or omits to do any act which would be an offence in terms of
OHSA, then the employer shall be deemed to have committed the offence; unless it is
proved that:
· The employee acted without its/their connivance or permission.
· It was not within the employee’s scope of authority.
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1.3. EMPLOYER SAFETY PROVISIONS IN LEGISLATIONS
The poor H&S performance record of the construction industry around the world has resulted
in H&S regulations being subjected to major revisions during the last three decades. The
primary objective of any H&S legislation is the prevention of accidents with their
consequences in terms of injury, disablement and fatality, and ill health within the work
environment.
SOUTH AFRICAN LEGISLATION AND THE CONSTRUCTION REGULATIONS

• The primary Acts that impact on construction H&S in South Africa are the
Occupational Health and Safety Act No. 85 of 1993 (OH&S Act) and the
complementary Compensation for Occupational Injuries and Diseases Act No. 130 of
1993 (COID Act).
• Major distinguishing characteristics of the OH&S legislative framework in South
Africa and particularly the Construction Regulations include:
✓ The redistribution of responsibility for construction H&S away from the contractor,
who was previously solely responsible, to include all participants in the
construction process from the client through to the final end-user.
✓ The compelling of H&S management as an obligation into the planning and
design of virtually all construction projects.
✓ Emphasis on the identification of construction hazards and the assessment of
risks to eliminate, avoid or, at the very least, reduce perceived risks.
✓ Consideration of H&S issues not just during the construction life of the project,
but from project inception through to the final demise of the facility by demolition,
including the operation, utilisation and maintenance periods.
GENERIC LEGISLATION
A range of other legislation impacts on the construction industry;
i) Basic Conditions of Employment Act No. 75 of 1997 as amended by the Basic Conditions
of Employment Amendment Act No. 11 of 2002:
• The intent of the Act is "to give effect to the right to fair labour practices" as referred
to in the Constitution and the International Labour Organization. The Act makes
several references to the H&S of (construction) workers.
For example:
• the regulation of working time "must be made with due regard to H&S of employees"
(Clause 7a-7c);
• in terms of Clauses 13.1 and 13.3 the maximum permitted hours of work may be
prescribed by the Minister of Labour on grounds of H&S; and
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• Clauses 17.3 (a-c) require employers to inform employees of any H&S hazards and
enable them to undergo medical examinations concerning those hazards at the
employers' account.
ii) Labour Relations Act No. 66 of 1995 as amended:

• The Act recognises the right of every worker to fair labour practices as advocated in
Section 14 of the Constitution and Participation in Decision-making in the Workplace.
• By implication, the effect of these provisions requires employers to provide working
environments and conditions that do not threaten the H&S of their workers which, if
they did, would constitute an unfair labour practice.
• Employers are required to inform their workers of anything that might affect their
working conditions, which by implication would include their H&S.
• The Act also allows for the promotion and establishment of training and education
schemes, which again by implication would include H&S training and education.
• Therefore, while the Act is silent with respect to be explicit or express reference to
H&S it is implied that H&S be considered as part of the creation and sustaining of
harmonious working relationships between employers and workers.
iii) National Building Regulations and Standards Act

• No. 103 of 1977: The National Building Regulations and Building Standards Act
No.103 of 1977 address a range of H&S issues relative to both the public and
workforce. Part E 'Demolition work', addresses inter alia, safety during demolition,
safeguarding of basements and prohibition of dangerous methods.
• Part F 'Site Operations' addresses a range of H&S issues, inter alia, protection of the
public, control of dust and noise, unstable soil conditions, builders' sheds, sanitary
facilities, waste material on site and cleaning of site.
• Part G 'Excavations' addresses inter alia, general stability requirement, and Part H
'Foundations', inter alia, unstable founding conditions2
REGULATORY ENFORCEMENT
The primary construction H&S regulatory and enforcement structures in South Africa are;
• OH&S Inspectorate: The OH&S Inspectorate is responsible for the enforcement of
the Occupational
• Compensation Commissioner: The Compensation Commissioner (CC) which is also
positioned within the DoL is responsible for the implementation of the Compensation
for
• Local Authorities: Many local authorities around the world have a direct impact on
construction H&S, quality, etc.
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1.4. CONSEQUENCES OF NOT ADHERING TO LEGISLATION
If an organisation fails to comply with OHS legislations there are a range of consequences.
These consequences can be financial, or human and can affect the employer, employee and
the community. Let’s look at the table below;
Consequences of
Human Financial Other Employer Employee Community
workplace
injuries
Increased taxes • •
Legal costs • •
Fines • •
Hospitalisation • • •
Medical expenses • • •
Loss of future earnings • •
Effect on family • •
Increased insurance • •
premiums
Replacement staff • •
Lost income after • •
suspension
Social welfare payments • •
Disruption to social and • •
recreational activities
Prohibition order • •
Psychological stress • •
Emotional stress • •
Bad publicity • •
Ongoing pain and • •
discomfort
Loss of morale • •
Lost production
Investigation by DoL • •
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SESSION 2 : LEGAL RESPONSIBILITIES IN EXCAVATIONS
On completion of this section you will be able to identify unsafe

working conditions relating to excavations.
❖ Hazards are identified and controlled in accordance with

the site safety requirements and relevant legislation. (SO
2, AC 1)
❖ Procedures for avoiding accidents are described in terms of
company policy. (SO 2, AC 2)
❖ Emergency procedures are identified and described in
terms of actions required. (SO 2, AC 3)
❖ Post-accident procedures are identified and complied with
in accordance with relevant legislation and standard
operating procedures. (SO 2, AC 4)
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2.1 INTRODUCTION
The law says you must prevent danger to workers in or near excavations. To maintain the
required precautions, a competent person must inspect excavation supports or battering at
the start of the working shift and at other specified times. No work should take place until the
excavation is safe.
Commercial clients must provide certain information to contractors before work begins. This
should include relevant information on:
• Ground conditions
• underground structures or water courses; and
• The location of existing services.
• This information should be used to during the planning and preparation for
excavation work.
Every year people are killed or seriously injured by collapses and falling materials while
working in excavations. They are at risk from:
• Excavations collapsing and burying or injuring people working in them;

• material falling from the sides into any excavation; and
• People or plant falling into excavations.
Remember:
• No ground can be relied upon to stand unsupported in all circumstances.

• Depending on conditions, a cubic metre of soil can weigh in excess of 1.5 tonnes.
Trenchless techniques should always be considered at the design stage as they replace the
need for major excavations.
Underground and overhead services may also present a fire, explosion, electrical or other
hazard and will need to be assessed and managed.
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2.2 EXCAVATION HAZARDS AND CONTROL MEASURES
We shall look at unsafe work hazards relating to excavations and how these hazards can be
controlled.
2.2.1 GROUND MOVEMENT OR CAVE-INS

Excavations in cohesive soils and in weak rock may stand unsupported for periods ranging
from 30 seconds to 30 days. But beware, they are not safe places to work for there is no way
of knowing when excavations in ground of this nature will collapse, possibly with fatal
consequence. (See Figure A below).
Figure A Figure B
• Cohesive stiff or very stiff clays may be adequately supported by open or ‘hit and
miss’ trench sheeting where alternate trench sheets are omitted.
• Care is necessary when excavating rock which may be fractured, to ensure that
loose blocks do not fall from the excavated face, especially where bedding planes dip
towards the excavation (see Figure that follows).
The following factors increase the risk of collapse of excavation sides:

• loose, uncompacted, granular soils, i.e. sand or gravel, or mixtures containing them;
• excavations through different strata, e.g. a weak layer lower down in an excavated
face can undermine more stable layers above, such as layers of sand or gravel in
otherwise stiff clays; !
• the presence of groundwater, and the effect on the excavation sides from surface
water running into the excavation;
• made-up ground, such as loosely consolidated fill material, old refuse tips, etc;
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• proximity to earlier excavations;
• loose blocks of fractured rock;
• weathering, eg rain, drying out, freeze/thaw effects;
• vibration from plant, equipment, road or rail traffic;
• surcharging by spoil, stored materials or plant including vehicles
• proximity of loaded foundations;
• damage to the support system by personnel, or when materials are lowered into the
excavation;
• Undercutting of the road pavement structure or kerbs and gulhes.
Surcharging
Surcharging is the term used to describe any load applied to the ground by plant, stored
materials, spoil or structures. Surcharging adjacent to an excavation will increase the
horizontal load on the excavation sides.
To reduce the risk of collapse from surcharging, ensure that:

• Spoil from excavations is placed away from the side of an excavation, preferably by a
distance of 1.5 m. Where the excavation depth exceeds 1.5 m, this distance needs to
equal the depth of the excavation. Boulders need to be pushed into the spoil heap
with the excavator bucket;
• vehicle routes are planned and suitable barriers installed to maintain a safe distance
from the excavation edge;
• temporary support is strengthened where buildings and other structures will create a
surcharge, to take account of the additional loading to the ground;
• Additional temporary support is provided for work on sloping sites where there is
surcharging on the uphill side of the excavation.
A builder was struck and injured by a quantity of earth which fell from the side wall of a 1.4 m
deep excavation cut into a small bank. The bank rose 600 mm above general ground level
and acted as a natural surcharge.
General methods of managing excavation hazards

1. Managing Ground and surface water
• Depending on the permeability of the ground, water may flow into any excavation
below the natural groundwater level.
• The supports to the side of the excavation should be designed to control the entry of
groundwater and the design of support works should take any additional hydrostatic
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loading into account. Particular attention should be given to areas close to rivers,
lakes and sea.
• Water entering the excavation needs to be channelled to sumps from where it can be
pumped out; however, the effect of pumping from sumps on the stability of the
excavation should be considered.
• In ground where de-watering techniques may not be appropriate, other methods of
controlling the flow of groundwater could be considered. Such methods include
ground freezing and providing an impermeable barrier by injecting grouts to fill the
pore spaces, fissures or cavities close to the excavation.
2. Managing stability of adjacent structures and services

Whenever an excavation is to be carried out close to services or existing buildings or
structures, including earthworks such as railway embankments, care should be taken to
ensure that the services or foundations of such buildings or structures are not disturbed or
undermined
3. Battering and stepping

Any unsupported excavation will be safe without support only if its sides are battered back
sufficiently, or if the excavation is in sound rock. Battering back the sides of an excavation to
a safe angle is an acceptable means of preventing instability. In many situations this is the
simplest and safest way of ensuring stability and should receive first consideration. In
granular soils the angle of slope should be less than the natural angle of repose of the
material being excavated. In wet ground a considerably flatter slope will be required.
4. Proprietary systems
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The use of proprietary ground support systems offers advantages over traditional systems.
Such advantages include:
• the ease and improved safety of installation: operatives can install most proprietary
ground support systems without the need to enter the excavation;
• systems are available to suit a wide range of applications;
• increased working space for ease of excavation and pipe laying;
• The availability of technical advice on selection, installation and use.
Proprietary ground support equipment always needs to be installed, removed and stored
when not in use in accordance with the manufacturer’s instructions.
The following types of proprietary ground support equipment are available:

a) Hydraulic walling frames comprise two steel or aluminium beams braced apart by
struts containing integral hydraulic rams. They can be used for close or open
sheeting applications in trenches and for supporting close sheeting in deep
excavations for which frames at various levels may be required (see Figure).
b) Manhole shores are four-sided adjustable frames with integral hydraulic rams and
are intended for supporting excavations for manholes, foundations: small tanks and
pits and similar structures. Waling frames and manhole shores should be supplied
complete with chains or other means by which they can be hung from the sheeting or
from other frames (see Figure).
c) Trench boxes consist of modular side panels

strutted apart by adjustable struts to suit the
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width of trench. Their height can be increased by the addition of extension panels.
The location of the struts is variable within limits, depending on the ground clearance
required. The lower edges of the side panels are tapered to form a cutting edge (see
Figure).
d) Drag boxes comprise two flat-bottomed side

panels with tapered cutting edges to their
leading ends. They are braced apart by
tubular struts, the leading strut being specially
strengthened to allow for the dragging of the
box by the excavator. As the box is dragged
forwards the excavation behind it is left open.
e) Slide-rail systems comprise vertical slide rails

strutted apart by adjustable tubular struts
with modular side panels for ground support
located in the rails. The rails are usually long
enough to hold two or three side panels in a
stack. Slide-rail systems provide continuous
protection and are suitable for poor ground
conditions and deep excavations. They are
suited to greenfield sites but lack the
flexibility to deal with service crossings within an excavation. They provide protection
for the workers within them but do not prevent ground movement behind the side
panels. Additional support may be required at stop ends.
The use of all box systems is limited to locations which are free of buried obstructions.
Boxes provide protection to people working inside them but they do not prevent ground
movement as they do not necessarily provide support to excavations.
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2.2.2 Falls into excavations
People
The top of an excavation presents a fall risk to people close by. All excavations more than 2
m deep should be provided with suitable barriers, unusually comprising guard and
intermediate rails and toeboards. Guard-rail assemblies can be fabricated which either
connect to trench box sides and can be easily lifted on and off, or which can be inserted into
the ground immediately next to the supported excavation side.
Where there is a fall risk of less than 2 m but an additional hazard caused, for example, by
standing water or by reinforcing bars projecting upwards, the same standard of fall protection
should be provided.
Edge protection can be achieved in alternative ways if use is made of the support system
itself, for example using trench box extensions or trench sheets longer than the trench depth.
A worker sustained back injuries when he fell 3.6 m into an excavation. provided with trench
sheeting. Two-metre high panels of weld mesh fencing had been placed around the
excavation to keep trades other than ground workers away from it but these had been
partially removed to allow the passage of an excavator. After ascending the ladder access,
the worker tripped over a cable near the excavation edge and fell. The fencing provided was
not adequate to prevent the risk of the ground workers falling.
Jumping or stepping over a trench can be dangerous. Where necessary access ways of at
least 600 mm width, with edge protection, should be provided. The need to cross trenches
can be reduced by limiting the length of trench left open.
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• Where excavations are necessary in areas normally accessible to the public,
precautions are required to ensure public safety, particularly of children, and those
with impaired mobility or sight.
• Barriers provided should be constructed to the standard outlined in paragraph 58.6
As a minimum, signing and barriers should be provided at road and street works.
• Fencing or hoarding may be required where it is necessary to prevent unauthorised
access to a site as a whole or where factors such as volume of pedestrian traffic or
depth of excavation are apparent. Risk assessment should determine the measures
necessary.
Entry and exit

• A safe means to enter and exit an excavation should be provided.
• Serious injuries have occurred when workers have fallen from props that form part of
the ground support when these have been used to climb in and out of the excavation.
This practice also carries risk of disturbance to, and weakening of, the support.
• Ladders should be positioned within the excavation at a height: base ratio not flatter
than 4:l and secured by tying at the upper end to prevent slipping.
• Ladders should be positioned where they will not be damaged by plant or from
materials-handling operations.
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2.2.3 MATERIAL FALLING INTO THE EXCAVATION
Plant
• Heavy plant toppling into an excavation can cause serious injury to those working
within it and to the plant operator.
• Vehicle routes should be carefully planned so that plant does not have to approach
close to the edge of an excavation.
• These routes need to be clearly marked, for instance with baulks of timber and/or
fencing.
• If plant, such as dumpers or excavators, is used to tip material into an excavation,
properly secured stop blocks should be provided to prevent accidental overrunning.
If shallow excavations have not been shored, plant positioned close to the edge may result
in collapse, causing the plant to move unexpectedly and injuring the operator or others close
by. Use of plant in this way should either be avoided or trench support provided, however
shallow the excavation.
A ground worker was injured while backfilling an 850 mm depth trench with pea gravel in
which a 150 mm pipe had already been laid. A backhoe loader was being used to place the
pea gravel, directed by a ground worker standing just to the right-hand edge of the machine.
After the load was released, one of the machine’s front wheels slipped into the trench as the
side gave way and in doing so trapped the ground worker against the other side of the
trench. No stop blocks or temporary support had been provided and the ground - worker was
standing in an unsafe position.
Materials
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• Workers will be at risk of injury from spoil or stored materials falling into excavations
from the surface unless careful control is exercised.
• Spoil, equipment and materials should be positioned away from the excavation edge
and any edge protection include toeboards or other means such as projecting trench
sheet or box sides. Head protection should be worn.
Lifting plant
• Many items of ground support equipment and drainage/pipework materials are
beyond the lifting capabilities of workers. In these cases manual handling
assessments, will identify the need for slinging and mechanised lifting.
• Lifting operations are potentially high risk, and demand high safety standards.
Contractors need to:
✓ select suitable lifting plant, taking account of ground conditions and the
loads/radius anticipated;
✓ position lifting equipment to avoid imposing undue additional loading on the
ground immediately adjacent to the excavation;
✓ ensure that each large item of ground support equipment, such as a box, is
clearly marked with its self-weight;
✓ Ensure lifting operations are properly planned, supervised, and carried out.
2.2.4 INHALATION OF GASES

Consideration should be given to the potential presence, within excavations, of fumes which
can cause asphyxiation and/or poisoning. The products of combustion can seep into and
collect within trenches if petrol or diesel engine equipment is sited close to the top. (Such
equipment should never be taken into an excavation.)
Ground such as chalk or limestone in contact with acidic groundwater can liberate carbon
dioxide. Glauconitic sand (eg Thanet sand) can oxidise, causing oxygen deficiency. Gases
such as methane or hydrogen sulphide can seep into excavations from contaminated ground
or damaged services in built-up areas.
The assessment carried out before work commences needs to identify the risk of toxic gas,
oxygen deficiency, and fire or explosion. It should also identify the appropriate risk control
measures required, such as:
• type of gas monitoring equipment to be provided;
• testing of the atmosphere before entry into the excavation;
• provision of suitable ventilation equipment;
• training of employees;
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• use of a sufficient number of people including one at ground level;
• Procedures and equipment needed for an emergency rescue.
Chemical contaminants
Health risks can arise through contact with ground contaminated during previous industrial
use or landfill. Excavations near the site of current or former industrial processes such as
chemical works, gas works, steel works or foundries and domestic or industrial waste tips
and landfill areas are likely to be in contaminated ground which could contain, for example,
asbestos, coal-tar residues, lead alkyls or mercurial compounds.
The pre-tender health and safety plan needs to detail the hazards likely to be encountered
as identified during site investigation and soil sampling. The principal contractor’s
construction phase plan should describe how the risks will be dealt with.
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2.3 EMERGENCY PROCEDURES IN EXCAVATION RELATED
INCIDENTS
Workplaces need a plan for emergencies that can have a wider impact. Special procedures
are needed for emergencies such as serious injuries, explosion, flood, electrocution, fire,
release of radioactivity.
Quick and effective action may help to ease the situation and reduce the consequences.
However, in emergencies people are more likely to respond reliably if they:
• are well trained and competent
• take part in regular and realistic practice
• have clearly agreed, recorded and rehearsed plans, actions and responsibilities
Write an emergency plan if a major incident at your workplace could involve risks to the
public, rescuing employees or co-ordinating emergency services.
Where you share your workplace with another employer you should consider whether your
emergency plans and procedures should be co-ordinated.
Points to include in emergency procedures
• Consider what might happen and how the alarm will be raised. Don’t forget night and
shift working, weekends and times when the premises are closed, e.g. holidays
• Plan what to do, including how to call the emergency services. Help them by clearly
marking your premises from the road. Consider drawing up a simple plan showing
the location of hazardous items
• Decide where to go to reach a place of safety or to get rescue equipment. You must
provide suitable forms of emergency lighting
• You must make sure there are enough emergency exits for everyone to escape
quickly, and keep emergency doors and escape routes unobstructed and clearly
marked
• Nominate competent people to take control (a competent person is someone with the
necessary skills, knowledge and experience to manage health and safety)
• Decide which other key people you need, such as a nominated incident controller,
someone who is able to provide technical and other site-specific information if
necessary, or first-aiders
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• Plan essential actions such as emergency plant shutdown, isolation or making
processes safe. Clearly identify important items like shut-off valves and electrical
isolators etc.
• You must train everyone in emergency procedures. Don’t forget the needs of people
with disabilities and vulnerable workers.
• Work should not resume after an emergency if a serious danger remains. If you have
any doubts ask for assistance from the emergency services
NB
Every organisation must have a company policy that must be followed in the case of
accidents.
A. PROCEDURE FOR INJURY ON THE JOB.

1. Lead person immediately takes charge
2. Supervise and administer first aid as you wish (Good Samaritan Law applies).
3. Arrange for transportation (ambulance, helicopter, company vehicle, etc.),
depending on the seriousness of the injury. Protect the injured person from further
injury.
4. Notify management e.g. safety manager, if not already present.
5. Do not move anything unless necessary, pending investigation of the incident.
6. Accompany or take injured person(s) to doctor, hospital, home etc. (depending on
the extent of injuries).
7. Remain with the injured person until relieved by other authorized persons (manager,
EMT, doctor, etc.).
8. When the injured person’s immediately family is known, the supervisor should
properly notify family members, preferable in person, or have an appropriate person
do so.
B. GENERAL PROCEDURES IN AN EMERGENCY
The following list covers basic actions to take in an emergency. These steps apply to
almost any emergency and should be followed in sequence.
• Stay calm.
• Assess the situation.
• Take command.
• Provide protection.
• Aid and manage.
• Maintain contacts.
• Guide emergency services.
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2.4 POST- ACCIDENT PROCEDURES
Post-accident or disaster response plans will vary by trade and size of the company. But,
every contractor’s plan should contain the following:
I. Accident Investigation. Contractors should have a checklist or formal procedure for
investigating an accident. The two goals of the investigation are to determine the cause
and implement corrective action.
II. Written Accident Response Plan. This is the “To Do” list after an accident. A few
items include: A list of agencies and emergency personnel who should be contacted;
An evacuation policy; Procedure to secure the accident scene and account for
employees; A log of telephone calls and actions taken post-accident; A procedure to
preserve physical evidence, documents and electronically stored information;
III. Public Relations. Contractors should have procedures in place to control what
information gets out and how it gets out. The plan should appoint a single individual to
serve as the company’s spokesperson.
IV. Expert Retention. Depending on the severity of the accident, you may consider hiring
an expert to assess and analyze the situation. These experts should be considered and
evaluated well before any accident so that they can be retained and on site
immediately.
V. Accident or disaster response plans are an important and every contractor should have
one in place to effectively respond to an accident.
EXAMPLE
• Post Accident Investigative Tasks 
• Contact your company attorney if warranted 
• Research any prior OSHA violations that could be connected to the current accident
• Obtain OSHA investigation reports and related documents
• Document any prior similar job site incidents
• Record any equipment warnings and get copies of equipment manuals
• Obtain copies of construction or job site blueprints or other specifications
• Obtain local building permits or related inspection reports
• Gather copies of contracts between you and all other involved parties, including subcontractor
agreements, indemnity agreements, and certificates of insurance
• Obtain copies of accident/police/fire reports
• Maintain copies of job site progress or accident site photographs or videos
• Obtain copies of any witness statements
• Prepare copies of all daily logs of job site activity  Obtain copies of safety meeting records from
all involved parties
SESSION 3 : METHODS OF ACHIEVING HEALTH AND

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SAFETY IN EXCAVATIONS
On completion of this section you will be able to determine

methods of achieving health and safety when working in or
alongside excavations
❖ Work areas requiring support are identified in accordance

with relevant legislation. (SO 3, AC 1)
❖ Methods of supporting ground are identified in accordance
with the type of ground and depth of excavation. . (SO 3,
AC 2)
❖ Alternative methods of providing support to excavations are
identified and explained in terms of advantages and
disadvantages. (SO 3, AC 3)
❖ Methods of preventing obstacles from falling are identified
and explained in terms of safe work practices. . (SO 3, AC
4)
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3.1 IDENTIFYING AREAS REQUIRING SUPPORT
• Excavation support refers to an engineered solution designed to stabilize an

excavation. Excavation support is generally required for excavations in excess of 6 ft
or excavation that are not sloped.
• Excavation support for deep excavations refers to the additional bracing that is
required to stabilize a retaining wall such as a sheet pile when excavation gets
typically deeper than 10 to 14 ft. Such excavation support systems comprise
tiebacks, cross-lot steel struts, rakers, helical anchors, and top-down concrete slabs.
When excavations have the potential to endanger lives or adjacent properties, bracing to
support the soil must be designed. The Occupational Safety and Health Act (OSHA) requires
that all trenches exceeding 5 feet in depth be shored.
In large construction areas, excavation walls may be sloped, instead of providing structural
support. Slope failure occurs when driving forces exceed the resisting forces.
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Shallow Trenches
• The primary function of any trench support method is to protect people from caving
ground.
• The secondary function is to provide support to nearby structures and allow
equipment access to the work.
• There is no “one-size-fits-all” solution to the process of selecting and designing a
trenching support method. The first steps are to read the plans, specifications and
geotechnical reports to understand the constraints and conditions that will be
encountered.
• Where the soil will not remain open
without caving, a form of trench support
can be utilized. Temporary support
methods such as trench boxes or
hydraulic shoring have been utilized.
• Trench boxes are generally used in
open areas, it is a structure that
supports the sides of an excavation and
is designed to prevent cave-ins (Figure).
• Trench boxes are different from shoring because, instead of shoring up or otherwise
supporting the trench face, they are intended primarily to protect workers from cave-
ins and similar incidents.
For most shallow trenches

bracing system should be
used. For the utility trench
excavations, cross-trench
bracing is used, but it
somewhat restricts the work
area. Figure shows three
types of bracing systems for
shallow cuts.
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Deep Cuts
• Excavation depths exceeding 10 to 20 feet, require specialized planning for support.
Lateral earth pressure is proportional to the vertical pressure. As a cut is made, the
soil at the face tend to expand and move into the cut area.
• If a support is placed against the excavation surface to prevent the soil movement,
then the pre-excavation stress is maintained.
Soldier beam and lagging

• Soldier piles or soldier beams are H-piling set in predrilled holes around the periphery
of an excavation.
• Predrilling as opposed to driving is used to provide close control of alignment and
location.
• These piles are then grouted in place with weak concrete.
• Lagging is the timber placed horizontally between the soldier piles to retain the soil
behind the excavated area. Pairs of soldier beams are driven to a depth slightly
below the final excavation.
• Their spacing is in the order of 6 to 10 feet so that available timber can be used for
lagging. The lagging timber, which is slightly shorter than the spacing but on the
order of 2 to 4 inches thick, are installed behind the front flange to retain the soil as
excavation proceeds. Some hand excavation is usually required to get the lagging
into the place. Figure illustrates the method graphically.
• Soldier piles are installed with conventional pile-driving equipment or in augured

holes. The horizontal sheeting or lagging is installed behind the flange closest to the
excavation (inside flange).
• The sheeting can be installed on the inside face of the front flange and held in place
by various methods such as clips, welded studs, or bars, etc. Figure shows two
photos of excavation supports using soldier beam and lagging. The soldier pile and
lagging method is inappropriate for perfectly cohesionless soil. For cohesionless soils
sheeting must be used.
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Figure below is a photo of excavation support system for the Getty Center art museum
garage in Los Angeles, California. The excavation is about 75 feet deep. The sides of the
excavation are supported by soldier piles and lagging. The corners were supported by
corner braces.
Soil Nailing
• Soil Nailing is an in situ reinforcing of the soil while it is excavated from the top down.
An array of soil nails which are passive inclusions are installed in a grid that functions
to create a stable mass of soil.
• This mass of reinforced soil functions to retain the less stable material behind it. In
the right soil conditions, soil nailing is a rapid and economical means of constructing
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excavation support systems and retaining walls. In many applications soil nailing can
be the least disruptive way to construct a retaining wall.
Construction of an underground laboratory at the UC Berkeley, required temporary shoring

on all four sides of the excavation.
Eight rows of soil nails were designed to support the excavation.
Excavation Bracing
For narrow excavations, internal struts are most appropriate. Before struts are installed, a
horizontal member called water is placed against the soil support. Intermediate struts are
then installed from water to water across the excavation. Figure shows an schematic sketch
of the system.
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For very wide excavations, raker bracing is used. The support for the rakers (driven piles or
footings- Figure) are installed at the bottom of the excavation.
Construction of the soil support and removal of the remainder of the excavation then begins.
Compared to cross-lot bracing, in raker bracing system the central portion of the work area is
relatively uncluttered.
Tieback Systems
Anchors or tiebacks eliminate
obstructions in the excavation
inherent in rakers or struts.
Tieback systems are generally
very successful in preventing
movements of the excavation
walls. Usually, the excavation wall
is left in place after the permanent
construction inside the braced excavation is complete. It is often used as the back form for
the permanent basement of the structure (Figure). Tiebacks, if left in place, are always cut to
relieve tension when the permanent structure can safely carry the load.
3.2 ALTERNATIVE METHODS OF SUPPORTING EXCAVATIONS

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When working in much larger excavations such as reservoirs, single-sided supports may be
used with some degree of safety. Two main types of support are available:
• traditional raker shores with walrus and sheet piles
• Self-supporting driven sheet piles.
Both these types of support need specialist design by competent engineers in order to
calculate loadings and to determine the safety factors.
Battering or stepping
By battering back – or stepping – an excavation, the likelihood of an accident is reduced
significantly, provided the correct angles are maintained. All soils have a safe angle of
repose and under normal conditions should be self-supporting. Safe angles of different soils
and materials are likely to be:
All excavations 20 feet or less in depth made in layered soils shall have a maximum
allowable slope for each layer as set forth below.
B OVER A
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C OVER A
C OVER B
A OVER B
A OVER C
B OVER C
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3.3 METHODS OF PREVENTING OBSTRUCTLES FROM FALLING
INTO EXCAVATIONS
Every year people are killed or seriously injured by collapses and falling materials while
working in excavations. They are at risk from:
• Excavations collapsing and burying or injuring people working in them;
• material falling from the sides into any excavation; and
• People or plant falling into excavations.
A. Materials Falling into Excavations

• Do not store spoil or other materials close to the sides of excavations. The spoil may
fall into the excavation and the extra loading will make the sides more prone to
collapse.
• Make sure the edges of the excavation are protected against falling materials.
Provide toe boards where necessary.
• Wear a hard hat when working in excavations.
B. People falling in excavations

Edges of excavations should be protected with substantial barriers where people are liable
to fall into them.
To achieve this, use:
• Guard rails and toe boards inserted into the ground immediately next to the
supported excavation side; or
• fabricated guard rail assemblies that connect to the sides of the trench box
• The support system itself, eg using trench box extensions or trench sheets longer
than the trench depth.
C. Vehicles Falling into Excavations

• Take steps to prevent people falling into excavations. For any excavation
consideration must be given to providing substantial barriers, e.g. guard rails and toe
boards.
• Keep vehicles away from excavations wherever possible. Use brightly painted baulks
or barriers where necessary.
• Where vehicles have to tip materials into excavations, use stop blocks to prevent
them from over-running. Remember that the sides of the excavation may need extra
support.
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SESSION 4 ROLES AND RESPONSIBILITIES IN
EXCAVATION HEALTH AND SAFETY
On completion of this section you will be able to undertake

responsibility for safety of self and others.
❖ Ground is supported to ensure stability for the duration of

the work. (SO 4, AC 1)
❖ Personal protective equipment is selected and used
according to manufacturers' specifications and the work
functions to be performed. . (SO 4, AC 2)
❖ Consequences of not correctly wearing personal protective
equipment are explained in terms of potential injury to self
and others (SO 4, AC 3)
❖ Consequences of unsafe working practice are explained in
terms of potential harm to self and others. . (SO 4, AC 4)
❖ The unsafe work area is clearly demarcated in terms of
site-specific access requirements. (SO 4, AC 5)
❖ Movements and whereabouts of others on the worksite are
accounted for to enable the necessary actions to be taken
in case of emergency. (SO 4, AC 6)
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4.1 INTRODUCTION
All employees must work in compliance with the Occupational Health and Safety Act and
Regulations, as well as company health and safety policy.
This includes the following:
• Follow all procedures;
• Wear and use equipment, protective devices and clothing as required by

the employer.
• Report any defects in equipment or protective device of which the worker

is aware of, and which may endanger themselves or any other worker, to
their employer or supervisor.
• Decline to operate any machinery or equipment without proper

instructions as to safety; o Report to the supervisor or employer, any
contravention of the OH&S Act and Regulations or the existence of any
hazard of which he/she knows.
• Maintain a safe work environment free from unnecessary conduct and

behaviour as defined in the OH&S Act and Regulations.
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4.2 STABILISING THE GROUND DURING EXCAVATION
It is the role of the employee to ensure that proper ground support is installed before the
commencement of work in excavations. Remember, deep excavation, unlike a shallow one,
often requires to protect the sides of cut using suitable support. Besides, the problem of
ground water cannot be avoided. There are methods to overcome this, such as:
Dumpling method
• This is used where there are buildings or street in the proximity.
• The method is to construct a series of retaining wall in trench, section by section,

around the site perimeter, leaving a centre Called "dumpling" When the perimeter
walls are in place, excavation may start at the centre of the dumpling, until exposing
a section of the wall.
Diaphragm walling
• This method need to construct a R.C. retaining wall along the area of work. Because
the wall is designed to reach very great depth, mechanical excavating method is
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employed. Typical sequence of work includes: a) Construct a guide wall b)
Excavation for the diaphragm wall c) Excavation support using bentonite slurry d)
Inert reinforcement and concreting
• Construct a guide wall – guide wall is two parallel concrete beams running as a guide
to the clamshell which is used for the excavation of the diaphragm wall. Excavation
for the diaphragm wall – In normal soil conditions excavation is done using a
clamshell or grab suspended by cables to a crane. The grab can easily chisel boulder
in soil due to its weight.
• Excavation support – excavation for the diaphragm wall produces a vertical strip in
soil which can collapse easily.
Using cofferdams
A cofferdam may be defined as a temporary box structure constructed in earth or water to

exclude soil or water from a construction area, such as for foundation or basement works.
Ground anchor
Ground anchor is basically a pre-stressing tendon embedded and anchored into soil or rock
to provide resistance to structural movements by a “tying back" principle. Common
applications are :
1. General slope stabilization
2. Tying back/stabilizing a retaining structure
3. Tying back/stabilizing for diaphragm walls, but for a temporary nature during excavation
4. Tying back the entire building from up possible uplifting
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4.3 PERSONAL PROTECTIVE CLOTHING IN EXCAVATIONS
Personal protective equipment (PPE) is anything used or worn by a person to minimise a risk to
the person's health or safety.
Eye and Face Protection

▪ Safety glasses or face shields are worn any time work operations can cause foreign
objects to get in the eye.
▪ Eye and face protectors – select based on anticipated hazards.
Foot Protection
▪ Construction workers should wear work shoes or boots with slip-resistant and
puncture-resistant soles.
▪ Safety-toed footwear is worn to prevent crushed toes when working around heavy
equipment or falling objects.
Hand Protection
▪ Gloves should fit snugly.
▪ Workers should wear the right gloves for the job (examples: heavy-duty rubber
gloves for concrete work; welding gloves for welding; insulated gloves and sleeves
when exposed to electrical hazards).
Head Protection
▪ Wear hard hats where there is a potential for objects falling from above, bumps to the
head from fixed objects, or of accidental head contact with electrical hazards.
▪ Hard hats – routinely inspect them for dents, cracks or deterioration; replace after a
heavy blow or electrical shock; maintain in good condition.
Hearing Protection
▪ Use earplugs/earmuffs in high noise work areas where chainsaws or heavy
equipment are used; clean or replace earplugs regularly.
Respirator use
• Respirators are designed to protect us against specific atmospheric hazards when
other protection is inadequate or unavailable.
• Before using a respirator, you must be trained and authorized. Before training, you
must exhibit the potential ability to use this equipment.
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4.4 DEMARCATING UNSAFE WORK AREAS
Unsafe work areas must be clearly demarcated. One way to demarcate unsafe work areas is
to use barricades, and signs
1. Barricades
Barricades are something you see everywhere you go - from banks to furniture stores to
factories. They can be as simple as rope strung across an opening, or a welded framework
protecting people from an open manhole. Most of these barricades are just guides to
maintain an orderly flow, such as poles with banners connected together in a bank. Other
barriers warn people to stay out of potentially dangerous situations, such as road cones at a
construction site.
Exposed wires, moving machinery and high temperature valves are just a few of the
potential dangers requiring barricades.
Barricades are constructed

• to provide a visual barrier;
• to restrict access to unauthorized persons to worksites and restricted areas;
• to contain equipment and materials;
• to prevent interaction with an identified hazard;
2. Signage
• Signs that demarcate unsafe work areas must be used. But it must be noted that,
Personnel should know the meaning of symbolic, safety and road signs, and take
appropriate actions as required.
• Signs should be located where the messages are legible, and so that they attract the
attention of, and are clearly visible to all concerned.
• They should be mounted as close as practicable to the observers’ line of sight and
positioned so as to give the viewer ample time to heed the warning.
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4.5 CONSEQUENCES OF UNSAFE WORK PRACTICES
Unsafe work practices can result in hazards that have a range of consequences. Hazards
involving excavations, in particular trenches, can lead to serious incidents involving workers
at construction sites.
Cave-ins
• Workers can be critically injured or die in cave-ins. Many cave-ins occur on small
jobs of short duration, such as water, gas, electrical and sewer line connections.
• Employers, supervisors and workers must follow the requirements set out in
the Occupational Health and Safety Act (OHSA) and Construction Regulations.
More hazards
• falls into trenches or excavations
• tripping over equipment, debris and spoil
• excavated material or other objects falling on workers
• exposure to underground services or overhead electrical cables
• unstable adjacent structures
• mishandled or poorly placed materials
• hazardous atmosphere (noxious gases/lack of oxygen)
• toxic, irritating or flammable and explosive gases
• incidents involving vehicles and other mobile equipment.
Unsafe work practices are responsible for all types of injuries. Poor conditions could cause
slips or trip-and-fall accidents, and other mishaps that can have a lasting impact on an
employee’s physical and mental well-being.
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4.6 REGULATING PEOPLE MOVEMENT AND ACCOUNTING FOR
PEOPLE OF AN EXCAVATION SITE
It is important to keep a close eye on people movement at an excavation construction site.

Regulation of people movement will assist in cases of emergency. Maintain a register which
shows;
• Who is doing what?
• For how long
Name Activity Location Time
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SESSION 5: CONDUCT SAFE WORK PRACTICES
On completion of this section you will be able to conduct safe

work practices.
❖ Guard rails are installed and used as required in terms of

site and legislative requirements. (SO 5, AC 1)
❖ Signs, boards and screens are erected and used according
to legislated requirements. (SO 5, AC 2)
❖ Walkways and access paths are kept clear of obstructions
in accordance with safety requirements, standard operating
procedures and current, relevant legislation. (SO 5, AC 4)
❖ Air quality is monitored and procedures are implemented to
ensure safe operation where air quality is poor. (SO 5, AC
5)
❖ Support systems are removed after completion of work in
accordance with safe working practices. (SO 5, AC 6)
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5.1 INSTALLING AND USING GUARD RAILS
Where workers on a construction site are exposed to vertical drops of 6 feet or more, OSHA
requires that employers provide fall protection in one of three ways before work begins:
▪ Placing guardrails around the hazard area.
▪ Deploying safety nets.
▪ Providing personal fall arrest systems for each employee.
Many times the nature and location of the work will dictate the form that fall protection takes.
If the employer chooses to use a guardrail system, he must comply with the following
provisions:
▪ Top edge height of top rails, or equivalent guardrail system members, must be
between 39 and 45 inches above the walking/working level, except when conditions
warrant otherwise and all other criteria are met (e.g., when employees are using
stilts, the top edge height of the top rail must be increased by an amount equal the
height of the stilts).
▪ Midrails, screens, mesh, intermediate vertical members, or equivalent intermediate
structures, must be installed between the top edge and the walking/working surface
when there is no wall or other structure at least 21 inches high.
✓ Midrails must be midway between the top edge of the guardrail system and
the walking/working level.
✓ Screens and mesh must extend from the top rail to the walking/working level,
and along the entire opening between rail supports.
✓ Intermediate members (such as balasters) between posts must be no more
than 19 inches apart.
✓ Other structural members (such as additional midrails or architectural panels)
must be installed so as to leave no openings wider than 19 inches.
▪ Guardrail systems must be capable of withstanding at least 200 pounds of force
applied within 2 inches of the top edge, in any direction and at any point along the
edge, and without causing the top edge of the guardrail to deflect downward to a
height less than 39 inches above the walking/working level.
▪ Midrails, screens, mesh, and other intermediate members must be capable of
withstanding at least 150 pounds of force applied in any direction at any point along
the midrail or other member.
▪ Guardrail systems must not have rough or jagged surfaces that would cause
punctures, lacerations, or snagged clothing.
▪ Top rails and midrails must not cause a projection hazard by overhanging the
terminal posts.
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5.2 ERECTING SIGNS, BOARDS AND SCREENS
If, at a workplace where excavation work is to be done, any person is at risk of injury
because of the excavation work then a person who, at the workplace, is an employer, the
main contractor or a self-employed person must ensure that —
(a) suitable barriers and signs are erected between the person at risk and
the likely cause of the danger; and
(b) Suitable signs that warn of the risk are erected at the place where the
excavation work is to be done.
Fixing of signing, lighting and guarding

Signing must be fixed to prevent it being blown over or out of position by wind or passing
vehicles. The use of equipment with built-in weights is recommended. Alternatively you may
add appropriate weights e.g. sacks containing suitable granular material placed at low level.
Warning:
Do not use barrels, kerbstones, spoil, road pins or similar objects for the purpose of
weighting or securing road signs and barriers – they could create a danger for the
public e.g if struck by a vehicle.
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5.3 MONITORING AIR QUALITY
Working in excavation work areas can expose employees to atmospheric hazards. An

atmospheric hazard is an existing or potential atmosphere that may expose employees to
the risk of:
• Death
• Incapacitation
• Impairment of ability to escape without help
• Injury
• Acute illness
As a result of one or more of the following conditions:

• A flammable gas, vapour, or mist in excess of 10 percent of its lower flammable limit
• An airborne combustible dust
• An atmospheric oxygen concentration below 19.5 percent or above 23.5 percent
(oxygen deficiency and oxygen enrichment)
• An airborne concentration of a substance that exceeds the dose or exposure limit
• An atmosphere that presents an immediate danger to life or health (IDLH)
In other words, any atmosphere that could result in death or serious injury to a worker as
caused by oxygen deficiency or enrichment, toxic materials, and flammable or explosive
materials must be monitored continuously.
Air quality testing: The air within the confined space should be tested from outside of the
confined space before entry into the confined space. Care should be taken to ensure that air
is tested throughout the confined space - side-to-side and top to bottom. A trained worker
using detection equipment which has remote probes and sampling lines should do the air
quality testing. Always ensure the testing equipment is properly calibrated and maintained.
The sampling should show that:
• The oxygen content is within safe limits - not too little and not too much.
• A hazardous atmosphere (toxic gases, flammable atmosphere) is not present.
• Ventilation equipment is operating properly.
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The results of the tests for these hazards are to be recorded on the Entry Permit along with
the equipment or method(s) that were used in performing the tests.
How is air quality maintained?
Natural ventilation (natural air currents) is usually not reliable and not sufficient to maintain
the air quality. Mechanical ventilation (blowers, fans) is usually necessary to maintain air
quality.
• If mechanical ventilation is provided, there should be a warning system in place to
immediately notify the worker in the event of a hazard or a failure in the ventilation
equipment.
• Care should be taken to make sure the air being provided by the ventilation system
to the confined space is 'clean' throughout the entire space.
• Ease of air movement throughout the confined space should be considered because
of the danger of pockets of toxic gases still remaining even with the use of
mechanical ventilation.
• Do not substitute oxygen for fresh air. Increasing the oxygen content will significantly
increase the risk of fire and explosion.
• The use of mechanical ventilation should be noted on the entry permit
• Ensure air being removed from the confined space is exhausted away from workers
on the outside.
Page 50 of 54
Copyright © SMT
Excavation register
AREA OF EXCAVATION
2015
Supervisor:
Tue Wed Thu Fri Sat Mon Tue Wed Thu Fri Sat
Mo
Points to be inspected n Do not tick.
Write ‘OK’ if
DATE correct or ‘DEF’
1 Excavated material removed 2m away from edge for defects
No loose soil, rocks or stones on edges of CR11(3)(h)
2 excavations Every contractor who
Barricade erected and maintained around performs excavation
3 excavations
work shall cause every
excavation, including all
Safe entrance & exit within 10 m from all bracing and shoring, to
4 employees be inspected-
Deeper than 1,5m: Excavations sloped and/or (i) daily prior to each
5 shored shift (ii) after
every blasting operation
6 Water and/or rubble removed out of excavations (iii) after unexpected fall
No Plant/machinery moving close to edge of of ground (iv) after
7 excavations damage to supports and
(v) after rain, by a
8 Warning signs displayed at excavations competent person
contemplated in sub
9 Adequate supervision while work in taking place regulation (1) in order to
1 After completion. Excavations backfilled & pronounce the safety of
the excavation to ensure
0 housekeeping done the safety of persons,
and those results are to
be recorded in a register
kept on site.
Frequency:
Daily
PERSON CONDUCTING INSPECTION TO SIGN:
SITE MANAGER TO SIGN:
SAFETY OFFICER/REP TO SPOT CHECK:
DEVIATION LIST
DAY DESCRIPTION RECOMMENDED ACTION BY WHOM DATE SIGNED OFF
ACTION COMPLETED
Page 2 of 54
Copyright © SMT
OCCUPATIONAL HEALTH AND SAFETY ACT 85 OF 1993
Legal Assignment Construction Regulation 13
Appointment Description Excavation Supervisor
Full Name
Designation EXCAVATION SUPERVISOR
Employee Number N/A
Facility EKANGALA SEWER NETWORK
Location EKANGALA
Date 03/10/2014
OCCUPATIONAL HEALTH AND SAFETY ACT 85 OF 1993:

ASSIGNMENT OF DUTIES TO EXCAVATION SUPERVISOR
I am charged with the duty of ensuring compliance with the requirements imposed under
Section 16 of the Occupational Health & Safety Act 85 of 1993.
You are to ensure that the Occupational Health & Safety Act 85 of 1993, Construction
Regulation 13, General Safety Regulations 5 and 6, and the Construction checklist are
complied with in your area of responsibility as per the sections of the act as listed at the end
of this document.
In terms of this appointment you are required to ensure that all excavation work is performed
in accordance with the requirements of the Occupational Health and Safety Act and in
particular with the Construction Regulations in terms of which you must ensure, amongst
others, the following:—
1. Evaluate the stability of the ground before excavation work begins;
2. Ascertain the location of electricity, water, gas and similar services and ensure that
those are not affected by the demolition process;
3. That such work is performed by suitably trained/competent persons – fully aware of the
operational dangers involved and conversant with the precautionary measures to be
taken or observed;
4. That suitable and sufficient steps are taken to prevent persons being buried or trapped
by a fall or dislodgement of material in an excavation and to that end ensure that
excavations are adequately shored or braced, where required, before allowing persons
to enter an excavation;
5. That excavations are inspected, and the results recorded, as required by Construction
Regulation 13(2)(h);
6. That excavations, accessible to the public, be adequately protected by means of a
barrier or fence.
You are charged with reporting on the following issues:

▪ Deviations and areas of non-compliance (which you cannot rectify) to PROJECT
MANAGER – Immediately.
▪ Submitting a monthly report to PROJECT MANAGER – Monthly
The monthly report shall consist of the following information and shall be submitted in the
approved format:
▪ Internal Inspections/Audits.
▪ Planned Task Observations.
▪ Task Analysis.
▪ Continuous Risk Assessments.
Please confirm your acceptance of this assignment and understanding of the duties
involved, by signing the attached copy of this letter and returning it to me.
Yours faithfully
________________________________________________
Occupational Health and Safety Act – Section 16.1
C.E.O
For and on behalf of
Attached are the relevant legal references for this appointment, ensure that you familiarise
yourself with the legal requirements of the Occupational Health and Safety Act 85 of 1993
(OHSA):
Appendix 1: Section 8: General Duties of Employers to their Employees
Appendix 2: Section 9: General Duties of Employers and Self-Employed Persons to
Persons other than their Employees
Appendix 3: Section 15: Duty not to interfere with, damage or misuse
Appendix 4: Section 38: Offenses, penalties and special orders of the court
Appendix 5: CR Construction Regulations 13 – Excavations
Appendix 7: GSR General Safety Regulation 5 and 6
Training/Competency Information
Institution Training Course Title Certificate Number Date
You are required to acknowledge your confirmation of training and your acceptance of the
responsibilities and implications of this appointment. Please initial each statement if you
agree with the content.
Confirmation and Acceptance Initials

I confirm that I have received adequate training in the assigned responsibilities
and duties required of me.
I confirm that I have read and understood the assigned responsibility as defined in
this letter of appointment.
I confirm that I accept the legal implications of legislation, regulations and
standards listed above and confirm my intention to comply with all the relevant
requirements.
I understand the relevance of the legislative and other requirements to my
appointment and confirm my acceptance and undertaking of the assigned
responsibilities and duties involved.
Signed Date 18/09/2014
Designation Date 18/09/2014
Page 2 of 54
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EXCAVATION SUPERVISION

1. HOW TO USE THIS GUIDE 3

SESSION 1: LEGAL RESPONSIBILITIES IN EXCAVATIONS 5

SESSION 2: LEGAL RESPONSIBILITIES IN EXCAVATIONS 13

SESSION 3: METHODS OF ACHIEVING HEALTH AND 27

SESSION 4: ROLES AND RESPONSIBILITIES IN EXCAVATION HEALTH 38

STABILISING THE GROUND DURING EXCAVATION 40

SESSION 5: CONDUCT SAFE WORK PRACTICES 46

4. OVERVIEW OF THE MODULE

ASSESSMENT TOTAL MARKS WEIGHTING

Requirements for the Successful Completion of the Programme:

On completion of this section you will be able to explain the

• Employee and employer obligations are described in terms

WORKING IN AND AROUND EXCAVATIONS

A. ROLES AND RESPONSIBILITIES OF THE EMPLOYER

Employees Have the Responsibility to:

GENERAL DUTIES OF THE WORKER AS PER THE OHSA

SOUTH AFRICAN LEGISLATION AND THE CONSTRUCTION REGULATIONS

ii) Labour Relations Act No. 66 of 1995 as amended:

iii) National Building Regulations and Standards Act

On completion of this section you will be able to identify unsafe

❖ Hazards are identified and controlled in accordance with

• Excavations collapsing and burying or injuring people working in them;

• No ground can be relied upon to stand unsupported in all circumstances.

2.2.1 GROUND MOVEMENT OR CAVE-INS

The following factors increase the risk of collapse of excavation sides:

To reduce the risk of collapse from surcharging, ensure that:

General methods of managing excavation hazards

2. Managing stability of adjacent structures and services

3. Battering and stepping

The following types of proprietary ground support equipment are available:

c) Trench boxes consist of modular side panels

d) Drag boxes comprise two flat-bottomed side

e) Slide-rail systems comprise vertical slide rails

Entry and exit

2.2.4 INHALATION OF GASES

Points to include in emergency procedures

A. PROCEDURE FOR INJURY ON THE JOB.

SESSION 3 : METHODS OF ACHIEVING HEALTH AND

On completion of this section you will be able to determine

❖ Work areas requiring support are identified in accordance

• Excavation support refers to an engineered solution designed to stabilize an

For most shallow trenches

Soldier beam and lagging

• Soldier piles are installed with conventional pile-driving equipment or in augured

Construction of an underground laboratory at the UC Berkeley, required temporary shoring

Eight rows of soil nails were designed to support the excavation.

3.2 ALTERNATIVE METHODS OF SUPPORTING EXCAVATIONS

A. Materials Falling into Excavations

B. People falling in excavations

C. Vehicles Falling into Excavations

On completion of this section you will be able to undertake

❖ Ground is supported to ensure stability for the duration of

This includes the following:

• Follow all procedures;

• Wear and use equipment, protective devices and clothing as required by

• Report any defects in equipment or protective device of which the worker

• Decline to operate any machinery or equipment without proper

• Maintain a safe work environment free from unnecessary conduct and

• This is used where there are buildings or street in the proximity.

• The method is to construct a series of retaining wall in trench, section by section,

A cofferdam may be defined as a temporary box structure constructed in earth or water to

1. General slope stabilization

2. Tying back/stabilizing a retaining structure