ALI MOUSA AND SONS CONTRACTING

CHERRYWOOD PROJECT PHASE 1

SAFE SYSTEM OF EXCAVATION WORKS

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 PREPARED BY: Approved BY:

Designation: Designation:

SIGNATURE: SIGNATURE:

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Table of Content
1. Introduction
1.1 What is excavation works?
1.2 Who has the Health And safety duties relation to excavation works?
1.3 General Requirements

2. THE Risk management process

2.1 Identify the Hazards
2.2 Assessing the Risk
2.3 Controlling the Risk
2.4 Review control measure

3. Planning the excavation work

3.1 Principle Contractor
3.2 Designer
3.3 Safe Work Method Statement
3.4 Adjacent Building or Structure
3.5 Essential Services
3.6 Securing Work Area
3.7 Emergency Plan

4. Control risk in excavation work

4.1 Excavated Material and loads near Excavations
4.2 Plant and Equipment
4.3 Power and Mobile plant
4.4 Falls
4.5 Using Explosive
4.6 Atmospheric conditions and ventilations
4.7 Manual Work
4.8 Information training, instruction and supervision

5. Excavation Method
5.1 Trenching
5.2 Tunneling
5.3 Shafts

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 6. Preventing Ground Collapse
6.1 Benching and battering
6.2 Shoring
6.3 Removal of shoring supports
6.4 Shield and boxes
6.5 Other ground support Methods
6.6 Regular inspection.

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1.1 What is excavation work?
Excavation work generally means work involving the removal of soil or rock
from a site to form an open face, hole or cavity using tools, machinery or
explosives.
A person conducting a business or undertaking must manage risks associated
with all kinds of excavations at the workplace, no matter how deep.
Specific duties apply in relation to the higher-risk excavations, such as trenches,
shafts and tunnels. However, these requirements do not apply to a mine, a
bore to which a relevant water law applies or a trench used as a place of
interment.
Any construction work (including any work connected with an ‘excavation’) that
is carried out in or nearby:
• a shaft or trench with an excavated depth of greater than 1.5 meters, or
• a tunnel
is considered to be ‘high risk construction work’ for which a safe work method
statement (SWMS) must be prepared.
Further guidance on the duties related to high-risk construction work and
SWMS is available in the Code of Construction safety Practice:

1.2 Who has health and safety duties in relation to excavation work?
A person conducting a business or undertaking has the primary duty to ensure, so far as is
reasonably practicable, that workers and other persons are not exposed to health and safety
risks arising from the business or undertaking.
The WHS Regulations include specific obligations for a person conducting a business or
undertaking to manage the risks associated with excavation work, including trenches.
A person conducting a business or undertaking who has management or control of a workplace
where excavation work is being carried out must take all reasonable steps to obtain current
underground essential services information relating to the part of a workplace where the
excavation work is being carried out and areas adjacent to it before directing or allowing the
excavation to commence. This information must be provided to any person engaged to carry
out excavation work.
Designers of structures must ensure, so far as is reasonably practicable, that the structure is
without risks to health and safety, when used for a purpose for which it was designed.
Designers must give the person who commissioned the design a written safety report that
specifies the hazards relating to the design of the structure (refer to section 3.2 of this Code).

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Officers, such as company directors, have a duty to exercise due diligence to ensure that the
business or undertaking complies with the WHS Act and Regulations. This includes taking
reasonable steps to ensure that the business or undertaking has and uses appropriate
resources and processes to eliminate or minimize risks that arise from the excavation work.
Workers have a duty to take reasonable care for their own health and safety and that they do
not adversely affect the health and safety of other persons. Workers must comply with any
reasonable instruction and cooperate with any reasonable policy or procedure relating to
health and safety at the workplace.
1.3 General requirements.
Ref : DM/cop/chapter 9/excavations
Dubai Municipality stresses that the contractor shall be responsible for providing all necessary
precautions and applying all necessary protective procedures to protect employees against potential
hazards to which they might be exposed during excavations, such as cave-ins.

Excavations greater than 1.25 meters deep shall not be permitted unless a shoring system is
provided in accordance with a specific design by a professional organization or by using an open
excavation that is approved by the Specialized Department.
2. In open excavations, the angle of repose shall not be more than 40º measured from the
horizontal unless the stability of an excavation sides at a higher slope is determined by a
professional organization and approved by the Specialized Department.
3. Prior to opening an excavation, no objection certificates (NOC) shall be obtained from all
concerned authorities having jurisdiction of excavation. Permits shall be in compliance with the
actual conditions and in case that there are any differences; the concerned authorities shall be
consulted before the start of the excavation.
4. When any changes occur during excavation in the location and/or in the adjacent services
which may expose workers to hazardous situations, work shall be stopped and the Specialized
Department shall be consulted.
5. All adequate and appropriate personal protective equipment shall be provided to protect
head, eyes, respiratory, hands, feet and other body parts as specified in chapter 4 in this
manual and the attached technical guidelines thereto.
6. A check in/check out system of all employees entering or exiting from excavations shall be
established to clearly identify the identity of each employee working underground.
7. Timbering sheeting or other support for any part of an excavation, shaft or tunnel shall be: -
Made of good quality materials. - Thoroughly inspected before use. - Constructed and properly
maintained.

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8. In case there are different layers of different types of soil, the slope shall be made on the
basis of the angle of repose of the weakest type of soil.
9. Diversion ditches or other suitable means shall be used to prevent surface water from
entering the excavation. When reaching groundwater level, excavations shall be stopped until
dewatering the area using groundwater removal pumps by a specialized company in
compliance with the provisions and approvals of the concerned authorities after determining
that the groundwater is free from hazardous contaminants.
10. Excavation below the level of the base of footing of any foundation of any other building
shall not be permitted unless a support system such as underpinning and other precautions
measures are provided by a professional engineer to ensure the stability of the adjacent walls
and to protect employees involved in the excavation activities or in the vicinity thereof. If the
stability of adjoining buildings or walls is endangered by excavations, shoring, bracing or
underpinning designed by a qualified person and approved by the Specialized Department in
Dubai Municipality shall be provided to ensure the stability of the structure and to protect
employees.
11.Excavated materials/spoils shall be placed at least 60 cm (2 feet) away from the edge of an
excavation (figures 1 & 2) and shall not be accumulated higher than 1.5 times of this distance.
12. Excavated materials/spoils shall not be kept next to existed structure or walls, and the
height level of the excavated materials/spoils shall not be higher than the height of these walls.
Fig. 1 Fig. 2
13. Protective barricades and flashing warning signs shall be placed in all excavations near
sidewalks, pavements and streets. Warning signs shall be illuminated from dusk to dawn and
when weather conditions reduce visibility. All wells, calyx, holes, pits and shafts shall be
covered or barricaded and backfilled upon completion o

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 2.The Risk Management process

2.1 identify the Hazards

The first step in the risk management process is to identify the hazards associated with
excavation work. Examples of excavation specific hazards include:

• underground essential services - including gas, water, sewerage,

telecommunications, electricity, chemicals and fuel or refrigerant in pipes or
lines. Information about the location of these and other underground services,
such as drainage pipes, soak wells and storage tanks, in and adjacent to the
workplace, must be established before directing or allowing excavation work to
commence
• the fall or dislodgement of earth or rock
• falls from one level to another
• falling objects
• inappropriate placement of excavated materials, plant or other loads
• the instability of any adjoining structure caused by the excavation
• any previous disturbance of the ground including previous excavation
• the instability of the excavation due to persons or plant working adjacent to the
excavation
• the presence of or possible inrush of water or other liquid
• hazardous manual tasks
• hazardous chemicals (e.g., these may be present in the soil where excavation
work is to be carried out)
• hazardous atmosphere in an excavation (e.g., using Methyl Ethyl Ketone (MEK)
solvent for PVC pipes in poorly ventilated trenches)
• vibration and hazardous noise
• overhead essential services (powerlines) and ground mounted essential services
(transformers, gas and water meters).

2.2 Assessing the risk

Under the WHS Regulations, a risk assessment is not mandatory for excavation work
however it is required for specific situations, for example when working with asbestos.
In many circumstances a risk assessment will assist in determining the control measures
that should be implemented. It will help to:

• identify which workers are at risk

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 • determine what sources and processes are causing that risk
• identify if and what kind of control measures should be implemented
• check the effectiveness of existing control measures.
• When assessing the risks associated with excavation work you should consider
things such as:
• local site conditions, including access, ground slope, adjacent buildings and
structures, water courses (including underground) and trees
• depth of the excavation
• soil properties, including variable soil types, stability, shear strength, cohesion,
presence of ground water, effect of exposure to the elements
• fractures or faults in rocks, including joints, bedding planes, dip and strike
directions and angles, clay seams
• any specialized plant or work methods required (e.g., ground support)
• the method(s) of transport, haul routes and disposal
• what exposures might occur, such as to noise, ultra violet rays or hazardous
chemicals
• the number of people involved
• the possibility of unauthorized access to the work area
• local weather conditions
• the length of time that the excavation will be open.
2.3 Controlling the risks
Some control measures are more effective than others. Control measures can be ranked from
the highest level of protection and reliability to the lowest. This ranking is known as the
hierarchy of control.
You must always aim to eliminate a hazard which is the most effective control. If this is
not reasonably practicable, you must minimise the risk by one or a combination of the
following:

• Substitution – for example, using an excavator with a rock breaker rather than manual
method
• Isolation – for example, using concrete barriers to separate pedestrians and powered
mobile plant to reduce the risk of collision
• Engineering Controls – for example benching, battering or shoring the sides of the
excavation to reduce the risk of ground collapse.
• If risk remains, it must be minimised by implementing administrative controls, so far as
is reasonably practicable, for example by installing warning signs near the excavation.
• Any remaining risk must be minimised with suitable Personal Protective Equipment
(PPE), such as providing workers with hard hats, hearing protectors and high visibility
vests.

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 • Administrative control measures and PPE rely on human behaviour and supervision and
used on their own tend to be the least effective in minimising risks.
• Factors that should be considered when choosing suitable control measures include:
• excavating plant - when quantities are large, it may be effective to use different types of
plant for the various materials to be excavated
• stockpiling arrangements - another site may need to be found for temporary stockpiling
of materials
• material placement - the methods and plant used for excavating, transporting and
compacting the material should be evaluated
• dewatering equipment, if required, and the system to be used
• transport of the excavated material - the type of plant used, the length of haul, the
nature of the haul route, and the conditions of tipping and/or spreading.
2.4 Reviewing Control Measures
The control measures that are put in place to protect health and safety should be
regularly reviewed to make sure they are effective.
Common review methods include workplace inspection, consultation, testing and analysing
records and data. When reviewing control measures, a SWMS must also be reviewed and
revised where necessary.
If problems are found, go back through the risk management steps, review your information
and make further decisions about control measures.
Excavation work should be carefully planned before work starts so it can be carried out safely.
Planning involves identifying the hazards, assessing the risks and determining appropriate
control measures in consultation with all relevant persons involved in the work, including the
principal contractor, excavation contractor, designers and mobile plant
operators. Structural or geotechnical engineers may also need to be consulted at this stage.
Consultation should include discussions on the:

• nature and/or condition of the ground and/or working environment

• weather conditions
• nature of the work and other activities that may affect health and safety
• static and dynamic loads near the excavation
• interaction with other trades
• site access
• SWMS
• management of surrounding vehicular traffic and ground vibration
• type of equipment used for excavation work
• public safety

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 • existing services and their location
• the length of time the excavation is to remain open
• provision of adequate facilities
• procedures to deal with emergencies.
• Further information on amenities and emergencies is available in the Code of Practice
3.PLANING THE EXCAVATION WORK
3.1 Principal Contractor
Where the value of construction work is $250 000 or more, the construction work is considered
a ‘construction project’ for which additional duties apply to the principal contractor. There can
only be one principal contractor for a construction project and this will be either the person
commissioning the construction work or a person appointed as the principal contractor by the
person commissioning the construction work.

• The principal contractor has a range of duties in relation to a construction project

including:
• preparing and reviewing a WHS management plan
• obtaining SWMS before any high-risk construction work commences
• putting in place arrangements to manage the work environment including falls, facilities,
first aid, an emergency plan and traffic management
• installing signs showing the principal contactor’s name, contact details and location of
any site office
• securing the construction workplace
• Where significant excavation work is being carried out and building works have not
commenced the person who commissions the construction work may appoint the
excavation contractor as the principal contractor for the site preparation phase of the
project and then replace them with a building expert after this phase is completed. If
the excavation contractor is appointed as the principal contractor the contractor must
comply with all principal contractor duties while undertaking this role.
3.2 Designer
Designers must ensure, so far as is reasonably practicable, that the structure is
designed to be without risks to the health and safety of persons who construct
the structure at
a workplace.

The designer of a structure or any part of a structure that is to be constructed

must give the person conducting a business or undertaking who
commissioned the design a written report that specifies the hazards
associated with the design of the structure that, so far as the designer is
reasonably aware:

 create a risk to the health or safety of persons who are to carry out
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construction work on the structure or part, and
 are associated only with the particular design and not with other designs
of the same type of structure.
Designers of structures should consider possible excavation work methods and health and
safety control measures when producing any final design documents and the safety report for
the structure.
A person commissioning the construction work must consult, so far as is reasonably practicable,
with the designer of the whole or any part of the structure about eliminating and controlling
risks. If the person commissioning the construction work did not commission the design of the
construction project, they must take all reasonable steps to obtain the designer’s safety report.
Where there is a principal contractor, the person commissioning the construction work must
give the principal contractor any information they have about the hazards and risks associated
with the work.
For further guidance on the duties of designers refer to the Code of construction safety Practice:
Safe Design of Structures.
3.3 Safe Work Method Statement
If the excavation work is or involves high risk construction work, a person conducting a business
or undertaking must prepare a SWMS before the high-risk construction work starts. The SWMS
must:

• identify the type of high-risk construction work being done

• specify the health and safety hazards and risks arising from that work
• describe how the risks will be controlled3 Safe work method statement
• describe how the control measures will be implemented, monitored and reviewed
• be developed in consultation with workers and their representatives who are carrying
out the high-risk construction work.
• In some circumstances one SWMS can be prepared to cover more than one high risk
construction work activity being carried out at the workplace by contractors and/or
subcontractors. For example, where there is:
• a risk of a person falling more than 2 metres
• a trench with an excavated depth greater than 1.5 metres.
• In this case, the contractors or subcontractors can consult and cooperate to prepare one
SWMS. Alternatively, they can prepare separate SWMS. If they choose to do this, they
must consult with each other to ensure all SWMS are consistent and they are not
creating unintended additional risks at the workplace

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3.4 Adjacent buildings or structures
Excavation work may seriously affect the security or stability of any part of a structure at or
adjacent to the location of the proposed excavation which can lead to structural failure or
collapse. Excavation work must not commence until steps are taken to prevent the collapse or
partial collapse of any potentially affected building or structure.
Any excavation that is below the level of the footing of any structure including retaining walls
that could affect the stability of the structure must be assessed by a competent person and
secured by a suitable ground support system which has been designed by a competent person.
Suitable supports to brace the structure may also be required and should be identified by a
competent person.
It is also important that other buildings in and around the excavation site are not adversely
affected by vibration or concussion during the excavation work. Special precautions may need
to be taken in the vicinity of hospitals and other buildings containing equipment sensitive to
shock and vibration.
Excavation work must be carried out in a way that does not cause flooding or water penetration
to any adjacent building.

3.5 Essential services

Essential services include the supply of gas, water, sewerage, telecommunications, electricity,
chemicals, fuel and refrigerant in pipes or lines. The principal contractor must manage the risks
associated with essential services at the workplace.
Specific control measures must be implemented before using excavators or other earthmoving
machinery near overhead electric lines. The relevant authority should be consulted regarding
approach distances and appropriate control measures implemented to prevent any part of the
plant or any load carried on it from coming too close or contacting overhead electric lines.
Information on the location of underground as per approved drawings. Any underground
service plans that are obtained including information on underground essential services must
be provided to the principal contractor and/or the excavation contractor. Other relevant parties
including any subcontractors and plant operators carrying out the excavation work should also
be provided with information about essential services and other plans so the information is
considered when planning all work in the area.

• Underground essential services information obtained must be:

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 • made available to any worker, principal contractor and subcontractors
• readily available for inspection, as required under the WHS Act, and
• retained until the excavation work is completed or, if there is a notifiable incident
relating to the excavation work, 2 years after the incident occurs.
Available information about existing underground essential services may not be accurate.
Therefore, it is important that excavation methods include an initial examination of the area to
be excavated, for example, sampling the area by exposing a short section of underground
services usually using water pressure and a vacuum system to excavate or ‘pothole’ the area.

3.6 Securing the work area

In securing the trench or excavation, you must consider:

• risks to health and safety arising from unauthorised access to the work area, and
• he likelihood of unauthorised access occurring.
This requirement aims to protect other workers on site who may be at risk by restricting access
to the excavation area. It applies in addition to the duty that the person with management or
control of the construction site has to ensure, so far as is reasonably practicable, that the site is
secured from unauthorised access from members of the public, for example when the site is
near schools, parks, shops or other public places.

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3.7 Emergency plan
The excavation contractor must ensure that the emergency plan deals with unexpected
incidents, such as ground slip, flooding, gas leaks and the rescue of workers from an excavation.
To ensure a co-ordinated response to an emergency, the plan should be incorporated as part of
the broader construction project emergency plan prepared by the principal contractor.
The following table lists common hazards associated with excavation work and examples of
control measures:

Potential hazards Examples of control measures

Ground collapse The use of benching or the installation of ground

support (e.g., shoring)

Water inrush Pumps or other dewatering systems to remove water

and prevent build-up

Falls Ramps, steps or other appropriate access into

the excavation

Hazardous manual Rotating tasks between workers

tasks

Airborne Mechanical ventilation to remove airborne contaminants

contaminants

Buried contaminants Training to identify buried contaminants and what

(e.g., asbestos) action to take

Underground services Obtain information from the relevant authorities

on the location of underground services.

4. CONTROL RISK IN EXCAVATION WORK

4.1 Excavated material and loads near excavations

Mechanical plant, vehicles, storage of materials (including excavated material) or any other
heavy loads should not be located in the ‘zone of influence’ of an excavation. The ground
support system installed has been designed by a competent person, for example,a geotechnical
engineer, to carry such loads.

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The zone of influence will depend on the ground conditions. It is the zone in which there may
be an influence on the excavation, including possible ground collapse (see Figure 2)

1000 mm minimum

Excavation with shoring

designed to carry soil,
vehicle and material loads

1000 mm minimum

Excavation with
shoring designed to
carry soil loads only

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Figure 2 shows an example of:

• an excavation with shoring that has been designed to carry vehicle and material loads
– this may be required where there is limited space around the excavation for vehicle
movement and /or material storage

• an excavation with shoring that has been designed only to carry the load of the
excavated faces and the related zone of influence.
Any material will add a load to the area where it is placed. It is important that materials are not
placed or stacked near the edge of any excavation as this would put persons working in the
excavation at risk. For example, the placement of material near the edge of an excavation may
cause a collapse of the side of the excavation.
To reduce the risk of ground collapse, excavated or loose material should be stored away from
the excavation. Excavated material should be placed outside the zone of influence.
Alternatively, a ground support system should be designed and installed to carry the additional
loads, including any ground water pressures, saturated soil conditions and saturated materials.
If excavating in sloping ground decide which side of the excavation to place the excavated
material. Things to consider include:

• ground conditions
• access to the excavation
• existing underground services
• the need for earthmoving machinery or vehicles to work or move along beside the
excavation
• service installation and backfilling requirements
• any manual work being undertaken in the excavation.

Placing material on the lower side of the excavation will reduce the effective height of the
excavation (see Figure 3) and the risk of material falling or being washed into the excavation.

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 Put the excavated material here,
the trench is now this deep

Put the excavated material here,

the trench is now this deep

Different soils when dumped in heaps, will assume a characteristic shape and settle naturally at
different slopes. The angle which a sloping face of loose earth makes with the horizontal is
sometimes referred to as the angle of repose. However, it is poor practice to relate the safe
slope of an excavation to the angle of repose, even though the safe slope may be similar in
some types of soil to the angle of repose.

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4.2 Plant and equipment
Excavation work cannot be carried out safely unless the plant being used is appropriate for the
work and maintained in good condition. A range of plant and equipment may be used for
excavation work including:

• Powered mobile plant (see section 4.3)

• Air compressors
• Electric generators
• Jack hammers
• Hydraulic jacks
• Oxy-acetylene (gas cutting/welding)
• Scaffolding
• Ladders
• Many types of handheld plant such as shovels, picks, hammers, hydraulic jacks and
pinch/lever bars.
• You should ensure:
• Plant is used and operated by a competent person
• That appropriate guards and operator protective devices are fitted
• That the safe working load is displayed and any load measurement devices are
operating correctly
• Plant is maintained in accordance with the manufacturer/supplier’s instructions or
relevant UAE standards.

4.3 Powered mobile plant

A wide range of powered mobile plant, including earthmoving machinery, may be used for
excavation work. To select plant that is suitable for the task, you should consider:

• site access and restrictions

• site hazards such as overhead powerlines and underground services
• the ground conditions
• the type and depth of excavation
• the volume of material to be excavated and transported
• where the excavated material is to be located and/or stored.
A high-risk work license is required to operate some types of powered mobile plant. However,
in most cases earthmoving machinery does not require a licensed operator if it is being used for
the purpose for which it was originally designed. Earthmoving machinery operators must be

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able to demonstrate they are competent to operate the specific type of plant being used and
any attachments fitted to the plant.
Traffic management arrangements must be implemented at the workplace when powered
mobile plant is to be used for excavation work to prevent collision with pedestrians or other
mobile plant.
EARTHMOVING MACHINERY
Bulldozers and scrapers are often used to prepare a work area for further specific excavation.
Bulldozers typically excavate and move large amounts of material short distances. Bulldozers
can be equipped with hydraulically operated rippers at the back of the machine which are
capable of loosening the hardest of sedimentary rocks. This material may then be bulldozed
away. This method frequently proves more economical than drilling and blasting softer rock.
Self-propelled rubber tyred scrapers enable very large quantities of material to be excavated
and hauled economically over long distances at relatively high speed. Because of the large
potential output and speeds of modern scrapers, careful attention should be given to job
layout, haul roads, vehicle pathways and overall traffic management to achieve a healthy and
safe workplace.
Temporary haul roads should be well constructed and maintained to enable plant operators to
complete the work safely.
Large earthmoving machinery such as bulldozers should not operate close to an overhang or a
deep excavation as the weight may collapse the sides. Equipment should always approach
embankments or trenches from across the line of a trench rather than parallel to it.
Excavation work exceeding 1.5 metres deep is typically done by excavators or specialised plant
such as tunnelling machines and raise-bores. Most of these types of plant have an element of
mobility, although tunneling machines typically have restricted movement.
Other plant used in excavation work includes backhoes, rubber tyred loaders, skid steer loaders
(e.g. bobcat), trench diggers, graders and tip trucks.

BLIND SPOTS
Operators of powered mobile plant can often have severely restricted visibility of ground
workers or nearby pedestrians, particularly those close to the plant. Figure 4 shows some of the
blind spots for operators of typical excavation equipment.

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 Dump truck

Articulated roller

Powered mobile plant operating near ground personnel or other powered mobile plant should
be equipped with warning devices (e.g. reversing alarm and a revolving light).
An effective system of communication based on two-way acknowledgement between mobile
plant operators and ground workers should be established before work commences. Relevant
workers should also be trained in the procedures involved prior to the work commencing. The
system should stop ground workers from approaching mobile plant until the operator has
agreed to their request to approach. Similarly, the system should stop operators from moving
plant closer than a set distance from ground
workers until the operator have been advised by ground workers that they are aware of the
proposed movement.
Mobile plant operators and ground workers should be made familiar with the blind spots of
particular items of plant being used. Induction training programs should emphasis the dangers
of workers working in close proximity to mobile plant, and adequate supervision should be
provided.
Mobile plant operators and ground workers should be provided with and required to wear
high-visibility clothing.

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OPERATOR PROTECTION
Powered mobile plant should be equipped with appropriate combination of operator
protection devices, for example, enclosed cabin and seat belts, to prevent the ejection of the
operator or the operator being struck by falling objects.
Any earthmoving machinery weighing more than 1500 kgs, not including attachments, and
designed to have a seated operator must have an appropriate operator protective structure
fitted. These are either in the form of roll-over protective structures (ROPS) or falling object
protective structures (FOPS) or both, depending on the application.

OPERATING NEAR EXCAVATIONS

Powered mobile plant should not operate or travel near the edge of an excavation unless the
ground support system installed has been designed by a competent person to carry such loads.
Physical barriers, such as wheel stoppers, can be one way of restricting plant movement near
an excavation (see Figure 5).

Wheel stopper

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OPERATOR PROTECTION
Powered mobile plant should be equipped with appropriate combination of operator
protection devices, for example, enclosed cabin and seat belts, to prevent the ejection of the
operator or the operator being struck by falling objects.
Any earthmoving machinery weighing more than 1500 kgs, not including attachments, and
designed to have a seated operator must have an appropriate operator protective structure
fitted. These are either in the form of roll-over protective structures (ROPS) or falling object
protective structures (FOPS) or both, depending on the application.

OPERATING NEAR EXCAVATIONS

Powered mobile plant should not operate or travel near the edge of an excavation unless the
ground support system installed has been designed by a competent person to carry such loads.
Physical barriers, such as wheel stoppers, can be one way of restricting plant movement near
an excavation (see Figure 5).

INSPECTION AND MAINTENANCE

Regular planned inspection and adequate maintenance must be carried out in accordance with
the manufacturer’s recommendations to ensure safe operation of mobile plant used on
excavation work, whether leased, hired or owned. Both mechanical and electrical testing
should be done. The following checks should also be carried out:

• daily pre-start checks by the plant operator on the general condition and maintenance
of the plant
• regular inspections of the plant by a competent person in accordance with the
manufacturer/supplier’s specifications or relevant UAE Standards.
Any plant defects should be reported immediately to the person conducting business or
undertaking. Where a defect is likely to pose an immediate risk to health and safety the plant
should be removed from service until the defect is rectified.
Owners of plant should keep logbooks and inspection check sheets containing a full service and
repair history. These records should include any reported defects, kept current and retained for
the life of the plant. If the plant is sold, the records should form part of the documentation
forwarded to the purchaser of the plant upon its sale.

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4.4 Falls
In managing the risks of falls, the WHS Regulations require the following specific control
measures to be implemented where it is reasonably practicable to do so:

• carry out the work on solid construction that includes a safe means of access and egress
• if a fall risk cannot be eliminated, minimise the risk of fall by providing and maintaining a
safe system of work including:
• using fall prevention devices (e.g. temporary work platforms and guard rails) or
• work positioning systems (e.g. industrial rope access systems), or
• fall arrest systems such as catch platforms.
• Control measures include:
• the support system itself, for example using trench box extensions or trench sheets
longer than the trench depth (see Figure 6)
• installing guard rails or covers on trench shields (see Figure 7)
• inserting guard rails and toe boards into the ground immediately next to the supported
excavation side
• installing landing platforms or scaffold towers inside deep excavations
• securing ladders to trench shields
• installing effective barriers or barricades
• providing clearly defined pedestrian detours
• provision of alternative access and egress points to the excavation for emergency use
• backfilling the excavation as work progresses.

FIGURE 6: Extending trench shields above FIGURE 7: Steel mesh covers over
the excavation trench shields

A SWMS must be prepared for excavation work that involves a risk of a person falling more
than 2 metres.

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Construction work that involves the use of explosives is defined by the WHS Regulations as high
risk construction work and a SWMS must be prepared before this work commences.
A competent person experienced in the controlled application of explosives for the purpose of
carrying out the excavation work should be consulted before deciding whether explosives may
be used for the excavation.
All possession, storage, handling and use of explosives must be carried out in compliance with
the relevant dangerous substances/goods or explosives legislation applicable in your state or
territory.
The transport of explosives must be in accordance with the Emirates Code for the Transport of
Explosives by Road.
Explosives must only be used by a competent person who is licensed in the use of explosives
and has experience in the work to be undertaken. If explosives are used in excavation work,
a licensed competent person must develop the blast management plan and be responsible for
all aspects of the use of explosives.
For further information on the use of explosives for excavation work, refer to AS 2187.2:
Explosives - Storage and Use - Use of explosives.
4.6 Atmospheric conditions
and ventilation
The risk of atmospheric contamination through a build up of gases and fumes must be
controlled in excavation work. Gases and fumes heavier than air can collect in tunnels and
excavations for example: gases (such as sulphur dioxide), engine fumes (such as carbon
monoxide and carbon dioxide) and leakage from gas bottles, fuel tanks, sewers, drains, gas
pipes and LPG tanks.
Plant that uses a combustion engine (e.g. air compressors, electrical generators) should never
be used in a confined excavation such as a trench if workers are in the trench. The build-up of
exhaust gases in the excavation, particularly carbon monoxide, can cause death.
Ventilation systems help to maintain adequate oxygen levels and dilute flammable gases, fumes
and certain dusts, such as coal and sulphide which can ignite if in its explosive limits. The use of
mechanical ventilation also reduces dust, fumes, hazardous contaminants and can control air
temperature and humidity.
The ventilation system should be designed by a competent person to provide adequate
ventilation levels through the excavation (e.g. a tunnel) during construction. This might include
additional localized extraction ventilation to deal with the production of dust, heat or fumes
from the excavation process and the operation of large plant or other activities, plant

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maintenance. The design should allow for the installation of ventilation equipment or ducting
as the excavation progresses to maintain adequate air supply to the working face.

• Other methods of controlling the risks associated with atmospheric contamination

include:
• pre-start checks of atmospheric conditions
• using gas monitors including workers’ wearing personal monitors near their airways
• ensuring adequate ventilation (either natural or mechanical)
• working in pairs, with one person as a safety observer at the surface to monitor
conditions
• ensuring familiarity with rescue procedures
• using PPE.
• Further guidance on working in confined spaces is available in Code of construction
safety Practice: Confined Spaces.
4.7 Manual Work
When working in close proximity, workers should be kept sufficiently far apart to prevent injury
from the use of picks or other hand tools. This applies particularly to work in trenches and small
excavations.
Preparatory drilling activity and the use of hand drills may increase the risk of musculoskeletal
disorders, including disorders associated with exposure to vibration. For further guidance on
controlling the risks of musculoskeletal disorders, refer to the Code of Practice: Hazardous
Manual Tasks.
4.8 Information, training, instruction and supervision
Training specific to the excavation work and to the site should also be provided to
workers by a competent person. Workers operating certain types of plant at the
workplace must possess a valid license to operate that plant.

Workers in a supervisory role (for example, leading hand or foreman) should be experienced
and trained in excavation work to ensure the work is carried out in accordance with SWMS.

5.EXCAVATION METHOD
5.1. TRENCHES
A combination of these control measures may be the most effective depending on the
work environment and characteristics of the excavated material. In built up areas or
streets the excavation may have to be fully or partly sheeted or supported to prevent
collapse due to localised vehicle movement.
Where a worker enters a trench and there is a risk of engulfment, these control
measures should be implemented regardless of the depth of the trench.
• Sides of trenches 1.25 meters or more in depth shall be shored, sloped or otherwise
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 • supported by means of sufficient strength, and these means shall be approved by the
consultant engineer before work begins.
• 2. Installation of support systems shall be carried out along (in sequence) with
excavations
• of trenches.
• 3. Cross support systems shall be made by connecting both ends of the support systems
• by trench jacks to prevent slipping or falling of sides.
• 4. Backfilling shall progress together with the removal of support systems from the
• excavation, beginning at the bottom of the excavation. In unstable soils, ropes or any
• other method shall be used to pull out the support members from above after all
• personnel have cleared the trench.
• 5. Ladders used as access ways shall extend from the bottom of the trench to not less
than
• (900 millimeter) above the surface of the ground. Ladders shall be provided to require
no
• more than 8 meters of lateral travel.
• Hydraulic system materials shall be used in a manner consistent with the
• recommendations of the manufacturer.
PREPARATION AND EXCAVATION
Bulldozers, scrapers, excavators and other types of earthmoving equipment are commonly used
for either preparing work areas prior to trenching or for the trenching work itself.
For some trench excavations manual work, such as trimming by hand, will be required.
Trimming can often be accomplished from outside the trench by shovelling or pushing the
material with a long-handled tool or shovel to the bottom of the excavation where it can be
picked up by the excavation plant. Risks associated with falls and working with powered mobile
plant must be controlled.
5.2 Tunnelling
The nature of tunnelling work is complex and highly specialised, requiring high levels of
engineering expertise during the planning, investigation, design and construction stages.
DESIGN
Safe tunnel construction depends on adequate pre-construction engineering investigation of
the ground and site and accurate interpretation of the information obtained.
Designers should:

• obtain or be provided with all available relevant information

• be advised of any gaps in the information for planning and construction.

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 • undertake or be involved in data acquisition for the site investigation program
• have on-site involvement during the engineering investigation.
• The information obtained from the engineering investigation and the anticipated
excavation methods should be considered in preparing a tunnel design. The design
should include:
• details on the tunnel dimensions and allowable excavation tolerances.
• temporary and final support and lining requirements for each location within the tunnel.
• details of expected tunnel drive lengths and location of shafts.
• any other requirements for the finished tunnel.
• The design should also include information on the excavation methods and ground
conditions considered in the design. This will allow the design to be reviewed if another
excavation method is chosen or the ground conditions differ from that expected as the
excavation proceeds.
• The design also needs to take into account the construction methods that may be used
to construct the tunnel so that a safe design for construction purposes is achieved.
TUNNELLING HAZARDS AND RISKS
Common hazards and risks in tunnel construction generally relate to the confines of working
underground including:

• tunnel stability – rock or earth falls and rock bursts

• changing ground conditions – strata and stress fluctuations
• limited space and access, with possible confined spaces involved
• air contamination or oxygen depletion
• fire or explosion
• the use of fixed and powered mobile plant
• the interaction of people and powered mobile plant
• temporary electrical supplies and circuits, including loss of power for lighting and
ventilation
• compressed air use and high-pressure hydraulics
• large scale materials and equipment handling
• overhead seepage, ground and process water
• uneven and wet or other slippery surfaces
• falls of people or objects
• contaminated groundwater
• ground gas and water in-rush
• noise
• vibration
• heat and humidity
• ground loss or settlement at surface level

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 • hazardous substances

CONTROL MEASURES INCLUDE:

• ground support, for example tunnelling shields, mesh, rockbolts and shotcrete
• appropriate fall protection, for example temporary work platforms
• plant and vehicular traffic management systems
• regular plant maintenance
• pumps or dewatering systems to remove ground water, and
• mechanical ventilation to control airborne contaminants and air temperature/humidity
• dust extraction
• plant fitted with water scrubbers
• plant fitted with catalytic converters
• provision of breathing equipment when a hazardous atmosphere is present and cannot
be effectively ventilated by external means.
• Using ground support designed for the unique circumstances of the work is essential to
control the risk of a collapse or tunnel support failure. All excavation for tunnelling
should be supported.

5.3 Shafts
Shafts are often constructed to provide access or ventilation to a tunnel. Comparatively shallow
shafts can be sunk for investigating or constructing foundations, dewatering or providing
openings to underground facilities.
Shafts vary greatly in design and construction technique, depending on their purpose and the
local conditions. They may be vertical or inclined, lined or unlined, various shapes, and
excavated using various techniques.
Shaft sinking involves excavating a shaft from the top, with access and spoil removal from the
top. Other construction methods include raise-boring, which is a method of constructing a shaft
(or raise) where underground access has already been established. Raised bored shafts can be
from the surface or from one horizon to another underground. The method can be remotely
executed, not requiring people to enter the shaft.
Access to shaft openings should be controlled by using a secure cover that is lockable and
accessible only by a designated person. An alternative means is to use a suitable guard rail and
toe-board with gate for access and supporting the sides by steel frames or sets
of timber. In special cases support can also be provided by installing precast concrete or steel
liners.

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Shafts can have special features so design and construction advice should be obtained from a
competent person (e.g. an engineer) before excavation and installation. In some cases, special
ventilation facilities may be required.
COMMON HAZARDS AND RISKS INVOLVED IN SHAFT CONSTRUCTION INCLUDE:

• shaft dimensions limiting work space, possibly including confined space work
• the potential for ground instability for lifting and removing spoil
• falls and falling objects, including fine material and water from the shaft wall
• hoisting equipment (e.g. winch, ropes and hooks)
• hoisting and winching people, materials, spoil and plant
• water inflow/inrush and dewatering
• airborne contaminants and ventilation
• confined space
• manual tasks
• hazardous materials
• fire or explosion
• inadequate communication systems
• mobile plant
• noise
• emergency exits.

CONTROL MEASURES INCLUDE:

• stabilising the ground at the head of the shaft and removal of spoil
• continuously lining or supporting the shaft
• providing appropriate fall protection, for example temporary work platforms
• providing and maintaining appropriate hoisting equipment
• installing dewatering systems
• installing mechanical ventilation to control airborne contaminants and air
temperature/humidity
• isolating access to moving parts of plant and equipment
• guiding the working platforms and material
• avoiding overfilling material kibbles and cleaning kibbles before lifting
• closing shaft doors before tipping
• cleaning the spillage off doors, stage and any steelwork.

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6.PREVENTING GROUND COLLAPSE
Ground collapse is one of the primary risks to be controlled in excavation work. Ground
collapse can occur quickly and without warning, giving a worker virtually no time to escape,
especially if the collapse is extensive. A buried worker is likely to die from suffocation before
help arrives (e.g. either the head is buried, or the chest is so restricted by the weight of ground
that the worker can no longer breathe).
Figure 8 shows a typical example of ground failure where material collapses onto a worker
pinning them against the wall of a trench. Trench collapses of this nature can cause fatal
injuries.

( b) Shear plane failure along the seepage (slippage) plane

(a)

(a)This is a very dangerous situation, requiring ground support. No worker should be in the
trench unless support has been installed.
1. Area of tension, as wall starts to collapse.
2. Slipping plane.
3. Seepage along the slipping plane further reduces the stability of the wall. Water seeping
into the excavation, tension cracks on the surface and bulging side walls are all signs of
imminent collapse.
4. Seepage in trench bottom may not be obvious until the actual collapse

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 (c ) Worker trapped and crushed against the trench wall by the quick collapse d) Worker badly injured and probably smothered after being crushed

When planning the work and selecting appropriate excavation methods and control
measures, it is important to consider:

• the type and strength of the material to be excavated (e.g. whether the ground is
natural and self-supporting or has been previously backfilled)
• the moisture content of the soil
• if the ground is level or sloping
• if groundwater is present
• if there are any discontinuities or faults in the strata
• if there are any other nearby water courses, drains or run-off that might affect the
stability of the excavation
• the work area and any access or operational limitations
• the planned height of the excavated face
• if vehicular traffic and/or powered mobile plant will operate near the excavation
• if there will be other construction activity nearby that may cause vibration
• any other loads adjacent to the planned excavation (e.g. buildings, tanks, retaining
walls, trees)
• if the need for persons to enter the excavation can be eliminated
• any underground essential services.
The ground conditions will have a significant impact on the selection of an excavation
method and the control measures implemented.

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 GROUND CONDITIONS
In their natural condition, soils have varying degrees of cohesive strength and frictional
resistance. Examples of materials with virtually no cohesive strength are dry sand, saturated
sand and gravels with minimum clay content. Ground encountered in excavations can generally
be categorized as one of three types:

• hard, compact soil

• soil liable to crack or crumble
• loose or running material.
Of these materials, hard compact soil is the type that can cause the most trouble because
the face ‘looks good’ and this often leads to risks being taken. Loose or running material is often
the safest, because the need for safety precautions is obvious from the start.
Soil liable to crack or crumble is doubtful and should be given careful consideration before the
treatment to be given is determined. Useful information can often be obtained from local
authorities.
Non-cohesive faces can be very hazardous. With the right amount of moisture, they can
look safe and solid. A little loss of water by evaporation from the face or an increase in water
content from rain or other causes can make the soil crumble.
The stability of any excavated face depends on the strength of the soil in the face being greater
at all times than the stresses it is subjected to. The following situations all increase soil stresses
in an excavated face and may lead to failure under adverse weather conditions, additional load
or vibration.

• deep cuts and steep slopes, by removal of the natural side support of the excavated
material
• loads on the ground surface near the top of the face, such as excavated material,
digging equipment or other construction plant and material
• shock and vibration, which could be caused by pile-driving, blasting, passing loads or
vibration producing plant
• water pressure from ground water flow, which fills cracks in the soil, increases
horizontal stresses and the possibility of undermining
• saturation of soil, which increases the weight and in some cases the volume of the soil.
The following may reduce soil strength:
• excess water pressure in sandy soil which may cause boils and saturate the soil and
increase its plasticity
• dryness of the soil may reduce cohesion in sandy soil and soils high in organic content
which then crumble readily

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 • prolonged stress, may cause plastic deformity (squeezing or flowing)
• prolonged inactivity at an excavation site. An evaluation of the soil should be
undertaken before work recommences.
There are three main types of ground collapse control measures that can be used where ground
collapse may occur:
6.1 Benching and Battering
One fairly simple way of controlling the risk of ground collapse is to bench or batter the
excavation walls. An excavated slope is safe when the ground is stable. That is, the slope does
not flatten when left for a considerable period, there is no movement of material down the
slope and the toe of the slope remains in the same place.
If excavation work is planned to be carried out without positive ground support (that is,
shoring), the continuing safety of the excavation will depend on the conditions arising during
construction. If the conditions during construction are not as expected, or if conditions change
during the course of the work (e.g. different soils, heavy rain/flooding) action
should be taken immediately to protect workers, other persons and property. Implement
appropriate control measures such as temporarily suspending work until the ground is stable
or, if necessary, providing positive ground support.
Benching is the creation of a series of steps in the vertical wall of an excavation to reduce the
wall height and ensure stability (see Figure 9). Benching is a method of preventing collapse by
excavating the sides of an excavation to form one or more horizontal levels or steps with
vertical surfaces between levels.

FIGURE 9: Benching

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Battering is where the wall of an excavation is sloped back to a predetermined angle to ensure
stability (see Figure 10). Battering prevents ground collapse by cutting the excavated face back
to a safe slope. Battering should commence from the bottom of the excavation and in some
circumstances, it may be appropriate to use a combination of the two methods on an
excavation (see Figure 11

FIGURE 11: Combination of benching and battering controls

Benching and battering of excavation walls can minimise the risk of soil or rock slipping onto
the excavation. Control measures should be designed by a competent person (e.g. geotechnical
engineer) and be relative to the soil type, the moisture content of the soil, the planned height
of the excavated face and any surcharge loads acting on the excavated face.

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It is not necessary to bench or batter the face of excavations which a competent person
determines are in stable rock or has assessed that there is no risk of collapse. When benching
or battering the walls of an excavation, an angle of repose of 45 degrees should not be
exceeded unless designed by a competent person and certified in writing.
Benches should be wide enough to stabilize the slopes and to prevent material from the top
falling down to the working area. They should also be sloped to reduce the possibility
of water scouring.
The size and type of any earthmoving machinery to be used and any related haul routes should
be considered when designing the face slopes and widths of benches.
6.2 Shoring
Shoring is a positive ground support system that can be used when the location or depth of an
excavation makes battering and/or benching impracticable. It should always be designed for
the specific workplace conditions by a competent person (e.g., an engineer).
Shoring is the provision of support for excavated face(s) to prevent the movement of soil and
therefore ground collapse. It is a common method of ground support in trench
excavation where unstable ground conditions, such as soft ground or ground liable to be wet
during excavation such as sand, silt or soft moist clay are often encountered.
Where ground is not self-supporting and benching or battering are not practical or effective
control measures, shoring should be used. Shoring should also be used when there is a risk of a
person being buried, struck or trapped by dislodged or falling material which forms the side of,
or is adjacent to, the excavation work.
Where such a risk also exists for those installing shoring, other appropriate control measures
must be in place to ensure the health and safety of persons entering the excavation.
Shoring the face of an excavation should progress as the excavation work progresses. Where
earthmoving machinery is used risk assessment should be used to determine whether any part
of the trench may be left unsupported.
The system of work included in the SWMS should ensure workers do not enter any part of the
excavation that is not protected. They should not work ahead of the shoring protection if it is
being progressively installed.
The basic types of shoring are hydraulically operated metal shoring and timber shoring. The
most common shoring used consists of hydraulic jacks and steel struts, walls and sheeting.
Sometimes aluminum or timber components are used.

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The use of metal shoring has largely replaced timber shoring because of its ability to ensure
even distribution of pressure along a trench line and it is easily adapted to various depths and
trench widths.
Some of the common types of shoring are:

• hydraulic systems
• steel sheet piling
• steel trench sheeting
• timber systems (e.g., soldier sets)
• precast concrete panels
• ground anchors.
HYDRAULIC SYSTEMS
Hydraulic support systems are commonly used to provide temporary or mobile ground support
while other ground supports are being installed (see Figure 12).
Ground pressures should be considered prior to installing hydraulic supports. The hydraulic
support system should be designed by a competent person in consultation with the
geotechnical engineer. The hydraulic capacity of the temporary ground support system must be
designed to resist the expected ground pressures and potential for collapse.
Hydraulic support systems may become unreliable if not properly maintained and properly
used. Frequent inspections of pressure hoses and rams are necessary to detect abrasion,
fatigue or damage such as bent or notched rams.
When a trench has been fully supported the hydraulic support systems should be dismantled to
prevent costly damage. The hydraulic supports should be inspected, repaired if necessary and
carefully stored prior to re-use.

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 FIGURE 12: Hydraulic shoring (soldier set style)

horizontal spacing

over-strut clearance

vertical
ram
spacing

under-strut clearance

1. Soldier rail
2. Hydraulic soldier strut
3. Lifting/handling point
4. Pin

STEEL SHEET PILING

Steel sheet piling is generally used on major excavations such as large building foundations or
where large embankments are to be held back and can be installed prior to excavation work
commencing. It is also used where an excavation is in close proximity to adjoining buildings (see
Figure 13).
Sheet piling may be used when the ground is so unstable that side wall collapse is likely to occur
during excavation, for example, in loose and running sand. In such cases, sheet piling should be
installed before excavation commences.

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 FIGURE 13: Steel sheet piling

STEEL TRENCH SHEETING

Other methods of excavation may require the use of steel trench sheeting or shoring.
It is positioned and pneumatically driven in to final depth. Toms and walings are placed into
position as the soil is excavated. Although timber can be used it is more efficient to use
adjustable jacks or struts (see Figure 14).
Steel trench sheeting is lighter weight than normal sheet piling and, in some circumstances,
may be driven by hand-held pneumatic hammers or electrically operated vibrating hammers.
The potential for manual handling injuries to occur in this operation is very high, as is the risk of
lacerations due to sharp metal protrusions. These risks should be addressed prior to
commencement of driving the steel sheet. Any projections on the underside of the anvil of jack
hammers should be removed to prevent damage to the driving cap and potential injury to the
operator.

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During driving operations, if it is likely that workers may be exposed to noise levels in excess of
the exposure standard, a method of controlling the noise exposure is required.
Steel shoring and trench lining equipment should be designed by a competent person.

Bracket heads sit

TIMBER SOLDIER SETS

The soldier set is a simple form of trench support set which can be formed with steel or
timber. This system is mostly used in rock, stiff clays and in other soil types with similar self-
supporting properties.
Unlike closed sheeting sets, soldier sets retain the earth where there may be a fault in
the embankment. Soldier sets only provide ground support at regular intervals and do not
provide positive ground support to the whole excavated face. Open soldier sets are only
suitable for use in stable soil types. (See Figure 15).

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 1. Spoil heap at least 600mm clear of excavation allows access along both sides of the trench top and prevents material from the heap
rolling into the trench.
2. Toms placed from surface with special timbering tongs.
3. Soldiers protrude 500mm above the top of the trench.
4. Spoil heap or pile.
5. Top tom no lower than 300mm from the trench top.
6. For added side support, steel jacks may replace timber toms.
7. Maximum spacing of toms no more than 750mm.
8. Cleats securely nailed to soldiers before placing soldiers in trench.
9. Soldier resting securely on trench bottom.
10. Maximum spacing between soldier sets 1.5 metres.
11. Soldier, minimum size 150mm x 38mm. 12. Tom, minimum size 150mm x 38mm.
12. Tom should be long enough to force soldiers firmly against trench sides. To prevent excessive bowing of soldiers against irregular
trench sides, wood packing, between the trench wall and the soldier, may be used.
13. Space between the bottom tom and trench floor should be sufficient to allow installation of a pipe – normally, no more than
1000mm

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CLOSED SHEETING
Closed sheeting is where vertical timber or metal members are used to fully cover and support
a trench wall and which are in turn supported by other members of a ground support system.

Side lacing is a form of closed sheeting used primarily to ensure worker safety by preventing
soil from slipping by the placement of fill behind timber boards or steel plates (see Figure 17).
Side lacing is used in all types of ground, and is particularly useful where long or large diameter
pipes are to be installed and in variable ground conditions where steel or timber supports are
difficult to install. Side lacing should be firmly wedged into the ground to prevent it from
moving when fill is placed against it.
When closed sheeting or side lacing is used to prevent ground collapse, workers should not:

• enter the excavation prior to the installation of the sheeting/lacing

• work inside a trench, outside the protection of sheeting/lacing
• enter the excavation after sheeting/lacing has been removed
• enter an area where there is sheeting/lacing, other than by a ladder.

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GROUND ANCHORS
A ground anchor is a tie back to the soil behind the face requiring support and is typically used
with steel sheet piling (see Figure 18). Ground anchors may be installed in either granular or
clay soils. The design of ground anchors should be carried out by a competent person, for
example, a geotechnical engineer.
In granular soil, the anchorage zone is usually a plug of grout located behind the active soil limit
line. This plug resists the tension force induced in the stressing cables, due to the shear and
cohesion forces developed along its length.
These forces can be due, in part, to the overburden. Removal of soil above installed ground
anchors should only be carried out after approval has been received from a competent person.

FIGURE 18: Ground anchors for supporting steel sheet

piling

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Removal of the soil between the retaining wall and the active soil limit line may cause sheet
piling to bend. This bending will release the load in the stressing cable, and render the ground
anchor useless and dangerous to workers in the excavation area.
The ground anchor may not develop its original load carrying capacity on replacement of the
soil. The anchorage of the stressing cable at the face of the sheet piling may
be also dislodged or loosened. This depends on the type of stressing cable and the respective
anchoring systems. While the ground anchoring system is operative,
periodic checks with hydraulic jacks and pressure gauges are used to assess anchor behaviour
over long periods.
6.3 Removal of shoring supports
Shoring and all support systems should be removed in a manner that protects workers from
ground collapse, structural collapse or being struck by structural members.
Before removal begins, temporary structural members may need to be installed to ensure
worker safety.
When removing shoring, the support system should be extracted or dismantled in reverse order
to its installation. Persons performing the work in the excavation should not work outside the
protection of the ground support system. No part of
a ground support system should be removed until the trench is ready for final backfill and
compaction.

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6.4 Shields and boxes
A shield is a structure, usually manufactured from steel, which is able to withstand the forces
imposed by a ground collapse and protect workers within it. Shields can be permanently
installed or portable and designed to move along as work progresses.
Many different shield system configurations are available for hire or purchase. Figure 19 shows
a typical trench shield.

Shields and boxes used in trenches are often referred to as trench shields or trench boxes, and
are designed and constructed to withstand the earth pressures of particular trench depths and
ground types. They incorporate specific lifting points for installation and removal.
Trench shields and boxes differ from shoring as shoring is designed to prevent collapse where
shielding and boxes are only designed to protect workers if a collapse occurs.

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Trench shields and boxes are useful where other forms of support are not reasonably
practicable to install. They are mainly used in open areas where access is available for an
excavator or backhoe to lower and raise the boxes or shields into and out of a trench.
They are generally not suitable whereas access is difficult and ground conditions prevent the
use of lifting equipment.
Steel boxes for trench work can be light or heavy-duty construction depending on the depth of
the trench and ground conditions. Trench shields and boxes should be designed by a competent
person, for example, an engineer, and be pre-manufactured to job specific dimensions.
Used correctly, shields and boxes can provide a safe work space for workers needing to enter
an excavation. Trench shields and boxes should be adequately maintained or they may fail
unexpectedly, particularly if they have been abused or misused. The manufacturer’s
instructions for the installation, use, removal and maintenance of shields and boxes should
always be followed.
Trench boxes should not be subjected to loads exceeding those which the system was designed
to withstand. Earth pressures are reduced when correct benching and battering practices are
used.
Shields and boxes should be stored and transported in accordance with the manufacturer’s
instructions. Heavy duty equipment may require disassembly
for transport.
Boxes should be regularly inspected for damage. They should only be altered or modified with
the approval of a competent person.
6.5 Other ground support methods
Support to the face of an excavation can sometimes be effectively provided by the use of
chemical stabilization techniques. These techniques involve injection under pressure of
chemical solutions which bind and solidify soil. This method of stabilization is only possible in
porous soils.

END

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