Implementing safe working

practices during shaft construction

A London Underground guidance document produced in

conjunction with:
BAM, Bechtel, Costain, Dragados, Ferrovial, Laing O’Rourke, and Taylor Woodrow
Shaft Safety Guidance Foreword
This shaft safety guidance document is a ‘must read’ for all teams involved
with constructing shafts; for design teams in the early phases of the project
right through to foremen operating the logistics on a daily basis above and
within the shaft.

Here’s why London Underground wants you to read and use this guide:

TfL Vision and Values

Transport for London (TfL) is committed to a vision of:

‘Everyone home safe and healthy every day’.

In the Capital Programmes Directorate (CPD), we will

contribute to this achievement by safely delivering one of
Europe’s largest capital programmes, while continuing to reliably and safely keep
four million passengers a day moving.

The focus of our first three-year strategy is establishing the systems and behaviours
that we need to effectively manage the health, safety and environmental (HSE)
aspects of project delivery, the day- to-day health and safety of our staff and our
impact on the environment.

David Waboso
Director of Capital Programmes

Improving Shaft Safety

The Stations Capacity Programme encompasses the major
projects to add additional capacity to key stations in the centre of
London.

Tunnelling and therefore shafts are a critical part of the work at

each station and there are often significant constraints on the
shaft location, size and logistics due to neighbouring properties and the road
network.

It is important that each project considers these constraints, from the early feasibility
stages, to ensure that TWA powers and property strategies provide adequate space
and access to create a safe working site focussed around the shafts.

Please take time to read these guidelines to make working in and near shafts even
safer in the future.

Ralph Freeston
Head of Stations Capacity Programme

2|Page
Contents

Shaft Safety Guidance Foreword ............................................................................... 2

TfL Vision and Values .......................................................................................... 2
Improving Shaft Safety ........................................................................................ 2
Document aims ....................................................................................................... 4
Section 1 - Planning for shaft safety ....................................................................... 5
Section 2 - People and their behaviours ................................................................. 8
Section 3 - Processes and procedures ................................................................. 11
Section 4 – Plant, services and materials ............................................................. 13
Conclusion ............................................................................................................ 18
Acknowledgements ............................................................................................... 18
Appendix A – Examples of above ground layout for shaft sites ............................ 19
Appendix B – Examples of internal shaft layout and environments....................... 27
Appendix C - List of other useful documentation and guidance ............................ 36
Appendix D - List of considerations with existing guidance and standards ........... 37

3|Page
Document aims
The following guidance document has been produced by London Underground in
response to a number of incidents in and around shafts. All health and safety
incidents on construction projects are unacceptable and preventable. This document
captures and promotes construction best practice found on major construction sites
to improve the industry’s health and safety performance.

This document does not replace existing regulations and standards, nor is it an
exhaustive reference. Rather, it aims to complement the existing regulations and
offer guidance and support where applicable. The document was produced through
a number of working group meetings, utilising shaft sinking and tunnelling expertise
from BAM, Bechtel, Costain, Dragados, Ferrovial, Laing O’Rourke, and Taylor
Woodrow.

The report has been split into 4 key sections:

 Planning
 People
 Processes
 Plant

Each section is written based on the working group outputs and recommendations.
Examples of various site and shaft conditions/layouts as well as a detailed checklist
can be found in the appendix.

This document aims to promote the health and wellbeing of all construction related
activities and workers through knowledge sharing and collaboration.

4|Page
Section 1 - Planning for shaft safety
The following section relates to the planning of any shaft or tunnel related works. It
specifically identifies factors that can influence and affect the entire works early in
the project lifecycle. Collaboration with all the involved parties is essential.

Design
During the design of a project it is vital that all parties are engaged and consulted as
much as possible. Some key considerations during the design phase are:

 Consider buildability – especially for lifting, access and temporary works

 Select shaft locations carefully – involve the construction team
 Maximise your space
 Shafts must be sized appropriately from top to bottom, including above
ground structures
 Capture any learning before people leave a project
 Design for all stages of the shaft lifecycle

Procurement
Using the supply chain offers essential, in-depth expertise in a variety of areas. We
recommend the following:

 Minimise interfaces where possible

 Choose and involve suppliers early, selecting on the quality of past
performance and their approach to the project, not price
 Involve the supply chain when producing tender documentation

Construction
Planning for construction is as important as planning for the final operations and the
following considerations should be assessed:

 A robust list of construction requirements should be produced

 Size shafts based on the greater of the permanent and temporary
construction scenarios
 Size the shaft in its construction phase based on maximum lift size, temporary
services and access requirements
 Engage with specialists, suppliers and stakeholders early

Space/Layout
Ensuring the site layout around the shaft is planned early and effectively can be the
difference between a productive or a dangerous workplace. How you use the space
is more important than how much you have. The following should be considered:

 Use 4D modelling to visualise site requirements, size and layout

5|Page
  Key operations that drive layout are:
- Removal of excavated material
- Location and type of any lifting and lifting equipment
- Excavated material skip and bin size
- Providing 2 means of personnel access/egress
 Storage and laydown requirements for materials and associated equipment

Logistics and access

Take time to review the logistics of the site, especially the removal of excavated
material. Consider the following:

 Which delivery and removal option for excavated material impacts the local
transport system the least
 The type of shaft construction dictates the logistics (pre-cast rings, SCL, piled
or D-wall)
 Segregation of pedestrian and vehicular access is essential, including internal
shaft vertical segregation
 Access road design for number of vehicle movements per hour
 Consider urban vs. rural environmental differences

Temporary Works
Temporary works should be planned early to reduce spatial and time impacts:

 Carefully schedule temporary works on a register and keep updated

 Planning of temporary works is as important as the permanent works
 Allow enough time to plan and check temporary works thoroughly
 Which temporary works designs need to be checked independently
 Involve the operations team in the selection of temporary works

Ground conditions
The site ground conditions will determine a number of factors on site, including sizing
plant, shaft construction technique etc. Consider the following:

 Complete a thorough ground investigation of the site area and review how the
findings could affect the build sequence

Duration
Factors affected by the duration of the project, or that could directly impact the
duration are:

 The more planning time the better

 Consider duration of temporary state elements, i.e. how long does the shaft
rely on just the primary lining
 Ground movements (settlement) vs. time, may dictate overall durations

6|Page
Environment
The environmental impact of a project can be reduced if it is planned for correctly.
Consider the following:

 Noise, dust and light considerations and the use of a shaft top building
 Conduct local flood risk analysis and mitigation measures
 Consider neighbours and residents
 Engage with Local Authorities early, build up trust and relationships

Risk assessment
Risk assessments are a legal requirement and should not be rushed. They require
input at every stage:

 Planning stage requires high level RA to include construction period

 Buildability checks to be completed by contractor and end user
 Consider a Hazard and Operability study (HAZOP)
 Need to consider and plan for catastrophic failures, such as the bow-tie
model

7|Page
Section 2 - People and their behaviours
This section will review the people selected for projects and how their behaviours
can affect a site positively. People are a project’s most important and valuable
resource and need to be selected and trained carefully. Behaviours are often led
from the top down, so the behaviours of the project’s leadership team should be very
carefully considered. This includes the behaviours of the client.

Behaviours
There are more incidents of items falling down a shaft than there are from a
structure. Working in and around a shaft always involves working at height.
However, the workforce does not always realise this. Recognising this is key to
maintaining a safe worksite.

We can help deter negative behaviours on site by:

 Setting site expectations early and consistently

 Repetitive work causes normalisation and a reduced awareness of hazards
 Positively reinforce desired behaviours and apply consequences to negative
behaviours
 Frequently asking the operatives on site to provide solutions to problems will
gain buy-in, particularly if they receive feedback on their contributions

Other factors that may drive behaviours on site include:

 Very low chances of incidents occurring cause reduced vigilance

 Inadequate supervision on site causes a slippery slope
 Investigate near-miss trends on other projects to identify negative behaviours

When selecting staff, it is important to understand what motivates that particular

group of people and the associated leader. People from different geographical
backgrounds may have experienced different standards of construction

Leadership and Management

The management and leadership teams maintain the safe work culture. The
following points note key leadership styles that should be adopted:

 Strong, experienced, visible leadership and management team

 Use simple and effective communication
 Plan the site behaviour through systems and manager buy-in
 Monitor workforce and production regularly
 Delegate responsibility e.g. allocate owners of site areas

8|Page
Clients
It is not just the main contractor and suppliers which can have an effect on the
behaviours on site. Client buy-in and monitoring will also help drive these
behaviours:

 Clients need to show buy-in to health and safety

 Clients need to collaborate and monitor performance
 Client to set high standards
 Client setting and monitoring of KPI’s and safety standards

Fatigue
Working on a construction project can be tiring, especially where shift working is
required. The following recommendations have been made based on data around
shift patterns:

 Shift patterns should be carefully selected with the aim of minimising fatigue
 The workforce may request tiring shift patterns to earn more money
 Monitor the fatigue of the workforce through productivity and near misses
 Prepare a fatigue management report prior to shift works being implemented

Visitors
Visitors on site are a hazard. They are new to the worksite, and sometimes come
from backgrounds that are predominantly off-site. However, visiting sites is a good
way to share knowledge and pass on learning. Consider:

 Limit the number of non-essential visitors

 Eliminate visitors from dangerous situations by timing visits around activities
 Have separate rules for visitors

Training and experience

It is crucial that the roles and responsibilities for the various positions on site are
established early and that staff meet these criteria with their experience. The
following points give guidance when taking on new personnel:

 Set training and experienced standards early and verify staff have them
 Use a probation period for new staff
 Provide on-site training
 Plan for the fact that there may be resource shortages
 New team members can affect the performance of existing team members

When hiring for educated roles, such as Engineers or Surveyors, a specific set of
educational and experience requirements should be set out prior to hiring.

9|Page
Complacency
One of the main causes of behaviour types or changes to a particular behaviour is
complacency. People will inherently change to an easier approach to a job. Predict
and plan for this behaviour

Teams
Teams are the driving force behind any project. It is teams, that will complete the
works on site, and management teams that will monitor performance and finance:

 Good teams require a number of different personality types and take time to
form
 Good leaders are essential
 Link bonus to whole team performance, including safety and quality
 Provide regular feedback to teams

Continuous improvement
People resist change, especially in construction. Ways to help minimise the time
required to change a behaviour or work pattern are:

 Keep new procedures simple

 Tell the workforce how new methods will benefit them
 Use regular reinforcement after a change is implemented
 Involve the workers when coming up with new working patterns
 Document and scrutinise changes to the same level of as the original plan

10 | P a g e
Section 3 - Processes and procedures
This section is not in itself a procedure, nor does it stipulate procedures that should
be followed. It aims to support information, applicable standards and other guidance
documents, procedures and processes which already exist for the safe planning and
delivery of shafts.

Any processes and procedures that are in place should aid the works and should not
be there for the sake of it.

Development of Procedures and Policies

A wide variety of procedures and processes will need to be followed to ensure shafts
are designed, constructed and operated safely. These documents should be written
in clear, unambiguous and easily understood language which describes:

 Who - the definition of roles and responsibilities

 What - the requirements to be met and forms and processes to be used
 When - timescales and/or order in which actions need to happen
 Where - location specific requirements
 Why - establish the required outcome

Adherence to procedures will assist in delivering a safe and functional design with
appropriate safe systems of work developed in a controlled, methodical and
considered manner:

 Consider the design and construction standards that are applicable to wider
construction activities (lifting, working at height, fire evacuation, etc.)
 Review these standards to reflect unique requirements within shafts
 Develop bespoke standards, where necessary, specifically for works
associated with shafts

Existing Guidance
When developing processes and procedures for the safe design and construction of
shafts, the existing guidance documents should be reviewed first. See appendix C.

Optioneering and Technique selection

Consideration should to be given to the nature of the shaft, its intended final use
(e.g. ventilation, permanent (lift) access, supply riser etc.) and its proposed method
of construction.

Shaft Types
A number of shaft types and construction methodologies exist which will require
different procedures. These include but are not limited to:

 SCL shafts
 Segmental lined – underpinned
 Segmental lined – jacked

11 | P a g e
  Sheet piled
 Diaphragm wall
 Secant piled
 Contiguous pile
 Drill and blast, rock faced

People
Roles and responsibilities for the various positions as defined by procedures are
established early, allowing sufficient time to ensure that staff meet the required
competencies. The following points give guidance on criteria to look for when
assigning responsibilities and taking on new personnel:

 Competence of personnel, verified

 Provide on the job training
 Clear definition of roles and responsibilities
 Organisational structure and lines of reporting

Other procedures
Logistics:

Multiple operations and site constraints may include:

 Shafts close to infrastructure

 Site constraints – used to create diagrams, plans and photos etc.
 Site conditions – ground conditions, ground water, weather, ground conditions
 Multiple operations

The below table details a number of final considerations and project chronologies as
an aide memoir:

Chronology
Design/planning and space-proofing
Ground investigation
3rd party considerations
TW’s requirements
Logistics/deliveries/ access routes and vehicles falling down shaft
Lifting
People, access and emergency preparedness
Backfill and removal
Fit-out
Edge protection
Maintenance and monitoring

12 | P a g e
Section 4 – Plant, services and materials
As a matter of course, a great deal of consideration is given to the selection of
specialist plant items and safety systems in order to construct and use tunnels.
However, the same level of consideration is not always applied when a shaft is to be
constructed and used. This apparent discrepancy is largely without justification, as
many of the conditions encountered in shafts and tunnels are fundamentally similar.

This section of the document is intended to assist those persons tasked with
selection of plant and equipment that will be used during the construction and
operation of shafts.

Pre-construction planning
A number of factors should be considered when selecting plant and equipment that
will be used to construct and operate a shaft. These factors should include, but not
be limited to:

 The method of construction to be used

 The size of the shaft
 Ground conditions
 Shaft use throughout its lifecycle

Each shaft should be treated as largely unique. As such, the plant and equipment
used to construct and operate each shaft should be comprehensively and carefully
considered – selecting plant and equipment based on its availability should be
avoided. Similarly, experience or knowledge of plant and equipment being used
under similar circumstances should not entirely negate the requirement for a
thorough process of selection.

Power supply
Most shafts will require lighting and ventilation and some will require pumping to
remove ground water. Additionally a number of modern plant items used in shaft and
tunnel construction are electrically powered. The provision of sufficient electrical
power to a shaft site should consider:

 Identify all power requirements plus emergency contingency

 The cable route and voltage drop
 Prevention of cable damage
 Accessibility for maintenance and commissioning

Ventilation
Shafts are generally considered ‘confined spaces’ when their depth is equal to or
exceeds their diameter, and so ventilation should be provided at an early stage
during construction. When selecting an appropriate sized ventilation system,
consider:

13 | P a g e
  The minimum volume of fresh air for both gases and dust (see BS 6164)
 Selecting the most efficient system on a whole life basis
 Ventilation duct restraints and support structure
 SCL methods produce high quantities of dust
 Other dust suppression methods, including wetting down
 Efficient ventilation must be designed, it doesn’t just happen

Other services – Water-lines, pump-lines, concrete / grout lines

As with ventilation duct, similar considerations should be made, including:

 Service requirements including back-up and fixings

 Procure pipelines from a single-source to ensure joints fit
 Consider pressure build-up, including that caused by blockages
 Specialist dewater pumps to cope with high head pressures
 Periodic maintenance, especially to concrete lines which wear out
 Maintenance access

Access
There are no hard-and-fast rules when selecting access and egress arrangements
for shaft construction and use. BS6164 advises that two means of access and
egress should be provided for shaft work, but then these means may be selected
from any combination of systems.

Options for man access include:

 Fixed stairs (purpose made Haki or similar)

 Hoists (Alimak or similar)
 Ladder bay
 Crane basket (purpose made)
 Davit arm (usually a last resort)

The following considerations have been made:

 How much space is available?

 Fixed access systems take up considerable room
 Fixed elevator systems are less practical during shaft construction

Crane attached man-riding systems are considered a reasonable compromise

between versatility and suitability. However, a smaller stand-by crane should be kept
on site for use in an emergency evacuation situation. 6-monthly LOLER checks will
be required on any equipment used to lift people.

Other factors to consider include:

14 | P a g e
  The depth of the shaft
 Access or egress provision for emergency escape
 The worst case scenario must be adequately planned for

Whatever combination of access arrangements are adopted, it is essential that

provision for accessing the shaft base with a stretcher is made, should the
evacuation of a stricken individual be required.

Crane selection and lifting

Shaft sinking, irrespective of method, is crane intensive. Materials must be frequently
lowered into the shaft, and arising must be removed. Additionally, plant used during
the construction process may be subject to many cycles of lowering in and raising
out of the shaft.

Of the available options of mobile, crawler, tower or gantry cranes, no one choice is
particularly better than any other, although it should be noted that, because of the
repetitive nature of servicing a shaft, a fixed gantry system is often most efficient.
Gantry cranes can run on ground level rails (Goliath), high level rails (overhead) or a
combination of the two (semi-Goliath).

Crane selection for shaft sinking should be subject to the same process as when
cranes are selected for any other lifting operations. Agree this early and factor this
into construction:

 Consider the full range of lifts to be performed

 How much space is available on site
 What are the ground conditions of the site
 Are there ‘proximity hazards’, such as buried services, overhead power lines
or adjacent tall buildings in the local area
 Consider the accessibility of the site and the logistics involved in crane
delivery

Lifting is one of the most frequent activities during shaft construction and use, and
yet comes with high inherent risk. The selection of an appropriate crane should be
part of the process of developing a comprehensive Lifting Plan. Whilst a large
number of the lifts associated with shaft construction and use will be repetitive or
similar, the Lifting plan should, where possible, avoid generalisations and all
eventualities should be accounted for.

Activities that are often overlooked during the production of Lift Plans include the
unloading of equipment or materials from trailers. Consideration of the lifting
accessories used during shaft construction should include:

 Specialist and standard lifting equipment

 Inspections

15 | P a g e
  Additional training requirements
 The design and manufacture of any bespoke lifting equipment
 Creating and maintaining a register of lifts

Communication between the lift team and personnel within the shaft is essential to
ensure the safety of lifting operations. Typically the crane operator cannot see into
the shaft. Two way radio communications should be assigned to a dedicated lifting
channel to avoid interference. Clear instructions should be established prior to lifts
taking place using a standard set of terms to avoid confusion. CCTV systems may
also be employed but can sometimes be a source of distraction to the crane
operator.

When working in smaller shafts, consider:

 Some lifting operations will be carried out whilst personnel are within the shaft
 Exclusion zones may not be available
 Securing of loose loads must be taken more seriously
 Muck skips should not be over-filled

When lifting small tools to the shaft, blue rope is not suitable. The provision of a
small winch at the pit-top, either manually operated or powered, should be
considered. Remember that using blue rope to lower a gas monitor into a shaft is an
invitation to use it for other, potentially disastrous, objects.

Atmospheric monitoring and fire safety equipment

Atmosphere monitoring and fire safety equipment in shafts should be provided at a
similar point in time as ventilation. The type of systems utilised will be dependent
once again on the whole-life cycle of the shaft:

 Consider monitoring the atmosphere during the shaft construction phase and
how it will be protected
 Fixed systems can be installed once the shaft has reached its full depth
 SCADA systems can provide continuous recording of data which can be
useful for analysing the presence of semi-toxic atmospheres
 Installing multiple systems at set distances

During shaft construction the minimum fire safety equipment that should be provided
is:
 A selection of fire extinguishers, suitable for the types of fire that may occur,
at the base of the shaft whilst personnel are working within.
 A portable structure to contain the extinguishers that can be raised or lowered
by the crane

A fixed sprinkler or inundation system may also be appropriate in some situations,

and their suitability should be assessed on an individual basis.

16 | P a g e
Plant and equipment that is to be used for tunnelling work is, generally, without
exception required to be fitted with fire safety features. These features include:

 Automatic fire suppression in engine bays

 Non-flammable oils and fluids
 Incombustible tyres and other parts that are exposed to heat
 Anti-static protection

We also note that excavators commonly used to excavate shafts are usually
machines that are equipped for carrying out work on surface. Consideration must be
given to fire safety features for both shaft and tunnel plant.

Excavation and support equipment selection

The list of equipment that may be used in shaft construction is extensive. Certain
methods require specialist items, such as the SCL method, and all shaft
constructions require a means to excavate, shift and remove muck. When selecting
plant consider sizes, weights, performance capabilities and experience or user
preference.

All plant items should be selected from the available range by a process of careful
appraisal, with the following being amongst the considerations being made:

 The size of the plant item relative to the shaft

 Room to manoeuvre and operate, and will not present a risk to personnel
 The weight of the plant item and associated craneage requirements
 Lifting points on plant items

Plant and Personnel Separation

Wherever possible, plant and construction personnel should be separated by a
physical barrier. Where this is not possible consideration must be given to fitting
devices which make the plant operator aware of people around the machine. Rear
view mirrors are essential but rear facing CCTV and proximity sensors are also
available. This is always an important consideration but even more so in the confines
of a shaft.

17 | P a g e
Conclusion
This guidance document is intended to highlight key considerations that should be
taken into account when working in and around shafts. It does not aim to be an
exhaustive list or an instruction manual, but rather to complement the existing
regulations in place. The document has focussed on 4 key areas: Planning, People,
Processes and Plant.

It should be stressed that every shaft environment is different, with an array of

methodologies, equipment, locations and people working on them. Care must be
taken to ascertain the risks inherent to each individual shaft and the associated
mitigation measures.

Further information and guidance can be found in:

- Appendix A, Examples of site layouts with shafts

- Appendix B, Examples of confined shaft layouts
- Appendix C, List of other useful documentation and guidance
- Appendix D, List of considerations with existing guidance and standards

Acknowledgements
London Underground would like to thank the following companies for helping to
create this guidance document:

 BAM
 Bechtel
 Costain
 Dragados
 Ferrovial
 Laing O’Rourke
 Taylor Woodrow

18 | P a g e
Appendix A – Examples of above ground layout for shaft sites

Figure 1 - Victoria Station Upgrade site layout

Figure 2 - Victoria Station Upgrade site layout alternate time-lapse view

19 | P a g e
 Figure 3 - Victoria Station Upgrade site layout and prop requirements

Figure 4 - Landsec Nove site layout, adjacent to Victoria Station Upgrade project

20 | P a g e
 Figure 5 – Crossrail/LUL Tottenham Court road site layout

Figure 6 – Crossrail/LUL Tottenham Court road site layout alternate time-lapse view

21 | P a g e
Figure 7 - Crossrail Farringdon site layout and surrounding buildings in close proximity

Figure 8 - C360 Mile End site layout during shaft works

22 | P a g e
Figure 9 - C360 Mile End site layout during shaft works, alternate view

23 | P a g e
Figure 10 - C360 Mile End site layout prior to shaft works commencing Figure 11 - Limmo Peninsular shaft 1 site layout

24 | P a g e
 Figure 12 - Limmo peninsular shaft site layout alternate view

Figure 13 - C360 Mile End site layout, alternate view, prior to shaft works commencing

25 | P a g e
 Figure 14 - Stepney Green shaft site layout

Figure 15 - Stepney Green shaft site layout alternate view

26 | P a g e
Appendix B – Examples of internal shaft layout and environments

Figure 16 - Fisher Street shaft showing excavation for underpinning of segmental lining

Figure 17 - C360 Eleanor Street second shaft with secondary lining applied

27 | P a g e
Figure 18 - Crossrail Tottenham Court Road shaft internal layout, SCL adit

Figure 19 - Stepney Green shaft base slab works

28 | P a g e
 Figure 20 - Bond Street Station Upgrade shaft top prior to OSD construction

Figure 21 - Crossrail Tottenham Court Road shaft internal layout, during SCL works

29 | P a g e
Figure 22 - Crossrail Tottenham Court Road shaft internal layout, during SCL Figure 23 - Limmo peninsular shaft 2 manrider access
works alternate view

30 | P a g e
Figure 24 - Crossrail Tottenham Court Road shaft internal layout, during Figure 25 - Crossrail Tottenham Court Road shaft internal layout,
RC works post RC works

31 | P a g e
 Figure 26- Bond Street Station Upgrade early shaft excavation

Figure 27 - Bond Street Station Upgrade shaft base concrete works

32 | P a g e
Figure 28 - Bond Street Station Upgrade waterproof TAM injection

33 | P a g e
Figure 29 - Bond Street Station Upgrade SCL works with Oruga SCL spraying robot

34 | P a g e
Figure 30 - Bond Street Station Upgrade man-rider access

Figure 31 - C360 Eleanor Street temporary SCL shaft

35 | P a g e
Appendix C - List of other useful documentation and guidance

 Construction (Design and Management) Regulations 2007/2015 (CDM)

 Occupation Health and Safety standard (OHSAS) 18001:2007
 Lifting Operations and Lifting Equipment Regulations (LOLER) 1998
 Provision and Use of Work Equipment Regulations (PUWER) 1998
 BS7121 - British Standard Code of Practice for the Safe Use of Cranes
 LU Manual of Good Practice G050
 CITIA C703
 BS 6164:2011 - Code of practice for health and safety in tunnelling in the
construction industry

36 | P a g e
Appendix D - List of considerations with existing guidance and
standards

37 | P a g e
 Check when
Topic Have you/have you considered…..
complete
Planning Design the build methodology and requirements? □
the location of the shaft and local environment? □
tried to maximise the space within the shaft and at ground level? □
sought out experience personnel to capture knowledge and experience? □
allowed sufficient time in the programme for planning? □
Procurement utilised the supply chain in the design? □
using only one contractor per area? □
chosen the suppliers early? □
allowed plenty of lead time to procure the supply chain? □
all the procurement routes available? □
Construction all the construction requriements? □
all the activities and resource requirements? □
lifting, services and access requirements? □
tried to ensure shafts are bigger than 10m diameter? □
engaged with Specialist Suppliers? □
considered involving the site teams? □
space/layout involved the right people in the planning stage? □
made the best use of space provided? □
that less Space actually sharpens the mind? □
used 4D BIM for requirements? □
checked the shaft base layout for activities? □
that too much space at shaft top level can make things harder? □
that the layout on site is driven by: muck, plant and lifting? □
conveyors do not generally suit SCL works? □
guide rails on shaft wall? □
muck skips versus conveyor methods? □
storage of materials? □
logistics that conveyor belts are suitable for long straight tunnels? □
that you could apply and push for full road closures? □
muck away and deliveries? □
using lorry holding areas? □
precast delivery vs. SCL? □
using one way traffic systems? □
reducing lorry movements through alternatives - such as boat or train? □
both day-to-day and emergency access and egress? □
that the type of shaft construction dictates the logistical requirements? □
planning for two types of site (SCL and segmental lining) in order to compare? □
Access involved the health and safety team? □
segregated vehicles and pedestrians? □
urban vs. rural environments? □
pushed councils for more land take? □
a one way system? □
tried to minimise lorry movements on busy roads? □
Shaft construction what materials will be used? □
that changing from segmental to SCL part way through construction requires a new site layout? □
planned for multiple shaft setups? □
that the speed of construction can reduce spatial requirements? □
that 24/7 or night shift works may require more storage capacity? □
ground conditions? □
confirming design details early? □
that the speed of construction is affected by material choice? □
that the crane selection is key and agreed this early? □
Temporary works checked all elements of TW required? □
created a schedule of TW’s and kept it up to date? □
that stronger shafts without permanent props open more space? □
that the planning of TW's is as important as the permanent works? □
kept a register of all temporary operations? □
that clear space is required to allow time for thorough checking? □
that anything that is hanging or lowered requires TW's checks? □
involved the operations team? □
Lift plan and schedule that the crane choice affects shaft construction? □
created a register and plan for all lift types? □
Ground conditions ensured a ground investigation has been/will be completed? □
tha the client/developer should invest the time in the GI? □
reviewed the ground conditions? □
spent time understanding the GI reports? □
Duration the duration of the shaft temporary state? □
settlement vs. time? □
how long ground monitoring will be required for? □
that the number of vehicles per hour within the road design? □
rivers or rail for muck away and deliveries ? □
38 | P a g e
 □
Duration the duration of the shaft temporary state? □
settlement vs. time? □
how long ground monitoring will be required for? □
that the number of vehicles per hour within the road design? □
rivers or rail for muck away and deliveries ? □
Weather conditions snow, wind, rain etc? □
ground water and pumps? □
using covers vs. OSD and produced cost analysis? □
Lead in time using ECI procurement where possible? □
Environment noise, dust, light considerations? □
using covers to reduce dust and noise pollution? □
dust control? □
influential neighbours and residents? □
the option to place a lid on the shaft? □
engaged with local authorities early? □
Services Alimak lifts vs. depth? □
the no. of people in shaft? □
the speed of escape and rescue? □
ventilation and extraction for all adits? □
that everything needs to be designed to fit the shaft? □
that a barrier between Alimak and crane is required? □
a man rider on its own needs to have 2 cranes to evacuate? □
ventilation is a minimum of 2 ducts (air in and out)? □
that clear space down a shaft is essential? □
early planning including specialists for services? □
Risk assesment that the planning stage requires a high level RA? □
buildability checks need to be completed by contractor and end user? □
produced a HAZOP? □
planned for catastrophic failure? □
that the designer needs to carry out the shaft construction method and catastrophic risk assessment? □

39 | P a g e
 Check when
Topic Have you/have you considered…..
complete
People Behaviours setting site expectations early? □
that repetitive work causes “normalising”? □
staggered and varied shift patterns? □
using reinforcement and punishment style consequences? □
agreed the consequences early in the management system? □
asked the operatives on site to provide solutions to gain buy-in? □
that reduced visibility of works causes complacency? □
that very low chances of incidents causes reduced vigilance? □
that a lack of supervision on site causes a slippery slope? □
satellite sites typically have less supervision? □
used red/green light systems? □
that people are more aware in new environments? □
using stillages for lifting small items to prevent shortcuts? □
colour-coding lifts to determine final lay-down location? □
investigated any current near-miss trends on other projects? □
Leadership and that strong, experienced leaders are required? □
management gained the agreement needed from management team? □
that fewer rules but with better reinforcement is better? □
colour coding safe zones in the shaft bottom? □
taken time to educate the workforce fully of the rules and risks? □
simple, effective, well presented RAMS? □
measured performance regularly? □
predicting behaviours in advance and planning pre-emptive action to reinforce? □
that visibility of buy-in from senior management is important? □
that supervisors must remain visible to reduce behaviours? □
rotating managers through teams to keep things fresh? □
rotating banks-person positions (top and bottom)? □
using voting cards to check the knowledge of workforce? □
changing strategies to keep things fresh and prevent normalising? □
that the management should attend workforce briefings regularly, not just after a problem? □
allocated owners of dangerous areas? □
allocated deputies to cover holidays etc? □
that a lot of good workers are with companies. Agency staff are unknown? □
that in-house company staff are better than agency staff? □
set up regular leadership meetings to discuss safety issues and improvements? □
used independent assessors to check the quality, performance and experience of teams? □
Clients that clients should show buy-in by attending briefings and managerial meetings? □
monitoring the contractor’s performance and ensuring all staff are trained to the correct level? □
that the contractor should own safety on site and the client should show buy-in as a minimum? □
that by collaborating and monitoring each other’s performance, a positive, reinforcing cycle can be created? □
set high standards for roles and responsibilities of personnel? □
Incentives that client focus and setting KPI’s can drive behaviours? □
that a lack of monitoring reduces effort? □
asked the client to be vigorous with monitoring? □
that monitoring drives behaviour? □
Fatigue that shift patterns should be selected based on the activities and location of the workforce? □
that the workforce may prefer tiring shift patterns as this offers financial bonus despite causing fatigue? □
fatigue monitoring? □
monitoring productivity levels and the number of near misses as these can indicate fatigue? □
explained monitoring activities to the workforce as they may assume it is about productivity? □
No change culture that people will embrace change provided that you can gain their buy-in? □
shown the workforce how new ways of work will benefit them? □
used regular reinforcement to ensure a new behaviour is adopted quickly? □
involved the workers when coming up with new working patterns to gain their buy-in? □
kept new procedures simple and not overcomplicate with lots of new rules? □
Visitors that too many untrained, non-essential visitors are bad? □
eliminating people from dangerous situations? □
having separate rules for visitors? □
timing visits around work activities? □
Training and that all experience cards (CSCS) need to be checked; cards can be bought on the black market? □
experience that the experience of staff must be relevant? □
that there may be resource shortages? □
applied a normalising, or probation, period to all new workers on site? □
tha new graduates and apprentices should work with a more experienced supervisor? □
you may need to train people who lack experience? □
providing on-the-job training for skills gaps? □
giving new starters on-site experience before being allowed to use equipment? □
introducing a new person may affect current team? □
that a change of management or new supervisors may reduce team performance? □
ensured that ongoing training, education and experience is provided for the workforce? □
Geographical that everyone will have different experiences and hence different standards of construction? □
Education that when hiring for educated roles, set out educational and experience requirements before hiring? □40 | P a g e
Complacency predicted and planned for complacent behaviour? □
taken time to plan the culture of the site before works commence? □
Teams that good teams take time to form and require a number of different personality types? □
 □
providing on-the-job training for skills gaps? □
giving new starters on-site experience before being allowed to use equipment? □
introducing a new person may affect current team? □
that a change of management or new supervisors may reduce team performance? □
ensured that ongoing training, education and experience is provided for the workforce? □
Geographical that everyone will have different experiences and hence different standards of construction? □
Education that when hiring for educated roles, set out educational and experience requirements before hiring? □
Complacency predicted and planned for complacent behaviour? □
taken time to plan the culture of the site before works commence? □
Teams that good teams take time to form and require a number of different personality types? □
that good people can be affected by one bad person in a team? □
that leaders that own, lead and take feedback are crucial? □
allowed time to form teams and plan for this? □
linked bonus to whole team performance? □
provided regular feedback to teams? □

41 | P a g e
 Check when
Topic Have you/have you considered…..
complete
Processes Developing procedures Who – is it for? □
What - is required? □
Where - is its location? □
When – will it happen? □
Why – is it happening? □
generic standards that are applicable to wider construction activities? □
reviewed standards in lieu of unique requirements within shafts? □
developed bespoke procedures,specifically for works associated with shafts? □
Existing guidance reviewed existing guidance documents for shafts first? □
Optioneering and method the purpose of the shaft and method of construction? □
Shaft types SCL shafts? □
segmental lined – underpinned? □
segmental lined – jacked? □
sheet piled? □
diaphragm wall? □
secant piled? □
contiguous pile? □
drill and blast, rock faced? □
People operative competence? □
management competence? □
competence to be considered as training, experience, knowledge and behaviours? □
that the experience of staff must be relevant? □
that you may need to train people who lack experience? □
that all CSCS and other experience cards need to be checked and validated? □
provided on-the-job training for skills gaps? □
probationary on-site experience before being allowed to use equipment? □
produced a clear definition of the organisation and the roles and responsibilities? □
organisational structure and lines of reporting? □
Other procedures shafts close to LU infrastructure? □
shafts working in and around other infrastructure (live roads)? □
any site constraints and created diagrams, plans and photos etc from these? □
site conditions – ground conditions, ground water, weather, ground conditions? □
multiple operations and constrained sites? □

42 | P a g e
 Check when
Topic Have you/have you considered…..
complete
Plant Pre-construction planning the method of construction and ground support system? □
any plant requirements for methodology? □
that underpinning is crane-intensive, whereas SCL methods require specialist equipment? □
that shafts in hard rock may be excavated by drill and blast? □
that the diameter or size of the shaft, including equipment fit and safety of personnel? □
the depth of the shaft? □
any known or anticipated ground conditions? □
contingency for unexpected ground conditions including water ingress? □
the whole life cycle of the shaft? □
the number of activities required to develop a shaft? □
the shaft’s intended use? □
constructing permanent or secondary linings? □
any post-construction fit-out requirements? □
that every site is unique, and that cutting and pasting from other projects will not necessarily work? □
Power supply lighting and ventilation? □
any contingency for items that may be required during un-planned events? □
the effects of voltage drop over long distances? □
prevention of cable damage? □
cable routes, including the use of buried cables (preferred) or goal posts (not preferred)? □
cable tray systems ? □
routing cables near to fixed access installations? □
a back-up power supply? □
that back-up equipment should allow safety critical equipment to run simultaneously? □
the exposure rating to potential damage? □
regular testing of power supplies? □
Ventilation that big fans can be run at a low frequency when less ventilation is required, not possible with small fans? □
unavoidable losses of ventilation performance over long distances? □
the combined effects of dust, diesel engine power and number of personnel working? □
the minimum volume of fresh air and air flow (see BS 6164)? □
the location of a forced ventilation fan to ensure the cleanest air possible? □
that high quality ventilation ducts will last longer? □
maintenance of ventilation - note: higher quality ducts require less maintenance? □
pressure loss on duct routes caused by curves and bends? □
ventilation restraint and support structure including the start-up pressure surge of the fan? □
the risk of carrying out repairs to ventilation duct at height? □
the risk of the ventilation support system failing? □
the provision of de-dusting capability in the ventilation design? □
that SCL methods produce high quantities of dust? □
that dust presents health risks to the workforce, and may breach environmental legislation? □
water based dust-suppression systems (can make for very wet working conditions)? □
extraction based de-dusting systems (require sufficient space)? □
that filter units will also require regular and intensive maintenance? □
Other services temporary works for fixings and fittings? □
maintenance and inspection? □
procuring pipelines from a single-source to ensure joints fit? □
nominal pressure, as well as build-up caused by blockages? □
safe pressure relief valves? □
cleaning of pipelines? □
monitoring pipe thickness over time, caused by material friction? □
specialist dewater pumps to cope with high head pressures? □
checked pumping equipment is fit for purpose? □
standby pumps in higher risk areas? □
Access 2 means of access? □
how much space is available? □
that fixed access systems take up considerable room? □
that fixed elevator systems are less practical during shaft construction? □
that man-riding systems require a standby crane and 6 month LOLER checks? □
the depth of the shaft? □
access or egress provision for emergency escape? □
that the worst case scenario must be adequately planned for? □
access for stretcher? □
Crane selection the length of rope required, how many falls and the additional weight of the rope when sizing the crane? □
how much space is available on site, and is there time to design a bespoke gantry crane? □
the ground conditions of the site? □
if there are there buried services, overhead power lines, adjacent tall buildings in the local area etc? □
the accessibility of the site and the logistics involved in crane delivery? □
developed a comprehensive lift plan? □
unloading of deliveries? □
any specialist and standard lifting equipment? □
inspections? □
43 | P a g e
any additional training requirements? □
spreader beams for the lifting of plant and equipment? □
 that man-riding systems require a standby crane and 6 month LOLER checks? □
the depth of the shaft? □
access or egress provision for emergency escape? □
that the worst case scenario must be adequately planned for? □
access for stretcher? □
Crane selection the length of rope required, how many falls and the additional weight of the rope when sizing the crane? □
how much space is available on site, and is there time to design a bespoke gantry crane? □
the ground conditions of the site? □
if there are there buried services, overhead power lines, adjacent tall buildings in the local area etc? □
the accessibility of the site and the logistics involved in crane delivery? □
developed a comprehensive lift plan? □
unloading of deliveries? □
any specialist and standard lifting equipment? □
inspections? □
any additional training requirements? □
spreader beams for the lifting of plant and equipment? □
the design and manufacture of any bespoke lifting equipment? □
communications within lift team? □
that some lifting operations will be carried out whilst personnel are within the shaft? □
that exclusion zones may not be available (e.g. small shafts)? □
that the securing of loose loads must be taken more seriously in small shafts? □
that muck skips should not be over-filled? □
using winches for lowering small tools? □
Atmosphere he whole life cycle of shaft? □
gas monitoring during the shaft construction phase and how the monitors will be protected? □
that fixed systems can be installed once the shaft has reached its full depth? □
SCADA systems record data which can be used to analyse the presence of semi-toxic gas? □
installing multiple systems at set distances? □
a selection of relevant fire extinguishers at the base of the shaft is minimum? □
that a portable structure to contain the extinguishers can be raised or lowered by the crane? □
sprinkler systems? □
that surface excavators are not typically fitted with fire safety features? □
automatic fire suppression in engine bays? □
using non-flammable oils and fluids? □
incombustible tyres and other parts that are exposed to heat? □
Excavation equipment the size of the plant item relative to the shaft? □
room to manoeuvre and operate, and will not present a risk to personnel? □
the weight of the plant item and associated craneage requirements? □
lifting points on plant items? □

44 | P a g e