QHSE

Annexure C
PPL—QHSE/PR/220
Rev; 01

UI’ELINES FOR
E CAVATION
1.; INTRpDUCTION
Excavation work involves creating a cut, cavity, trench, or depression in the ground by earth
removal-requires-the assurance for the safety of employees, facilities, and the community at large.
Excavation can be carried out:
• By mechanical means (e.g., using excavator I other such equipment)
• By manual means (e.g., digging with shovels, hammering of stakes etc.).

2. TERMS & DEFINITIONS

TERM DEFINITION
Method of protection to prevent cave-ins by excavating the sides of an
Benching excavation to form one or series of steps usually with vertical or near vertical
surfaces between levels.
Separation of mass of soil or rock material from the side of an excavation or
~ ave-in. movement
loss of soil into
fromtheunder
excavation
a trenchin shield
quantityor that
supporting
it could system
entrap, and
bury,its injure
suddenor
immobilize a person(s).
. Any man-made cut, cavity, trench or depression in earth surface formed by
Excavation
earth removal is excavation.
An inclined walking surface specifically provided to gain access from one point
Ramp to another and is constructed from earth or from structural members such as
steel or wood.
A narrow excavation (in relation to its length) made below the surface of the
Trench ground. In general, the depth is greater than the width, but the width of a trench
(measured at the bottom) is not greater than 15 feet.
A means of supporting the sides of an excavation to prevent movement of soil
Shoring and cave-ins. There are several types of shoring systems: timber, mechanical,
metal hydraulic, and pneumatic.
Sb ‘, in g A
excavation
method ofaway
protecting
from thepersonnel
excavation.from cave-ins by sloping the sides of an
Stable Rock Natural solid mineral matter that can be excavated with vertical sides and
remain intact while exposed.
Type A Soil Most stable: clay, silty clay, and hardpan (resist penetration). This is cohesive
(Good Soii) soils with an unconfined compressive strength of 1.5 tons per square foot (tsf)
(144 kPa) or greater.
Type B Soil Medium stability: silt, sand loam, medium clay and unstable dry rock. It
(Fairly Good includes cohesive soil with an unconfined compressive strength greater than
Soil) o.s tsf (48 kPa) but less than 1.5 tsf (144 kPa).
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Annexure C
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Type C Soil Least stable: gravel, loamy sand, soft clay, submerged soil or dense, he~
(Bad Soil) unstable rock. This is cohesive soil with an unconfined compressive strength of
0.5 tsf (48 kPa) or less, granular soils (including gravel, sand, and loamy sand),
_____________ submerged soil or soil from which water is freely seeping.

3. ROLES & RESPONSIBILITIES

In addition to responsibilities mentioned in Section 3.0 of PTW procedure, Permit Issuer & receiver
are responsible for following actions regarding safe execution of excavation work.

3.1 Permit Issuer:

Before issuing / validating Permit, the Permit Issuer shall:
• Ensure that the work description is clear, complete and correct, including purpose and size of
the excavation, nature of the ground (soil type) including the proximity of made-up ground,
stability of adjacent structures. Discuss these with the Permit Receiver.
• Ensure that Energy Isolation requirements are complied with if energy isolations are required
as per Energy Isolation Guidelines (Annex. E).
• Inspect the work area and ensure that equipment and machinery is properly inspected by
Permit Receiver.
• Before allowing any excavation, determine and mark the location of utility installations, such as
sewer, telephone, underground power lines, water lines, pipelines or any other underground
installations. If applicable, contact concerned departments I Sections & Utility companies (in
case of projects) prior to start of excavation.
• Exercise extreme care when working outside the Company’s facility or well area or the pipeline
Right of Way (RO~ due to inadequate utility markers or unavailability of as-built drawings /
records of non-Company owned facilities.
• Identify possible effect or link to other work permits or simultaneous operations in the area.
Inform all personnel that can or will be affected by the job to be done.

3.2 Permit Receiver! Performing Authority

The Permit Receiver is responsible to ensure:
• Liaison with concerned Dept. / Sections and acquire excavation details of underground
services (if any) on excavation route. Get it marked with the help of concerned dept.
- A drawing / sketch of the proposed excavation site shall accompany the PTW to enable the
Permit Issuer to specify precautions / hazards prior to issuance of permit.
• Inspection of all tools and equipment, whether manual or powered, to be used during the
work activity. OEM checklist of Field specific developed Equipment Checklists may be used
for this purpose. All substandard, defective and improper tools and equipment shall be
rejected and removed from work site.
• That work is stopped in case of any deviations from the initial Permit conditions.

3.3 Safety Watch

For critical excavation jobs Safety Watch shall be deputed. Safety Watch will carry out following
duties:
• Inspect the work site prior to starting excavation job for potential hazards.
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Annexure C
PPL—QHSE/PR/220
Rev: 01
• Inspect all work-related equipment (e.g. Excavator, manual tools etc.) as per relevant
equipment inspection checklists.
• Inspect the work site prior to starting of excavation jobs for any potential hazard.
• Watch for unsafe conditions during excavation work.
• Monitor changing ground and environmental conditions.
• Ensure that escape routes are and remain unobstructed.
• Ensure that all safety barriers/ barricades/cordons are in place.
• Ensure that all new personnel are informed of the hazards.
• Ensure that rescue or safety plans are available.
• Ensure tFi~fthe work sif~iiI~ft clean and in a hazard4ree state prior to crew breaks and at the
completion of activities.
• During certain complex and critical jobs, more than one Safety Watch may be required.

4. GUIDELINES

4.1 General Procedure for Excavation:

The basic requirements are:
• A hazard assessment of the work site has to be completed prior to commencement of work. All
underground hazards, i.e. pipelines, electric cables, etc., have to be identified, located and, if
necessary, isolated.
Determining the soil type, soil water content and presence of underground water and weather
and environmental conditions to estimate the potential for soil collapsing or cave-in.
• Ground movement shall always be controlled, and collapse is prevented by systematically
shoring, sloping, benching, etc., as appropriate.
• Protecting persons, animals or objects from inadvertently falling inside the excavation or trench
or persons from being hit by lifting or digging equipment.
• Where persons are to enter an excavation (for any excavation more than 1.2 meter (4 ft) deep),
additional requirements regarding Confined Space Entry permit shall be obtained.
• Identifying possibility of oxygen deficiency or existence of potentially hazardous atmosphere or
the excavation becoming a confined space.
• Ground and environmental conditions should be continuously monitored for any changes that
might affect safety.
• Permit Issuer & Receiver shall jointly inspect, on a daily basis, excavations and the adjacent
areas for possible cave-ins, failures of protective systems and equipment, hazardous
atmospheres, or other hazardous conditions. Inspections are also required after natural calamity
(e.g., heavy rains, earthquake etc.) or man-made events such as blasting that may increase the
risk of collapse.
• In case of rain during excavation job, activity need to be stopped and re-assessed after rain
stops.
• Site-specific emergency and rescue plans shall be in place before commencement of ground
disturbance activity.
NOTE: Excavations more than 20 feet in depth must be designed by a PEC registered Civil Engineer.

4.2 Hazards of Excavation:

Major hazard in excavation is “Cave-Ins”. Causes of Cave-Ins Soil properties often vary widely from
the top to the bottom and along the length of a trench. Many factors such as cracks, water,
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Annexure C
PPL—QH$E/PR/220
Rev: 01
vibration, weather, and previous excavation can affect stability of excavation. Time is also a critical
factor. Some trenches will remain open for a long period, and then suddenly collapse for no
apparent reason.
The risk of a cave-in is not the only hazard in trenching. Injuries and deaths are also related to other
major areas including:
• Utilities underground and above ground
- Materials handling and housekeeping
• Heavy equipment I Power tools
• Traffic control
• Personal protective equipment
• Confined spaces

4.3 Control Measures:

The basic methods of protecting workers against trench cave-ins are sloping, benching &
shoring. Permit issuer & receiver in joint consultation shall decide whether to guard the
excavation walls by:
a) Sloping and benching the ground.
b) Shoring.
c) Some other equivalent means.

The determination of the angle of slope, benches, or the choice and design of other protective
systems shall be based on evaluation of pertinent factors such as:

• Type of soil.
• Depth of cut.
• Possible variations in water content of the material while the excavation is open.
• Anticipated changes in materials from exposure to air, sun, or water.
• Loading imposed structures, equipment, overlying material, or stored material.
• Vibrations from equipment, blasting, traffic, or other sources.

Appended below details regarding maximum allowable slopes are adopted from OSHA:
Soil or Rock Maximum Allowable Slopes (H:V) for Excavations
Type Less Than 6.1 Meters (20 Feet) Deep

Stable Rock Vertical (90 degrees)

Type A Soil 3/4 H: I V (53 degrees)
Type B Soil 1 H: 1 V (45 degrees)
Type C Soil 1 1/2 H: 1 V (34 degrees)
Mixed Soil Types* 1 1/2 H: 1 V (34 degrees)
* H = horizontal and V = vertical
* Mixed soil types are soils which are a combination of more than one soil
types at different strata.
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Annexure C
PPL—QHSE/PR/220
Rev; 01

Required Slopes for Different Soil Types

STABLE ROCK TYPE A SOIL

TYPE B SOIL

TYPE C SOIL
MIXED SOIL TYPES

Figure I Excavations made in Type A soil.

-

Figure V:2-14. Excava I

TYPE A SOIL TYF

Unsupported verticall9 sided lower portion Simple BI
Maximum 12 Feet in depth

20 Maximum
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Annexure C
PPL—QFISE/PR/220
Rev; 01
Figure 2 Excavations made in Multi-Layer Soil.
-

Figure V:2-13. Slope Configuratk

TYPE A SOIL TYPE
Simple Slope Excavation Simple Slop~

20’ Maximum 20’

zli
3)4

Tgpe B Soil Type A

over
T~peA Soil
Tqpe,~\ Type B
4.4 MISCELLENIOUS REQUIREMENTS:

(a). Access and Egress

i. A stairway, ladder, ramp or other safe means of egress shall be located in trench
excavations that are 1 .2m (4 feet) or more in depth. A safe means of egress must be within
25 feet of each employee in the excavation. In case of benching and sloping, a possible
means of egress could be by providing steps at suitable intervals along the length of the
excavation. These steps should have standard treads and risers and be wide enough
(approximately 1 meter or 3 feet) for self-rescue as well as aided rescue.
ii. If ladders are used as means of egress, these shall conform to standard scaffolding
requirements, be placed at an angle of 75 degrees, and extended at least 1 meter (3 feet)
above the stepping-off point. Ladders shall be securely fixed.

(b). Harness! Lifeline

i. Persons entering deep or confined space excavation shall wear a harness with a lifeline
securely attached to it, as and where deemed necessary. Possible examples of such
requirement could be while entering deep excavations and trenched protected by a shoring
or shield system rather than a slope or bench.
ii. The lifeline shall be separated from any line used to handle materials, and shall be
individually attended at all the time while the person wearing the lifeline.
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Annexure C
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Rev 01
(c) Edge Protection, Markers, and Fixed Lighting
Whenever it is necessary to place or operate power shovels, derricks, trucks, materials, or
other heavy objects on a level above and near an excavation, the side of the excavation
shall be sheet-piled, shored, and braced as necessary to resist the extra pressure due to
such superimposed loads.
h. When mobile equipment is utilized or allowed adjacent to excavations, substantial stop logs
or barricades shall be installed. If possible, the access way should be away from the
excavation.
iN. If men or vehicles are in the vicinity after dark, fixed warning lights shall be used to mark the
limits of the work.
iv. Excavations up to a depth of 2 meters shall be barricaded off by means of warning tape.
Excavations of a depth of 2 meters or more or where other dangers exist, e.g. water, shall
be provided with rigid barriers such as metal or wooden fencing.
v. The area around excavation to be barricaded is decided based upon the depth of
excavation, type of soil, movement of traffic in adjacent area of excavation etc.

(d) Water Accumulation:

I. No person shall work in excavations in which there is accumulated water, or in excavations
in which water is accumulating unless adequate precautions have been taken to protect
personnel against the hazards posed by water accumulation.
II. If water is controlled or prevented from accumulating by the use of water removal
equipment, a competent person shall monitor the water removal equipment to ensure proper
operation.
III. If excavation work interrupts the natural drainage of surface water (such as streams),
diversion ditches, dikes, or other suitable means shall be used to prevent surface water from
entering the excavation and to provide adequate drainage of the area adjacent to the
excavation.
IV. Excavations subject to runoff from heavy rains will require an inspection by a competent
person and shall comply with requirements identified above.
V. Excavated pits I trenches, which are filled with water should be suitably protected I guarded
from trespassers to avoid any unforeseen incidents.

(e) Backfilling
I. Backfilling and removal of trench supports shall be accomplished first by backfilling up to a
level allowing for the removal of the lower braces. Another layer of backfill shall be
positioned in the trench to the next layer of braces to be removed.
II. Removal of trench supports shall progress together with the backfill from the bottom of the
trench.
Ill. In unstable soil, ropes shall be used to pull out the jacks or braces from above after
employees have cleared the trench.
IV. All excavations shall be backfilled and consolidated, and the surface shall be left in good
condition as soon as is practicable. For protection of underground electric cables, telephone
lines, etc. appropriate technical procedures shall be consulted, and compliance ensured.
V. For backfilling of Cable trenches, layer by layer compaction is mandatory to achieve proper
compaction.
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Annexure C
PPL—QHSEIPRI22O
Rev: 01
VI. In case of uncompleted work, excavations should be temporarily fenced with high-visibility
rope or tape with blinking lights.

(f) Safety Requirements During Job Execution:

Snake bite is always a matter of concern and needs to be taken care of.
II. Overhead power lines that may pose a hazard during movement of equipment must also be
clearly indicated and clearances must be maintained.
Ill. Barricades shall be placed to prevent equipment from inadvertently crossing under a line.
IV. It should be ensured that all excavations are supervised by qualified person.
V. Give Toolbox Talks regarding safety measures to be observed to the workers involved
before starting the job.
VI. Warning signs including Light signal to be provided.
VII. If, during excavation, unexpected utilities are discovered, Contractor should stop excavation
and immediately notify the PM and/or Plant Control room. Work shall be resumed only after
obtaining further clearance in consultation with the competent person.
VIII. Hand tool excavation: Whenever the presence of underground pipes, cables, vessels, or
structures is known, or suspected, they shall be exposed by hand tool digging before
mechanical excavators are used. Hand tool excavation is required within 10 feet (3.0
meters) of the object.
IX. Machine excavation: When the location of all utilities or structure have been established by
surface markers or hand tool excavation, machine excavation may commence under close
surveillance of the Contractor’s supervisor.
X. Movement of vehicle and heavy cranes shall be 3 feet (1 meter) away or 1.5 times the depth
of excavation, whichever is greater
Xl. Loose excavated material must be placed no closer than 3 feet from the edge of the
excavations. In any case it shall be outside the excavation barricaded area. Precautions
must be taken to prevent loose excavated material falling into the excavated area.
XII. The disposal area should be defined, made safe for receiving the loose excavated material
and manner of disposal is defined.
XIII. All equipment, electrical connection and machinery used for excavation shall be tested and
validated by the Plant/site electrical department.
XIV. In case of excavation more than 15 feet (4.5 meters), ensure adequate means of
communication and proper ventilation are provided.
XV. Power supply to all electrical equipment/lights should be through ELCB (Tripping at 3OmA
current leakage to earth).
XVI. If there is evidence of cave-ins or slides, all work in the excavation must cease until the
necessary precautions have been taken to safeguard employees.