Construction Health and Safety

EXCAVATION
Section 8B
8B - 1
SPECIAL ACKNOWLEDGEMENTS
Appreciation is expressed for the work of the author of this subsection:
J.R. Illingworth Esq., BSc, FCIOB
Consultant in construction methods and technology
Special acknowledgement is made to the Timber Research and
Development Association for permission to publish the table on p.8B-
45and numerous illustrations, as annotated, from their publication
Timber in excavations, together with free interpretation of parts of
the text of the same publication.
Acknowledgement is also made to the Construction Industry Research
and Information Association for its assistance, in particular for
permission to publish the table on p.8B-9, which is based on a similar
table in CIRIA Report 97 Trenching practice, and to Zetica Ltd for
their help in preparation of the guidance relating to Unexploded
Ordnance.
CONTENTS
Introduction 8B3
Ordnance 8B3
Ground conditions 8B4
Method of excavation 8B7
Basic principles of support 8B7
Standard or designed solutions 8B9
Systems of support 8B9
Trenches 8B11
Wide and single sided excavations 8B15
Shafts 8B15
Headings 8B17
Permanent works as temporary support 8B19
Related safety aspects 8B20
Check List No.1 Site conditions and method constraints 8B22
Check List No.2 Before work starts 8B22
Check List No. 3 Whilst work is in progress 8B22
Glossary of terms 8B23
Method statement checklist - groundworks 8B24
Reference sources 8B25
8B - 2
June 2005
EXCAVATION
8B - 3
December 2007
Introduction
Excavation is an essential element of the construction
process particularly in relation to the construction of
foundations, drainage work and site regrading of all kinds.
Information regarding any hazards identified prior to
construction should be included in the Construction Phase
Plan required by the CDM regulations 2007.
In carrying out an excavation, the soil conditions can
vary widely, often in short distances. No soil, whatever its
nature, can be relied upon to support its own weight for any
length of time - let alone any additional loads which may be
imposed by plant and materials. It should never be forgotten
that 1m
3
of earth weighs approximately 1.3 tonnes. Even a
small fall of earth is capable of inflicting serious injury, even
if it does not kill. Unless, therefore, the excavation can be
battered to a safe slope, the sides will need supporting to
prevent the possibility of collapse and thus:
1. provide safe conditions for persons working in or
adjacent to the excavation and, in some situations, the
public as well.
2. enable the works to be carried out without interruption
and
3. protect adjacent property and/or public services.
CDM - Part 4 require all practicable steps to be taken to
prevent injury to persons due to the accidental collapse of an
excavation or by any fall of material; neither must
excavation work be allowed to cause the weakening of any
structure. Any excavation used as a place of work must be
inspected and reports completed in accordance with
Schedule 3 of the CDM - Part 4. Whenever excavation has
to be undertaken, therefore, adequate prior consideration
needs to be given to the soil conditions that will be met, the
method of excavation to be used and the manner in which
any necessary support will be provided.
Traditionally, timber has been used in the support of
excavations. However, modern methods incorporate steel,
and proprietary systems are invariably of metal
construction. It should be noted that the term Timbering is
frequently used to describe any form of support work,
whatever material is being used. A glossary of other terms
used in the support of excavations is given on p.8B-22-23.
In order to assist in the proper design, planning and
execution of excavation work, a series of check lists is
provided at page 8B-23. A general checklist for
groundworks method statements is also provided at the end
of this section.
Ordnance
The most likely source of unexploded bombs (UXB) and
other ordnance (UXO) is from the thousands of devices
dropped on major cities during the Second World War. It is
estimated that 10% of high explosive and as much as 50%
of incendiary devices failed to explode. These continue to
present a potentially serious hazard to construction workers,
property and third parties. Brown field sites that were
previously MoD land are also high risk locations, especially
if they were used for training purposes. Whilst these
comprise the major areas of risk, UXO and UXB are found in
the most unexpected places, such as beaches where
ordnance is washed up following post war dumping and the
action of underwater currents and wave action over many
years.
Prior to starting Work.
When excavating, piling or drilling in inner city
environments, particularly in areas that were subject to
severe bombardment such as London, Coventry, Liverpool
etc, it is recommended that a risk assessment be made at an
early stage, before specialist contractors are on site, to
establish the level of probability of UXO being present.
Maps are available from local authorities and commercial
organisations showing the density of impacts for specific
regions. These are largely produced from information
gathered during bomb watching duties during WW2. This
should be available in the pre-construction Information which
the Client has a duty to provide under CDM.
CDM Regulation 34-(3) requires suitable and sufficient
steps to be taken to reduce risk from damage or disturbance
of any underground energy distribution installations. This will
apply to any ground penetrations where services may be
present, regardless of the scale of that work.
Particular problems will arise where underground lines
are in close proximity and prudent contractors are well
advised to discuss these matters with the owners of the line
during the tendering process. If the site is in a high risk area
a qualified Explosive Ordnance Clearance (EOC) specialist
should be employed to prepare the risk assessment and a
method statement.
A surface geophysical survey using ground penetrating
radar can detect ordnance and other obstructions to a level
of 3 metres which, if the ground is clear, will allow
excavation down to that depth. The radar can be then be re-
employed to examine a further 3 metres of depth, a process
which is repeated until the required depth is reached. This is
laborious but it is the safest method. This process can cause
particular difficulties if the contractor is anticipating working
in an existing water course, e.g. driving piles or shafts in a
river bed which would involve the construction of coffers
dams. Ground penetrating radar can operate from a boat
and specialist contractors are available to carry out this
function if required.
The typical depth of rest of large, air-dropped UXB is
15m below the surface, and could be greater in, for
instance, soft silts. These, and other ferrous objects, can be
detected using a probe-magnetometer that is driven into the
ground hydraulically, and can detect UXB and obstructions
down to the no-risk depth. However, this method is invasive
and carries a potential risk of striking the UXO with the
probe.
Emergency procedure plans should also be put in place
in case of unexpected discovery of ordnance because, even
with the latest technology, detection is not 100% as outside
influences can mask or alter the signal reflected from the
UXB.
Whilst working the site
After 60 or more years in the ground, bombs and other
items of ordnance generally maintain their shape, but
become very rusty and decayed. If a suspicious object that is
similar in size and shape to a WW2 bomb is uncovered
during the course of groundworks, the emergency
procedures should be put into effect. These would include:
Stopping work
Evacuating to a safe distance; this may be outside of the
boundary of the site and could involve members of the
public.
Calling the police on 999 to notify the nearest bomb
disposal unit.
Ensuring nobody re-enters the area until told to do so by
the authorities.
On discovery of an item of ordnance or a suspect object,
the location of the object should be marked, and the
immediate area evacuated in relation to the size of the
object. The object should not be touched or moved until it
has been identified. If in any doubt call the police and they
will call the bomb squad.
Ground conditions
Before commencing any excavation, it is important
to identify the type of ground in which the excavation is
to be carried out. Detailed information may be available
with the contract documentation, or in the form of bore-
hole or trial pit logs carried out as part of the
site investigation. Whichever method is used, it is helpful
to have a simple means of identifying the various strata
that may be found. The table on p.8B-4 is a very useful
guide.
When examining boreholes or trial pit information,
particular importance should be paid to the location of any
water table. If the water table is going to be exposed by the
excavation, careful consideration will need to be given to
how it may affect the stability of the excavation sides.
Ground water can greatly affect the stability of any soil and,
in particular, non-cohesive materials. Water can also enter
an excavation as surface run-off
Whatever the source of water, effective action is
necessary, either to stop the water from surface sources
entering altogether or, in the case of ground water,
minimising its effects to the greatest possible degree.
Surface water
Surface ditches, streams etc., likely to be interrupted by
the excavation, may need diversion. Where the excavation
is across a slope in the ground, cut-off ditches should be
considered if the work is to be carried out in a rainy period.
Where the location of field drains is visible, they should be
cut off and diverted before the main excavation starts.
It is worth noting that under the Water Resources Act
1991 pollution of any controlled water is an offence. The
word pollution includes site run-off and silt (see section 34).
Ground water
The presence of ground water is more difficult to deal
with than surface water. It may affect the sides of the
excavation to the extent that, even if supported, wash out of
material will occur between the sheeting. In certain soil
conditions, the bottom of the excavation can become
unstable and boil with the inevitable total collapse of the
trench. The relationship of ground water to the soil
conditions needs careful analysis before a decision is made
as to the support method to be used.
If the ground is suitable, one of several ground
dewatering techniques may be used. Such methods involve
either shallow well pumping or wellpointing. In either case,
the pumping out of water has the effect of lowering the
ground water table to a level below that to which the
excavation is to be taken. Wells or wellpointing, for their
successful use, require a proper soil analysis to make sure
that the method is feasible. It must also be established, at the
same time, that no fine material will be drawn from
underneath adjacent property with consequent risk of
settlement.
Where water is contaminated advice must be sought
from environmental consultants or the Environment Agency,
as re-introducing contaminated water back into the ground
could constitute a criminal offence (see Section 34).
Modern technology provides alternatives to dewatering
the ground. Stabilisation of the ground can be achieved by
chemical injection or freezing (see Section 30 Ground
Treatment). Injection and freezing methods are always
expensive compared to dewatering and are therefore only
used when other methods cannot cope with the situation.
They require highly skilled technologists to operate them and
will be effective only in soils suitable to their use. Before any
decision is made to use them, specialist advice from a soil
mechanics expert is essential.
Where a water-bearing strata overlays an impervious
one and the depth of this impervious strata is not too great,
the use of sheet piling may be more effective and
economical. The piling, being substantially watertight, cuts-
off the water from the excavated area, thus enabling the
excavation to proceed in the dry.
Ground conditions and slopes
Notes:
1 These are guide figures to slopes based on and subject
to:
a Temporary conditions (ie generally 1 to 14 days)
b Field safety and experience
c A safety limit of 45 degrees (but see Note 7 below)
d Water seepage can cause wash out and undermining
2 Dry site: minor or no seepage from excavated faces.
Minor or no surface run-off.
3 Wet site: submerged or widespread seepage from
excavated faces.
4 The behaviour of soils is influenced by the grading,
particle size, shape and density. In mixed soils the
maximum grain size of the smallest 15 per cent by weight
of the grading tends to characterise the soil.
5 Normally consolidated clays are usually stronger within
a few metres of ground level due to desiccation.
However, the clay crust is fissured for the
same reason (note the fissures may not be visible) and
is seldom greater than 4 metres deep.
Classical soil mechanics theory would suggest that clay
with a cohesion greater than 30kN/m
2
will stand
vertically to 6 metres. However, due to the fissuring, the
face becomes unstable and lumps fall into the trench. In
deeper trenches there is a risk of toe failure due to
underlying softer clay. The suggested slopes are intended
to avoid danger to workmen from these risks and are
offered as a guide only.
6 Flatter slopes may be applicable or required subject to
the evidence on:
a Incipient (structural) failure planes
b Safety precautions against small or large falling
fragments
7 Steeper slopes may be applicable or required and will be
subject to the same assessment as in Note 6.
There is also the growing use of permanent construction
to provide both temporary support and deal with water
problems. Diaphragm walls and seacant piling are
frequently used in this way. Both methods are described in
detail in the paragraphs dealing with Permanent works as
temporary support, p.8B-18/19.
8B - 4
June 2005
Use of sheet piles to cut-off excavation from water-logged
ground.
1. permeable strata. 2. water. 3. impermeable strata.
Ground Safe Temporary slopes (1)
type Field tests and descriptions (degrees from horizontal)
Dry site Wet site
GRANULAR i Particles visible BOULDERS (>200mm) 35/45 (6) 30/40 (6)
ii Sands feel gritty COBBLES (60 to 200mm) 35/40 (6) 30/35 (6)
iii Visually assess proportions GRAVEL ( 2 to 60mm) 30/40 10/30
of Boulders/Cobbles/Sand SAND (0.06 to 2mm) 30/35 10/30
COHESIVE i Particles not visible SILT (0.002 to 0.06mm) 20/40 5/20
ii When damp silt and fine sand
are shaken in the hand water
appears on the surface
Trench depth (m) 1.23 3-6
iii Soft clay is easily moulded by CLAY (5) Soft 30/45 20/30 10/20
fingers
iv Firm is moulded by strong Firm 35/45 30/40 20/25 (6)
finger pressure
v Stiff is indented by strong Stiff 40/45 35/45 25/35 (6)
finger pressure see (6) and (7)
vi Fissured clay should be
examined for its structure
i Rotten or rotting vegetable PEAT Soft non-fibrous 10/20 5/10
matter (black, grey Firm non-fibrous 15/25 10/15
ii Smell or brown Firm fibrous 35/40 (6) 20/25 (6)
iii Fibrous or non-fibrous clayey or Stiff fibrous 35/45 (6) (7) 25/35 (6) (7)
iv Soft, firm or stiff sandy)
FILL i All types of man-placed material As main soil type (eg clay, According to category
ii Note constituents including sand, gravel, etc) above
unnatural inclusions
ROCK i Mass stronger than the above As appropriate to the Check orientation of
soil types predominant constituents and planes
ii Important to note cementation, characteristics
structure and orientation,
(fissures, joints. bedding,
layers, etc)
iii Closely jointed rock may act
as granular and weak
weathered rock as clay
GROUND- i Levels water encountered Full description necessary See note 1 (d)
WATER ii Rate of entry
iii Standing level
iv Flood conditions
8B - 5
June 2005
This page is reproduced from the publication Timber in excavations, by coutesy of the Timber Research and Development
Association.
Failure modes
The importance, and indeed necessity, of providing
proper support to excavations is often hard to explain to site
operatives. The reason is not hard to find. Clays, to the
inexperienced, often look very stable when first excavated.
They stand up vertically, in many cases, for a surprisingly
long time and a false sense of security is built up. Rock tends
to be assumed as being highly stable, and not needing any
support at all. Why such assumptions are dangerous is
illustrated in the following paragraphs.
Saturated clayey silts present the most difficult problem
as the sides will slump into the excavation. The only really
satisfactory solution is to dewater the ground outside the
limits of the trench.
Saturated silt or sand Dewatering outside the line of the
proposed trench will, in general, provide the most
satisfactory and safe solution. If this is not possible, sheet
piling will be needed to provide a watertight support. To
achieve a safe toeing-in at the bottom of the excavation, the
piling may need driving to a considerable depth to avoid the
bottom of the excavation boiling up and causing total
collapse of the trench support. Only if the silt or sand
overlays an impervious strata, and a cut-off is possible, will a
really safe and economic solution be possible.
Sand Where a degree of silt is present in the sand, the
material may well stand up initially. The illusion of stability is
false, as a heavy rainfall can provide the lubrication
necessary to allow the trench side to slip into the excavation.
The cohesion of the material is also affected by the sides of
the excavation drying out. Again the sides of the excavation
will collapse, usually without warning. Battered sides are the
best answer, provided that suitable surface water cut-off
drainage is provided. The alternative is to provide adequate
support with the minimum of delay.
Soft clays Battered excavations in soft clays require careful
consideration in relation to the slope to be used (see table p.
8B5 for suggested slopes). If too steep, failure can occur by
rotation.
If battering to a safe angle is not possible, full sheeting of
the excavation will be necessary. The method of installation
should:
1. allow for the sheeting to be pre-driven before
excavation takes place, or
2. be capable of sheeting to a pre-determined depth
before excavation proceeds further, or
3. allow the main supporting members to be installed
horizontally as the excavation proceeds downwards
(see p.8B-11 for the H pile system of support).
Firm or stiff clay These clays, with or without a degree of
sand or gravel present, will stand unsupported after
excavation, but what is often not appreciated is that the
apparent stability can deteriorate rapidly in a short period of
time; then the face will be liable to collapse without warning.
Collapse is initiated in two ways:
1. When a trench is excavated, soil at the sides is relieved
of lateral restraint and tends to swell inwards. Cracks
occur causing unstable lumps. These, in turn, can break
away and fall into the excavation without warning.
2. Many clays contain fissures, or cracks, which appear
due to the drying out of the clay. When rain, or other
surface water, penetrates the crack or fissure, the clay is
softened and lumps can readily break away. Earth falls
are therefore more frequent in wet weather.
Battering must be at a shallow enough slope (see table p.
8B5). If battering is not suitable, properly assessed support
will be necessary.
Rock At first sight, rock excavation would seem to present
the least problems. In fact, all rock masses (including chalk,
which can be classed as soft rock) are separated into
blocks by bedding planes, cleavage planes and fissures. All
these are planes of weakness; they can contain water or thin
layers of clay which act as lubricants which will facilitate
sliding along the planes.
Excavation in steeply dipping rocks.
Collapse of trench side following slide along bedding planes
Remedy-heavy timbering
8B - 6
June 2005
Rock excavation, by its very nature, tends to leave
ragged faces. Small but heavy fragments may be held in
place quite loosely and vibration, e.g. due to blasting, will
dislodge them. All rock excavations should have such loose
fragments knocked down as the digging proceeds. Further
examinations must be carried out daily, before work com-
mences in the excavation. Chances must never be taken in
rock; support must be provided if there is any doubt.
Method of excavation
Where an excavation has to be provided with a suitable
form of support, the system and the method to be adopted
for the excavation cannot be considered individually, in
isolation. Each will inevitably react on the other and persons
dealing with the temporary support must maintain close
liaison with whoever is making decisions on the plant to be
used. Such liaison is particularly important in drainage
work, when long pipes or large precast manhole rings may
have to be lifted through any supporting struts etc.
Basic principles of support
There are many ways by which excavations can be made
safe to work in, avoid settlement to adjacent land and
buildings and allow work to proceed with minimum
hindrance. There are, however, only the following four
fundamental principles involved:
Battered sides
This is probably the safest method and accidents resulting
from the collapse of properly designed and executed
battered systems are rare. Almost all soils can be excavated
to a safe batter, provided that sufficient space is available
(i.e. The batter will not affect adjacent buildings, etc.) and a
safe angle of response is known and adhered to (the table
on p.8B-4 gives a guide to temporary safe batters in various
types of ground).
Where waterlogged ground is involved, specialist advice
should be taken, as some system of ground dewatering will
be needed to improve stability. Only tests can show whether
or not the ground is capable of being dewatered.
Surface water can seriously affect the stability of battered
slopes. Where such flow is likely to happen in wet
conditions, interceptor trenches, to cut off surface water and
lead it away from the excavation, should be provided.
Double sided support
With this method of support, the forces exerted by the
earth are transmitted from one side of the excavation to the
other by walings and horizontal struts, i.e. the forces
imposed by the earth on the supporting materials are
resisted by the earth on the opposite side of the excavation.
Hence, if the support is adequately designed, a state of
equilibrium is maintained between the two sides.
Double sided support. All forces horizontal
Of methods using a form of structural support, this is the
most satisfactory, as only horizontal forces are involved. The
method lends itself to the use of pre-designed (Standard)
solutions and proprietary systems, which are installed in
accordance with manufacturers tables provided. (Also see
the paragraphs dealing with the limitations of standard
solutions on p.8B-9).
In saturated silt and sand, where dewatering is not being
used, there is a serious risk of the bottom of the trench
boiling upwards. If this happens, total collapse of the
support system results. In such conditions, therefore,
standard solutions must in no circumstances be used. The
penetration of the sheeting is a key factor in the safety of the
support, which requires design by a competent person.
Sheet pile solely in non-cohesive and wet soil
Penetration must be adequate to avoid boils or blows
and determined by a competent temporary works designer.
8B - 7
June 2006
Single sided with raking support
Only one face of the excavation is involved. Earth
pressure from the excavated face is resisted by transferring
the load through the support material via walings to either
raking shores or ground anchors. In the raking shore
approach, an adequate foundation is needed to transfer the
loads involved to the unexcavated ground.
When raking shores are used to resist horizontal forces,
the load in the raking member is greater than the horizontal
load and a vertical uplift force is introduced into the support
system. The design for this type of support must, therefore,
allow for sufficient toeing-in of the sheeting to resist these
upward forces, as must the design of the connections
between strut, waling and sheeting.
With ground anchors, the situation is the same, but the
forces are reversed. The ground anchor system is in tension,
while the vertical component is trying to pull the whole
assembly downwards. Care must therefore be taken to
ensure that the forces in individual anchors are not too great
for the ground to resist their vertical component.
Whether shores or anchors are used, single-sided
support systems are not suitable for standard solutions. They
must be designed by suitably qualified persons and, with
ground anchors, the anchors designed and installed by
specialists. It should be noted that single-sided support is
most frequently used to protect boundary conditions.
Single-sided cantilever support
Whatever variation of this principle is adopted, it should
always be designed by suitably qualified persons. The
method can be used only:
1. in ground conditions which are sufficiently stable to
provide the necessary resistance to balance the overturning
forces, or
2. where the effect of superimposed loads and their stability
is not critical.
All cantilevers will deflect to a degree. Such deflection
will create risk to adjoining installations and structures,
roads, etc. and their use in these circumstances should be
avoided.
The use of cantilever systems can be improved, in terms
of deflection, by what is known as a propped cantilever. This
involves tying back the top of the sheeting system to an
appropriate anchor block. The effect of introducing a
horizontal tie-back is to reduce any deflection and at the
same time maintain a system involving horizontal forces
only.
8B - 8
June 2005
Standard or designed solutions
In the majority of cases, the support of excavations is
carried out by on site Standard Solutions, without recourse
to special design. The advent of proprietary equipment has
greatly increased the scope for such methods. The support of
some excavations, however, will require detailed design
work by competent persons.
Standard solutions
It is essential that clear parameters are established in the
adoption and use of standard solutions. These are:
1. The use of standard solutions should be applied only in
the following circumstances:
(a) Double sided, narrow trench support, not exceeding
6m deep in non-water bearing ground.
(b) Shallow pits, not exceeding 6m deep.
(c) Where water problems have been eliminated by
other means, e.g. wellpointing, and the excavation
is within the limitations of (a) or (b) above.
(d) When an unsupported trench, not exceeding 6m
deep, is feasible.
2. When adopting the standard solution approach the
following points need to be followed:
(a) When deciding the safe batter of an excavation,
proper account must be taken of the ground
conditions.
(b) Where support is provided, the method must
comply with recognised good practice in all
details (see TRADA & CIRIA publications listed on
p.8B-25).
(c) Where proprietary systems are used, installation
must be strictly in accordance with manufacturers
instructions.
(d) The system of work to be adopted must be explained
in detail to the persons engaged in placing or
removing supports, and others who will be working
in the excavation.
(e) If possible, the system of work should be illustrated
with drawings or sketches, or with suitable
proprietary literature, together with check lists.
(f) The method of work and instructions and sketches
provided must be strictly adhered to.
(g) Specialist advice should be sought if there are any
doubts as to the safety and sufficiency of the support
system.
The table on p.8B-10 provides a guide to standard
approaches in the support of trenches. Details of
construction are outlined on p.8B-11 and further information
is contained in CIRIA Report 97: Trenching practice.
Designed solutions
Where designed solutions are needed, it is essential that
adequate soil data is available. This information will be
provided by bore holes or trial pits resulting from a proper
site survey. The interpretation of this information and design
of support methods appropriate to the situation requires the
services of a specialist.
General guidance as to where specialised design is
necessary is covered in the paragraphs on Basic principles
of support, p.8B-7.
Systems of support
Within the basic principles of support, outlined on
p.8B-7, a variety of materials and methods may be used:
Timber
Timber is used as a sheeting material, in the form of
poling boards and runners, and also as walings and struts.
Examples of its use are given later in this section under
Trenches, Shafts and Headings.
Steel trench sheeting
Trench sheeting has the advantage of easy driving in
poor ground, prior to an excavation being commenced. In
stiffer ground, it can be part driven initially, then further
driven as the excavation proceeds.
Steel sheet piling
Obtainable in a variety of sectional stiffnesses, sheet
piling is interlocking and, being much stiffer than trench
sheeting, it can be pre-driven to much greater depths before
any excavation is started.
Sheet piling is expensive in the cost of driving and in its
subsequent extraction. However, its use has the following
advantages:
1.- By pre-driving, the main structural support is in place
before any excavation is started.
2. The interlocking is reasonably watertight, making its use
ideal where waterlogged or very unstable ground is to be
supported.
3. Because of its structural strength, steel sheet piling can be
used for any of the basic principles of support referred to
on p.8B-7. It is the only really satisfactory material where
a cantilever support is used.
4. Where impermeable conditions exist below a water-
logged strata, sheet piling can be used to cut-off the
waterbearing layer from the excavation. Where no cut-
off is economically possible and wet, non-cohesive
material is to be supported, the design of the piling must
allow sufficient penetration to avoid the bottom of the
excavation heaving or boiling (see p.8B-7).
In all cases where steel sheet piling is the proposed
solution, calculations should be made by a competent
person.
Guidance on piling operations is given under Piling,
p.8F-2/5.
8B - 9
June 2006
8B - 10
June 2005
Waling and strut arrangements in the support of trenches
(This page is based on the table on page 31 of CIRIA Report 97, Trenching practice, by permission of the Director of CIRIA).
Unsaturated ground (except soft clays)
Maximum Effective Maximum Timber Timber strut section mm*
horizontal trench vertical waling
spacing of depth - m spacing of section - mm Trench Trench Trench
struts - m walings - m width width width
up to 1m 1 to 1.5m 1.5 to 2m
Up to 1.2 One set 225 x 75 150 x 75 150 x 100 150 x 150
150 x 100
3 1.0 225 x 75 150 x 75 150 x 100 150 x 150
1.8 1.2 150 x 100
4.5 1.0 225 x 75 150 x 100 150 x 150 150 x 150
1.2 150 x 100
6 0.9 225 x 75 150 x 150 150 x 150 150 x 150
1.0 150 x 100
1.2 250 x 100
Up to 1.2 One set 225 x 75 150 x 75 150 x 100 150 x 150
150 x 100
3 0.9 200 x 100 150 x 75 150 x100 150 x 150
1.3 Twin 225 x 75 150 x 100 150 x 100 150 x 150
2.5 spiked together
4.5 0.9 Twin 225 x 75 150 x 100 150 x 150 150 x 150
spiked together
1.5 225 x 150 150 x 150 150 x 150 150 x 150
6 1.1 225 x 150 150 x 150 150 x 150 150 x 150
1.5 300 x 150 200 x 150 200 x 150 200 x 150
Up to 1.2 One set 225 x 75 150 x 75 150 x 100 150 x 150
3 0.9 Twin 225 x 75 150 x 75 150 x 100 150 x 150
spiked together
3.0 1.5 225 x 150 150 x 150 150 x 150 150 x 150
4.5 1.0 225 x 150 150 x 150 150 x 150 150 x 150
1.3 300 x 150 150 x 150 150 x 150 150 x 150
6 0.8 225 x 150 150 x 150 150 x 150 150 x 150
1.0 300 x 150 150 x 150 150 x 150 150 x 150
1.5 250 x 200 250 x 150 250 x 150 250 x 150
Up to 1.2 One set 200 x 100 150 x 75 150 x 100 150 x 150
3 1.1 225 x 150 150 x 100 150 x 100 150 x 150
3.5 1.5 300 x 150 150 x 150 150 x 150 150 x 150
4.5 1.0 300 x 150 150 x 150 150 x 150 150 x 150
1.5 250 x 200 200 x 150 200 x 150 200 x 150
6 0.8 300 x 150 150 x 150 150 x 150 150 x 150
1.1 250 x 200 200 x 150 200 x 150 200 x 150
1.5 250 x 250 250 x 150 250 x 150 250 x 150
Saturated ground (except soft clays and silts)
1.8 3 1.2 225 x 150 150 x 100 150 x 100 150 x 150
4.5 1.2 250 x 200 150 x 100 150 x 150 200 x 150
* Proprietary steel trench struts, of equivalent strength, may be used instead of timber struts. Steel struts should be to BS4074.
H-piling or soldier piling
In this system, steel universal column sections are pre-
driven, at determined centres, prior to any excavation
commencing. If the ground conditions make driving difficult
or, if vibration or noise is to be avoided, the steel sections
can be positioned in pre-drilled holes with the bottom end
held in concrete.
As excavation proceeds, the exposed face is supported
by timbering or trench sheeting set horizontally between the
piles. In effect, the sheeting takes the form of horizontal
poling boards, wedged in position as shown below.
The H piling method has a number of very important
advantages when heavy support is needed, e.g:
1. The main structural support is in place before excavation
commences.
2. The sheeting can be kept tight up with the excavation,
which need not be left unsupported for any length of
time.
3. Maximum economy in sheeting material is possible; e.g.
if the ground appears suitable, as exposed, hit and miss
sheeting may be adequate in some strata while, in other
levels, close sheeting may be needed.
4. If insufficient sheeting has been used, i.e. if the ground is
seen to be pushing through gaps in the sheeting, it can
be cut away and additional sheeting installed in the
gaps.
5. Where services cross an excavation, the H pile method
is particularly adaptable (see illustration in next column).
The piles can be installed between service locations and
horizontal sheeting located above and below. If the gap
resulting is excessive, vertical sheeting can be tucked
behind the horizontal members to fill in the gaps.
H Piling can be applied to both double or single sided
methods of support. It is not, however, applicable to
cantilever support, or in ground conditions which are
waterlogged. As an engineered system, it must be designed
by competent persons.
Proprietary systems
The number of proprietary systems is constantly growing.
They are designed primarily to allow the support system to
be installed in a trench without the need for persons to enter.
Some methods, however, merely provide a waling and strut
assembly that can be used to support timber or steel trench
sheeting.
Examples of the use of proprietary systems are given in
the following paragraphs under Trenches.
Trenches
Standard solutions can normally be applied up to depth
of 6m, provided that the excavation is in non-water bearing
ground. In all other situations, designed solution must be
used.
Standard solutions
The use of standard solutions in trench excavation will
mean using either Traditional methods, or proprietary
systems.
Traditional methods
Traditional methods use timber or steel trench sheeting as
the sheeting material, timber walings and either timber or
adjustable steel struts. With these components, a number of
options are possible, to suit varying conditions.
The use of poling boards is dependant on the material
to be excavated standing up to a height equal to the length
of poling board used during the boards installation. Two
variations in installation are possible:
The middle board method, shown opposite is
installed by excavating to a depth equal to the
length of the poling board being used. Poling
boards are then set up plumb, at a distance apart equal
to the length decided upon for the walings,
on both sides of the trench. The walings are
placed in position and strutted against the first poling
boards. The intermediate boards are next
located, removing the minimum of face soil to provide a
snug fit behind the waling member. When all
8B - 11
June 2005
boards are in position, the final number of struts
required are installed. All poling boards between
struts must be checked and, where necessary, wedges
driven between the poling boards and walings to
provide tight contact with the excavation.
Excavation can then proceed downwards, for the next
level of poling boards.
Although the diagrams show timber struts, these can, of
course, be replaced by metal trench struts.
The Tucking Frame method shown below, only differs
from the middle board approach in that the walings and
struts are located at the top and bottom of the poling boards,
instead of the middle.
The excavation, prior to the installation of a level of
poling boards, needs to be slightly deeper than the
poling board length. This is to enable the board to be
tucked up and behind the waling.
Runners are used where the ground will not stand long
enough to allow the installation of a poling board system.
Runners are longer sheeting members than poling boards
and can be in timber or steel trench sheeting.
In bad ground, where continuous support is needed, the
runners are pitched and held vertically in a temporary
framework (usually a lightweight version of a sheet piling
frame). They are then driven into the ground as far as they
will reasonably go, without damage. A shallow depth of
excavation is carried out and the first level walings and
struts installed. The runners are wedged tightly to the
excavation, and digging continued until the end of the
8B - 12
June 2005
(Illustration by courtesy of the Timber Research and
Development Association.)
runner is only just held in the unexcavated material. The
wedge on each runner is loosened separately, the runner
driven down again, and the wedge re-tightened. This
continues until the next waling is inserted.
Two sets of wedges have to be dealt with at each runner
position. In this way, the excavated face can be continuously
supported while excavation to the full depth of the runner is
carried out. Extra depth is possible by inserting a new set of
runners inside the first and continuing downwards.
The main features of the use of runners are shown below.
Where ground conditions permit, the procedure can be
simplified. A shallow excavation is first cut and the pitching
frame set up in it (as shown opposite). The runners are
pitched and plumbed and excavation carried out to the
depth that the earth will stand. The runners can then be
allowed to drop into the excavated area, or will require only
the minimum of driving, until they bed into the unexcavated
material. They are then wedged as before and excavation
continued. The sequence is repeated as required -
(Illustration by courtesy of the Timber Research and
Development Association).
Proprietary Systems
Proprietary Systems fall into a number of well defined
groups:
1. Hydraulic struts associated with waling systems (usually
in aluminium to save weight).
2. Shields or boxes which are dragged along the trench as
work proceeds.
3. Box or plate supports
4. Special methods.
As there are many suppliers and varieties, the groups
above are only outlined in this section. For further details,
reference should be made to CIRIA Technical Note 95:
Proprietary trench support systems.
All proprietary methods should be used strictly in
accordance with the manufacturers instructions.
Hydraulic struts/walings
A typical hydraulic struts/waling system is shown
below. The objective is to provide a strut/waling
assembly which can be lowered into the trench and
hydraulically stressed against the sheeting without
anyone entering the trench. Such Systems are normally
only suitable for the support of trenches up to 6m deep.
8B - 13
June 2005
Use of runners.
(Illustration by courtesy of the Timber Research and
Development Association.)
Waling/strut assembly with steel trench sheeting.
(Photograph reproduced by courtesy of Mechplant Limited).
Shields or drag boxes
As the name suggests, these are designed primarily as
a protection for persons working in an excavation, rather
than an excavation support. The side sheeting and
strutting, which keeps the sheeting apart, provide a rigid
box. As the work proceeds, the box is pulled forward by
the excavating machine to the new working area.
Such boxes are simple to make and, as they are rigid
structures, require little maintenance. Inevitably, though,
they are heavy and the excavator has to be powerful
enough to pull them forward in the trench.
Box or plate lining Systems
Box or plate lining systems are designed for support,
not just protection and should not be confused with
shields or drag boxes.
Box support systems, as shown opposite, have strutted
support walls of a modular nature, which can be
positioned by machine, and built up vertically and
laterally. They are not designed to be dragged along the
trench.
Plate lining methods work on the principle of installing
a vertical member and struts at set intervals, between
which heavy plates slide into position.
8B - 14
June 2005
Typical drag box.
(Photograph shows a box manufactured by Jayville
Engineering Limited and supplied by GKN Kwikform).
Box support system.
(Photograph reproduced by courtesy of Scaffolding (Great
Britain) Limited, distributors of Krings Linings).
Plate lining method.
(Photograph reproduced by courtesy of Scaffolding (Great
Britain) Limited, distributors of Krings Linings).
With either box or plate lining systems, cross services
present a problem, as the run of the system has to be
interrupted. Other methods for support have to be used in
such areas.
Designed solutions
Where the depth of trench exceeds 6m, the support
system should be designed by a competent person. To do so,
an adequate soil report should be available, giving all
necessary data on water levels, the depths at which they
occur, and whether any particular strata is liable to boil if
cut-off is not achieved.
Use of runners
While timber or steel trench sheeting can be used in deep
excavations, by installing one set of runners inside another
setting, the labour intensive nature of the method tends to
limit its use.
Sheet piling
Where water-bearing ground has to be dealt with, sheet
piling is the obvious choice. Its interlocking nature and stiff
section enable pre-driving to the full depth of the excavation
and the creating of a watertight barrier. Where the strata is
suitable, the water-bearing strata can be cut-off from the
excavation by the sheet piles penetrating into a non-pervious
layer below.
H-piling (Soldier piling)
If water is not present in the excavation, the H-piling
method of support is normally used. In association with steel
walings and struts, considerable depths can be supported
(see p.8B-11).
Wide and single-sided excavations
When a trench becomes very wide, problems arise with
the strutting. The struts themselves become long, and
bending due to their own weight has to be taken into
account, as well as the compressive forces induced by the
earth pressure. The effect of bending is to reduce the
compressive forces that can be resisted. In these
circumstances, a proper structural analysis needs to be
made by a competent temporary works designer.
An alternative is to adopt a single-sided support method.
Whichever approach is used, a designed solution is
essential.
Single-sided support
It is desirable that the main structure of the support is in
place before any excavation takes place. For this reason,
steel sheet piling and H-piling are the only satisfactory
methods to use, unless permanent construction is being
specified as the sheeting material. (Diaphragm walling,
contiguous bored piles and secant piling, to which
the contractor has to provide temporary support are
described under Permanent works as temporary support,
p.8B-19).
The principles of single-sided support are given on
p.8B-8.
Shafts
The method of supporting a shaft, as with any
excavation, is likely to be determined by the ground
conditions. In reasonably good ground, which will stand for
one metre or more, support systems based on the poling
board can be used. In bad ground, systems based on
runners will be needed, unless sheet piling or soldier piling
are considered necessary.
Use of poling boards
The commonly used technique is very similar to that used
in trenching and the same length and section of boards are
used. The ground is opened up to a depth equal to the length
of the poling boards, when the first setting of boards is
installed and supported by walings and struts. Walings may
be installed at mid point of the poling board (middle board
method), or may be positioned at about the quarter points,
as shown below.
8B - 15
June 2005
Method of side supports in shafts.
(Illustration by courtesy of the Timber Research and
Development Association).
8B - 16
June 2005
As in trenching, the waling frames are supported at the
corners of the shaft by puncheons, which may be termed
angle posts. Where an intermediate strut is used, the
supporting puncheon is installed as in trenching practice.
The waling frames are normally installed by positioning
two walings which run the whole length on opposing sides
of the trench. The other walings are cut to length between the
inside faces of the walings already positioned and should
bear on timber stretchers or cleats spiked to them (see
illustration below, plan at B-B). The frame is then supported
by puncheons placed at the ends of the longer members.
When the waling frames are positioned and the poling
boards tightened against the excavation by wedges
between the walings and poling boards, the next phase of
the excavation can proceed and lower levels of poling
boards installed.
During the excavation of shafts, and at the completion of
the installation, waling frames should be secured and
supported by lacings, ground props and foot blocks as
appropriate.
Both timber and trench sheeting may be used for the
poling boards. Timber is well suited for walings as
dimensional problems can readily be overcome, while the
same applies to struts. Even so, proprietary systems are
available and can be used when the dimensions are
appropriate.
Use of runners
Where the ground conditions are less stable, the use of
runners can ensure virtually continuous support to the shaft
as the excavation proceeds.
Runners, up to 3m long, are used and are driven to form
the lower level support in much the same manner as
described for trenches. The ground is first excavated to a
safe depth for the ground conditions. Vertical corner boards
are positioned and the first walings cut and installed
between them. The second walings, at right angles, are then
cut and positioned. Having restrained them by struts, to
produce a rigid box frame, the runners are then introduced
into the gap between the excavation and the walings and
driven down as far as the ground conditions will allow. Each
runner is then forced against the excavation by wedges
inserted between the waling and the runner. Wedges are
progressively eased and retightened as the excavation
progresses downwards, at the same time as the runners are
driven down to cover the excavated face.
Shafts with maximum dimension up to 2. 75m showing
alternative arrangement for poling boards.
(Illustration by courtesy of the Timber Research and
Development Association).
Notes
1 Method shown is suitable for depths down to 6m.
2 Timber to be strength class SC4.
3 No hydrostatic head.
4 Where the shaft is to be dug in cohesive ground it should
be soft or better and should have a minimum C value of
30 N/mm
2
,
5 A uniformly distributed ground load of 10 kN/m
2
has
been allowed.
6 Where higher loads, or point or line loads are expected.
then the shaft should be designed by an experienced
person.
Notes
1 Method shown is suitable for depths down to 4.5m.
2 Timber to be strength class SC4.
3 No hydrostatic head.
4 Where the shaft is to be dug in cohesive ground it should
be medium soft or better and should have a minimum C
value of 30 N/mm
2
.
5 A uniformly distributed ground load of 10 kN/m
2
has
been allowed.
6 Where higher loads, or point or line loads are expected,
then the shaft should be designed by an experienced
person.
Use of runners in shafts up to 1.8m square.
(Illustration by courtesy of the Timber Research and
Development Association).
Steel or timber runners are equally suitable for this
method and steel sheet piling may also be used where wet
ground conditions exist. The waling frames are usually
timber, but proprietary systems or steel sections may also be
used.
Headings
Headings are small tunnels cut into the sides of trenches
or shafts. They constitute the most hazardous sector of
excavation as, in addition to the dangers associated with
trenches and shafts, they introduce the risk of trapping
persons with no alternative escape route. In such cases,
rescue is difficult and dangerous.
The cutting of a heading requires a very high degree of
careful investigation and consideration. This applies to the
design, quality of materials, excavation techniques and
workmanship, as well as to safety and supervision.
The following recommendations apply only to headings
not exceeding 2m either in height or width. Any headings
in excess of these dimensions must be designed by a
competent engineer, as should any heading in rock,
irrespective of its dimensions.
Materials
Timber is the most suitable material, as a great deal of
cutting will be necessary. Wherever the timbering is to be left
in place, new material should be used and treated by
pressure impregnation to protect against decay, using
copper/chrome/arsenic salts in accordance with BS 5589.
Dimensions
Height should not be less than 1.2m measured from the top
of the sills to the underside of the head tree. The width should
not be less than 700mm measured between the inside faces
of the side trees.
Excavation and support
As the greatest reliance is placed on the experience and
expertise of the operatives engaged in the driving of a
heading, no specific sequence of operations is recom-
mended. Three basic support methods are used:
Box setting
This method is only suitable for small headings in firm
ground.
8B - 17
June 2005
Normally, roof and side boards are not required but, in
localised areas, they can be inserted by tucking between
adjacent head or side trees and the excavated face.
Poling setting
This method should be used in ground conditions where
pieces start to fall in almost immediately after excavation has
taken place. Examples are: damp or cohesive sandy
gravelly material, or clays which contain fissures and crack
into small pieces when drying out takes place.
A poling setting is an extension of the box setting, with
roof and side boards tucked between the head and side
trees so that both ends are supported. The boards should be
in close contact with the top and sides of the heading. They
may be spaced apart, or be in edge to edge contact,
depending on the nature of the ground.
In ground where the floor of the heading may boil or
heave, then floor poling boards should also be introduced
between sills.
Piling setting
In poor ground, of the running or flowing category,
continuous support at all stages of the excavation must be
maintained and the piling setting method used.
The method becomes more complicated when the
advancing face of the heading also needs support. Further
details are given in the TRADA publication Timber in
Excavations.
8B - 18
June 2005
Securing the heading
Regardless of the method used, the excavation of a
heading should not cease until a setting under construction is
completed, with head and side trees in position. The face of
the heading should be boarded if the excavation stops for
more than two hours.
Supervision
The supervision of and routine checks on temporary
works in a heading are different from those employed in
open excavations. Routine inspection must be carried out at
the point of maximum risk, i.e. the advancing face of the
excavation.
Another important factor is that speed of the excavation
has a bearing on safety, as the rapid installation of a support
structure is critical to the integrity of the cut face.
Inspection and supervision must therefore be carried
out by experienced persons, who should be able to
inspect, approve and authorise continuation, without
impairing the speed of advance on which the safety of the
work may depend. This means that constant supervision is
necessary.
Permanent works as temporary support
There is frequently the need temporarily to support
systems of retaining wall construction, until the permanent
structure has been sufficiently advanced to provide the
permanent support. What must be appreciated is that, whilst
temporary support is being provided, the walling system is
acting as temporary works. Where there is this division of
responsibility for temporary works, it is essential that the
design of the supporting members is carried out by a
competent person.
The techniques are:-
Diaphragm walls
Contiguous bored piles
Secant pile walls
Diaphragm walls
These are commonly used in clay and sand/gravel
areas, to achieve the perimeter support to basements. Their
advantage lies in the ability to install the wall before any
excavation takes place. A narrow trench, of the required
width of finished retaining wall, is excavated by means of
special grabs. As the excavation proceeds, the trench is kept
filled with a suspension of bentonite in water. In this way,
trenches can be excavated to considerable depths without
further support. When the required depth is reached,
reinforcement is lowered into the liquid, and concrete placed
by tremie. As this is done, the bentonite solution is forced out
of the trench, collected and re-used later.
Diaphragm wall construction is carried out by specialist
sub-contractors. The main contractor, however, is required to
construct the guide wall. It should also be noted that the
inside guide wall has to be removed, again by the main
contractor, as the excavation progresses downward. Its
advantages are:
1. Installation free from vibration and excessive noise.
2. No support of the earth face is needed.
3. Walls can be constructed with minimum disruption to
adjacent areas.
4. Such walls serve a dual purpose - they avoid the need for
temporary sheeting to the excavation and become the
final retaining wall, usually with some form of facing for
cosmetic reasons. As a result, the cost of temporary
works is reduced.
5. Where ground anchors can be used as the temporary
support, the whole construction area within the
diaphragm wall is unencumbered with supports and the
permanent construction can proceed much more
efficiently than if the support had to be by raking shores
or long struts right across the width of the excavation.
6. In water-bearing ground, diaphragm walls are
substantially watertight.
Contiguous bored piles
Bored piles can also be used to support excavations,
while providing the main element of permanent support. In
this role, they are installed as a continuous curtain where the
support is needed. Installation is normally carried out by
boring alternate piles first and later inserting further piles in
the gaps. The method is normally used in conjunction with
ground anchors as the temporary support or, if practicable,
with horizontal shores.
8B - 19
June 2005
The unevenness of the pile means that adjacent piles are
not in complete contact. The method is not, therefore,
suitable in wet conditions without special and expensive
precautions.
Bored piles are similar in cost to diaphragm walls, and
have very similar advantages, except their inability to retain
water.
Secant bored pile walls
In secant piling, the bored pile system has been
developed further to provide a watertight wall.
The wall is formed by a series of individually formed piles
which interlock. The first stage is to construct piles at centres
less than two pile diameters (female piles). Intermediate piles
(male piles) are then made which, in the boring and
concreting process, cut secants out of the adjoining female
piles.
A heavy rig hydraulically forces a tubular casing into the
ground by rotary oscillation, combined with vertical loading.
The soil within the casing is next excavated by a hammer
grab. In this way the soil is supported at all times. As
concrete is placed, the casing is withdrawn. With the piles of
fixed dimensions, due to the formation within the casing,
close contact is certain and a watertight junction achieved.
The system is ideal in water bearing ground to provide a
watertight perimeter, either on a permanent or temporary
basis.
Temporary support must be provided, as for diaphragm
walls and contiguous bored piles. Such support must always
be designed by competent persons. Installation will always
be by specialised firms having the necessary equipment.
Related safety aspects
Apart from safety requirements directly associated with
the support of excavations, the following matters must also
be considered:
Means of access
Safe means of access to and from excavations must be
provided, as must easy means of escape in an emergency.
Ladders must be of sound construction, of adequate
length and strength, of the correct type and be placed in the
supported part of the trench. They must be effectively
secured, near the top, to prevent slipping sideways, by
lashing, either to adjacent support material or to stakes
driven firmly into the ground. They must project sufficiently
above the excavation to provide a safe handhold (a distance
of 1.05m is recommended).
Gangways are often needed for access purposes across
excavations. Where persons might fall and be injured, such
gangways must be fitted with toeboards, at least 150mm
high, and main guardrails, at least 910mm high. An
intermediate guardrail, or other rigid barrier, must also be
fitted so that there is not an unprotected gap exceeding
470mm in height. Gangways should be at least 430mm
wide for personnel access, or 600mm for persons and
materials.
On large sites, there may be occasions when bridging
units are necessary to allow plant and vehicle movement
across an excavation. In such cases, proper design by
competent persons is essential, both for the safety of the
loads to be carried and to avoid excessive loads on the
edge of the excavation.
Barriers
The edges of all excavations, where anyone might fall
and be injured, must be protected by rigid barriers or,
alternatively, excavations must be securely covered. It is a
wise precaution to protect even shallow excavations.
Non-rigid barriers, which may be used in areas where
access for persons and transport is not required, should give
an obvious warning by being immediately apparent and
brightly coloured.
Spoil heaps can constitute effective barriers, provided
that they are set back a safe distance from the edge. Rope
barriers can also be effective, again provided they are set
back far enough.
Barriers may be omitted to allow access of persons, or for
the movement of plant, equipment or materials, or where it
has not yet been practicable to erect such a barrier since the
formation of that part of the excavation.
Wherever barriers are set back, all access to the
excavation should be confined to the proper paths and no
material should be stacked in the space between barriers
and the edge.
Barriers, or stop blocks, are also necessary to stop
cranes, dumpers, lorries, tipping vehicles, etc. from
manoeuvering too close to the edge of an excavation and
endangering its stability. Timber baulks are effective against
small wheeled machines, but taller barriers are needed for
larger wheeled equipment and tracked machines (also see
Section 19 - Site Transport).
8B - 20
June 2005
8B - 21
June 2005
Lighting
During darkness, edges of excavation should be
illuminated, especially where they are adjacent to public
thoroughfares.
During the winter, or in deep excavations, shafts and
tunnels, lighting will be necessary to enable operations to
proceed safely. Such lighting must be installed with
equipment suitable for use in the excavation.
Ventilation
Excavations must be kept free from toxic or explosive
gases and it must be remembered that any gases which are
heavier than air will tend to settle in excavations. The gases
involved may be natural, like methane and sulphur dioxide,
or they may arise from nearby internal combustion engines
(carbon monoxide), leakage from liquefied petroleum gas
equipment, or underground storage, or from sewers.
One of the most effective methods of keeping the
atmosphere healthy, is to use ventilating equipment to blow
clean air into the excavation, shaft or tunnel, in sufficient
quantities to dissipate the foul atmosphere.
Tests must always be carried out in advance of work
starting, and throughout the period of the work. For further
information, see Section 23 Confined Spaces.
Means of escape
All persons working in an excavation should be instructed
in escape and rescue procedures should an emergency
arise. This is particularly important where unhealthy
atmospheres might arise. Instruction should be given on the
use of rescue equipment (see Section 23 - Confined Spaces).
Damage to underground services
It is essential, at the planning stage, to ensure that proper
precautions are taken to avoid damage to underground
services. Detailed guidance is given in Section 20 -
Overhead and Underground Services and in HSE Guidance
Booklet
HS(G)47.
Noise
Occupational and environmental noise is a hazard in
excavation, particularly in the case of pile driving. Steps
should be taken to ensure that noise from plant is reduced at
source as far as possible, that noise levels are assessed and
ear protection worn where necessary. Further information
and guidance on compliance with the Noise at Work
Regulations 1989 is given in Section 32 - Noise.
Check List No.1 - Site conditions and method
constraints. (Design stage)
Knowledge of the ground and local constraints (adjacent
buildings etc.) must be available in order to determine the
method of excavation and the need for support. In addition,
in the case of trench work in particular, what has to go into
the trench or excavation will be important. The handling of
such items may well affect the form of support that can be
used. The following questions need to be answered before
any decisions are taken:
1. What are the soil types and groundwater conditions?
2. Is there any knowledge of work carried out previously
in the area?
3. Is the excavation adjacent to existing structures or
roads?
4. Are there any obstructions to the line of the excavation?
e.g. public utility mains or cables, sewers, industrial
mains, overhead cables, or limited clearance on the
line of the excavation which may restrict choice of
excavating equipment?
5. Has the condition of the adjacent buildings, roads etc.
been recorded by the client or his representative? (e.g.
cracks etc.)
6. Is there any risk of surface flooding while the work
is being carried out? Is flooding from services
possible?
7. Is the excavation within the site boundary (inside the
hoarding area), or are special precautions necessary to
protect the public?
8. If the excavation is a trench, what are the maximum
depths to be supported and what size and length of
pipes have to be handled? Can pipes be tested in short
lengths or does the specification require testing
manhole to manhole?
9. In the case of wide excavations, what will be the
implication of the support system to the permanent work
- and vice versa?
10. What surcharge loads are likely to arise?
11. Will the method involve vibration? Will it affect
the stability of the excavation and/or adjacent
buildings?
When answers to the above questions have been
obtained, the following need to be asked:
(a) If the ground is saturated, are the conditions suitable
for a dewatering system to be used? If so, can
battering be adopted without endangering adjoining
property?
(b) Is the ground of the type that may boil when
excavation is commenced?
(c) How long will the excavation be open? (If capable of
battering this will be the economical solution, especially
where the excavation has to be open for a long period
of time).
(d) Where surface water may be a problem, can an
adequate run-off system be achieved from any cut-off
drains or ditches that may be needed?
(e) What action is needed to support and safeguard
services etc. which cross or are adjacent to the
excavation? How will this relate to the support system
envisaged?
(f) Is the position of the works likely to lead to surface
water pollution?
(g) Is the dewatering method likely to lead to a possible
pollution threat to ground water or an aquifier? If so
advice must be sought from an environmental
consultant or the Environment Agency
When all these questions have been answered, a
decision can be made as to the use of battering, proceeding
with standard solutions, or whether the support will need to
be designed.
Check List No.2- Before work starts
1. Is the person directly supervising the work fully
experienced and competent in the support of
excavations?
2. Have all services been located and proved as to
position? (see Section 20 - Overhead and Underground
Services).
3. Are the necessary drawings or sketches (where
standard solutions are to be used) available? Have the
operatives been properly briefed and instructed as to
what is required of them?
4. Are all materials necessary available on site and in
accordance with the drawings/sketches?
5. Has the excavator to be used a certificate of exemption
for lifting material in connection with the excavation
and is a copy available on site? (see p. 9-33)
6. What arrangements need to be made in relation to site
security, particularly in relation to stopping children
getting on to the site?
7. Is there adequate working space for plant to be used, in
addition to the requirements for spoil heaps? (Spoil
heaps should not be less than 1m from the edge of the
excavation).
8. Is material for barriers available and, where working
on the highway, approved traffic signs? (see Section 26
Roadworks).
9. Will bridges or gangways be needed? If so, is the
equipment available?
10. Are sufficient ladders on hand for access to and from
the excavation?
11. Will lighting be required?
12. Is appropriate protective clothing and equipment
available?
13. Are operatives experienced in the type of excavation,
or will extra supervision be needed?
14. Are water pollution prevention measures in place?
15. Is the site in a high risk area for unexploded ordnance?
16. Are emergency procedure plans in place for use in the
event of the discovery of unexploded ordnance?
Check List No.3- Whilst work is in progress
The following list covers the main items which need to be
checked in carrying out the inspections required by
Schedule 3 of the Construction (Design and Management)
Regulations 2007:
1. Is access to and from the workface sufficient and
secure?
2. Are all working faces secure, wedges tight and support
material free from damage?
3. Is there any sign of movement or deflection in the
support system?
4. Is the soil condition as predicted? If not, what action
should be taken?
5. Are spoil heaps the correct distance back from the
trench edge?
6. Are pipes, bricks and other materials, plant etc., well
clear of the edge so that there is no risk of falling into
the trench or of vibration causing damage to the
support?
7. Are the drawings/sketches being properly followed in
installing the support? (This is particularly important in
relation to the spacing of walings and struts).
8. Are walings and struts, or proprietary equipment,
supported against falling downward - by hangers,
puncheons, lip blocks, etc?
9. Is there any risk of gases, or noxious fumes, getting into
the workings?
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June 2007
8B - 23
June 2007
10. Are regular tests for gases or fumes being carried out?
(This is particularly important in shafts and tunnels). Is
ventilation required?
11. Has any risk of flooding been properly assessed?
12. Is resuscitation equipment available and a nominated
person trained to use it?
13. Have all persons been instructed in evacuation
procedure and the correct rescue procedure to follow if
someone is overcome by gases or fumes in the trench?
14. Have all support materials been checked before
installation in the excavation? In particular, are the
correct pins provided in the trench struts?
15. Is the work adequately protected and marked during
the day? Is it fenced, or covered, and lit at night? Are
watchmen needed?
16. Are operatives wearing safety helmets? Is any other
protective equipment needed?
17. In shafts and tunnels, in particular, is adequate
lighting provided? Is the temporary lighting system
safe?
18. Do gangways or bridges comply with the requirements
of the CDM - Part 4 and the Work at Height Regulations
2005 in relation to the provision of safe movement for
pedestrians and vehicles and the prevention of falls.
Have access bridges for plant and vehicles crossing the
excavation been designed by competent persons?
19. Where backfilling is required, are stop blocks in
position?
20. Is there an agreed system of support withdrawal and
have those carrying it out been properly instructed?
21. Where pumping is necessary, is a proper watch being
kept to make sure that fine material is not being drawn
out from behind the support system?
22. Is the water from a pumping process being dumped out
onto grassland or, if it is being pumped into a water
course, aquifier or drain, is there an Environment
Agency consent in place and are the conditions being
complied with?
Glossary of terms
Batter (or rake) An artificial, uniform steep slope. In
trenching, the angle of batter must be
less than the angle of repose of the soil.
Bitch A fastening of iron or steel used for
securing heavy timbers which cross each
other. Similar to a dog but with one of its
ends at right angles to the other.
Chogs (or chocks, Timber blocks used as distance pieces
or blocking) or packing, e.g. between a waling and
the temporary or permanent lining of
an excavation.
Cleat A block of timber fixed to a member to
prevent the movement of other abutting
timbers.
Dog A fastening of iron used for spiking large
timbers together and having both ends
bent down and pointed.
Folding wedges Wedges used in pairs, overlapping each
other and driven in opposite directions in
order to hold or force apart two parallel
surfaces.
Foot block A timber pad used to spread a load from
a ground prop or side tree.
Hanger A steel rod or bolt sometimes used
(or tie rod) instead of lacings between successive
frames to take their weight and prevent
movement of the timber.
Head trees Horizontal timbers, at least 225m x
75mm, in the roof of a heading, which
rest on the side trees and support the
head boards.
Lacings Vertical timbers spiked to the sides of
struts and walings, tying them together to
carry the weight of the lower frames as
excavation proceeds.
Lip (lipping block, A short length of timber fixed and spiked
or lipping piece) to the top of a strut, and projecting
sufficiently beyond its end so as to rest on
a waling. It supports the weight of the strut
while wedges are being driven.
Pinchers Pair of poling boards, strutted apart
across a trench, to support the excavated
faces where the ground is good.
Poling boards Timbers, 1m to l.5m long, 32mm to 50mm
thick and usually 225mm wide, or
equivalent steel sheeting, placed vertically
in an excavation to support the sides.
Puncheons Vertical props used to support higher
(or props) walings or struts from the ones
below.
Runners Vertical timbering, usually approximately
2.5m to 3m long, 50mm thick and
225mm wide, with the lower ends chisel-
shaped. Used in unstable ground instead
of poling boards and driven in advance
of digging.
Side boards Boards, at least 150mm x 38mm,
forming the sides of a heading.
Side trees Timbers, at least 225mm x 75mm, which
support the head trees and side boards
in a heading.
Sills Timber, at least 225mm x 75mm, laid
across the bottom of a heading or trench
and carrying at its ends the feet of the
side trees.
Soldier piles Vertical supports holding horizontal
(or H piles) sheeting or walings in place. They are
secured by struts across the excavation
or by ground anchor tie backs.
Steel sheet piling Steel sheets, capable of being inter-
locked, driven to the full required depth
before digging begins. Normally used
in loose, soft or waterlogged soil.
Sheeting is either tied back, strutted
across the width of the excavation, or
used with raking shores or in cantilever.
This type of sheeting can be re-used
many times.
Steel trench sheets A lightweight form of steel sheet pile (see
above), which has largely replaced
timber poling boards and runners in
support work.
Stretchers (or liners) Timbers, at least 150mm x 38mm, driven
between the ends of opposing members
of a frame to lock them in position and
spiked to members against which they
rest.
Struts Horizontal members in compression
which resist the thrust from the sides of an
excavation.
Walings Horizontal members supporting poling
boards, runners, vertical sheeting or
soldiers.
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June 2005
Groundworks method statements should
normally include the following so far as is
relevant in the circumstances :-
Name and address of the groundworks contractor.
Name and address of the site to which the method
statement relates.
Names of the supervisor/foreman and appointed safety
adviser and arrangements for monitoring the work.
Description of the works to be carried out including
confirmation that the site has been visited and due
account taken of surrounding conditions, access, etc.
Details of the personnel to be used and their training/
experience.
Details of PPE to be provided to personnel.
Sequence of operations detailing method of dealing with
specific hazards.
Details of methods of locating and avoiding any existing
underground services, whether or not their presence is
known.
Details of Environment Agency consent conditions in
relation to any likely impact of the works on surface
water, ground water or an underlying aquifier.
For all excavation works :-
Nature of the soil and moisture conditions.
Measures taken to check for toxic contaminants in the
ground.
Dimensions of the excavation.
Method of excavation.
Proximity of services or structures.
Duration of work.
Details of the precautions to be taken to prevent collapse
of the sides of the excavation e.g. battering or support. If
support is proposed this should include details of the
system to be used.
Details of access/egress to and from the bottom of the
excavation plus any crossings over the excavation.
Details of any fencing around the open excavation.
Details of plant and equipment to be used together with
confirmation that all necessary records will be provided
on site.
Method of storing and dispensing fuel oil including
precautions to prevent pollution of groundwater.
Quantity of petrol to be stored on site and method of
storage.
If any roadworks are involved, the name of the supervisor
trained in accordance with the New Roads and Street
Works Act 1991.
Note :-
An additional method statement will be required for any
work involving entry into confined spaces e.g. sewer
connections.
This checklist is intended to aid the production and
approval of method statements. It is not an exhaustive list of
every possible issue that may need to be addressed for any
given task.
Refer to Section 1 for general information on method
statements.
CHECKLIST FOR GROUNDWORKS METHOD STATEMENTS
8B - 25
June 2007
REFERENCE SOURCES
Legislation
The Water Resources Act 1991
Management of Health and Safety at Work Regulations 1992
Construction (Design and Management) Regulations 2007
Work at Height Regulations 2005
Lifting Operations and Lifting Equipment Regulations 1998
Provision and Use of Work Equipment Regulations 1998
The Groundwater Regulations 1998
British Standards
CP 2004 Foundations
BS 4074 Specification for metal props and struts
BS 5268 Code of Practice for the structural use of timber
BS 5930 Code of Practice for site investigations
BS 6031 Code of Practice for earthworks
Guidance
Construction Industry Research and Information
Association:
Technical Note 95: Proprietary trench support systems
(2nd Edition 1982). An illustrated summary which includes
tabulations of each systems characteristics and
capabilities.
Report 97: Trenching practice (1983). A guide to safe
practice in the design and use of temporary support for
trenches not deeper than 6m.
Timber Research and Development Association:
Timber in excavations (1981). A guide to assist site
staff and planners to assess site conditions and to choose
appropriate support for trenches, shafts and headings.
Simplified rules for the inspection of second-hand timber
for load bearing use (1981). A valuable pocket guide
showing how to assess the value of second-hand timber.
Health and Safety Executive:
HSE Leaflet CIS 8 Safety in excavations
Guidance Booklet HS(G)47: Avoiding danger from
underground services
National Joint Council for the Building Industry:
Site Safe and You: A pocket booklet on all aspects of
site safety, which includes a checklist for work in
excavations and with excavation plant.
Training Courses
Construction Industry Training Centre
Bircham Newton
Nr. Kings Lynn
Norfolk
Construction Health & Safety Group
John Ryder Training Centre
St. Annes Road
Chertsey
Surrey
Training aids
Construction Health and Safety Group slide/tape
programmes
CIRIA
video:
Trenching - Good Practice
Environment Agency
Building a cleaner future
All of the above reference material is available from:
Construction Industry Publications Ltd.,
17 Gatelodge Close, Round Spinney,
Northampton NN3 8RJ.
Tel: 0870 078 4400
Fax: 0870 078 4401
e-mail sales@cip-books.com
8B - 26
June 2005
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