Operational Control Procedures (OCP-2)

Excavation

To prevent the environmental impact and occupational hazards arising during

excavation work such as trenches, test pits, cellars, borrow pits, cuttings for
Purpose
rail, canal, road formations and all excavations on which the sides of
excavations are not trimmed simultaneously to a stable slope
This operational control procedure is applicable to excavation operations at all
Scope
construction sites of KEAN
KEAN Project Head / Project In-charge is accountable for guiding, monitoring &
reviewing contractors HSE performance & adherence to the work instructions
by the contractor & its sub-contractors, in consultation with other disciples
and the respective contractor is responsible & accountable for transmitting
Responsibilities &
this safe operating procedure to their sub-contractors and ensure that the
Accountabilities
contents are clearly understood & being followed by them.
In case of non-adherence to work instructions and non-performance by
contractor, the KEAN Project Head / Project In-Charge has the right to get this
done by another contractor
Authority Project Manager/Project in charge

Process Flow
 Selection of land for the excavation as per the building design and construction requirement provided
by the project construction or planning team
 Selection of equipment for the excavation works by plant & machinery team in presence of HSE
personnel
 Ensure to inspect excavation to verify compliance with applicable regulatory requirements and the
site-specific excavation plan
 Selection of competent workers and equipment operators by plant & machinery team
 Selection of equipment should be on the basis of their certified and authenticate documents provided
during the time of deployment, safety inspection should be carried out before equipment deployment
 Ensure to obtained the layout drawing along with foreseen underground services or utilities drawings
from the local municipality or other stakeholders
 Ensure that the selection of route/access for equipment’s movement and workers movement with
proper demarcation and segregated
 Assure that proper sloping, benching, or shoring techniques are utilized in excavations of five feet or
greater in depth (Solid Rock - 900, Type A Soil - 530, Type B - 450, Type C - 340)
 Ensure not to drive or park machinery or vehicles within 10 feet of the edge of the excavation unless
the banks are frequently inspected and confirmed to be stable
 Ensure to obtain the excavation permit from the HSE department
 Selection of land for excavated soil stacking or storing or as per the project specific waste
management plan
 No employee shall enter or exit the trench or excavation or perform work outside of the protective
system provided
 Excavation proposal prepared by a competent engineer to be submitted by the contractor, which
should include the following information

1. Detail of method for ground protection treatment and dewatering

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2. Survey of existing site condition

2.1 Accurate level survey
2.2 Geotechnical survey
2.3 Ground and surface water information
2.4 Record/report of the surrounding facilities and structures
3. Detail design or construction proposal regarding:
3.1 Site/Soil investigation report and geotechnical assumptions
3.2 Detail and drawings of excavation/protection works
3.3 Sequence and method of works
3.4 Monitoring proposal
3.5 Other information or specification that deems necessary
 Carry out the risk assessment for the entire activity considering the man, machine, material to be used
during the activity & the work area.
 Ensure that work permit for excavation is issued after verifying all the checkpoints in the permit to
start the activity & are found OK
 The permit shall be reviewed daily & reissued after signing by an authorized person from KEAN.
 Alternate route for traffic is provided (in case of road blockage)
 Provide sufficient lighting to facilitate safe operations at each work location
 Ensure to conduct job specific training and TBT (Tool box talks) prior to work start
 Ensure adequate necessary safety awareness signage has been placed in appropriate places along with
activity going on
1. Earth Boring
2. Soil Removal
3. Shoring
4. Sheet piling
5. Dewatering
6. Grouting
7. Reinforcement work (in case of basement construction)
8. Waterproofing
9. Backfilling
 Ensure that all excavations carried out as per the requirement of project construction requirements
 Ensure to follow the following protection method if in case required to prevent soil collapsing/caving
or as per the soil testing report received, such as
1. Shoring
2. Benching
3. Sloping
4. Guniting or shotcrete
 Ensure to consult with competent personnel to apply the above protection method for soil
collapsing prevention
 Ensure to dispose all excavated soil or material immediately after excavation with the help of
dump trucks
 Ensure to define separate access route for disposed material dump trucks
 Ensure to use safety checked ladders for accessing small trench or excavation area

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Equipment/ Machine Used Major Raw Materials & Consumables used

1. Survey machine 1. Diesel
2. Face shovel excavators 2. Grease
3. Backhoe (JCB) 3. Lubricant oil
4. Bulldozers 4. Lime powder
5. Tractor shovel 5. Steel sheets (Shoring)
6. Clamshell excavator 6. Timber (Shoring)
7. Powered drill 7. MS pipes (Barricading, scaffold access)
8. Grader 8. Signage
9. Scraper 9. Paint
10. Dumper 10. Ladders
11. Multi-gas meter 11. Battery operated LED warning lights
12. Dewatering pump 12. Electricity
13. Lights for illumination 13. Bitumen
14. Electrical distribution boards 14. EPDM rubber
15. CSM rubber
16. Polyvinyl Chloride
Significant Environmental Aspects Significant OH&S Hazards
1. Noise during excavation 1. Water logging due underground water pipeline
2. Debris disposal damage
3. Dust emissions during excavation 2. Fire due to underground gas pipeline damage/gas
leakage
4. Consumption of fuel for excavator &
3. Electrical cable bursting due to hit by an excavator
transportation of the excavated soil
4. Trapped into or below machine due to the toppling of
5. Oil spillage during excavation activity earth mover
6. Consumption of electricity 5. Hit by Machine due to unauthorized operation
7. Disposal of excavated soil 6. Equipment failure due to irregular maintenance
8. Disposal of waste water 7. Malfunctioning of the machine
9. Consumption of water for spraying dust 8. The collapse of soil due to shoring is not provided,
etc. required slope is not maintained
9. Side structure affects due to vibration of earth mover
10. Water stagnation
11. Drowning into water
12. Fall of the person in to excavated area
13. Electric short circuit due to bare cable, multi-
connection in one socket (overloading) and improper
cable management
Hazardous Waste Generated in process Non-Hazardous Waste Generated in process
1. Waste or burnt oil collected from the 1. Excavated soil
excavators, Hydra etc. 2. Wastewater
2. Waste in form of fuses or electrical bulbs 3. Oil barrels etc.
used at construction site

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PPE’s to be used Inspection/ Calibration Requirements for any tools

1. Safety helmet 1. Calibration certification of multi-gas meter
2. Safety shoes 2. Plant vehicles should possess the following
3. Reflective jacket 3. Power operated tools shall possess the following
4. Safety goggles 4. Underground utility inspection through CAT(Cable
5. Filter mask access tool)
6. Ear muffs/plugs
7. Hand gloves
8. Safety harness (if in case)
(All PPE’s must be in line with approved plan
and relevant IS standards)
Control of Significant Environmental Aspects and Significant OHS Hazards
Control of Significant Environmental Aspects:
Thus, KEAN stresses that the contractor shall be responsible for providing all necessary
precautions and applying all necessary protective procedures to protect employees against potential
Hazards to which they might be exposed during excavations, such as
Environmental Risk - Noise
 Ambient noise level (dB) shall be maintained as per Rule 3(1) and 4(1) of Noise Pollution Rules, 2000
by Ministry of Environment & Forests.
 Regular monitoring of ambient noise.
 Introducing break periods for the noisy activities to avoid long time exposure.
 Night working permission is required from the authorities for night work

Environmental Risk - Soil Contamination

 Regular maintenance of the plant vehicles by a competent mechanic
 A regular check of the plant vehicles by competent operators
 Removing all the plant vehicles with oil leakage from the site
 Use of Spill kit to contain the hazardous spillage material from further contamination.
 Using drip trays for the pumps, diesel engines (if in case)

Environmental Risk - Ground Water Contamination

 Rerouting of the sewage, gas or any other underground services with necessary permission from
concerned authorities
 Closing and rerouting domestic water line with necessary permission from concerned authorities
 Control of substance hazardous to health (COSHH)
 Using drip trays for the pumps, diesel engines (if in case required)

Environmental Risk – Dust Emission

 A sprinkling of water and fine spray from nozzles to suppress the dust
 Use of covering sheet to prevent dust dispersion at buildings and infrastructure sites, which are being

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Excavation

constructed
 The excavated sand should be covered by tarpaulin and all other precaution should be taken to
ensure that no dust particles are permitted to pollute air quality as a result of such storage.
 Appropriate protection measures should be taken by raising windbreakers of appropriate height on
all sides of the plot/area using plastic and/or other similar material to ensure that no construction
material dust fly outside the plot area and it will be the builder/contractor responsibility to ensure
that their activity does not cause any air pollution
 All the trucks or vehicles of any kind which are used for construction purposes/or are carrying any
construction material/excavated sand should be fully covered. The vehicles should be properly
cleaned, should be dust free and every necessary precaution is to be taken to ensure that any
particles are not permitted to be released in the air/contaminate the air
 Incremental pollution loads on the ambient air and noise quality should be closely monitored during
excavation phase

Control of Significant OHS Hazards:

OHS Risk - Water logging due underground water pipeline damage
 Regular dewatering shall be ensured. When reaching groundwater level, excavations shall be stopped
until dewatering the area using groundwater removal pumps in compliance with the provisions and
approvals of the concerned authorities after determining that the groundwater is free from
hazardous contaminants
 Competent Supervision

OHS Risk - Fire due to underground gas pipeline damage / Gas leakage
 Keep out all the flammable materials from the excavation area
 Keep out all the ignition sources from the excavation area
 Competent and vigilant supervision

OHS Risk - Electrical cable bursting due to hit by excavator

 Manual excavation to be practiced in such areas where underground cables have been identified.
 Competent Supervision

OHS Risk - Trapped into or below machine due to toppling of earth mover
 Restricted entry to the excavation area.
 Nobody shall be allowed to be in the close proximity of the earth mover.
 Competent banks man/Signalman, who shall be equipped with a whistle to alert the workers.
 Competent Supervision.

OHS Risk – Hit by Machine due to unauthorized operation

 Competent Operator
 Restricted entry to the excavation area
 Nobody shall be allowed to be in the close proximity of the earth mover
 Competent banks man/Signalman, who shall be equipped with whistle to alert the workers
 Competent Supervision

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OHS Risk - Equipment failure due to irregular maintenance

 Check the maintenance records prior to the start of the task.

 Valid TPI shall be arranged by a competent body.
 Regular Operator check of the equipment prior to the start of the task shall be established.
 In the case of abnormalities (abnormal sound, abnormal operation, etc.,) the equipment must be
stopped immediately and must be informed to Site Safety In charge and P & M Dept.
 The equipment must not be used until the rectification is done.

OHS Risk - Malfunctioning of machine

 Check the maintenance records prior to the start of the task.
 Valid TPI shall be arranged by a competent body.
 Regular Operator check of the equipment prior to the start of the task shall be established.
 In the case of abnormalities (abnormal sound, abnormal operation, etc.,) the equipment must be
stopped immediately and must be informed to Site Safety In charge and P & M Dept.
 The equipment must not be used until the rectification is done

OHS Risk - Collapse of soil due to unprotected excavation

 Excavations greater than 1.25 meters deep shall not be permitted unless a shoring system is provided
in accordance with a specific design by a professional organization or by using an open excavation
that is approved by the specialized department.
 In open excavations, the angle of repose shall not be more than 40 0 measured from the horizontal
unless the stability of an excavation sides at higher slopes is determined by a professional
organization and approved by the Specialized Department.
 Prior to opening an excavation, no objection certificates (NOC) shall be obtained from all concerned
authorities having jurisdiction of excavation. Permits shall be in compliance with the actual conditions
and in case that there are any differences; the concerned authorities shall be consulted before the
start of the excavation
 When any changes occur during excavation in the location and/or in the adjacent services which may
expose workers to hazardous situations, work shall be stopped and KEAN shall be consulted.
 All adequate and appropriate personal protective equipment’s (PPE’s) shall be provided to protect
head, eyes, respiratory, hands, feet and other body parts
 A check in/check out system for all employees entering or exiting from excavations shall be
established to clearly identify the identity of each employee working underground.
 Timbering sheeting or other support for any part of an excavation, shaft or tunnel shall be:
1. Made of good quality materials
2. Thoroughly inspected before use
3. Constructed and properly maintained
 In case there are different layers of different types of soil, the slope shall be made on the basis of the
angle of repose of the weakest type of soil
 Diversion ditches or other suitable means shall be used to prevent surface water from entering the
excavation. When reaching groundwater level, excavations shall be stopped until dewatering the area
using groundwater removal pumps by a specialized company in compliance with the provisions and
approvals of the concerned authorities after determining that the groundwater is free from
hazardous contaminants
 Excavation below the level of the base of the footing of any foundation of any other building shall not

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be permitted unless a support system such as underpinning and other precautions measures are
provided by a professional engineer to ensure the stability of the adjacent walls and to protect
employees involved in the excavation activities or in the vicinity thereof. If the stability of adjoining
buildings or walls is endangered by excavations, shoring, bracing or underpinning designed by a
qualified person and approved by KEAN shall be provided to ensure the stability of the structure and
to protect employees
 Excavated materials/spoils shall be placed at least 60 cm (2 feet) away from the edge of an
excavation and shall not be accumulated higher than 1.5 times of this distance
 Excavated materials/spoils shall not be kept next to existed structure or walls, and the height level of
the excavated materials/spoils shall not be higher than the height of these walls
 All protection techniques for preventing soil collapsing or loose material falling such as shoring,
benching including steps benching (small and big), sloping and Guniting or shotcrete should be apply
in consultation with competent personnel

OHS Risk - Side structure affect due to vibration of earth mover

 Support systems, such as shoring, bracing or underpinning, when necessary to ensure that adjacent
structures (including adjoining buildings, walls, sidewalks and pavements) remain stable
 Competent Supervision

OHS Risk - Stagnant water due to Water logging

 Regular dewatering shall be ensured.
 Regular monitoring.
 Competent Supervision.

OHS Risk - Drown into water

 Regular dewatering shall be ensured.
 Regular monitoring.
 Competent Supervision.

OHS Risk - Fall of person in to excavate

 Protective barricades and flashing warning signs shall be placed in all excavations near sidewalks,
pavements, and streets. Warning signs shall be illuminated from dusk to dawn and when weather
conditions reduce visibility. All wells, calyx, holes, pits, and shafts shall be covered or barricaded and
backfilled upon completion of the work.
 Where employees or equipment are required or permitted to cross over excavations, walkways or
bridges with standard guardrails shall be provided.
 Dimensions of the members of shoring, shielding, and bracing systems shall be appropriately and
adequately determined.
 When a soil is adversely affected by weather, coverage and adequate support systems shall be
installed to prevent cave-ins.
 The worksite shall be adequately and properly illuminated especially in access and egress points and
during hoisting operations.

OHS Risk - Electric short-circuit

 30 mA ELCB shall be fitted on power D/B

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 Only industrial electrical socket to be allowed at the site

 No overloading of the electrical socket at any point in time and no multi plugging should be allowed
 Regular inspection of electrical DBs, Sockets, and Cables by competent Electrician
 Damaged DBs, Sockets, cables and other electrical items to be removed from the site immediately
 Regular monitoring of all electrical connections and electrical supplies
 Competent electrical supervision

Applicable Compliance Obligation Spill Control / Leak Control/ Hazardous Waste Control
1. IS 3764:1966 Code of Safety for 1. Task planning by a competent Engineer prior to starting.
Excavation 2. Regular maintenance of the plant vehicles by a
2. OSHA 29 CFR 1926.651 Specific competent Mechanic.
Excavation Requirements. 3. A regular check of the plant vehicles by competent
3. Noise pollution (regulation and control) operators.
rules 2000 – Ministry of Environment 4. Removing all the plant vehicles with oil leakage from the
and Forests. site.
4. Building and other construction workers 5. Use of Spill kit to contain the hazardous spillage
(Regulation of employment and material from further contamination.
conditions of service) Act, 1996 and 6. Using drip trays for the Pumps, Diesel Engines (if in case)
BOCW Central Rules 1998; Chapter - XIII 7. The required amount of chemicals to be brought to the
Excavation & Tunneling Work Rule 119 work location.
– 168 8. Regular housekeeping.
5. Maharashtra Building and Other 9. Segregation of waste at the source such as Paper,
Construction Workers (Regulation of Metal, Hazardous (Empty paint cans, batteries, etc.,) by
Employment and Conditions of Service) providing dedicated and labeled skips.
Rules, 2007; Chapter- XVII Excavation &
Tunneling Works Rule 146-196
6. Construction and Demolition Waste
Management Rules 2016
7. Central Motor Vehicle Rules

Conservation of Natural Resources Environmental and OH&S Monitoring Parameters

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 Re-use of excavated soil in backfilling of Environmental

the site 1. Air Quality
 Conservation of oil, water, and 2. Noise Level
electricity by optimizing the use 3. Water Quality
 Minimize use of woods at site OH&S
1. Health records of the workers
2. Access / Egress
3. Maintenance and inspection records of plant
vehicles
4. Inspection records of power operated tools
5. Permit to Work (PTW)
In the case of Abnormality, Deviation, As per approved “on-site emergency plan”
Near Miss, Incident, Contact:
Reference Documents:
 As per PHSEP
 HIRA for excavation
 EIA for Excavation
Records : Forms & Checklist for
1. Work permit for excavation (PSFC/03)
2. Task Specific Risk Assessment (PSFC/01)
3. Waste disposal register (PSFC/59)
4. Underground utilities records (PSFC/60)
5. Work permit register (PSFC/65)
6. Hazardous and non-hazardous register (PSFC/69)

Pictorial Representation : Pictorial Representation :

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