Excavations

29 CFR 1926.650-652 and

Appendices A - F
The Regulation: An Overview
General Requirements
Definitions
Soil Mechanics and Soil Types
Soil Testing
Visual Site Evaluation
Protective Systems
Special Health & Safety Considerations
Excavating is one of the most hazardous
construction operations according to OSHA.
Excavations are covered by 29 CFR
1926.650-652 and Appendices A F.
OSHA also offers guidance in the Technical
Manual.
The Physical Plant also has procedures
written in March, 1998.

Identification of soil types and utilities
before digging
Decision chart
Daily inspections
Soil classification
Special safety and health
considerations
Protective systems

Protective Systems
Required for excavations 5 feet or greater
in depth.


Competent Person is an individual
who is capable of identifying existing
and predictable hazards or working
conditions that are hazardous,
unsanitary, or dangerous to
employees.
The designated competent person should
have and be able to demonstrate the
following:
Training, experience, and knowledge of:
- soil analysis;
- use of protective systems; and
- requirements of 29 CFR Part 1926
Subpart P (1926.650-652 and Appendices A-F).
The designated competent person should
have and be able to demonstrate the
following:
Ability to detect:
- conditions that could result in cave-ins;
- failures in protective systems;
- hazardous atmospheres; and
- other hazards including those associated with
confined spaces.
The designated competent person
should have:
Authority to take prompt corrective
measures to eliminate existing and
predictable hazards and to stop work when
required.
An Excavation is any man-made cut,
cavity, trench, or depression in an
earth surface that is formed by earth
removal.
Ingress And Egress mean "entry"
and "exit," respectively. In trenching
and excavation operations, they refer
to the provision of safe means for
employees to enter or exit an
excavation or trench.
Access to and exit from the trench require the following
conditions:
Trenches 4 feet or more in depth should be provided with a
fixed means of egress.
Spacing between ladders or other means of egress must be
such that a worker will not have to travel more than 25 feet
laterally to the nearest means of egress.
Ladders must be secured and extend a minimum of 36
inches above the landing.
Metal ladders should be used with caution, particularly when
electric utilities are present.

Hazardous Atmosphere is an
atmosphere that by reason of being
explosive, flammable, poisonous,
corrosive, oxidizing, irritating, oxygen-
deficient, toxic, or otherwise harmful
may cause death, illness, or injury to
persons exposed to it.
A Trench is a narrow excavation (in relation
to its length).
In general, the depth of a trench is greater than
its width, and the width (measured at the bottom)
is not greater than 15 ft.
If a form or other structure installed or
constructed in an excavation reduces the
distance between the form and the side of the
excavation to 15 ft or less (measured at the
bottom of the excavation), the excavation is also
considered to be a trench.
Protective System refers to a method of
protecting employees from cave-ins, from
material that could fall or roll from an
excavation face or into an excavation, and
from the collapse of adjacent structures.
Protective systems include support
systems, sloping and benching systems,
shield systems, and other systems that
provide the necessary protection.
Surface Crossing of Trenches
Exposure to Falling Loads
Exposure to Vehicles
Warning Systems for Mobile Equipment
Hazardous Atmospheres/Confined Spaces
Emergency Rescue
Sanding Water and Water Accumulation
Inspections
Surface crossing should be discouraged. If needed,
vehicle crossings must be designed by and installed
under the supervision of a registered professional
engineer.
Walkways or bridges must be provided for foot traffic.
These structures shall:
have a safety factor of 4;
have a minimum clear width of 20 inches;
be fitted with standard rails; and
extend a minimum of 24 inches past the surface edge of the
trench.

Employees must be protected from loads or objects
falling from lifting or digging equipment. Procedures
include:
Employees are not permitted to work under raised loads.
Employees are required to stand away from equipment that
is being loaded or unloaded.
Equipment operators or truck drivers may stay in their
equipment during loading and unloading if the equipment is
properly equipped with a cab shield or adequate canopy.
Procedures to protect employees from being
injured or killed by vehicle traffic include:
Providing employees with and requiring them to
wear warning vests or other suitable garments
marked with or made of reflective or high-visibility
materials.
Requiring a designated, trained flag-person along
with signs, signals, and barricades when
necessary.

The following steps should be taken to
prevent vehicles from accidentally falling into
the trench:

Barricades must be installed where necessary.
Hand or mechanical signals must be used as required.
Stop logs must be installed if there is a danger of
vehicles falling into the trench.
Soil should be graded away from the excavation; this
will assist in vehicle control and channeling of run-off
water.

Employees shall not be permitted to work in
hazardous and/or toxic atmospheres. Such
atmospheres include those with:

Less than 19.5% or more than 23.5% oxygen;
A combustible gas concentration greater than 20% of the
lower flammable limit; and
Concentrations of hazardous substances that exceed those
specified in the Threshold Limit Values for Airborne
Contaminants established by the ACGIH (American
Conference of Governmental Industrial Hygienists).

All operations involving hazardous
atmospheres must be conducted in
accordance with OSHA requirements
(Subpart D of 29 CFR 1926) for personal
protective equipment and for lifesaving
equipment (see Subpart E, 29 CFR 1926).
Engineering controls (e.g., ventilation) and
respiratory protection may be required.

When testing for atmospheric contaminants, the
following should be considered:

Testing should be conducted before employees enter the
trench and should be done regularly to ensure that the
trench remains safe.

The frequency of testing should be increased if equipment is
operating in the trench.

Testing frequency should also be increased if welding,
cutting, or burning is done in the trench.
Employees required to wear respiratory
protection must be trained, fit-tested, and
enrolled in a respiratory protection program.

Some trenches qualify as confined spaces.
When this occurs, compliance with the
Confined Space Standard is also required.
Emergency rescue equipment is required when a
hazardous atmosphere exists or can reasonably be
expected to exist. Requirements include:
Respirators must be of the type suitable for the exposure.
Employees must be trained in their use and a respirator
program must be instituted.

Attended (at all times) lifelines must be provided when
employees enter bell-bottom pier holes, deep confined
spaces, or other similar hazards.

Employees who enter confined spaces must be trained.

Methods for controlling standing water and
water accumulation must be provided and
should consist of the following if employees
are permitted to work in the excavation:

Use of special support or shield systems approved
by a registered professional engineer.
Water removal equipment used and monitored by
a competent person.
Methods for controlling standing water and
water accumulation must be provided and
should consist of the following if employees
are permitted to work in the excavation:
Safety harnesses and lifelines used in
conformance with 29 CFR 1926.104.
Surface water diverted away from the trench.
Methods for controlling standing water and
water accumulation must be provided and
should consist of the following if employees
are permitted to work in the excavation:
Employees removed from the trench during
rainstorms.
Trenches carefully inspected by a competent
person after each rain and before employees are
permitted to re-enter the trench.

Inspections shall be made by a
competent person and should be
documented. The following guide
specifies the frequency and conditions
requiring inspections:
Daily and before the start of each shift;
As dictated by the work being done in the
trench;
After every rainstorm;
The following guide specifies the frequency
and conditions requiring inspections:
After other events that could increase hazards,
e.g. snowstorm, windstorm, thaw, earthquake,
etc.;
When fissures, tension cracks, sloughing,
undercutting, water seepage, bulging at the
bottom, or other similar conditions occur;
The following guide specifies the
frequency and conditions requiring
inspections:
When there is a change in the size,
location, or placement of the spoil pile; and
When there is any indication of change or
movement in adjacent structures.
Unit Weight Of Soil refers to the weight of one unit
of a particular soil.

The weight of soil varies with type and moisture
content.

One cubic foot of soil can weigh from 110 pounds to
140 pounds or more, and one cubic meter (35.3 cubic
feet) of soil can weigh more than 3,000 pounds.
A number of stresses and deformations can
occur in an open cut or trench.
For example, increases or decreases in
moisture content can adversely affect the
stability of a trench or excavation.
The following diagrams show some of the
more frequently identified causes of trench
failure.

BOILING is evidenced
by an upward water
flow into the bottom of
the cut. A high water
table is one of the
causes of boiling.
Boiling produces a
"quick" condition in the
bottom of the cut, and
can occur even when
shoring or trench boxes
are used.
Bottom heaving or
squeezing is caused by
the downward pressure
created by the weight of
adjoining soil.
This pressure causes a
bulge in the bottom of the
cut, as illustrated in the
drawing above.
Heaving and squeezing
can occur even when
shoring or shielding has
been properly installed.
An unsupported
excavation can create an
unbalanced stress in the
soil, which, in turn, causes
subsidence at the surface
and bulging of the vertical
face of the trench.
If uncorrected, this
condition can cause face
failure and entrapment of
workers in the trench.
Tension cracks usually
form at a horizontal
distance of 0.5 to 0.75
times the depth of the
trench, measured from the
top of the vertical face of
the trench.
In addition to sliding,
tension cracks can cause
toppling.

Toppling occurs when the
trench's vertical face
shears along the tension
crack line and topples into
the excavation.
SLIDING or sloughing
may occur as a result of
tension cracks, as
illustrated below.
Temporary spoil must be placed no closer than 2 feet
from the surface edge of the excavation, measured
from the nearest base of the spoil to the cut.

This distance should not be measured from the
crown of the spoil deposit. This distance requirement
ensures that loose rock or soil from the temporary
spoil will not fall on employees in the trench.
Spoil should be placed so that it
channels rainwater and other run-off
water away from the excavation.

Spoil should be placed so that it cannot
accidentally run, slide, or fall back into
the excavation.

Permanent spoil should be placed at some
distance from the excavation.

Permanent spoil is often created where
underpasses are built or utilities are buried.
OSHA categorizes soil and rock
deposits into four types, A through D, as
follows:
Stable Rock
Type A Soil
Type B Soil
Type C Soil
Layered Soils
Stable Rock is natural solid mineral matter that can
be excavated with vertical sides and remain intact
while exposed. It is usually identified by a rock name
such as granite or sandstone.

Determining whether a deposit is of this type may be
difficult unless it is known whether cracks exist and
whether or not the cracks run into or away from the
excavation.
Type A Soils are cohesive soils with an
unconfined compressive strength of 1.5 tons per
square foot (tsf) (144 kPa) or greater.

Examples are often: clay, silty clay, sandy clay,
clay loam and, in some cases, silty clay loam and
sandy clay loam.
No soil is Type A if it:
is fissured,
is subject to vibration of any type,
has previously been disturbed,
is part of a sloped, layered system where the
layers dip into the excavation on a slope of 4
horizontal to 1 vertical (4H:1V) or greater, or
has seeping water.
Type B Soils are cohesive soils with an
unconfined compressive strength greater
than 0.5 tsf (48 kPa) but less than 1.5 tsf (144
kPa).

Examples of soils are: angular gravel; silt; silt
loam; previously disturbed soils unless
otherwise classified as Type C;
Type B Soils meet the unconfined
compressive strength or cementation
requirements of Type A soils but are:
fissured or subject to vibration;
dry, unstable rock; or
layered systems sloping into the trench at a slope
less than 4H:1V (only if the material would be
classified as a Type B soil).
Type C Soils are cohesive soils with an
unconfined compressive strength of 0.5 tsf
(48 kPa) or less.

Type C soils include granular soils such as
gravel, sand and loamy sand, submerged
soil, soil from which water is freely seeping,
and submerged rock that is not stable.
Also included in this classification is material
in a sloped, layered system where the layers
dip into the excavation or have a slope of four
horizontal to one vertical (4H:1V) or greater.
The visual and manual analyses, such as
those noted as being acceptable in the
regulations, shall be designed and conducted
to provide sufficient quantitative and
qualitative information as may be necessary
to identify properly the properties, factors,
and conditions affecting the classification of
the deposits.
Each soil and rock deposit shall be
classified by a competent person as
Stable Rock, Type A, Type B, or Type
C.
The classification of the deposits shall
be made based on the results of at least
one visual and at least one manual
analysis.
Layered systems. In a layered system,
the system shall be classified in
accordance with its weakest layer.
Each layer may be classified individually
where a more stable layer lies under a
less stable layer.
If, after classifying a deposit, the
properties, factors, or conditions
affecting its classification change in any
way, the changes shall be evaluated by
a competent person.
The deposit shall be reclassified as
necessary to reflect the changed
circumstances

A visual test is a qualitative evaluation of conditions
around the site.
The entire excavation site is observed, including
the soil adjacent to the site and the soil being
excavated.
If the soil remains in clumps, it is cohesive; if it
appears to be coarse-grained sand or gravel that
does not clump, it is considered granular.
The evaluator also checks for any signs of
vibration.

During a visual test, the evaluator should
check for:
crack-line openings along the failure zone that
would indicate tension cracks,
look for existing utilities or or other underground
structures that indicate that the soil has previously
been disturbed, and
observe the open side of the excavation for
indications of layers and the slope of those layers.

The evaluator should also look for signs of
bulging, boiling, or sloughing (spalling), as well
as for signs of surface water seeping from the
sides of the excavation or from the water table.
If there is standing water in the cut, the evaluator
should check for "quick" conditions.
The evaluator should check for
surcharging and the spoil distance
from the edge of the excavation.
Sources of vibration should also be
noted that may affect the stability of the
excavation face.
Pocket Penetrometers are direct-reading, spring-
operated instruments used to determine the
unconfined compressive strength of saturated
cohesive soils. Once pushed into the soil, an
indicator sleeve displays the reading. The
instrument is calibrated in either tons per square
foot (tsf) or kilograms per square centimeter (kPa).
Penetrometers have error rates in the range of
20-40%.

Shearvane (Torvane). To determine the
unconfined compressive strength of the soil
with a shearvane, the blades of the vane
are pressed into a level section of
undisturbed soil, and the torsion knob is
slowly turned until soil failure occurs. The
direct instrument reading must be multiplied
by 2 to provide results in tons per square
foot (tsf) or kilograms per square centimeter
(kPa).

The thumb penetration procedure involves
an attempt to press the thumb firmly into the
soil in question.

If the thumb makes an indentation in the soil
only with great difficulty, the soil is probably
Type A.
If the thumb penetrates no further than the
length of the thumb nail, it is probably Type
B soil.
If the thumb penetrates the full length of the
thumb, it is Type C soil.

The thumb test is subjective and is
therefore the least accurate of the three
methods.

Dry soil that crumbles freely or with moderate
pressure into individual grains is granular.
Dry soil that falls into clumps that
subsequently break into smaller clumps (and
the smaller clumps can be broken only with
difficulty) is probably clay in combination with
gravel, sand, or silt.
If the soil breaks into clumps that do not
break into smaller clumps (and the soil can
be broken only with difficulty), the soil is
considered unfissured, unless there is visual
indication of fissuring.
This test is conducted by molding a moist
sample of the soil into a ball and attempting
to roll it into a thin thread approximately 1/8
inch in diameter (thick) by 2 inches in length.
The soil sample is held by one end. If the
sample does not break or tear, the soil is
considered cohesive.
Dry a sample that is approximately 1
inch thick by 6 inches in diameter until
thoroughly dry. If it cracks as it dries,
significant fissures are possible.

Samples that dry without cracking are
broken by hand.

If it breaks with difficulty, it is unfissured
cohesive material.
It it breaks easily by hand, it is either
fissured cohesive material or granular.
To distinguish between the two,
pulverize the dried clumps by hand or
by stepping on them.
If the clumps do not pulverize easily, the
material is cohesive with fissures.
If the clumps pulverize into very small
fragments the material is granular.
Shoring
Shielding
Sloping
Benching
Shoring is the provision of a support
system for trench faces used to
prevent movement of soil,
underground utilities, roadways, and
foundations.
Shoring (or shielding) is used when
the location or depth of the cut makes
sloping back to the maximum
allowable slope impractical.
Shoring systems consist of posts,
wales, struts, and sheeting. Three
basic types of shoring are:
Timber
Hydraulic
Pneumatic

The trend today is toward the use of hydraulic
shoring, a prefabricated strut and/or wale system
manufactured of aluminum or steel.

Hydraulic shoring provides a critical safety
advantage over timber shoring because workers
do not have to enter the trench to install or
remove hydraulic shoring.

Other advantages of most hydraulic systems are
that they:

Are light enough to be installed by one worker;
Are gauge-regulated to ensure even distribution of
pressure along the trench line;
Can have their trench faces "preloaded" to use the soil's
natural cohesion to prevent movement; and
Can be adapted easily to various trench depths and
widths.


All shoring should be installed from the top down
and removed from the bottom up.

Hydraulic shoring should be checked at least once
per shift for leaking hoses and/or cylinders, broken
connections, cracked nipples, bent bases, and any
other damaged or defective parts.

Pneumatic Shoring is similar to hydraulic
shoring.
The primary difference is that pneumatic
shoring uses air pressure in place of
hydraulic pressure.
A disadvantage to the use of pneumatic
shoring is that an air compressor must be on
site.
Screw J ack Systems differ from hydraulic and
pneumatic systems in that the struts of a screw jack
system must be adjusted manually.
This creates a hazard because the worker is required
to be in the trench in order to adjust the strut.
In addition, uniform "preloading" cannot be achieved
with screw jacks, and their weight creates handling
difficulties.
Underpinning involves stabilizing adjacent
structures, foundations, and other intrusions that
may have an impact on the excavation.
As the term indicates, underpinning is a procedure
in which the foundation is physically reinforced.
Underpinning should be conducted only under the
direction and with the approval of a registered
professional engineer.

Trench Boxes are different from shoring.

Instead of shoring up or otherwise
supporting the trench face, they are
intended primarily to shield workers from
cave-ins and similar incidents.

The excavated area between the outside of
the trench box and the face of the trench
should be as small as possible.
The space between the trench boxes and
the excavation side are backfilled to
prevent lateral movement of the box.
Shields may not be subjected to loads
exceeding those which the system was
designed to withstand.
Soil Type Height/Depth Ratio Slope Angle
Stable Rock Vertical 90
Type A :1 53
Type B 1:1 45
Type C 1 :1 34
Type A
(short-term)*
:1 63
*For a maximum excavation depth of 12 feet for less than 24 hours
Trench boxes are generally used in open
areas, but they also may be used in
combination with sloping and benching.
The box should extend at least 18 inches
above the surrounding area if there is sloping
toward excavation.
This can be accomplished by providing a
benched area adjacent to the box.
Earth excavation to a depth of 2 feet below
the shield is permitted, but only if the shield is
designed to resist the forces calculated for
the full depth of the trench and there are no
indications while the trench is open of
possible loss of soil from behind or below the
bottom of the support system.
Conditions of this type require observation on
the effects of bulging, heaving, and boiling as
well as surcharging, vibration, adjacent
structures, etc., on excavating below the
bottom of a shield.
Careful visual inspection of the conditions
mentioned above is the primary and most
prudent approach to hazard identification and
control.
There are two basic types of benching,
simple and multiple.

The type of soil determines the
horizontal to vertical ratio of the
benched side.
As a general rule, the bottom vertical height
of the trench must not exceed 4 feet for the
first bench.

Subsequent benches may be up to a
maximum of 5 feet vertical in Type A soil and
4 feet in Type B soil to a total trench depth of
20 feet.
All subsequent benches must be below
the maximum allowable slope for that
soil type.

For Type B soil the trench excavation is
permitted in cohesive soil only.

Maximum allowable slopes for
excavations less than 20 feet based
on soil type and angle to the horizontal
are as follows: