SAFETY HEALTH ENVIRONMENT WORKCOVER SUSTAINABILITY

EXCAVATION, TRENCHING AND BREAKING GROUND PROCEDURES

PURPOSE
CQUniversity has an obligation under the Queensland Workplace Health and Safety Act to provide a safe and
healthy environment for all CQUniversity staff, students, sub-contractors (and their staff) as well as visitors to the
University campuses and/or workplaces. While most business is conducted on University campuses, some
activities are conducted off site. These procedures have been developed to provide a safe system of work to
ensure that persons are free from injury or illness when undertaking excavation, trenching and breaking ground
work (excavation work) in University workplaces.

PROCEDURE
This procedure applies to all CQUniversity staff, students, sub-contractors (and their staff) as well as visitors to the
University campuses and/or workplaces. It describes ways to identify and manage exposure to risks of injury or
illness and property damaged caused, directly or indirectly by excavation work in University workplaces.

Risk Management

Formal risk assessments must be conducted by the person in charge of the project/job prior to excavation,
trenching and breaking ground work being commenced. This risk assessment must take into consideration all
existing controls and a re-evaluation of the risk after any new suggested controls is implemented. Use the
Hazard/Risk Questionnaire Excavation, Trenching and Breaking Ground document to assist in the identification of
general hazards associated with most excavations.
The five basic steps in the workplace health and safety risk management process set out in s27A of the Workplace
Health and Safety Act 1995 must be followed to manage exposure to risks.
1.1

Preparation

Step 1 Identify all hazards;

Step 2 Assess the risks these hazards create;
Step 3 Decide on measures to control the risk;
Step 4 Implement appropriate control measures;
Step 5 Monitor the control measures and review the process.

Work Method Statement

A Work Method Statement must be compiled when conducting construction work for high-risk activities such as a
person entering a trench more than 1.5m deep. The Work Method Statement must take into account the
Principal Contractors or Construction Workplace Plan or CQUniversity Contractors Health and Safety
Management Plan and state:
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the high-risk construction activity;

the person in charge of the project/jobs ABN;

the control measures to be used to eliminate or minimise identified risks;

who is responsible for implementing the control measures;

the way the activity will be performed;

how the control measures will be monitored and reviewed; and

any relevant prescribed occupations.

The Work Method Statements will be easy to understand, signed and dated and if the activity is amended or
changed an amended copy must be given to the Principal Contractor or the person in charge of the project/job.
All persons affected by changes must be advised of these amendments. Work Method Statements will be readily
available for inspection and be reviewed annually and amended if necessary.

Underground Services

Before any excavation work is carried out in a CQUniversity controlled workplace the person in charge of the
proposed project/job must obtain an Excavation, Trenching and Breaking Ground Permit before proceeding. The
document is available from the CQUniversity Health, Safety, Environment and Training web page. If the work is
being undertaken at CQUniversity Gladstone the person in charge of the project/job is to consult the Gladstone
Port Authority (GPA) prior to commencement of work.
In conjunction with the CQUniversity Site Services Plans the person in charge of the proposed project must:

gain the appropriate authorisation to enter and excavate;

find out what underground services exist (Dial 1100 Before You Dig is a useful service);

obtain relevant Prescribed Information about the service (location, type, depth and restrictions to be
followed);

inform each employee or contractor involved in the excavation work, they are to:

consider the information;

follow any reasonable restrictions;

implement the necessary control measures; and

record the information in writing.

Excavation and Trenches

CQUniversity Facilities Management Directorate is to be informed of any intended excavation work that could
reduce the stability of a building, driveway, footpath, road or other route within the University. The Facilities
Management Directorate will appoint a Competent Person if necessary to ensure control measures are
implemented to prevent collapse.
Where a Principal Contractor (PC) is appointed to perform construction work that includes excavation work the
PC must - find out from appropriate sources what underground services are at or near the location where the
work is to be done that could create a risk if contacted or damaged; and obtain prescribed information about
each underground service from an appropriate source; and ensure the information is recorded in writing; and
give the information to each relevant person who is to do excavation work at or near the location of the service.
The principal contractor must keep the information recorded until the construction work ends. (Workplace
Health and Safety Regulation 2008)
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In addition to the legislative requirement described above the PC will liaise with the appointed Facilities
Management Directorate Project Officer and comply with the CQUniversity safe work procedures relating to
excavation to ensure that the possible events listed below are assessed and the associated risks are managed.
The person in charge of the proposed project/job will photograph the excavation with the intent of preserving a
visual description of the location of the services installed for future reference. The photograph will be attached to
the Excavation, Trenching and Breaking Ground Permit when filed at the Facilities Management Directorate
Office.
Chain type diggers and augers are not to be used to dig excavations or trenches on CQUniversity campuses. Water
blasters and backhoe/excavator type machines are the preferred type of equipment to conduct excavation work.
Ladders used for access must be no more than 9m apart in the area of the excavation or trench where work will
be carried out.
The use of petrol driven machinery and the effects of fumes and vapors from both machinery and vehicular traffic
in and around the immediate site area will be accessed as part of the excavation risk assessment process.

Excavations and Trenches that are less than 1.5m deep

When CQUniversity staff are required to undertake excavation or trenching work to a depth of less than 1.5m, a
Responsible Person will be appointed in charge of the excavation as per the Queensland Workplace Health and
Safety Regulation.
Where a Principal Contractor (PC) is appointed to undertake excavation works, the contractor will comply with all
Queensland Workplace Health and Safety legislative requirements and any CQUniversity safe work procedures
relating to excavation to ensure that the possible events listed below are assessed and the associated risks are
managed:

a person being trapped by the collapse of the excavation;

a person being struck by an object falling into an excavation;

a person falling into an excavation;

a person inhaling or being exposed to carbon monoxide or another impurity in the air in the excavation.

The Responsible Person will adopt any control measures necessary to minimise any risk associated and install or
erect a barricade around a trench, unless:

it is not practicable; or

only workers involved with the trench will be in the area; or

another form of approved barrier exists.

Excavations and Trenches 1.5m deep or greater

If a person is required to enter a trench 1.5m deep or greater the Competent Person will implement the
requirements for working in Excavations and Trenches that are less than 1.5m deep outlined above in section 5.
In addition at least one of the following additional control measures is to be implemented to prevent collapse:

shoring or shielding all sides of the trench; or

benching all sides of the trench not higher than it is wide and no vertical face exceeding 1.5m; or

battering all sides of the trench angle not exceeding 45 and bottom vertical face not exceeding 1.5m; or

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have a geo-technical engineer approve in writing that the sides of the trench as safe to work in.

Written approval to vary the benching and battering requirements may also be obtained from a geo-technical
engineer. The approval must be kept on site at all times. Sheeting or timber may only be used if a competent
person has inspected the excavation, assessed and approved the shoring. The excavation will be checked to
ascertain if it is a confined space as defined in Australian Standards 2865.

In the event of a collapse

Immediately contact Queensland Emergency Services (QES) by dialing the emergency services telephone
number (000);

Try and locate the victim looking for signs such as tools or a shovel;

Remove all workers and bystanders who are not directly involved in the rescue away from the area;

If possible, batter the sides of the trench in the collapsed area or insert shoring where possible to protect
the victim and rescuers;

Remove the collapsed soil with shovels or, if it is a very deep trench, with a machine. If a machine is used,
take extreme care to avoid further injury to the trapped person;

Ensure rescuers do not operate on top of the collapsed soil as that will increase the pressure on the
trapped person;

If the trench is over 1.5m deep, rescuers are to wear safety harnesses and life lines which extend to the
surface;

Soil should be removed from near around the trapped person by hand; If shovels have to be used, these are
to be used with caution;

When the victim is located, clear soil from the head and chest region and check for breathing and a pulse;

If breathing has stopped, commence resuscitation;

Check for injuries and apply first aid where necessary;

Do not remove the victim unless there is a danger from flooding or dangerous gases are present or there is
an imminent danger of further collapse;

Do not use a rope tied around the trapped person to extradite them from a collapse; and

Where possible, leave the victim in the excavation until QES or a qualified medical person arrives.

DEFINITIONS
Barricade: means a self-supporting structure, fence, or other solid barriers to a height of two metres, usually
temporary, erected or placed to restrict the entry of persons to a workplace, eg. steel pickets joined by chain wire
or temporary steel framed fence panels of appropriate height to restrict entry. (Workplace Health and Safety
Regulation 2008)
Battering: is where the wall of an excavation is sloped back to a predetermined angle. Additional information can
be obtained from the Workplace Health and Safety Regulation. (Rockhampton Regional Council)
Benching: is the creation of stepped sides to an excavation, by forming a series of vertical and horizontal planes
on either side of the excavation site. Additional information can be obtained from the Workplace Health & Safety
Regulations S205 and section 5 of this document. (Rockhampton Regional Council)

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Competent Person: is a person who has at least three years experience in stabilising excavations that are
trenches and is either a geo-technical engineer, or holds a qualification or statement of attainment from a
Registered Training Organisation. Covering the knowledge and skills of:

the relevant Australian standard relevant code of practice and other relevant legislation;

knowledge of, and competency in, hazard identification and risk assessment for trench stability; measures
to control exposure to risk from trench collapse; safe work practices and procedures for installing control
measures;

how to plan and prepare for working in a trench, identify the location of underground services and to
identify soil types and other factors that affect the stability of a trench. (Workplace Health and Safety
Regulation 2008)
Confined Space: is an enclosed or partially closed space that:

is at atmospheric pressure when anyone is in the space; and

is not intended or designed primarily as a workplace; and

could have restricted entry to, or exit from, the place; and

is, or likely to be entered by a person to work; and

at any time, contains, or is likely to contain, any of the following:

an atmosphere that has potentially harmful levels of a contaminant;

an atmosphere that does not have a safe oxygen level;

anything that could causes engulfment; (Workplace Health and Safety Regulation 2008)
Construction Safety Plan / H&S Management Plan: is a document written in a way likely to be understood by the
persons likely to be performing the construction work, signed and dated by the Principal Contractor (PC) prior to
commencement of construction work and contain the following information.

the address where the construction work is to be performed;

the name and address of the PC for the construction work;

the PCs ABN;

details of the appointed workplace health and safety officer;

when the construction work is expected to start;

the PCs estimate of how long the construction work will take;

the type of construction work to be performed;

the risks of the construction work for which the PC has a workplace health and safety obligation;

the proposed control measures to prevent, or minimize the level of the risks;

how the PC proposes to ensure the proposed control measures are used;

how the PC proposes to monitor and review the effectiveness of the proposed control measures;

the site rules;

the emergency procedures for the construction work;

how the PC proposes to discharge the PCs obligation to persons using areas adjacent to the place where
the construction work is being performed and the common plant to be provided. (Workplace Health and
Safety Regulation 2008)
Contractor: the person, partnership or corporation bound to execute the work under the contract agreement.
(Edith Cowan University)
Emergency Works: means work that has to be performed in a timely manner to prevent damage to life, plant or
property.
Excavation: means a hole in the earth, or a face of earth, formed after rock, sand, soil or other material is
removed (eg. a trench, ditch, shaft, well, tunnel, pier hole, cutting or a hole drilled in the earth), including the
breaking of any ground surface by person or machinery for any purpose, including penetrating the ground surface
to drive steel or wooden pickets.
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Special Note: Excavations conducted by staff using hand using operated tools (shovel or spade) to a maximum
depth of 200mm to undertake tasks such as potholing on road ways, replacing existing sprinkler heads, replacing
plants in existing garden beds are not considered excavations. (Workplace Health and Safety Regulation 2008)
Excavation work: means work to make, fill or partly fill an excavation. (Workplace Health and Safety Regulation
2008)
Geo-technical engineer: means an engineer who holds an engineering Qualification relevant to geo-technology.
(Workplace Health and Safety Regulation 2008)
High risk construction activity: is construction work that requires a person to enter a trench that is more than
1.5m deep or work in an area that may have a contaminated or flammable atmosphere or the PC reasonably
believes the activity could result in death or bodily harm. (Workplace Health and Safety Regulation 2008)
Prescribed information (about an underground service): means the information about the service necessary to
safely do excavation work at or near the service including:

the location of the service;

type of the service;

depth of the service;

for an electrical service whether the service is or is not live; and

restrictions to be followed in doing the work. (Workplace Health and Safety Regulation 2008)
Principal Contractor (PC): is the person appointed by the client as the principal contractor for the construction
work. (Rockhampton Regional Council)
Project Officer: The nominated CQUniversity employee who shall be responsible for the management and
coordination of the contract on behalf for the University and may include supervisors, managers, technical
officers or leading hands.
Relevant person: a person who conducts a business or undertaking has an obligation to ensure the workplace
health and safety of the person, each of the persons workers and any other persons is not affected by the
conduct of the relevant persons business or undertaking. (S28 Workplace Health and Safety Act 1995)
Responsible Person: means a person who has, through a combination of training, education and experience,
acquired knowledge and skills enabling that person to perform correctly a specified task. (Rockhampton Regional
Council)
Shoring: is a system of temporary supports and sheeting material used to maintain the stability of the sides of an
excavation. Shoring may also be known as shielding. (Rockhampton Regional Council)
Trench: means an excavation where the maximum depth is more than the minimum width.
(Workplace Health and Safety Regulation 2008)
Underground service: means a cable, pipe or other thing laid or installed underground for the transmission,
transportation or storage of electricity or a substance. (Workplace Health and Safety Regulation 2008)
Work Method Statement: is a written statement for the activity, prepared by the responsible person stating:

the high risk construction activity;

the relevant person has an ABN;

the specific control measures proposed to discharge the relevant persons workplace health and safety
obligations for the activity;

the way the relevant person proposes to perform the activity;

how the effectiveness of the control measures will be monitored and reviewed.
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A work method statement may be a generic statement where the activity is to be performed in the same way in
the same or similar circumstances. (Workplace Health and Safety Regulation 2008)
Works Supervisor: is a person in control of a specific workplace (eg. supervisor, leading hand or team leader).
(Rockhampton Regional Council)

RECORDS
All records relevant to these procedures are to be maintained in a recognised University recordkeeping system in
accordance with the Queensland State Archives Retention and Disposal Schedule.

DOCUMENTATION
Australian Standards 2865 [on line]
CQUniversity Contractor Health and Safety Management Plan
CQUniversity Confined Space Entry Procedures
CQUniversity Excavation, Trenching and Breaking Ground Permit
CQUniversity Hazard/Risk Questionnaire
CQUniversity Plant Isolation Policy
CQUniversity Work Method Statement Checklist
Queensland Parliamentary Counsel, Workplace Health and Safety Act 1995, Reprint No 9D [on line]
http://www.legislation.qld.gov.au/LEGISLTN/CURRENT/W/WorkplHSaA95.pdf [Accessed October 2010]
Queensland Parliamentary Counsel, Workplace Health and Safety Regulation 2008, Reprint No 2F [on line]
http://www.legislation.qld.gov.au/LEGISLTN/CURRENT/W/WorkplHSaR08.pdf [Accessed October 2010]
Queensland Parliamentary Counsel, Transport Operations (Road Use Management) Act 1995, Reprint No. 11J [on
line] http://www.legislation.qld.gov.au/LEGISLTN/CURRENT/T/TrantOpRUA95.pdf

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WORKFLOW
Person in charge of the
project/job will complete an
Excavation, Trenching &
Breaking Ground hazard/risk
factors questionnaire &
associated Risk Assessment

Not Approved
Worksite
Assessment by DFM Staff &
approval to proceed

Further consultation
Between parties & DFM
Approved

Check generic risk

assessment to determine if
the assessment is a true
reflection of task to be
conducted. If not conduct a
new risk assessment.

No

Is the proposed excavation

greater than 1.5mts deep

Request is
Denied

Yes

Person in charge to prepare

a work method statement for
the task

Has a principal contractor

been appointed to conduct
the excavation

Yes

No

Yes

Contractor to prepare a
construction workplace plan

Responsible person
appointed

Competent person appointed

Excavation & Trenching

permit to be completed by
the responsible person and
submitted to DFM

Approval Authority
Administrator
Original Approval Date
Amendment History
Date of Next Review
Related Documents

Vice-Chancellor and President

Manager, Health, Safety, Environment and Training
Planning and Development Committee 11 June 2004
Vice-Chancellor and President 9 May 2011
9 May 2014

Excavation, Trenching and Breaking Ground Procedures

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