Ground Disturbance or Surface Penetration

PURPOSE To define the minimum requirements for managing the health and safety risks associated with ground disturbance or surface penetration activities. Where: Ground disturbance involves digging, excavation, drilling and the driving of spikes, poles, piles and pipes, resulting in penetration of the ground by 300mm or greater. And: Surface Penetration includes any drilling, cutting into or through any wall or building surface behind which any service, ducting, pipework or other supply may reside. 1 SCOPE This procedure applies to all Ground Disturbance or Surface Penetration work at the University of Canberra. This procedure shall be read in conjunction with the Permit to Work System Guideline POL-1000 and other relevant Permit to Work Procedures. 2 PROCEDURE 2.1 Risk Assessment, FRM-1031 Ground Disturbance/ Surface Penetration Permit and FRM-1001 Job Safety Analysis. 2.1.1 A risk assessment shall be conducted on all proposed work that involves ground disturbance of a depth of 300mm or more or any surface penetration. This shall be achieved by completion of FRM-1001 Job Safety Analysis, FRM-1031 Ground Disturbance /Surface Penetration Permit and additionally may include a Safe Work Method Statement (SWMS). 2.1.2 This Risk assessment shall include checking of all relevant University plans/ maps; and performance of an on-site services location check. 2.1.3 FRM-1031 Ground Disturbance/ Surface Penetration Permit shall be authorised in conjunction with FRM-1001 Job Safety Analysis before any ground disturbance/ surface penetration activity may commence. 2.1.4 Each person performing the role of Ground Disturbance/ Surface Penetration Permit to Work Authoriser shall be appointed in writing by the Estate and Facilities Manager using FRM-1003 Authority to Issue Permit to Work. This authorisation shall PRO-1030 V1.0 Ground Disturbance or Surface Penetration.doc Page 1 of 20

be recorded in a department register and communicated throughout the department. 2.1.5 FRM-1030 Ground Disturbance/ Surface Penetration Permit may be generated by anyone as Permit to Work Initiator, but shall only be approved by an appointed Ground Disturbance/ Surface Penetration Permit Authoriser. A Permit to Work acceptor by signing the Permit to work takes on responsibility for performance of the work and as such shall be a suitably competent person for the work. 2.1.6 Adherence to the notifications process outlined below will enable prompt completion of the authorisation process. 2.2 Risk Assessment 2.2.1 As per POL-3203 UC Risk Management Plan and POL-1000 Permit to Work System Guideline, a formal Risk Assessment Shall be conducted before Ground Disturbance/ Surface Penetration work may be authorised. 2.2.2 Participants in the Risk Assessment shall be knowledgeable, competent and experienced in the work to be performed. 2.2.3 The Risk Assessment shall include, but not be limited to: The nature and inherent hazards of the ground disturbance / surface penetration. The work required to be done, including the permission requirements Isolation systems located within the area of work The range of methods by which the work can be performed Hazards and associated risks of the chosen work method and equipment Additional controls required to ensure risk is reduced to an acceptable level Emergency and rescue / recovery plan Safe access and egress to the work site Structural conditions of the proposed work site Other environmental issues that may affect the way in which the work is conducted Competence of persons undertaking the work. 2.2.4 The completed risk assessment is an essential element of the Permit process and shall be attached to FRM-1030 Ground Disturbance / Surface Penetration Permit for consideration by the Permit to Work Authoriser. A completed FRM-1001 Job Safety Analysis is a required component of this risk assessment. PRO-1030 V1.0 Ground Disturbance or Surface Penetration.doc Page 2 of 20

2.2.5 Relevant supporting documentation including maps, drawings and/or photographs shall be attached to this risk assessment and FRM-1030 Ground disturbance/ Surface Penetration Permit. 2.2.6 The Risk Assessment shall also provide methods for controlling the risks of: a person falling into an excavation/ penetration a person being trapped by the collapse of an excavation/ penetration a person working in an excavation or under a penetration being struck by a falling object A person working in an excavation being exposed to an airborne contaminant. To appropriately manage these risks, all relevant matters must be considered within the risk assessment including: the nature of the excavation/ penetration, the nature of the excavation/ penetration work including the range of possible methods of carrying out the work, and The means of entry into and exit from the excavation/ penetration (if applicable). 2.3 Hazard Identification 2.3.1 Hazards associated with proposed Ground Disturbance/ Surface Penetration activities shall be identified in the risk assessment. These include but are not limited to: Presence of services including gas, sewerage, telecommunications, electricity, chemical, fuel pipes and lines. Operation of moving equipment both in the immediate vicinity and during task The fall or dislodgement of earth and rock Falling objects Inappropriate placement of excavated materials, plant or other loads The instability of any adjoining structure caused by the excavation Possibility of an inrush of water, mud or other liquid Hazardous chemicals (e.g. these may be present within the soil where an excavation is carried out) Uncontrolled introduction of gas, water or other liquid. Development of a Hazardous atmosphere within the excavation or penetration (e.g. The uses of a solvent upon PVC pipes, such solvents often contain Methyl Ethol Ketone (MEK). Electricity Explosion or fire Temperature PRO-1030 V1.0 Ground Disturbance or Surface Penetration.doc Page 3 of 20

Noise Requirement for manual handling Lighting Possible movements of surrounding ground / structures or inundations of surrounding materials. 2.3.2 The Permit to Work Initiator and/ or Permit to Work Acceptor shall inspect the proposed work area to ascertain the presence of any of the following services prior to seeking approval of the Permit to Work: Gas lines Air lines Fuel lines Electrical cables Water lines Drainage or Sewer lines 2.4 Assessing the Risks 2.4.1 All hazards identified for an excavation or penetration are to be assessed for likelihood and consequence. This will assist in determining the control measures to implement. This assessment process shall also: Identify which workers are at risk Determine what sources and processes are causing that risk Identify if and what kind of control measures should be implemented, and Check the effectiveness of existing control measures. When assessing the risks associated with excavation work you should consider things such as: Local site conditions including access, ground slope, adjacent buildings and structures, water courses (including underground) and trees depth of the excavation soil properties including variable soil types, stability, shear strength, cohesion, presence of ground water, effect of exposure to the elements fractures or faults in rocks including joints, bedding planes, dip and strike directions and angles, clay seams any specialised plant or work methods required (e.g. ground support) the method(s) of transport, haul routes and disposal what exposures might occur, such as to noise, ultra violet rays or hazardous chemicals the number of people involved the possibility of unauthorized access to the work area Local weather conditions, and The length of time that the excavation will be open. PRO-1030 V1.0 Ground Disturbance or Surface Penetration.doc Page 4 of 20

2.5 Control Measures 2.5.1 If not possible to eliminate identified risks, these shall be minimized by implementing the risk control measures recommended in the completed risk assessment. Below are examples of minimum control measures expected for some common hazard types: Potential Hazard Minimum Expected Control Measure Ground Collapse The use of benching or the installation of ground support (e.g. shoring) Water inrush Pumps or other dewatering systems to remove water and prevent build-up Falls Installation of ramps, steps or other appropriate access into the excavation or penetration Hazardous manual tasks Rotation of these tasks between workers Airborne contaminates Mechanical ventilation to remove airborne contaminants Buried/ hidden contaminants (e.g. asbestos) Underground/ hidden services Ground collapse of trench edge due to nearby vehicle movement and material storage. Ground collapse of trench edge due to the slope of land. Heavy machinery traveling too close to the edge of an excavation and causing ground collapse. Training to identify buried or hidden contaminants and what action is to be taken by workers when identified. Obtain plans and maps from UC and other relevant authorities (Dial before you Dig). Placement of a test hole at each end of the proposed trench or penetration potholing. Excavated material will be stored outside the excavation zone of influence and shoring used will be designed to carry vehicle weight load. Excavation material will be placed on the lower side of the trench, downhill from the excavation. Wheel stoppers placed along zone of influence. 2.5.2 Energy sources in the proposed work site shall be isolated in accordance with PRO-1060 Isolation and Tagging. 2.5.3 An emergency response plan shall be developed and communicated to relevant personnel. The emergency response plan shall include but is not limited to: PRO-1030 V1.0 Ground Disturbance or Surface Penetration.doc Page 5 of 20

Availability and serviceability of requisite first response equipment Notification protocol Evacuation protocol 2.5.4 To prevent unauthorized access of the work area, barricades and signage shall be installed in accordance with PRO-1080 Barriers and Barricades. 2.6 Completion and Authorisation of FRM-1031 Ground Disturbance/ Surface Penetration Permit to Work. 2.6.1 FRM-1031 Ground Disturbance/ Surface Penetration Permit shall be authorized in conjunction with a FRM-1001 Job Safety Analysis form before Ground disturbance or surface penetration activities may commence. 2.6.2 The permit to work initiator and Permit to Work acceptor shall have all required services maps and plans for the area of works with any affected services identified and a plan formulated for the effective protection/ Lockout and Tagging of these, as part of the completed risk assessment prior to applying for authorization. 2.6.3 The Permit to Work Initiator shall complete all relevant sections of Ground Disturbance/ Surface Penetration FRM-1031 and Job Safety Analysis Form FRM- 1001, assemble all the required risk documents, applicable drawings or photographs and provide them to Authoriser. 2.6.4 The Excavation/ Penetration Permit Authoriser shall review all risk documentation and control measures provided and discuss with the Permit to work acceptor (person in control of the work) prior to authorising FRM-1031 Excavation/ Penetration Permit to Work. 2.6.5 When authorising the task, the Permit to Work Authoriser shall pass all approved documentation to the Permit to Work Acceptor (Person in Control of Work) and ensure the process is fully understood and all recommended controls have been implemented. PRO-1030 V1.0 Ground Disturbance or Surface Penetration.doc Page 6 of 20

2.7 Conducting Ground Disturbance/ Surface Penetration Activities 2.7.1 Personnel working under the permit shall be under the direction of the Permit to Work Acceptor who shall ensure workers are fully apprised of all aspects of the task. 2.7.2 All work shall be performed by persons deemed competent for the activities being conducted and in accordance with the requirements defined in the FRM- 1031 Ground Disturbance/ Surface Penetration Permit to Work. 2.7.3 If ground disturbance/ surface penetration activities do not commence within 30 days of the date of permit approval, the Permit shall be deemed invalid. A new Permit to Work shall be completed and approvals sought. 2.7.4 If contact is made with a Service during excavation activities, work shall immediately cease and the Emergency Response Plan executed. The Permit to Work Acceptor shall contact estate and facilities management to organise a worksite inspection. The situation shall be treated as a near miss incident and investigated, the controls included within the original Permit to Work and their effectiveness as controls shall be reviewed as part of this process. 2.8 Closure of FRM-1031 Ground Disturbance/ Surface Penetration Permit to Work 2.8.1 The Permit to Work Authoriser shall close the Permit after verifying the work is complete and the area deemed safe to return to service. 2.8.2 The Permit to Work Authoriser shall ensure all documentation is retained in accordance with the UC Document Management and Control Policy. 2.9 Training 2.9.1 All personnel required to perform activities described within this procedure shall be trained and competent. 2.9.2 Relevant area inductions shall include reference to processes around the ground disturbance / Surface Penetration activities. PRO-1030 V1.0 Ground Disturbance or Surface Penetration.doc Page 7 of 20

2.10 Records Management 2.10.1 Documents pertaining to Excavation Activities shall be stored and archived as UC Document Management and Control Policy. 2.10.2 Excavation Activities documents that are relevant to an incident investigation or claim against University of Canberra shall be retained with the incident investigation documentation and a copy filed. 2.11 Management of Ground Disturbance/ Surface Penetration Incidents 2.11.1 Any areas of non-conformance or inconsistent application of processes related to Ground Disturbance / Surface Penetration shall be reported and investigated as per PRO-1110 Contractor Incident Management and Investigation. PRO-1030 V1.0 Ground Disturbance or Surface Penetration.doc Page 8 of 20

3 DEFINITIONS Barricade A structure that creates a barrier obstacle to control, block passage or force the flow of traffic in the desired direction. Backfill A material used for refilling excavations. Battering To form the face or side of an excavation to an angle, usually less than the natural angle of repose, to prevent earth slippage. Bench A horizontal step cut into the face or side or wall of an excavation to provide horizontal bearing and sliding resistance. Benching The horizontal stepping of the face, side or wall of an excavation. Closed Sheeting A continuous frame with vertical or horizontal sheathing planks placed side by side to form a continuous retaining wall supported by other members of a support system used to hold up the face of an excavation. Exclusion Zone An area from which all persons are excluded during excavation work. Face The exposed sloping or vertical surface resulting from the excavation work. Hazardous Substances Hazardous Substances are toxic, flammable, corrosive, asphyxiate, radioactive, pyrophoric, explosive, extremely hot or cold, or otherwise capable of causing harm to people Information Tag Tag used to pass on information about equipment condition Isolation The process of removing hazards by isolating energy sources and hazardous substances, locking and tagging out Isolation Accessory A device that is used in conjunction with an Isolation Lock to inhibit the operation of an isolation point. Isolation Equipment Includes but not limited to, Isolation Tags, Out of Service Tags, Personal Isolation Locks, Lock box, Lockout Scissors, Signs, Chains and barricades PRO-1030 V1.0 Ground Disturbance or Surface Penetration.doc Page 9 of 20

Isolation Lock An individually keyed padlock with a minimum of 6 pin tumbler which is used to lock a piece of plant or equipment in a safe state to protect personnel from hazards. Out of Service Tag Tag used to protect equipment, or to alert others of potential danger. Overburden The surface soil that is moved during excavation. Operator protective device Mean a roll-over protective structure (ROPS), falling object protective structure (FOPS), operator restraining device and seat belt. Personal Isolation Tag Tag attached by an individual to their Isolation Lock. Plant and Equipment Includes units, mobile equipment, appliances, pressure vessels, implement tools, personal protective equipment, or a component of plant and a fitting, connection, accessory or adjunct to plant. Safe Slope The steepest slope at which an excavated face is stable against slips and slides, having regard to the qualities of the material in the face, the height of the face, the load above the face and the moisture conditions for the time being existing. Shaft A vertical or inclined way or opening from the surface downwards or from any underground working, the dimensions of which (apart from the perimeter) are less than its depth. Sheet piling A vertical, close-spaced, or interlocking planks of steel, reinforced concrete or other structural material driven to form a continuous wall ahead of the excavation and supported either by tiebacks into solid ground structural members from within the excavation as the work proceeds. Shoring The use of timber, steel or other structural material to support an excavation in order to prevent collapse so that construction can proceed. Soldier Vertical upright steel or timber element used for supporting a trench wall. Trench means a horizontal or inclined way or opening: the length of which is greater than its width and greater than or equal to its depth; and that commences at and extends below the surface of the ground; and that is open to the surface along its length. PRO-1030 V1.0 Ground Disturbance or Surface Penetration.doc Page 10 of 20

Trench box means a structure with four vertical side plates permanently braced apart by bracing designed to resist the pressure from the walls of a trench and capable of being moved as a unit. Trench shield means a steel or metal structure with two vertical side plates permanently braced apart by cross frames or struts designed to resist the pressure from the walls of a trench and capable of being moved as a unit. Tunnel means an underground passage or opening that is approximately horizontal and commences at the surface of the ground or an excavation. Waler means a horizontal steel or timber element used for supporting a trench wall. Water scouring means an erosion process resulting from the action of the flow of water. Zone of influence means the volume of soil around the excavation affected by any external load (for example vehicles, plant, and excavated material). Technical Expert A person that has knowledge of plant / equipment or process that requires isolation. PRO-1030 V1.0 Ground Disturbance or Surface Penetration.doc Page 11 of 20

4 ACCOUNTABILITIES Role Responsibilities General Managers Ensure compliance with the requirements of this procedure within their Department or school Maintain and support a risk management culture by endorsing the risk management requirements within this procedure Ensure adequate resources are provided to meet the requirements as defined within this procedure Estate and Facilities Management Manager Ensure systems are established and maintained to support the requirements of this procedure Department Managers Ensure systems are established and maintained to support and comply with the requirements of this procedure within their department Ensure adequate resources are provided to meet the Departments requirements as identified in this procedure Ensure that all new items of plant, equipment or systems shall be designed and installed with the ability to be isolated in accordance with this procedure Ensure Training programs applicable to the task being peformed on the job are recorded appropriately in Training Plans / Role Requirements Ensure appropriate Training programs exist applicable to the tasks being performed Ensure Ground Disturbance/ Surface Penetration is included in any workplace observation audit program for the department Safety Manager, Officers or Advisors Workplace Supervisor, Workers and Contractors Support the Departments Manager to achieve the requirements of this procedure Support Department personnel and contractors to meet the requirements of this procedure Facilitate and/or participate in any risk management activities associated with lockout and tagging processes Ensure Ground Disturbance/ Surface Penetration observations are conducted on a random basis to ensure compliance with this procedure. Ensure the requirements of this procedure are met during daily work activities and the identified Isolation, Lockout and Tagging tools are used as required Report any potential new risks or hazards that are identified during work activities Participate in risk managements as and when requested PRO-1030 V1.0 Ground Disturbance or Surface Penetration.doc Page 12 of 20

5 REFERENCES POL-1000 Permit to Work System - Guideline PRO-1080 PRO-1060 PRO-1070 Barriers and Barricades Isolation and Tagging Electrical Safety Management Safe Work Australia Code of Practice Excavation Work 2015 Work Health and Safety Act 2011 Work Health and Safety Regulation 2011 PRO-1030 V1.0 Ground Disturbance or Surface Penetration.doc Page 13 of 20

APPENDIX Appendix 1 Appendix 2 Appendix 3 Appendix 4 Appendix 5 Appendix 6 Zone of Influence and the use of Shoring The Effect of Slope on Excavations Risks Associated with Mobile Equipment during Earth Works Preventing a fall around ground excavations or penetrations. Trench Collapse and associated Ground Forces Permit to Work (PTW) SYSTEM PRO-1030 V1.0 Ground Disturbance or Surface Penetration.doc Page 14 of 20

APPENDIX 1 Zone of Influence and the Use of Shoring PRO-1030 V1.0 Ground Disturbance or Surface Penetration.doc Page 15 of 20

APPENDIX 2 The Effect of Slope on Excavations PRO-1030 V1.0 Ground Disturbance or Surface Penetration.doc Page 16 of 20

APPENDIX 3 Risks Associated with Mobile Equipment during Earth Works PRO-1030 V1.0 Ground Disturbance or Surface Penetration.doc Page 17 of 20

APPENDIX 4 Preventing a fall near ground excavations or surface penetrations. PRO-1030 V1.0 Ground Disturbance or Surface Penetration.doc Page 18 of 20

APPENDIX 5 Trench Collapse and associated Ground Forces PRO-1030 V1.0 Ground Disturbance or Surface Penetration.doc Page 19 of 20

APPENDIX 6 Permit to Work (PTW) SYSTEM This document provides an overview to Ground Disturbance and Surface Penetration Requirements that form part of the University of Canberra PTW system. The PTW is a formalised process to identify high risk activities and to ensure that appropriate controls are in place to remove or control these risks. The PTW is designed to provide measures to reduce the occurrence of incidents, illness or injuries to employees, students, visitors, contractors and damage to property. PRO-1030 V1.0 Ground Disturbance or Surface Penetration.doc Page 20 of 20