Excavations Hes 202

EXCAVATION
PROCEDURE NUMBER: CPL HES-202
Approved December 2011

Version 1.2
CPL HES 202 Excavation
CONTENTS
EXCAVATION HES-202
Section Title Page
1.0 Purpose 202 - 3
2.0 Scope 202 - 3
3.0 Prerequisites 202 - 3
4.0 Process Overview 202 - 5
5.0 Instructions 202 - 10
202 - 10
5.1 Preparation for Excavation
202 - 12
5.2 Job Site Preparation
202 - 12
5.3 Non-Entry Excavations
202 - 13
5.4 Excavations Involving Entry
202 - 13
5.5 Determine Soil Type
202 - 13
5.6 Determine Protective System
202 - 18
5.7 Complete Excavation Permit
202 - 19
5.8 Excavation Work
202 - 20
5.9 Permit Extension
202 - 20
5.10 Work Completion
6.0 Roles and Responsibility 202 - 20
7.0 Reporting Requirements 202 - 22
8.0 Documentation and Records Retention 202 - 22
Appendices
A Glossary
B Excavation Permit
C Shoring Requirements
D To Identifying the Location of Underground Utilities Prior to Excavating
Version 1.2. Revised December 2011. 2

Printed 16 April 2012. Uncontrolled when printed.
1.0 P u rp o s e
This procedure is written to:
describe the methods used to assist in protecting employees, company
representatives, and the public from injury during excavation activities;
minimize the risk of damage to structures and facilities during excavations; and
verify compliance with Occupational Safety and Health Administration (OSHA)
requirements contained in 29 CFR 1926.650 through 652; with Department of
Transportation (DOT) requirements contained in 49 CFR 195.402; with CAL
OSHA 8 CCR 341.1 (f) and other state regulations regarding excavation.
2.0 Scope
2.1 Personnel and Activities Covered by this Procedure
This procedure applies to excavations performed and/or coordinated by all personnel,
company or contractor, working in or on Chevron Pipe Line Company (CPL) owned,
operated, managed, or maintained pipelines or facilities.
This procedure covers activities whenever the ground is broken for open excavations (e.g.,
trenching, pile driving, ground water wells, soil boring, installation of pipelines, conduit,
foundations, etc.).
2.2 Exemptions from this Procedure

Excavations performed underwater are exempt from this procedure. If you need assistance in
developing work plans for excavations underwater, contact your local Safety Specialist.
3.0 P re re q u is ite s
3.1 Training/Personnel Requirements
Persons identified as the Person-In-Charge (PIC) must be trained in this
procedure.
All excavations involving worker entry require a Competent Person on site. A
competent person is an individual who is trained in and knowledgeable about soil
analysis, the use of protective systems, and the requirements of the OSHA
Construction Standard 29 CFR 1926.650. A Competent Person must be capable of
identifying existing and predictable hazards in excavation work and have the
authority to take prompt measures to abate these hazards. In California, the
Competent Person must know CAL OSHA Standards. The knowledge and
understanding of this procedure alone does not make someone a competent

person. To become a competent person, one must obtain training via a third party
Competent Person training course. Contact the Learning and Development
Coordinator for further information.
Excavations in excess of 20 feet in depth must be designed by a Registered
Professional Engineer
A Registered Professional Engineer is required to approve the integrity of all
excavations beneath the level of an adjacent foundation, retaining wall, or other
structure including sidewalks.
Standbys must be trained in Cardiopulmonary Resuscitation, first-aid, and blood-
borne pathogen safety.
3.2 Additional Documents

The Competent Person or registered professional engineer must comprehend and comply
with all applicable sections of 29 CFR 1926.650 through 652.
3.3 California Requirements

CPL must have a California Annual Excavation Permit.
The Competent Person must know CAL OSHA standards.
Contractor(s) performing excavation must have a California Annual Excavation
Permit.

4.0 P ro c e s s Ove rvie w
Is the Stop
Safe Work Permit No
completed?
Yes
Is the No
Underground Service
Alert completed?
Yes
The PIC completes the

General Section and the
Restrictions Hazards
section of the Excavation
Permit
PIC and PCW sign

Is this an Entry the permit and
No
Excavation? work may safely
begin
Yes
PIC and Competent

Person complete the
Requirements for Entry
Excavation
PIC, Person Conducting

the Work (PCW), and
Competent Person sign
the permit and Return permit to PIC file in the
excavation may safely the PIC appropriate office
begin
Work complete
Upon completion of
excavation, PIC fills in
dimensions of
excavation on permit Work begins

Preparation for
Excavation
1. Check underground utilities.
2. Remove all surface obstructions.
3. Is there contaminated soil?
Will workers
be entering
excavation?
Yes
Determine Soil
Type
No To Determine Protective
Systems, review the next
three flowcharts.
Determine
Protective System
Complete
Excavation Permit
(specify all
restrictions)
Review Permit
With All Workers
Begin Work

Determine Excavation Protective Systems

(Flowchart 1 of 3)
Is the
excavation more
Yes No
than 5 feet in
depth?
Is the The excavation

Is there a potential
excavation entirely Yes may be made with No
for a cave in?
in stable rock? vertical sides
The excavation
must be sloped,
No Yes
shored, or
shielded
For sloping, go to
Flowchart 2. For
shoring or
shielding, go to
Flowchart 3


Sloping Requirements
(Flowchart 2 of 3)
Sloping selected
as method of
excavation
protection
Soil classification
C is assumed.
Will soil
Slope must be 1
No classification be
horizontal to 1
made?
vertical (1:1 or
34 degrees)
Yes
Excavation must
comply with one of
the two following
options:
1. Follow requirements from the maximum allowable slop table

listed below.
2. Excavation protection must be designed by registered
professional engineer.
Soil or Rock Type Maximum Allowable Slope (H:V)

(for excavations less than 20 feet deep)
Stable Rock Vertical or 90 degrees

Type A Soil :1 or 53 degrees
Type B Soil 1:1 or 45 degrees
Type C Soil 1:1 or 34 degrees


Shoring or Shielding Requirements
(Flowchart 3 of 3)
Shoring or
shielding selected
as method of
excavation
protection
Soil classification
is required
Excavation must
comply with one of
the three following
options:
1. Shoring or shielding must comply with 29 CFR 1926.652 1

and appendices A, C, and D;
2. Design of support systems, shield systems, or other protective
systems that are drawn from manufacturers tabulated data
shall be in accordance with all specification, recommendations
and limitations issued by the manufacturer. Alternately, follow
requirements from the maximum allowable slope table listed
below; or
3. Design of support system must be certified by registered
professional engineer.

5.0 In s tru c tio n s

5.1 Preparation for Excavation
5.1.1 The Person-In-Charge (PIC) completes the general section of the Safe Work
Permit. The PIC must specify:
a) Facility and location of the excavation;
b) Date of the excavation;
c) Time limits of the excavation;
d) Personnel who will be conducting the work;
e) Description of the work;
f) Equipment to be used; and
g) Job boundaries.
5.1.2 The PIC determines if the excavation will be entry or non-entry and checks the
appropriate box on the Excavation Permit. The PIC will then review the area
around the proposed excavation site prior to commencing excavation activities to
identify and alleviate hazardous conditions including:
a) Soil classification
b) Surface encumbrances
c) Location and identity of utilities
d) Amount of surface and subsurface water present
e) Traffic and nearby structures
f) Depth of excavation
g) Length of time the excavation will be open
h) Climatic conditions
i) Access and egress
The PIC specifies the excavation work site hazards by checking all applicable
boxes in the Hazard section of the Excavation Permit.
The PIC must contact the appropriate state, regional, and/or local One-Call Center to notify
other pipeline and utility companies. The PIC will notify the One-Call Center of the proposed
work and ask to establish the location of underground installations prior to the start of any
actual excavation. See Appendix D for instructions on contacting the One-Call Center. 811 is
the national call before you dig number and is established for most underground utilities.
However, some utilities are exempt from participating in the one-call system and may or
may-not be active where you are located. All means must be taken to notify the underground
asset owners.
5.1.3 When other pipeline and/or utility companies cannot respond to a request to
locate underground utility installations within 48 hours (unless a longer time
period is required by state or local law), or cannot establish the exact location
of these installations by attempts to contact these companies directly, the PIC
may authorize the excavation to proceed, provided company does so with
caution and provided detection equipment or other acceptable means to
locate underground installations are employed.
In addition, all obstructions, both above and underground, must be identified and
marked before excavation work begins.
The PIC must review all available maps, plans, and drawings for buried conduits,
cables, and piping that may run through or within the vicinity of the proposed
excavation and work area.
5.1.4 The PIC must obtain all applicable state and/or local required permits.
Employees in California must notify a CAL OSHA office at least one week
prior to commencement of job if excavation will be over five feet deep OR if
a Chevron employee will be going in an excavation made by a contractor.
Notification by telephone must be followed up in writing on Activity
Notification Form for holders of permit. These are available from any CAL
OSHA office.
5.1.5 The PIC must also make arrangements to close the roadway and detour traffic if
the excavation will adversely affect a roadway.
5.1.6 After a review of the excavation site, the PIC will determine which additional
safety requirements must be met. The following is a list of safety precautions
which may apply to a particular excavation:
a) Workers exposed to vehicular traffic must be provided with and wear
warning vests or other suitable garments marked with or made of reflective
or high visibility material. This reflective or high visibility vest must
conform to CPLs FRC policy.
b) All surface obstructions (such as piping, posts, etc.) that create a hazard to
employees must be removed or supported to safeguard employees.
c) Excavations beneath the level of an adjacent foundation, retaining wall, or
other structure including sidewalks, are not allowed until a Registered
Professional Engineer has determined that the work will not undermine the
structures.

d) Warning systems (such as barricades, stop logs, hand or mechanical signals)

must be utilized to warn against mobile equipment operating close to the
excavation.
e) When personnel crossings over the excavation are required or permitted,
OSHA approved crossings will be used including toe boards and guardrails.
f) Barricades or barriers must be provided at all excavations.
g) Covers placed over open trenches in roadways must be designed by a
Registered Professional Engineer and secured against movement.
h) A standby with safety and rescue equipment may be required on site.
The PIC may specify any other restrictions or approvals as deemed necessary.
5.1.7 The PIC specifies the required restriction(s) by checking all applicable boxes in
the Permit Restriction section of the Excavation Permit. Once the restrictions have
been specified, the PIC signs on the Restrictions are specified line of the permit.
5.2 Job Site Preparation

5.2.1 The PIC and the Person Conducting the Work (PCW) shall review the work
details, job site, and permit conditions to assure the work is defined and can be
done safely.
5.2.2 The PCW satisfies all required precautions and restrictions and obtains any
additional approvals.
5.3 Non-Entry Excavations

Excavation not involving entry may begin and continue until completed, under the following
conditions:
a) No personnel are allowed in the excavation unless the entry requirements of section
5.4 Excavations Involving Entry have been met.
b) While the excavation is open, underground installations must be protected, supported,
or removed.
c) No workers are permitted underneath loads handled by lifting or digging equipment.
Personnel are required to stand away from any vehicle being loaded or unloaded to
avoid being struck by any spillage or falling material.
d) Accumulations of water which could endanger the excavation must be removed and
the source of water controlled before allowing further work.
e) Any damaged structure(s) or equipment must be evaluated by a Competent Person
and removed from service if unsuitable for use.

f) When excavating within five feet of an underground pipeline or conduit, the location
of the pipeline or conduit must be precisely located by hand-digging (or probing) the
last two feet (see MIP-206). After pipeline or conduit has been located, power driven
equipment may be used under the following conditions:
o A representative of the pipeline or conduit owner has been notified and is either
present or declines to watch the excavation;
o It has been positively determined that any electrical conduit is safely encased in
a concrete envelope; or
o Person-in-Charge authorizes the work to continue using power driven
equipment.
5.4 Excavations Involving Entry

If employees will be required to enter the excavation, the PIC must have a Competent Person
examine and classify the soil conditions to determine the appropriate protective system to be
used.
Footing excavations, bell bottom pier holes or other confined excavations require the
use of the Confined Space Entry procedure (HES-201) and permit. A harness with
lifeline securely attached must be individually attended at all times while the employee
wearing the lifeline is in the excavation.
5.5 Determine Soil Type

5.5.1 The Competent Person classifies the soil type using both the accepted visual and
manual tests per OSHA Standard 29 CFR 1926.652 Appendix A.
5.5.2 The Competent Person records the type of soil and the soil test method on the
appropriate section of the Excavation Permit.
5.6 Determine Protective Systems

5.6.1 The Competent Person and the PIC determine the type of protective system to be
used, benching, sloping, shielding, timber shoring, or aluminum hydraulic
shoring.
Sloping, benching, or support systems for an excavation greater than 20 feet

deep must be designed by a Registered Professional Engineer.
5.6.2 The PIC records the type of protective system used at the site on the appropriate
section of the Excavation Permit. The excavation dimensions, length, width, and
depth are also recorded.
5.6.3 The Competent Person may exempt the excavation from the requirements for
shoring, benching, and sloping if:

Excavation is less than five feet deep, there is no potential for cave-in (four
feet in Washington and Oregon); or
Excavation is made entirely in stable rock that has no potential for collapse
and decision is documented on form CPL-687.
5.6.4 Sloping and benching systems must be selected and constructed conforming to the
specifications for slopes as outlined in Table 202.1: Maximum Allowable Slopes,
below.
TABLE 202.1: Maximum Allowable Slopes
Soil or Rock Maximum Allowable Slopes (H:V)

Type
Stable Rock Vertical (90)
Type A 3/4:1 (53)
Type B 1:1 (45)
Type C 1:1 (34)
In general, when soil classification is not conducted, slopes can be no steeper than 1
horizontal to one vertical (34 measured from the horizontal). For example, a six feet deep
excavation in Type C soil would need to be set back nine feet.
There are numerous types of sloping and benching techniques. The selection of the type of
protective systems will be based on the location; terrain; soil classification; available
equipment; and type of work activity.
Some examples of the types of sloping and benching techniques are:
Simple Slope
Simple Bench
Multiple Bench
Vertically-Sided Lower Portion
See figure 202.1: Sloping System for Type B and C Soil for examples of Simple Slope in
Type B and C Soils, and figure 202.2: Benching System for Type B Soil for examples of
Simple Bench in Type B Soil.
In addition, there are OSHA requirements for layered soils. For exact requirements for these
types of sloping and benching techniques, refer to your Safety Specialist.

FIGURE 202.1: Sloping System for Type B and C Soil
Sloping System for Type B Soil
10 Feet
20 Feet Max.
10 Feet
Sloping System for Type C Soil
10 Feet
20 Feet Max.
15 Feet
1-1/2

FIGURE 202.2: Benching System for Type B Soil
Benching System for Type B Soil
20 Ft.
10 Feet
max.
4 ft.
Max.
1
4 ft.
max.
10 Feet
5.6.5 For sloping/benching, the following requirements must be met:

The sides or walls of an excavation or trench may be sloped, in lieu of a
shoring/shielding system provided the slope (angle) is not steeper than one
and one-half horizontal to one vertical (34 from the horizontal).
For slopes steeper than 1-1/2:1 and all benching (stepped) systems, the slope
or configuration must conform to the specifications in OSHA Standard 29
CFR 1926.652.
Sloped excavations which have vertically sided lower portions must be
shielded or supported to a height of at least 18 inches above the vertical
sides.
5.6.6 For protection by mechanical means, the following requirements must be met:
Shielding, timber or aluminum shoring and other protective systems (i.e.,
trench boxes), must meet the specifications in OSHA Standard 29 CFR 1926.
Workers must be protected from cave-in upon entry or exit from an
excavation protected by a shield system.

Timber Shoring
The timber shoring methods are described in Appendix C Shoring
Requirements. Timber shoring for trenches deeper than 20 feet (6.1 meters) must
be designed by a Registered Professional Engineer.
The minimum size of shoring system members is presented in the tables of
Appendix C Shoring Requirements. Each table contains the data only for the
particular soil type in which the excavation or portion of the excavation is made.
The data are arranged to allow the user the flexibility to select from among
several acceptable configurations of members based on varying the horizontal
spacing of the cross braces. Stable rock is exempt from shoring requirements;
therefore, no data are presented for this condition.
Use the tables to select the cross braces, the uprights, and the wales, where wales
are required.
Select the size and spacing of the members from the appropriate table. The
selection is based on the soil type and the depth and width of the trench where the
members are to be installed and, in most instances, the selection is also based on
the horizontal spacing of the cross braces. In instances where a choice of
horizontal cross bracing is available, the horizontal spacing of the cross braces
must be chosen before the size of any member can be determined.
Aluminum Hydraulic Shoring for Trenches
Hydraulic cylinders specifications:
Use the tables to select the hydraulic cylinders and either the vertical shores
or the horizontal wales. When a wales system is used, use the tables to select
the vertical timber sheeting.
Select the size and spacing of the members from the appropriate table. The
selection is based on the soil type and the depth and width of the trench
where the members are to be installed. In these tables, the vertical spacing is
held constant at four feet on center. The tables show the maximum horizontal
spacing of cylinders allowed for each size of wale in the waler system tables,
and in the vertical shore tables, the hydraulic cylinder horizontal spacing is
the same as the vertical shore spacing.
Vertical shoring rails shall have a minimum section modulus of 0.40 inch.
When vertical shores are used, there must be a minimum of three shores
spaced equally, horizontally, in a group.
Plywood must be 1.125 inches thick softwood or 0.75 inch thick, 14 ply
arctic white birch (Finland form). Note that plywood is not intended as a
structural member, but only for prevention of local raveling (sloughing of the
trench face) between the shores.

5.6.7 Trench shields

Portable trench shields is a means of attempted control of cave-ins in trenches.
Unlike shoring, which has to be put up and taken down piece by piece, shields can
generally be moved where needed with only a minimal assembly and
disassembly. Trench shields can be purchased or rented from numerous sources.
The design and installation of portable trench shields must be in accordance with
all specifications, recommendations, and limitations issued or made by the
manufacturer. Manufacturer's specifications, recommendations, and limitations
and manufacturer's approval to deviate from the specifications, recommendations,
and limitations must be in written form at the job site during construction of the
protective system.
5.7 Complete Excavation Permit

5.7.1 Prior to entry into the excavation, the PIC assures that all the required safety, fire,
and health equipment is in place and in proper operating working condition. The
PIC must verify:
a) The excavation has a protective system (sloping/benching or mechanical)
unless exempted by the Competent Person as outlined in section 5.6.3.
b) The excavation has securely fastened ladders, ramps, or stairs for entry and
exit at intervals of no more than 25 feet. Ladders must extend at least three
feet above the edge of the trench.
c) The excavation has been tested for oxygen deficiency (atmospheres
containing less than 19.5% oxygen) and for other atmospheric hazards that
may exist. Complete the Atmospheric Monitoring section of the Gas Testing
Results Form located in HES 209.
d) The excavated material (spoil) must be kept at least two feet from the edge
of the excavation.
e) The workers will not be in the trench (i.e., in the vicinity of where moving
the trench shield could affect their safety and the stability of the trench)
while a trench shield is being moved.
f) The workers will not be permitted to work on the face of a sloped or
benched excavation above other employees unless the workers below are
protected from falling or rolling material or equipment.
g) The appropriate safety and rescue equipment, including a standby, is on site
as applicable.

5.7.2 The PCW reviews the permit and all requirements with all personnel who will be
working in the excavation. The PCW informs all of those performing the work of
the job boundaries, work precautions, restrictions, and conditions. Person(s)
performing the work (or foreman/supervisor for a large crew) review the permit
and sign in the approval section of the permit.
5.7.3 The PIC and the PCW make a final inspection of the job site to assure all permit
conditions are satisfied and all signatures have been obtained.
5.7.4 The PIC assures the work is performed under the immediate supervision of a
person experienced in excavation matters, that an on-site person is responsible for
the safety of personnel, that necessary safety and rescue equipment is on site, and
personnel know how to use it as applicable.
5.7.5 After the requirements specified by the Competent Person and the PIC are met,
personnel may enter the excavation and work may proceed in compliance with all
requirements of sections 5.2 Job Site Preparation and 5.4 Entry Excavations as
well as the following conditions:
In California, the Competent Person must be on job site at all times
when employees are exposed to a trench and/or excavation.
The Competent Person must make daily inspections completing the
appropriate section of the Excavation Permit. Inspections must always be
made before the start of the work and as needed throughout the shift.
The Competent Person or any other person must stop the job whenever a
hazardous condition develops that could endanger workers and remove
workers from the excavation or hazardous area until the situation has been
corrected and proper precautions have been taken.
5.8 Excavation Work

5.8.1 An excavation must be ready for entry when the requirements of the permit have
been addressed, all signatures obtained and the Excavation Permit posted at the
job site.
5.8.2 If an adverse condition develops (e.g., a leak, spill, accident, etc.) or the PIC or
Competent Person determines the excavation is unsafe, work must be stopped
immediately and the permit pulled. Any time the permit is pulled, the excavation
must be re-inspected and confirmed safe before work may resume.
5.8.3 If the soil or material being excavated appears contaminated with hydrocarbons or
other chemicals (e.g., unidentified liquid, odor, oily sheen, etc.), work must stop
and a HES Specialist must be consulted before work continues. The contaminated
soil may have to be sampled to determine if it must be handled as a hazardous
waste and/or additional personal protective equipment will be required.

5.9 Permit Extension

An existing Excavation Permit can be extended an additional shift (not to exceed 12 hours)
if, at the beginning of each shift, both the PIC and the PCW confirm that conditions remain
unchanged, permit restrictions are met, new JSA completed, and it is safe to do the work.
They both must date and print name on the permit in the appropriate box.
A permit may be extended up to four (4) consecutive shifts at which time it expires and
a new permit is required.
5.10 Work Completion

Upon job completion, the PIC inspects the site and removes the permit.
6.0 Ro le s a n d Re s p o n s ib ilitie s
6.1 Person-In-Charge
The Person-in-Charge is responsible for:
verifying that available maps, plot plans, etc., have been reviewed for buried
conduits, cables, and piping;
verifying that the state/regional/local One-Call Center has been notified to establish
the location of underground installations;
verifying above ground and underground obstructions have been identified and
marked;
verifying that those performing the work understand the job boundaries, work
precautions, restrictions, and conditions;
specifying any precautions, restrictions, and/or approvals that may be required;
reviewing the permit to assure the work is defined and can be done safely;
reviewing the job site in the field with the PCW;
alerting other affected parties if their areas could be affected by the work;
verifying that the work in an excavation must be under the immediate supervision of a
person experienced in excavation matters;
verifying that an on-site person is responsible for the safety of personnel that the
necessary safety and rescue equipment is on site as applicable; and
arranging for standbys as necessary.

6.2 Person Conducting the Work

The Person Conducting the Work is responsible for:
reviewing the permit and conditions;
satisfying all precautions and restrictions specified by the PIC;
communicating the conditions and restrictions to others on the job;
confirming with the PIC notification has been made to the local One-Call Center per
applicable state requirements (or the National 811);
informing PIC if a hazardous condition develops; and
reporting to the PIC before starting work, when leaving the job site, and before
resuming work.
6.3 Standby
The Standby is responsible for:
monitoring the safety of the workers;
verifying that motorized equipment does not get so close to the excavation that it
effects the stability of the soil;
directing traffic around the excavation;
Attendant duties for permit required confined space excavations are specified in HES 201.
6.4 Competent Person

The Competent Person is responsible for:
inspecting the site prior to work and determine from soil examination or analysis
whether a protective system will be required to prevent a cave-in;
reviewing the job plan with the PIC to assure the necessary safety precautions have
been considered;
being in attendance during the job as necessary to assure the job is proceeding in a
safe manner;
making daily inspections to check for situations that could result in a cave-in, failure
of a protective system, a hazardous atmosphere, or condition;
stopping the job whenever a hazardous condition develops that could endanger
workers, assure workers are removed from the hazardous area until the situation has
been corrected and proper precautions have been implemented; and

taking steps to correct hazardous situations.

A CPL employee acting as the Competent Person may also be the PIC. Also, any
PIC can also be a Competent Person.
7.0 Re p o rtin g Re q u ire m e n ts

California Only
Notify CAL OSHA if situation involves an excavation over five feet deep or a CPL
employee will enter a contractor excavation.
8.0 Do c u m e n ta tio n a n d Re c o rd s Re te n tio n

8.1 Required Documents
An "Excavation Permit" CPL-687 is used to document this procedure.
A California Annual Excavation Permit is required to conduct excavations in
California.
A California Activity Notification Form is used to inform CAL OSHA of excavation
activities.
8.2 Document Storage and Retention Time

The Excavation Permit will be retained for two (2) years after the job is complete in
the appropriate office.
California Annual Excavation Permit will be posted in the appropriate office.

Appendix A Glossary
Bell-bottom Pier Hole
This is a type of shaft or footing excavation which has a bottom cross section wider than the
top cross section, thereby, forming a belled shape.
Benching
Terracing or stepping the sides of an excavation to prevent a cave-in. Benching is a method
of protecting employees from cave-ins by excavating the sides of an excavation to form one
or a series of horizontal levels or steps, usually with vertical or near-vertical surfaces
between levels.
Cave-in
The separation of a mass of soil or rock material from the side of an excavation, or the loss of
soil from under a trench shield or support system, and its sudden movement into the
excavation, either by falling or sliding, in sufficient quantity so that it could entrap, bury, or
otherwise injure and immobilize a person.
Competent Person
A person trained in and knowledgeable about soil analysis, the use of protective systems, and
the requirements of the OSHA Construction Standard 29 CFR 1926.650. A Competent
Person must be capable of identifying existing and predictable hazards in excavation work
and have the authority to take prompt measures to abate these hazards. In California, the
Competent Person must know CAL OSHA Standards.
Contractor
A person who agrees to furnish materials or perform services at a specified price for
construction. The person performing the work.
Cross Braces
The horizontal members of a shoring system installed perpendicular to the sides of the
excavation, the ends of which bear against either uprights or wales.
Egress
A continuous and unobstructed way of exit travel from any point in an excavation to a safe
location outside the excavation.

Excavation
Any man-made cut, cavity, trench, or depression in the earth's surface, formed by earth
removal. By definition, excavations include trenches.
Gas Testing
The use of portable gas testing instruments to determine levels of flammable and toxic vapors
or gases present in the atmosphere.
Hazardous Atmosphere
An atmosphere which, by reason of being explosive, flammable, poisonous, corrosive,
oxidizing, irritating, oxygen deficient, toxic, or otherwise harmful, may cause death, illness,
or injury.
Person Conducting the Work

The person(s) conducting the excavation or working in or around the excavation. This
includes all personnel company and contractor.
Person-In-Charge
The Team Leader responsible for the assets, or their designated CPL employee
representative, or a qualified third party contractor, that has overall responsibility for
determining acceptable excavation conditions in the area are safe for the excavation work to
be performed and for the safety of personnel and equipment until the job is complete.
The PIC can be a (Qualified Third Party) inspector who is acting as the company
representative.
Protective System
A method of protecting employees from cave-ins, materials falling or rolling from an
excavation face or into an excavation or from the collapse of adjacent structures. Protective
systems include, but are not limited to, support systems, benching systems, sloping systems,
and shield systems.
Qualified Gas Tester

Personnel (company and contractor) who have been trained in the use of portable gas testing
instruments and have demonstrated their use in the field. Only qualified gas testers may
conduct gas tests.
Qualified Third Party Contractors

A Contractor separate and distinct from the contractor performing the work, who has been
trained in CPL applicable procedures, and understands the hazards, risks, exposures, and
associated impact to operations from the activities.
Requestor/Work Owner
The person who selects, hires, or oversees the work of a contractor.
Shield
A structure that is able to withstand the forces imposed on it by a cave-in and thereby
protects employees within the structure. Shields can be permanent structures or can be
designed to be portable and moved along as work progresses. Shields can be either pre-
manufactured or job-built in accordance with the requirements found in this procedure.
Shields used in trenches are usually referred to as trench boxes or trench shields. This is also
referred to as shield system.
Shoring
A structure that supports the sides of an excavation and is designed to prevent cave-ins. The
structure can be made of metal, wood, or be hydraulic. This is also referred to as a shoring
system.
Sloping
A method of protecting employees from cave-ins by excavating to form sides of an
excavation that is inclined away from the excavation so as to prevent cave-ins. The
acceptable angle of the incline required to prevent a cave-in is dependant of such factors as
the soil type, environmental conditions of exposure, and application of surcharge loads. This
is also referred to as a sloping system.
Support System
A structure, such as an underpinning, bracing or shoring which provides support to an
adjacent structure, underground installation or the sides of an excavation.
Tabulated Data
Tables and charts approved by a Registered Professional Engineer to design and construct a
protective system.
Trench
A narrow excavation (in relation to its length) made below the surface of the ground. In
general, the depth is greater than the width, but the width of a trench (measured at the
bottom) is not greater than 15 feet (4.6 meters). If forms or other structures are installed or
constructed in an excavation so as to reduce the dimension measured from the forms or
structure to the side of the excavation to 15 feet (4.6 meters) or less (measured at the bottom
of the excavation), the excavation is also considered to be a trench. This is also called a
trench excavation.

Underground Installations
Buried utility and production installations such as sewer, telephone, fuel, electric, water lines,
or any other underground installations that may be expected to be encountered during
excavation work.

Appendix B Excavation Permit CPL-687

Example shown below.

Appendix C Shoring Requirements

Timber Shoring Tables Minimum Timber Requirements*
Soil Type A
Pa = 25 x H + 72 psf (2 ft Surcharge)
DEPTH SIZE (ACTUAL) AND SP ACING OF M E M B E R S **
OF
TRENCH
(Feet)
CROSS BRACES WALES UPRIGHTS
Horizont Width of Trench (Feet) Vertical Size Vertical Maximum Allowable Horizontal Spacing
al. Spacing (Inches) Spacing (Feet)
Spacing (Feet) (Feet)
(Feet)
Up to 4 4 to 6 6 to 9 9 to 12 12 to 15 Close 4 5 6 8
5 to 10 Up to 6 4X4 4X4 4X6 6X6 6X6 4 Not Req. ... 2X6
6 to 8 4X4 4X4 4X6 6X6 6X6 4 Not Req. ... 2X8
8 to 10 4X6 4X6 4X6 6X6 6X6 4 8X8 4 2X6
10 to 12 4X6 4X6 6X6 6X6 6X6 4 8X8 2X6
10 to 15 Up to 6 4X4 4X4 4X6 6X6 6X6 4 Not Req. ... 3X8
6 to 8 4X6 4X6 6X6 6X6 6X6 4 8X8 4 2X6
8 to 10 6X6 6X5 6X6 6X8 6X8 4 8 X 10 4 2X6
10 to 12 6X6 6X6 6X6 6X8 6X8 4 10 X 10 4 3X8
15 to 20 Up to 6 6X6 6X6 6X6 6X8 6X8 4 6X8 4 3X6
6 to 8 6X6 6X6 6X6 6X8 6X8 4 8X8 4 3X6
8 to 10 8X8 8X8 8X8 8X8 8 X 10 4 8 X 10 4 3X6
10 to 12 8X8 8X8 8X8 8X8 8 X 10 4 10 X 10 4 3X6
Over 20 See Note 1
* Mixed oak or equivalent with a bending strength not less than 850 psi.
** Manufactured members of equivalent strength may be substituted for wood.
Note 1: Protective systems for excavations deeper than 20 feet (6.1 meters) must be designed by a Registered Professional Engineer.
Version 1.2. Revised December 2011. C-1

Timber Trench Shoring Minimum Timber Requirements*

Soil Type B
SIZE (ACTUAL) AND SP ACING OF MEMBERS**
DEPTH
OF
TRENCH
(Feet)
Horiz. Width of Trench (Feet) Vertical Size Vertical Maximum Allowable

Spacing Spacing (Inches) Spacing Horizontal Spacing (Feet)
(Feet) (Feet) (Feet)
Up to 4 4 to 6 6 to 9 9 to 12 12 to 15 Close 2 3
5 to 10 Up to 6 4X6 4X6 6X6 6X6 6X6 5 6X8 5 2X6
6 to 8 6X6 6X6 6X6 6X8 6X8 5 8 X 10 5 2X6
8 to 10 6X6 6X6 6X6 6X8 6X8 5 10 X 10 5 2X6
10 to 12 See Note 1
10 to15 Up to 6 6X6 6X6 6X6 6X8 6X8 5 8X8 5 2X6
6 to 8 6X8 6X8 6X8 8X8 8X8 5 10 X 10 5 2X6
8 to 10 8X8 8X8 8X8 8X8 8 X 10 5 10 X 10 5 2X6
10 to 12 See Note 1
15 to 20 Up to 6 6X8 6X8 6X8 8X8 8X8 5 8 X 10 5 3X6
6 to 8 8X8 8X8 8X8 8X8 8 X 10 5 10 X 12 5 3X6
8 to 10 8 X 10 8 X 10 8 X 10 8 X 10 10 X 10 5 12 X 12 5 3X6
10 to 12 See Note 1
OVER 20 See Note 1


Soil Type C
DEPTH SIZE (ACTUAL) AND SPACING OF MEMBERS**
OF
TRENCH
(Feet)
Horiz. Width of Trench (Feet) Vertical Size Vertical Maximum Allowable Horizontal
Spacing Spacing (Inches) Spacing Spacing (Feet) (See Note 2)
Up to 4 4 to 6 6 to 9 9 to 12 12 to 15 Close
5 Up to 6 6X8 6X8 6X8 8X8 8X8 5 8 X 10 5 2X6

to
10
6 to 8 8X8 8x8 8X8 8X8 8 X 10 5 10 x 12 5 2X6
8 to 10 8 x 10 8 x 10 8 x 10 8 x 10 10 x 10 5 12 x 12 5 2X6
10 to 12 See Note 1
10 Up to 6 8X8 8X8 8X8 8X8 8 X 10 5 10 X 12 5 2X6

to
15
6 to 8 8 X 10 8 X 10 8 X 10 8 X 10 10 X 10 5 12 X 12 5 2X6
8 to 10 See Note 1
10 to 12 See Note 1
15 Up to 6 8 x 10 8 x 10 8 x 10 8 x 10 10 x 10 5 12 x 12 5 3X6
to
20
6 to 8 See Note 1
8 to 10 See Note 1
10 to 12 See Note 1
OVER 20 See Note 1
*Manufactured members of equivalent strength may be substituted for wood.

Timber Trench Shoring Minimum Timber Requirements *

Soil Type A
Pa = 25 x H + 72 psf (2 ft. Surcharge)
DEPTH SIZE (S4S) AND SPACING OF MEMBERS**
OF
TRENCH
(Feet)
Horiz. Width of Trench (Feet) Vertical Size Vertical Maximum Allowable Horizontal Spacing (Feet)
Spacing Spacing (Inches) Spacing
5 Up to 6 4X4 4X4 4X4 4X4 4X6 4 Not Req. Not Req. 4X6
to
10
6 to 8 4X4 4X4 4X4 4X6 4X6 4 Not Req. Not Req. 4X8
8 to 10 4X6 4X6 4X6 6X6 6X6 4 8X8 4 4X6
10 to 12 4X6 4X6 4X6 6X6 6X6 4 8X8 4 4X6
10 Up to 6 4X4 4X4 4X4 6X6 6X6 4 Not Req. Not Req. 4 X 10

to
15
6 to 8 4X6 4X6 4X6 6X6 6X6 4 6X8 4 4X6
8 to 10 6X6 6X6 6X6 6X6 6X6 4 8X8 4 4X8
10 to 12 6X6 6X6 6X6 6X6 6X6 4 8 X 10 4 4X6 4 X 10
15 Up to 6 6X6 6X6 6X6 6X6 6X6 4 6X8 4 3X6

to
20
6 to 8 6X6 6X6 6X6 6X6 6X6 4 8X8 4 3X6 4 X 12
8 to 10 6X6 6X6 6X6 6X6 6X8 4 8 X 10 4 3X6
10 to 12 6X6 6X6 6X6 6X8 6X8 4 8 X 10 4 3X6 4 X 12
OVER 20 See Note 1
* Douglas fir or equivalent with a bending strength not less than 1500 psi.


Soil Type B
DEPTH SIZE (S4S) AND SPACING OF MEMBERS**
OF
TRENCH
(Feet)
Horiz. Width of Trench (Feet) Vertical Size Vertical Maximum Allowable Horizontal Spacing
Spacing Spacing (Inches) Spacing (Feet)
Up to 6 4X6 4X6 4X6 6X6 6X6 5 6X8 5 3 X 12 4 X 12

5 to 10 4X8
6 to 8 4X6 4X6 6X6 6X6 6X6 5 8X8 5 3X8 4X8
8 to 10 4X6 4X6 6X6 6X6 6X8 5 8 X 10 5 4X8
10 to 12 See Note 1
10 to 15 Up to 6 6X6 6X6 6X6 6X8 6X8 5 8X8 5 3X6 4 X 10
6 to 8 6X8 6X8 6X8 8X8 8X8 5 10 X 10 5 3X6 4 X 10
8 to 10 6X8 6X8 8X8 8X8 8X8 5 10 X 12 5 3X6 4 X 10
10 to 12 See Note 1
15 to 20 Up to 6 6X8 6X8 6X8 6X8 8X8 5 8 X 10 5 4X6
6 to 8 6X8 6X8 6X8 8X8 8X8 5 10 X 12 5 4X6
8 to 10 8X8 8X8 8X8 8X8 8X8 5 12 X 12 5 4X6
10 to 12 See Note 1
OVER 20 See Note 1


Soil Type C
SIZE (S4S) AND SPACING OF MEMBERS**
DEPTH OF
TRENCH
(Feet)
Horiz. Width of Trench (Feet) Vertical Size Vertical Maximum Allowable Horizontal
Spacing Spacing (Inches) Spacing Spacing (Feet) (See Note 2)
Up to 4 4 to 6 6 to 9 9 to 12 12 to 15 Close
5 to 10 Up to 6 6X6 6X6 6X6 6X6 8X8 5 8X8 5 3X6
6 to 8 6X6 6x6 6X6 8X8 8X8 5 10 x 10 5 3X6
8 to 10 6X6 6X6 8x8 8x8 8x8 5 10 x 12 5 3X6
10 to 12 See Note 1
10 to 15 Up to 6 6X8 6X8 6X8 8X8 8X8 5 10 X 10 5 4X6
6 to 8 8X8 8X8 8X8 8X8 8X8 5 12 X 12 5 4X6
8 to 10 See Note 1
10 to 12 See Note 1
15 to 20 Up to 6 8x8 8x8 8x8 8 x 10 8 x 10 5 10 x 12 5 4X6
6 to 8 See Note 1
8 to 10 See Note 1
10 to 12 See Note 1
OVER 20 See Note 1

Aluminum Hydraulic Shoring - Vertical Shores for Soil Type A
DEPTH HYDRAULIC CY L I N D E R S
OF
TRENCH
(Feet)
Maximum Horizontal Spacing Maximum Vertical Spacing Width of Trench (Feet)
(Feet) (Feet)
Up to 8 8 to 12 12 to 15
Over 5 Up to 10 8 4 2 Inch Diameter 2 Inch Diameter 3 Inch Diameter

(See Note 2)
Over 10 Up to 15 8
Over 15 Up to 20 7
Over 20 See Note 1
Note 1: Two-inch diameter cylinders at this width must have structural steel tube over-sleeves of manufacturer's specifications extending the full, collapsed length.
Aluminum Hydraulic Shoring - Vertical Shores for Soil Type B
DEPTH HYDRAULIC CY L I N D E R S
OF
TRENCH
(Feet)
Maximum Horizontal Spacing Maximum Vertical Spacing Width of Trench (Feet)
(Feet) (Feet)
Up to 8 Over 8 Up to 12 Over 12 Up to 15
Over 5 Up to 10 8 4 2 Inch Diameter 2 Inch Diameter (See 3 Inch Diameter

Note 2)
Over 10 Up to 15 6.5
Over 15 Up to 20 5.5
Over 20 See Note 1

Aluminum Hydraulic Shoring Vertical Shores for Soil Type C

Water Systems for Soil Type B
DEPTH W ALES HYDRAULIC CYLINDERS TIMBER UPRIGHTS
OF
TRENCH
(Feet)
WIDTH OF TRENCH (FEET) MAX. HORIZ. SPACING (ON CENTER)
Vertical Section* Up to 8 Over 8 Up to 12 Over 12 Up to 15 Solid Sheet 2 FT. 3 FT.

Spacing Modules
(Feet) (Inch3)
Horizontal Cylinder Horizontal Cylinder Horizontal Cylinder
Spacing Diameter Spacing Diameter Spacing Diameter
Over 5 4 3.5 8.0 Feet 2 Inch 8.0 Feet 2 Inch 8.0 Feet 3 Inch --- --- 3 X 12
Up to 10 (See Note 2)
7.0 9.0 Feet 2 Inch 9.0 Feet 2 Inch 9.0 Feet 3 Inch
(See Note 2)
Over 10 4 3.5 6.0 Feet 2 Inch 6.0 Feet 2 Inch 6.0 Feet 3 Inch --- 3 X 12 ---
Over 15 4 3.5 5.5 Feet 2 Inch 5.5 Feet 2 Inch 5.5 Feet 3 Inch 3 X 12 --- ---
Over 20 See Note 1
Notes 1: Refer to Notes for Tables.

Notes 2: Two-inch diameter cylinders at this width must have structural steel tube over-sleeves of manufacturer's specifications extending the full, collapsed length.
*Consult product manufacturer and/or qualified engineer for Section Modules of available wales.

Aluminum Hydraulic Shoring

Waler Systems for Soil Type C
DEPTH HYDRAULIC CYLINDERS TIMBER UPRIGHTS
OF W ALES
TRENCH
(Feet)
WIDTH OF TRENCH (Feet) MAX. HORIZ. SPACING (On Center)
Vertical Section* Up to 8 Over 8 Up to 12 Over 12 Up to 15 Solid Sheet 2 FT. 3 FT.

Spacing Modules
(Feet) (In3)
Horizontal Cylinder Horizontal Cylinder Horizontal Cylinder
Spacing Diameter Spacing Diameter Spacing Diameter
(See Note 2)
Over 15 4 3.5 3.5 Feet 2 Inch 3.5 Feet 2 IN 3.5 Feet 3 Inch 3 X 12 --- ---
Over 20 See Note 1
Notes 1: Refer to Notes for Tables.

Notes 2: Two-inch diameter cylinders at this width must have structural steel tube over-sleeves of manufacturer's specifications extending the full, collapsed length.
*Consult product manufacturer and/or qualified engineer for Section Modules of available wales

Appendix D To Identifying the Location of Underground

Utilities Prior to Excavating
Call the 811 or Regional One-Call Center 48 hours in advance before digging is scheduled to
begin. Wait 48 hours for the site to be marked (unless it is an emergency line repair), and
observe the marks and dig with care. If at all possible have the utility owners on site while
the excavation is taking place.
Plan your work. For larger projects, call in only the work that can be accomplished within a
ten-day period.
Have the following information available prior to calling the One-Call Center:
Name and telephone number of the excavator and name and telephone number of the
company
Date and time the work is scheduled to begin
Specific location address or description of the work site
Nearest intersecting roadway to the work site
Distance and direction of the work site from the nearest intersection
Advise the one-call operator if explosives will be used
X and Y or Lat/Long Coordinates of dig site, if available
Record the locate request ticket number provided by the one-call operator. It is your proof of
the call and may be requested by an enforcement agency.
If digging activity comes within 24 inches of a utility line or pipeline, exercise extreme
caution. Hand digging is required to expose the buried line.
Markings for underground utilities are considered valid as long as they are visible up to ten
calendar days from the mark-by time. The mark-by time is provided by the one-call
operator but will not holidays and weekends. For larger projects, call in only the work that
can be accomplished within a ten-day period.
If damage to an underground utility occurs, notify the utility operator or the pipeline
company directly.
If there is an emergency situation, (i.e., danger to life, health, or property requiring
immediate attention), take steps to safeguard health and property.
Wherever possible, use white paint, stakes, or flags to mark the proposed excavation area.
Remember, not all utilities are members of 811 or the Regional One-Call Center. You should
call non-member utility operators directly if there is evidence that other utilities are in the
vicinity and they are not on the list of utilities identified by the Regional One-Call Center.
Version 1.2. Revised December 2011 D-1


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EXCAVATION

PROCEDURE NUMBER: CPL HES-202

Approved December 2011

Version 1.2. Revised December 2011. 2

2.2 Exemptions from this Procedure

Version 1.2. Revised December 2011. 3

3.2 Additional Documents

3.3 California Requirements

Version 1.2. Revised December 2011. 4

4.0 P ro c e s s Ove rvie w

The PIC completes the

PIC and PCW sign

PIC and Competent

PIC, Person Conducting

Version 1.2. Revised December 2011. 5

Version 1.2. Revised December 2011. 6

Determine Excavation Protective Systems

Is the The excavation

Version 1.2. Revised December 2011. 7

Determine Excavation Protective Systems

1. Follow requirements from the maximum allowable slop table

Soil or Rock Type Maximum Allowable Slope (H:V)

Stable Rock Vertical or 90 degrees

Version 1.2. Revised December 2011. 8

Determine Excavation Protective Systems

1. Shoring or shielding must comply with 29 CFR 1926.652 1

Version 1.2. Revised December 2011. 9

5.0 In s tru c tio n s

Version 1.2. Revised December 2011. 11

d) Warning systems (such as barricades, stop logs, hand or mechanical signals)

5.2 Job Site Preparation

5.3 Non-Entry Excavations

Version 1.2. Revised December 2011. 12

5.4 Excavations Involving Entry

5.5 Determine Soil Type

5.6 Determine Protective Systems

Sloping, benching, or support systems for an excavation greater than 20 feet

Version 1.2. Revised December 2011. 13

Soil or Rock Maximum Allowable Slopes (H:V)

Version 1.2. Revised December 2011. 14

FIGURE 202.1: Sloping System for Type B and C Soil

Sloping System for Type B Soil

Sloping System for Type C Soil

Version 1.2. Revised December 2011. 15

FIGURE 202.2: Benching System for Type B Soil

Benching System for Type B Soil

5.6.5 For sloping/benching, the following requirements must be met:

Version 1.2. Revised December 2011. 16

Version 1.2. Revised December 2011. 17

5.6.7 Trench shields

5.7 Complete Excavation Permit

Version 1.2. Revised December 2011. 18

5.8 Excavation Work

Version 1.2. Revised December 2011. 19

5.9 Permit Extension

5.10 Work Completion

Version 1.2. Revised December 2011. 20

6.2 Person Conducting the Work

6.4 Competent Person

Version 1.2. Revised December 2011. 21

taking steps to correct hazardous situations.

7.0 Re p o rtin g Re q u ire m e n ts

8.0 Do c u m e n ta tio n a n d Re c o rd s Re te n tio n

8.2 Document Storage and Retention Time